V Modell XT - V1.3 PDF

Part 1: Fundamentals of the V-Modell
V-Modell® XT
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V-Modell XT V-Modell® XT, Version 1.3

Part 1: Fundamentals of the V-Modell 1-3
Table of Contents
1 Introduction..................................................................................................................................1-4
1.1 Objectives...............................................................................................................................1-4
1.2 Audience.................................................................................................................................1-4
1.3 Contents and Structure...........................................................................................................1-4
2 Objectives and Structure of the V-Modell.................................................................................1-5
2.1 V-Modell 97 as Origin............................................................................................................1-5
2.2 The V-Modell XT as the successor of the V-Modell 97.........................................................1-6
2.3 Objectives of the V-Modell....................................................................................................1-6
2.4 Limits of the V-Modell...........................................................................................................1-7
2.5 Audience of the V-Modell......................................................................................................1-7
2.6 Contents and Structure of the V-Modell.................................................................................1-7
3 Basic Concepts of the V-Modell................................................................................................1-10
3.1 Overall Structure of the V-Modell........................................................................................1-10
3.2 Project Types........................................................................................................................1-11
3.3 Project Type Variant.............................................................................................................1-13
3.4 Process Modules...................................................................................................................1-13
3.5 V-Modell Core and Process Module Map............................................................................1-15
3.6 Project Execution Strategy...................................................................................................1-17
3.7 Decision Gates......................................................................................................................1-17
3.8 Overview of Basic Concepts................................................................................................1-19
4 Management Mechanisms of the V-Modell..............................................................................1-21
4.1 Tailoring................................................................................................................................1-21
4.2 Project Organization.............................................................................................................1-22
4.3 Project Planning....................................................................................................................1-23
4.4 Risk-Minimizing Project Control.........................................................................................1-24
4.5 Quality Assurance and Product State Model........................................................................1-25
4.6 Configuration Management..................................................................................................1-27
4.7 Problem and Change Management.......................................................................................1-28
5 Project Execution.......................................................................................................................1-29
5.1 Acquirer/Supplier Interface..................................................................................................1-29
5.2 System Development............................................................................................................1-31
5.3 Introduction and Maintenance of an Organization-Specific V-Modell................................1-31
5.4 Multi-Projektmanagement....................................................................................................1-32
6 Further Development of the V-Modell.....................................................................................1-33
7 List of Figures.............................................................................................................................1-34
V-Modell® XT, Version 1.3

1-4 Part 1: Fundamentals of the V-Modell
1 Introduction
The V-Modell is a process model for planning and executing »Projects. The V-Modell improves
project transparency, project management and the probability of success by defining concrete prac-
tices with associated results and responsible »Roles. The V-Modell XT is a further development of
the V-Modell 97. In the following the "V-Modell XT" will be designated as "V-Modell".
1.1 Objectives
This document is intended to briefly and precisely describe the fundamentals for the application of
the V-Modell. It defines all terms important for the understanding of the V-Modell. Before starting a
»V-Modell Project, all participants shall have a uniform understanding of the practice based on the
V-Modell fundamentals described in this manual.
1.2 Audience
This document is intended for all who want to realize their own projects using the V-Modell. For all
stakeholders having management tasks and decision competences in a V-Modell project, the reading
of this document is indispensable. In addition, it is a brief introduction for all who want to inform
themselves about the V-Modell.
1.3 Contents and Structure

This document comprises the following chapters:
»Objectives and Structure of the V-Modell
This chapter describes the objectives for the development of the V-Modell, the advantages of its use
as well as the limits and the target groups of the V-Modell. Contents and structure of the V-Modell
and its elements will be explained.
»Basic Concepts of the V-Modell
This chapter presents the basic core concepts of the V-Modell, particularly the concepts of »Process
Modules , »Project Types, »Project Type Variant, »Project Execution Strategy and »Decision Gate.
In addition, the interaction between various »V-Modell Project and the target-oriented and result-
oriented project execution approach will be described.
»Management Mechanisms of the V-Modell
Successful projects require a target-oriented direction, execution and control. This in turn requires
interaction between various management mechanisms, like »Project Management, »Quality Ass-
urance, »Configuration Management, and »Problem and Change Management. This chapter provi-
des application guidance for the management mechanisms specified in the V-Modell.
»Project Execution
This chapter provides the application guidelines for the actual processing of the project task. This
application guidance covers system development projects of suppliers and the »Further Develop-
ment of the V-Modell . This chapter describes the procedures for the maintenance and further deve-
lopment of the V-Modell.

2 Objectives and Structure of the V-Modell 1-5
2 Objectives and Structure of the V-Modell

The »V-Modell is designed as guidance for planning and executing development projects, taking
into account the entire system life cycle. It defines the results to be achieved in a project and descri-
bes the actual approaches for developing these results. In addition the V-Modell specifies the re-
sponsibilities of each participant. Thus, the V-Modell describes in detail, "who" has to do "what"
and "when" within a project. Other guidelines, e.g. ISO standards, are presently in use, but they are
less concrete than the V-Modell because they, e.g., do not specify product templates.
These standardized, methodical guidelines permit a systematic execution even of complex and ex-
tensive projects. Thus, projects get more planable, traceable and lead to high-quality results with
greater reliability, which is advantageous for acquirer and supplier.
The cooperation between acquirer and supplier is an essential factor of success. Thus, it is regulated
by the V-Modell. The responsibilities of both sides are specified. Thus, the V-Modell standards are
an important basis for contracts between acquirer and supplier. In addition, the V-Modell improves
the comparability of »Offers.
Also small business enterprises profit from the V-Modell. The V-Modell provides them with stan-
dardized and well-tried templates for development and management processes. Thus, small business
enterprises can systematize their processes with reasonable effort and thereby reliably achieve high-
quality development results, as well.
Thus, the V-Modell can be used as basis for contracting, as process guidance and as basis of com-
munication.
2.1 V-Modell 97 as Origin

With the publication of the »Development Standards for IT Systems of the Federal Republic of Ger-
many in 1997, the V-Modell 97 entered into force as standard for all civil and military federal agen-
cies. In detail, the Federal Ministry of Defense (BMVg), the Federal Office of the Bundeswehr for
Information Management and Information Technology (IT-AmtBw), and the Federal Ministry of the
Interior, Central Office for Information Technology Coordination in the Federal Administration
(BMI-KBSt), provided the following documents as General Directives (Allgemeiner Umdruck -
AU) No. 250 to 252 and as KBSt Series, Volume 27/1 and 27/2:
● Software Lifecycle Process Model (AU 250)
○ Part 1: Regulations (AU 250-1, KBSt Volume 27/1)
○ Part 2: Supplements with Regard to Authorities (AU 250-2, KBSt Volume 27/2)
○ Part 3: Collection of Manuals (AU 250-3, KBSt Volume 27/2)
● Methods Standard (AU 251)
● Functional Tool Requirements (AU 252)

2.2 The V-Modell XT as the successor of the V-Modell 97

In 1997, the V-Modell 97 was completed; since then it has not been updated. Therefore, it did not
reflect the state-of-the-art of information technology in 2004. New methods and technologies - as
for example the component-based development or the test-first approach - are considered only to a
limited degree in the V-Modell 97. As a consequence, in 2004, the V-Modell was no longer used as
much as it would be desirable.
In addition, comprehensive experiences with the V-Modell 97 were collected, and proposals for im-
provements were developed. The implementation of these proposals will improve the effective use
and acceptance of the new V-Modell.
Against this background, division A5 of the Federal Office of the Bundeswehr for Information Ma-
nagement and Information Technology and the Federal Ministry of the Interior, Central Office for
Information Technology Coordination in the Federal Administration (BMI-KBSt) have advanced
the »Development Standards for IT Systems of the Federal Republic of Germany on the basis of the
V-Modell 97. Proceeding from contents and scope of the V-Modell 97, the following requirements
were implemented:
● Improvement of the following quality characteristics: project-specific and organization-spe-
cific adaptability, applicability within the scope of the project, scalability to different project
sizes, and changeability and growth potential of the V-Modell itself
● Consideration of the state-of-the-art of technology and adaptation to current regulations and
standards
● Extension of the application to the entire system life cycle already during the development
● Introduction of an organization-specific process for improving process models
2.3 Objectives of the V-Modell

The »V-Modell provides guidance for the planning and realization of »Projects. The following ob-
jectives are intended to be achieved by a project execution »Project Compliant to the V-Modell:
Minimization of Project Risks
The V-Modell improves project transparency and project control by specifying standardized approa-
ches and describing the corresponding results and responsible »Roles. It permits an early recogniti-
on of planning deviations and risks and improves process management, thus reducing the project
risk.
Improvement and Guarantee of Quality
As a standardized process model, the V-Modell ensures that the results to be provided are complete
and have the desired quality. Defined interim results can be checked at an early stage. Uniform pro-
duct contents will improve readability, understandability and verifiability.
Reduction of Total Cost over the Entire Project and System Life Cycle
The effort for the development, production, operation and maintenance of a system can be calcula-
ted, estimated and controlled in a transparent manner by applying a standardized process model.
The results obtained are uniform and easily retraced. This reduces the acquirers dependency on the
supplier and the effort for subsequent activities and projects.
Improvement of Communication between all Stakeholders

The standardized and uniform description of all relevant elements and terms is the basis for the mu-
tual understanding between all stakeholders. Thus, the frictional loss between user, acquirer, sup-
plier and developer is reduced.
2.4 Limits of the V-Modell

The following aspects are not covered by the »V-Modell. In a »V-Modell Project, these aspects
must be regulated in addition, or the »V-Modell must be adapted accordingly:
● The placing of contracts for services is not regulated. The »V-Modell only considers the pla-
cing of contracts for subsections.
● During the »Introduction and Maintenance of an Organization-Specific Process Model, the
model does not differentiate between acquirer and supplier.
● The organization and execution of operation, maintenance, repair and »Disposal of the sys-
tem are not covered by the V-Modell. However, planning and preparation of a concept for
these tasks are regulated in the V-Modell.
2.5 Audience of the V-Modell

The »V-Modell is intended for all persons participating as acquirer or supplier in development pro-
jects. As process model for project management, it is particularly designed for »Project Leaders and
executives who monitor, execute and accompany the project. For the project staff, the V-Modell in
many ways offers support for a successful cooperation in and contribution to the projects. The V-
Modell supports the handling of projects in enterprises, public and military agencies, and authorities
and agencies of the Bundeswehr.
2.6 Contents and Structure of the V-Modell

As shown in Figure 1, the documentation of the »V-Modell comprises the following sections, each
of which is intended for a specific »V-Modell User group:

Figure 1: Target Groups of the V-Modell Sections

A fundamental knowledge of the first two parts is the prerequisite for the successful application of
the V-Modell in a project. The following parts 3 to 7 are »V-Modell References. A V-Modell refe-
rence is a specific view of the contents of the V-Modell. It is not necessary to read these V-Modell
References before starting a project. Instead, the V-Modell References and the parts 8 and 9 can be
used as reference work to be at hand when necessary during project execution.
Section 1: »Fundamentals of the V-Modell
This section describes the basic core concepts of the V-Modell and the interaction between various
V-Modell projects. In addition, it introduces application guidelines regulating the implementation of
the V-Modell in concrete projects. Some of these application guidelines concentrate on basic mana-
gement mechanisms, while others cover the proper processing of the project task.
Section 2: »A Tour through the V-Modell
The Tour through the V-Modell shows by means of selected examples how the V-Modell is applied
within the scope of a concrete project. This section gives a first impression of the use of the V-Mo-
dell in practical projects.
Section 3: »V-Modell Reference Tailoring
The V-Modell Reference Tailoring describes the project types, project type variants and project cha-
racteristics which are used for preparing a specific application profile for the project. In addition, it
presents the significant contents of the project execution strategies and process modules feasible
with the V-Modell. Moreover, the decision gates available in the V-Modell will be described. Thus,
this V-Modell reference includes the information required for »Tailoring.
Section 4: »V-Modell Reference Roles

The V-Modell Reference Roles provides a survey of all roles included in the V-Modell. In addition
to a detailed description of the roles, this reference describes the products and activities for which
each individual role is responsible and the processes in which the role is included. Thus, this V-Mo-
dell Reference provides a guideline for the assignment of roles and a first orientation for the future
tasks and competences of the project members.
Section 5: »V-Modell Reference Work Products
The V-Modell Reference Products includes all disciplines, products and subjects of the V-Modell in
accordance with the hierarchical product model. It describes the connections between the individual
products by means of so-called product dependencies. Thus, this V-Modell reference is particularly
relevant for editors and inspectors of V-Modell products.
Section 6: »V-Modell Reference Activities
The V-Modell Reference Activities includes all activities and work steps of the V-Modell in accor-
dance with the hierarchical activity model. In particular, it describes the processing of the specific
work steps within the scope of an activity. An activity determines the way and the work steps which
will be employed in order to develop an actual product. Accordingly, this V-Modell Reference is
particularly relevant for the project staff.
Section 7: »V-Modell Reference Mapping to Standards
Being used as base of organization-wide development processes, the V-Modell must be compatible
with current (quasi) standards and regulations, e.g., »ISO 9001:2000, »ISO/IEC 15288 and
»CMMI®. For each standard, the V-Modell Reference Mapping to Standards includes a presentati-
on of the terms of the respective standard mapped to the V-Modell concept. Thus, this V-Modell Re-
ference supports cross-trained persons who are already familiar with certain standards. In addition,
the V-Modell Reference Mapping to Standards shows the coverage of standards like ISO, IEC, and
CMMI by the V-Modell.
Section 8: »Annex
The Appendix includes several indices and reference works, e.g., method references, tool refe-
rences, a glossary, a list of abbreviations and reference documents. The other V-Modell sections re-
fer to the entries in the appendix as required.
Section 9: »Templates
This section includes templates for the individual products in the form of RTF documents. These
templates can be employed directly within the scope of a project or adapted as required before use.

3 Basic Concepts of the V-Modell

Within the framework of further development, the content of the V-Modell was extended. In additi-
on, the quality characteristics of the V-Modell were improved, particularly with regard to the pro-
ject-specific and organization-specific adaptability, the applicability to the project, the scalability to
various project sizes and the changeability and extendability of the V-Modell itself. In order to
achieve this, the structure of the V-Modell was revised completely, and the formerly monolithic mo-
del was subdivided into individual components. Predefined process templates describe which com-
ponents will be used in an actual project constellation and in which sequence the required »Work
Products and intermediate results have to be developed.
The following section provides a brief survey of the overall structure of the updated V-Modell. Af-
terwards, the individual basic concepts of the V-Modell will be described in detail, followed by a
summary of the target-oriented and result-oriented approach of the V-Modell.
3.1 Overall Structure of the V-Modell

The V-Modell regulates "who" has to do "what" and "when" during a project. Figure 2 provides a
survey of the overall structure of the V-Modell. The V-Modell can be applied to a great variety of
project constellations; however, not all »V-Modell Project follow the same pattern. Depending on
some characteristics, the projects can be classified and subdivided into »Project Type.
In order to ensure that the V-Modell can be employed simply and without significant effort, various
»Project Type Variants are predefined, which determine the so-called »Project Execution Strategy.
The process modules which must be used and the process modules which can be selected in additi-
on are specified for every project type.
A »Process Module covers an actual task which may have to be accomplished during a V-Modell
project. The »Work Product which have to be developed within the scope of the task, the »Activity
required for developing the individual products and the »Roles included in the creation of the pro-
ducts are specified within a process module. The individual process modules are self-contained.
The project type does not only define the process modules to be used but also the possible project
type variants, which in turn determine additional process modules to be used and the general condi-
tions for the project execution strategy of a project. A »Project Execution Strategy corresponds to a
sequence of decision gates. A »Decision Gate indicates a »Project Progress Stage in the »Project
Setting where the current state of the project is evaluated. Depending on the evaluation, the Executi-
ves decide on the further project processing and can take corrective action as required.
Some process modules and decision gates must be applied to every project compliant with the V-
Modell in order to ensure a minimum project execution quality. These mandatory process modules
form the »V-Modell Core.
The document »Fundamentals of the V-Modell describes how the standards of the V-Modell should
be implemented within the scope of a project. It covers the supporting organizational aspects and
the fulfillment of the actual project task.

3 Basic Concepts of the V-Modell 1-11
Figure 2: Overall Structure of the V-Modell and Presentation Based on the Point of View
The elements described up to now are the actual contents of the V-Modell, which are complemented
by so-called »Mapping to Standards. A mapping to standards establishes a relation between the
terms of a (quasi) standard or a regulation and the contents of the V-Modell. Mapping to Standards
include, among others, the »Mapping to CMMI® and the »Mapping to ISO 15288. For users, who
have processed their projects up to now in accordance with other regulations, procedures or stan-
dards, the mappings to standards facilitate the change to the V-Modell.
During a project, different persons and groups of persons deal with the particular contents of the V-
Modell. At the beginning of a project, e.g., the project-specific adaptation of the V-Modell is of pri-
me importance for the »Project Leader. At a later stage of the project, the project leader and the pro-
ject team focus on the actual process and the respective individual tasks. For quality assurance, on
the other hand, the requirements posed by the V-Modell on the products to be tested are essential.
Thus, every V-Modell user group sees the contents of the V-Modell from a different point of view.
In order to fulfill the specific requirements of the individual user groups, the documentation of the
V-Modell is subdivided into »V-Modell Reference, which correspond exactly to these points of
view. Thus, the »V-Modell Reference Tailoring especially describes the creation of a project-speci-
fic V-Modell. The contents of the individual V-Modell References have already been described
briefly in »Objectives and Structure of the V-Modell.
3.2 Project Types

The V-Modell can profitably be used in a variety of project constellations as guideline for the syste-
matic managing and processing of a project. Not every V-Modell project follows the same stereoty-
pe pattern. Depending on characteristic features, projects can be subdivided into »Project Types.
This classification will be described briefly in the following paragraphs.

A project is classified by its project type. The V-Modell supports projects for awarding a contract to
a supplier and projects for developing a »System as supplier or as acquirer/supplier. These three
projects types are distinguished based on the project role which the project assumes with respect to
other stakeholders. The project roles are subdivided into »Acquirer, »Supplier or Projects where
specification of requirements, project management and development are executed within an. organi-
zation (Acquirer/Supplier). Each project role implies a specific view with regard to the project and
includes several specific project tasks. The V-Modell uses the so-called Subject of the Project for
concretizing the framework of the approach. The V-Modell supports the development of software
(SW), hardware (HW), complex or embedded hardware and software systems (HW and SW) and
the system integration. The »Tailoring process must provide a suitable »Project Characteristic . In
addition to contract awarding and development project types, the V-Model also supports projects for
the introduction and maintenance of process models. For the »Introduction and Maintenance of an
Organization-Specific Process Model , the V-Modell offers an individual project type.
The different project roles can be subdivided into three classes. In the project role Acquirer/Sup-
plier, exactly one V-Modell project is executed in order to autonomously develop a system or an or-
ganization-specific process model. In the project role Acquirer, a system development contract is
awarded to one or more suppliers based on specified requirements. In the project role Supplier, a
system development project is executed based on the requirements specified by the Acquirer. It is
important to note, that a distinction between Acquirer and Supplier is impossible during the deve-
lopment of an organization-specific process model.
Figure 3: Classification of Projects and Subdivision into Project Types

As shown in Figure 3, the following project types are specified based on the Subject of the Project
and the Project Role:
● »System Development Project (Acquirer)
● »System Development Project (Supplier)
● »System Development Project (Acquirer/Supplier)
● »Introduction and Maintenance of an Organization-Specific Process Model
The selection of a project type is the first step for determining "what" has to be done in a project.
The decision for a »Project Type integrates the process modules into the project and determines the
project characteristics to be considered.

3.3 Project Type Variant

For each »Project Type, the V-Modell offers at least one »Project Type Variant, which characterizes
the Project in more detail. A Project Type Variant in a Project determines particularly the general
conditions for possible project flows, which are used as selection criteria in the »Tailoring process.
A Project Type Variant determines the design of the »Project Execution Strategy and thus the possi-
ble workflow in the coarse plan of a Project.
The selection of a Project Variant can also integrate »Process Module and »Project Characteristics ,
complementing those of the project type specifications, into the Project.
Abbildung 4 indicates different Project Type Variants provided by the V-Modell and the characteri-
stics used for selecting the suitable Project Type Variant:
● For the Project Type »Introduction and Maintenance of an Organization-Specific Process
Model, there is only one suitable Project Type Variant, which has the same name.
● For the Project Type »System Development Project (Acquirer) , the distinction is based on
the structure of the order: The Project Type Variant is selected depending on the fact as to
whether the Acquirer cooperates with one or several Suppliers simultatneously.
● The Selection of a suitable Project Type Variant within the framework of the Project Types
»System Development Project (Supplier) and »System Development Project (Acquirer/Sup-
plier) generally depends on the system life cycle section covered by the Project. Enhance-
ment and migration require another Project Type Variant than system maintenance.
Abbildung 4: Assignment of Project Type Variants to Project Types
3.4 Process Modules

The significant contents of the V-Modell are included in process modules which are based on one
another. Every process module is a self-contained unit and can be changed or extended individually.
A »Process Module covers all parts concerning a particular task which may occur within the scope
of a V-Modell project. As shown schematically in Figure 5, a process module encapsulates the
»Work Product and »Activity, which are relevant for the fulfillment of this task and thus belong to-
gether with regard to a specific topic, e.g., the contents of »Project Management or software deve-
lopment.
»Work Products in the V-Modell are depicted with rounded corners, »Activity in rectangular form.

Figure 5: Process Modules and their Components/Work Products. The results and interim results to
be developed are designated as »Work Product. The entirety of all products is structured in a hierar-
chical manner, by integrating products which belong together into a »Discipline. Additionally, a
complex product may be subdivided into several » Topics.
The specific products may depend on one another. A »Product Dependency of this type describes a
consistency condition between two or more products. In this connection, there may be a product de-
pendency within a process module or between products of different process modules.
A product can be specified explicitly as »Initial Product or as »External Product . There is no depen-
dency between the designation as initial or external: designating a product as initial does not imply
it being external. An initial product is a product which shall always be developed once - and only
once - during a V-Modell project, e.g. the »Project Manual or the »Project Plan. Products which are
not developed within the scope of the respective V-Modell project but entered as input into the pro-
ject are designated as external products. However, the structure and the requirements regarding the
contents of these external products are specified in the V-Modell.
Activities. Every product developed within the scope of the respective V-Modell project will be
completed by exactly one »Activity. The ways for processing the individual products are specified
in the »Activity. The activities of a process module are also structured in a hierarchical manner. Ac-
tivities which are related with regard to their contents and procedural approach and the products
prepared are integrated into »Discipline. In addition, activities may be subdivided into work steps. A
»Work Step may be compared to a work instruction which has to be executed separately and covers
one or several »Topics .
Integration of Roles. In addition to products and activities, a process module also includes the co-
operation and responsibilities of roles. A »Role encapsulates a set of tasks and responsibilities. By
that role concept, the V-Modell remains independent of organizational circumstances. At the begin-
ning of a V-Modell project, those roles are assigned concrete persons and organizational units. After
Tailoring, exactly one responsible role is assigned to each product (»Responsible Person). In additi-
on, several roles may support in the creation of a product (»Contributor).
Thus, a process module specifies "what" shall be done in an actual project, i.e., which products shall
be developed and which activities shall be executed. In addition, the process module specifies,
"who" or which role will be responsible for a product.

3.5 V-Modell Core and Process Module Map

The »Process Module used are specified for every »Project Type and every Project Type Variant.
Thus, the »Process Module is the central unit of »Tailoring, i.e., of the project-specific adaptation of
the V-Modell to a concrete »V-Modell Project. Thereby, the »Process Modules required for a »V-
Modell Project are selected and specified in accordance with the specifications of the »Project Type.
The Process Modules are divided into four areas depending on the project type. The color identifi-
cation of these project types are used in Figure 6 for allocating process modules.
V-Modell Core. The first area contains those Process Modules, that may be used in every V-Modell
Project. It contains the »V-Modell Core , which ensures a minimum level of project execution quali-
ty: in every project »Project Compliant to the V-Modell, the basic management mechanisms as defi-
ned in the »Process Module of the »V-Modell Core shall be used. As shown in Figure 6, the »Pro-
cess Module of the »V-Modell Core include »Project Management, »Quality Assurance, »Configu-
ration Management and »Problem and Change Management.
In addition, but independent of the V-Modell Core, the »Process Modules »Life Cycle Cost Mana-
gement and »Measurement and Analysis may be used in every »Project Type . »Life Cycle Cost
Management defines procedures and tools for integrating the project management into the superior
financial management. »Measurement and Analysis provides procedures for the organization-wide
acquisition and evaluation of several independent parameters.
Introduction and Maintenance of an Organization-Specific Process Model. Another area contains
the process modules for the development of an organization-specific process model. The only pro-
cess module in this area is »Introduction and Maintenance of an Organization-Specific Process Mo-
del. It respects the procedures and directives for the introduction of an organization-specific process
module and the following establishment of a continuous improvement process.
System Development. The third area covers all process modules that are necessary or optional for
system development. These are »Specification of Requirements, »System Development, »Hardware
Development, »Software Development, »Integrated Logistic Support , »Enhancement and Migrati-
on of Legacy Systems, »Evaluation of Off-the-Shelf Products, »Usability and Ergonomics, »Safety
and Security (Supplier), and »Safety and Security. In addition, the process module »Management of
Multiple Projects belongs to this area. It supports the functional segmentation of an overall project
into several sub-projects before the final specification of the requirements.
Acquirer/Supplier Interface. The fourth area contains those process modules that serve the commu-
nication between Acquirer and Supplier. It covers »Delivery and Acceptance (Acquirer), » Delivery
and Acceptance (Supplier), »Drafting and Conclusion of Contract (Acquirer), and » Drafting and
Conclusion of Contract (Supplier). These process modules define the relationship between Acquirer
and Supplier and how it is fixed contractually. Moreover, it describes how the developed item has to
be delivered by the Supplier to the Acquirer and how the acceptance procedure has to be organized.
The individual process modules of the V-Modell will be described in detail in the »V-Modell Refe-
rence Tailoring.

Figure 6: »Process Module Map

3.6 Project Execution Strategy

The V-Modell 97 specifies the input products required for the execution of an activity explicitly by
the product flow. A comparable restriction does not exist in the present V-Modell. Process Modules
and the products and activities included therein explicitly do not contain any specifications or re-
strictions regarding a possible sequence for executing activities or developing products.
Normally, the sequence of a project with regard to contents and time is complex. In order to permit
a reliable planning and control of a project, an ordered project life cycle must be developed. For this
purpose, the V-Modell provides the user with a Project Execution Strategy, the design of which de-
pends on the Project Type and the Project Type Variant. A »Project Execution Strategy defines a ba-
sic framework for the ordered and replicable execution of a project.
The project execution strategy specifies "when", i.e. in which sequence, products will be developed
and activities will be executed.
3.7 Decision Gates

The »Project Execution Strategy defines a fundamental framework for the ordered and replicable
execution of a project. The project execution strategy specifies the sequence of the »Project Pro-
gress Stage to be achieved during the project. As shown in Figure 7, the achievement of a project
progress stage is marked by a decision gate. A »Decision Gate indicates a milestone in the project
sequence, where the current state of the project has to be evaluated. For every decision gate, the V-
Modell defines a quantity of products which must be submitted in state »Finished at the end of the
project progress stage. Based on all submitted products, the higher management decides whether the
»Project Progress Stage was completed successfully and whether the next »Project Section may be
entered.
Figure 7: Project Execution Strategy, Decision Gates and Products

Figure 8 shows all »Decision Gate available in the V-Modell. The decision gates are differently co-
loured to show the belonging to the project types.
The decision gates »Project Approved, »Project Defined, »Iteration Scheduled and »Project Com-
pleted are used in all project types and, thus, also in each project execution strategy.
The system development is represented by the decision gates »Requirements Specified, »System
Specified, »System Designed, »Detailed Design Completed, »System Elements Realized, and »Sys-
tem Integrated . The decision gates »Overall Project Partitioned and »Overall Project Progress Revi-
sed are used when the project is subdivided into several sub-projects before the specification of the
requirements.
The decision gates that deal with the relationship between aquirer and supplier are »Request for
Proposal Released , »Offer Submitted, »Contract Awarded, »Delivery Conducted, »Acceptance
Completed and »Project Progress Revised.
Finally, the project type »Introduction and Maintenance of an Organization-Specific Process Model
also includes the decision gates »Process Model Analyzed, »Process Model Improvement Specified
and »Process Model Improvement Implemented.

The decision gates allocated to the project types and depicted in Figure 8 provide a specific, funda-
mental framework for the project execution in the V-Modell. The »V-Modell Reference Tailoring
describes the sequence of decision gates for every project execution strategy possible in detail.
Together with the project execution strategy, the decision gates specify "what" shall be done
"when", i.e., when shall the products be finished.
The case that a decision gate cannot successfully be passed is not planned in advance in the V-Mo-
dell. If the »Steering Committee has reasons not to declare a decision gate as passed, the following
possibilities exist:
1. The products that have to be submitted at the decision gate are revised until they have an ap-
propriate quality.
2. The Steering Committee decides to go back in the plan some project progress stages to en-
force the repeated processing of several products and new project progress decisions.
3. The project is cancelled.

Figure 8: Decision Gates of the Project Execution Strategies
3.8 Overview of Basic Concepts

An important principle of the V-Modell is its target-oriented and result-oriented practicing. This ba-
sic philosophy is visible in numerous aspects of the V-Modell:
● Products are in the focus of the V-Modell. They are the central project results.

● The Project Execution Strategy and »Decision Gate specify the completion schedule of the
products and, thus, the fundamental structure of the project progression.
● The detailed project planning and control is based on the processing and completion of pro-
ducts.
● One definite »Role is responsible for each product, and within the scope of an actual project
a person or organizational unit is assigned to this role.
● The product quality can be verified by defined product requirements and explicit descripti-
ons of dependencies with other products.
Thus, the products defined in the V-Modell are the central interim and final results of the project.
Based on the objectives of the project, these results are defined during the project concept and plan-
ning phase. During the project progression, they are processed and completed using professionally
practices.
The target and result orientation of the V-Modell avoids unnecessary activities which are not orien-
ted towards a result. Activities and work steps which do not contribute to the achievement of a re-
sult are not described in the V-Modell. This focussing of the V-Modell is a significant prerequisite
for an efficient project execution.

4 Management Mechanisms of the V-Modell 1-21
4 Management Mechanisms of the V-Modell

The V-Modell describes a process model for planning and executing development projects, conside-
ring the entire system life cycle. Successful projects require the cooperation of various basic mana-
gement mechanisms, particularly of »Project Management, »Quality Assurance, »Configuration
Management and »Problem and Change Management. The »V-Modell Core includes exactly those
»Process Modules which provide these management mechanisms.
The following paragraphs introduce the application guidelines for the basic management mecha-
nisms of the V-Modell.
4.1 Tailoring
The V-Modell is a generic process standard for projects, which is intended to be applicable to a ma-
ximum variety of project constellations. Therefore, the V-Modell must be adaptable to the actual
project conditions. This adaptation, the so-called »Tailoring, is one of the first and most critical acti-
vities to be executed by the V-Modell user. In the V-Modell, »Tailoring is defined as the definition
of the »Project Type and the selection of a possible »Project Type Variant and the applicable process
modules. The detailed adaptation of the V-Modell to the level of the product models to be develo-
ped and activity models to be executed is conducted within the scope of project planning in accor-
dance with the specifications of the generative product dependencies (compare paragraph »Project
Planning).
Figure 9: Tailoring of a V-Modell

Static Tailoring. As shown in Figure 9, the project is first characterized by the project type and the
project type variant. The result of this characterization is the framework for the »Application Profi-
le, which determines the »Project Characteristics which characterize the project in more detail. Du-

ring the Tailoring Process, the »V-Modell User determines a value describing the project more accu-
rately for each project characteristic. The complete Application Profile determines the selection of
the »Process Modules to be used and the »Project Execution Strategy.
Figure 9 shows an example for the tailoring result of a possible »V-Modell Project on the part of the
acquirer using the V-Modell project assistant. The V-Modell project assistant is a software tool used
for tool-supported tailoring. Based on the project characterization, the project type »System Deve-
lopment Project (Acquirer) and afterwards the project type variant »Project (Acquirer) with Several
Suppliers were selected. This selection is the basis for specifying the process modules to be used
and the project characteristics, to be decided on during the tailoring process.
The final determination of the project type and the corresponding selection of process modules and
project execution strategy has to be documented in the »Project Manual. The reasons for the selecti-
on of a particular application profile, project type and project type variant and the use of additional
process modules have to be stated clearly.
This simple, but effective tailoring mechanism hides all sections of the V-Modell which are not re-
quired for a project. Thus, the V-Modell User has only to deal with the process modules and the spe-
cified project execution strategy relevant for his project.
Dynamic Tailoring. During the project life cycle, additional process modules may be selected or re-
moved, with the exception of the mandatory process modules of the »V-Modell Core. The rules for
this »Dynamic Tailoring are already defined in the V-Modell by specifically indicated product de-
pendencies, which are designated as »Tailoring-Related Product Dependency (see »V-Modell Refe-
rence Tailoring ).
For example, one of these tailoring-related product dependencies defines the following rule:
If at least one »Hardware Unit was identified in the product »System Architecture , the process mo-
dule »Hardware Development has to be selected in the »Project Manual .
Let's assume that the process module »Hardware Development was not selected in a project, but the
planned »System Architecture identifies »Hardware Units . In this case, the above tailoring-related
product dependency requires the process module »Hardware Development to be selected as well. Of
course, the tailoring documentation in the »Project Manual has to be adapted accordingly.
This type of dynamic tailoring during the project life offers a high degree of flexibility. The V-Mo-
dell core guarantees a basic degree of quality which is ensured in every project compliant with the
V-Modell.
Parts of the »Project Manual may be agreed as subject of a contract. In case of public contracts, this
agreement is already included in the »Request for Proposal . If the tailoring result of a project has
been agreed as contract-relevant part of the »Project Manual, the tailoring - and particularly the dy-
namic tailoring - is transparent for all stakeholders of the project.
4.2 Project Organization

The project organization superimposes the existing organization of the project's environment, e.g.
the line organization of a company or government agency. Nevertheless, the project organization
must be clearly and firmly established in the surrounding organization. This requires an unambi-
guous regulation of competences as well as the definition and organization of project communicati-
on and reporting.

Based on the tasks and responsibilities, competences have to be determined, funds allocated and fra-
mework conditions defined. This has to be documented in the »Project Progress Decision and wor-
ked out in the »Project Manual and the »QA Manual.
In addition, the »Roles must be staffed. This manning of roles is the most important factor for the
success of a project. The individual key roles, e.g. »Project Leader and »System Architect, have to
be manned with experienced, competent and accepted persons. The same applies to project control
panels, e.g. the »Steering Committee or the »Change Control Board.
4.3 Project Planning

After the project-specific adaptation of the V-Modell (»Tailoring) has been completed, the project
execution strategy, which specifies the sequence of the project progress stages to be achieved during
the project, has been determined. A project progress stage is represented by a decision gate.
The actual number of decision gates and the corresponding project progress stages depend on the
needs of the project to be executed. The project execution strategy only provides a general frame,
which has to be filled by the project as required.
Within the scope of a system development, for example, a prototype of the system should first be
developed in order to validate the prepared »Overall System Specification; afterwards, the contracts
for the proper system development should be awarded based on the gained experience. As shown in
Figure 10, the »V-Modell Project will then include the »Decision Gate »Requirements Specified,
»Request for Proposal Released, »Contract Awarded and »Acceptance Completed twice - once for
the prototype and once for the proper system.
Figure 10: Project-Specific Development of the Project Execution Strategy

This project-specific development of the »Project Execution Strategy has to be prepared by the
»Project Leader during project planning and has to be included in the »Project Manual and the
»Project Plan.

Thus, a basic frame for a detailed project planning and organization is defined. The decision gates
of the project execution strategy give the order of the products to be created. A product which will
be created once and only once during a project is designated as »Initial Product in the V-Modell.
The initial products and the products defined by the decision gates - together with the corresponding
activities - can be integrated immediately into the project plan.
A so called »Generative Product Dependency defines additional products and activities which have
to be planned. A generative product dependency defines what particular contents of a product impe-
ratively imply the creation of additional products. However, it is not regulated, when these products
have to be finished. For example, the V-Modell contains a generative product dependency defining
that for each »Hardware Unit that has been identified in the »System Architecture, a »Hardware
Specification has to be created. In detail, the generative product dependencies are described in the
»V-Modell Reference Work Products.
The project plan must be complemented by additional products and activities as required by these
generative product dependencies. In addition, further products - and thus also activities - can of
course be integrated into the plan, always considering the defined generative product dependencies.
4.4 Risk-Minimizing Project Control

During the project, project progress and project risks have to be reviewed continually and systema-
tically, and difficulties have to be circumvented appropriately. The process module »Project Mana-
gement specifies the procedures required for this purpose. At higher level, the decision gates are
used for monitoring the project progress and reducing the overall risk for project success.
The decision gates indicate quality gates a decision on the project progress and the following pro-
ject execution based on the products to be submitted at the respective decision gate. This decision
lies in the area of responsibility of the »Executive and has to be made in the »Steering Committee,
which includes all key persons of the project, as shown in Figure 11.
The decision has to be documented in the product »Project Progress Decision, where the funds and
resources for the following »Project Section will be released. It is also possible to impose conditi-
ons for the following project section. If the decision on the project progress is in the negative, it is
possible to specify, in individual cases, whether the submitted products have to be improved and
submitted again, the project shall undergo a fundamentally new development or the project shall be
cancelled.
The steering committee does not have to meet physically to make a project progress decision. Ins-
tead, the project progress decision can be made by circulation of an appropriate document or by e-
mail. Additionally, it is possible to cover several project progress decisions in a single meeting. This
procedure is advised especially in case of several parallel development threads.
The consequent application of the »Project Execution Strategy and the »Decision Gates leads to a
risk-minimizing project control. Undesirable developments will be recognized early in the »Project
Stages, which permits an early initiation of appropriate countermeasures.

Figure 11: »Decision Gate and Project Progress Decision

The following products have to be submitted at all decision gates except for »Project Approved and
»Project Completed: »Project Progress Decision, »Project Plan, »Project Status Report, and »Quali-
ty Status Report.
4.5 Quality Assurance and Product State Model

The quality of the project result has to be ensured by constructive and analytical quality assurance
procedures. It is essential to execute the analytical quality assurance in parallel to and independent
of the constructive development process. The quality assurance within the project requires a uni-
form and coordinated approach, which is understood, supported and applied by all participants.
The V-Modell defines standards for the form and contents of the products, which will be developed
in the course of a V-Modell project. The »V-Modell Reference Work Products describes these stan-
dards for every product. In addition, the so-called product dependencies specify additional rules for
the overall consistency regarding the contents of several products. The V-Modell differentiates bet-
ween 4 types of product dependencies: »Content-Related Product Dependencies, »Generative Pro-
duct Dependency, »Structural Product Dependency and »Tailoring-Related Product Dependency
(see »V-Modell Reference Tailoring and »V-Modell Reference Work Products).
Each »Work Product has a »Product State. Potential product states include »In Processing, »Submit-
ted and »Finished, as shown in Figure 12. The state of a »Work Product will be redetermined, at the
latest, if the processing »Activity has been completed successfully.

Figure 12: Product State Model

In order to complete an activity successfully, the generated product must be checked accordingly.
The evaluation sequence is shown in Figure 13. Each evaluation, conducted by an independent qua-
lity assurance or as self-check, checks contents and form of the »Work Product in accordance with
the V-Modell definitions. In addition, the consistency with the contents of other products has to be
checked. This includes a check of every »Relevant Product Dependency. In this connection, rele-
vant product dependencies are all product dependencies between the »Work Product to be checked
and the products which have already reached the state »Finished.
Figure 13: Evaluation Sequence

At first, a self-check has always to be executed as shown in Figure 12. As already described, this
self-check checks the »Work Product itself and its consistency with the contents of work products in
state »Finished. However, it is not mandatory to document contents and scope of the evaluation in
accordance with the V-Modell.
In addition, the »QA Manual and the corresponding »System Implementation, Integration and Eva-
luation Concept define in advance whether the evaluation must be executed by an additional inde-
pendent quality assurance. As already described, this independent quality assurance checks the
»Work Product itself and its consistency with the contents of finished products. Contrary to the self-
check procedure, however, an appropriate »Evaluation Specification System Element and »Evalua-
tion Report System Element will be prepared for preparing and documenting the conducted evalua-
tions.
If an independent quality assurance is required, the product first changes to the state »Submitted and
- after a successful evaluation - to the state »Finished. If an independent evaluation is not required,
the products changes to the state »Finished immediately after the self-check has been completed
successfully.

If an evaluation is not successful, the »Work Product must undergo appropriate reprocessing and a
new quality assurance. If a »Relevant Product Dependency has been violated, the persons responsi-
ble for these »Work Product are responsible for remedying the inconsistency.
In this connection, it may be possible that the responsible roles (»Responsible Person) decide that a
»Finished »Work Product is returned to the state »In Processing in order to execute the required cor-
rections.
As shown in Figure 12, a product which has already reached the state »Finished may be returned to
the state »In Processing also by events not connected with the quality assurance process. For exam-
ple, a »Work Product may be modified - and thus returned to the state »In Processing - by modifica-
tions determined and executed within the scope of change management or by a reprocessing of the
»Work Product in the following processing stages.
This procedure ensures that all products in the state »Finished are not only correct as seen alone, but
also consistent with the contents of other products and thus correct in their entirety. This is indepen-
dent of the sequence in which the individual »Work Product were »Finished.
4.6 Configuration Management

The »Configuration Management manages all products and »Product Configurations in accordance
with the »Project Plan. A »Product Configuration identifies a quantity of matched products that be-
long together from the »Product Library in a specific version and in their respective product state -
the so-called »Product Version.

Figure 14: Decision Gates and Product Configurations

Thus, the »Configuration Management is intended to document the current and previous »Product
Configuration of a system and the degree of fulfillment of the physical and functional requirements
and to ensure complete transparency in this respect during the entire system life cycle.
Every planned »Decision Gate generates a »Product Configuration – as shown exemplarily in Figu-
re 14 – thus documenting the project progress and ensuring a replicable quality assurance.
4.7 Problem and Change Management

During the entire project life cycle, products will be modified and changed. If a certain degree of
completeness has been reached, it is necessary to follow product changes also formally. This formal
problem and change management is defined in the »Process Module »Problem and Change Mana-
gement. This procedure is shaped specifically for each project in the »Project Manual. In particular,
it has to be documented which which types of changes are meant to be traced by the formal problem
and change management. In this connection, it should be noted, that only products in the state »Fi-
nished can be subject to a formal problem and change management.
Within the scope of the formal problem and change management, all faults, problems and change
proposals have to be documented and evaluated and the further procedure in the project has to be
decided. Problem reports and change requests (see »Problem Report / Change Request ) may occur
during the entire project and system life cycle and can be prepared by all persons concerned, e.g.,
»Software Developer, »User or »Ergonomics Manager.
There may be a great variety of reasons for problem reports and change requests, e.g. system mal-
functions, deferred corrective actions, lacking or additional system functionalities, changes of the
environment on the side of the acquirer or supplier, problems regarding external subcontractors, mi-
sunderstandings in the requirements stated in the contract and newly recognized dependencies. The-
se problem reports and change requests have to be documented and followed by a »Change Status
List. This list informs on type and state of a change, state of the decisions and planned schedule.
The change procedure itself, i.e. the recording, evaluation and decision, is a self-contained replica-
ble process. This process is controlled by the »Role »Change Request Manager. Mandatory decisi-
ons will be made by the »Change Control Board, the composition and decision competence of
which will be determined in the »Project Manual and should depend on the effects of changes.

5 Project Execution 1-29
5 Project Execution
As already described in the paragraph »Project Types, the V-Modell is a generic process model stan-
dard for development projects. It supports the following four project types:
● »System Development Project (Acquirer)
● »System Development Project (Supplier)
● »System Development Project (Acquirer/Supplier)
● »Introduction and Maintenance of an Organization-Specific Process Model
The »Management Mechanisms of the V-Modell presented in the previous chapter have to be app-
lied to each project type. During the creation of the actual project result, specific procedures for pro-
ject execution regarding its contents will be required. These procedures will be described in the fol-
lowing paragraphs.
5.1 Acquirer/Supplier Interface

According to the V-Modell, is is possible to execute two V-Modell projects within the scope of sys-
tem development: »System Development Project (Acquirer) and »System Development Project
(Supplier). The V-Modell provides a specially adapted project execution strategy for these different
project types (see paragraph »Project Execution Strategy ). Figure 15 shows an example for two dif-
ferent project execution strategies and the sequence of the corresponding »Decision Gate.
The V-Modell explicitly describes the »Interface between V-Modell Projects of the »Acquirer and
of the »Supplier. An »Interface Product, which is developed outside the particular »V-Modell Pro-
ject, is designated as »External Product in the V-Modell. Figure 15 shows the interface products
which are exchanged between the V-Modell project of the acquirer and the supplier.
The V-Modell project of the acquirer develops a » Request for Proposal. This request for proposal
includes the previously prepared »Requirements Specification and definitions regarding the content
of the »Project Manual of the supplier. Based on the request for proposal, the V-Modell project of
the potential supplier makes an » Offer. This offer includes the offer-relevant and contract-relevant
parts of the »Project Manual and the »QA Manual of the potential supplier. If the acquirer accepts
the offer, a » Contract will be concluded. This contract can be complemented by » Contract Adden-
dum.
The »Project Status Reports inform the acquirer about project progress, project planning, project
control measures, quality assurance and problem and change lists. The acquirer should be represen-
ted in the »Steering Committee and the »Change Control Board in order to ensure a direct coordina-
tion between acquirer and supplier.
The V-Modell project of the supplier sends interim products and end products as »Delivery to the
acquirer. The V-Modell project of the acquirer provides a feedback to these interim and final delive-
ries by means of a »Statement of Acceptance. It is important that a statement of acceptance is only
to be made for the decision gate »Acceptance Completed. The consequence is that the sole formal
acceptance of development documents is not admissible. In general, the »User, who is represented
by the acquirer, can only decide whether the supplier realized what has been required when the sup-
plier delivers Software and Hardware respectively.

A supplier may act as acquirer with respect to a sub-supplier. The projects of the »Sub-Acquirer and
the »Sub-Supplier will be processed in accordance with the V-Modell and connected via the already
described »Acquirer/Supplier Interface.

5 Project Execution 1-31
Figure 15: Acquirer/Supplier Interface

If the system development project of the acquirer exceeds a certain magnitude, it should be subdivi-
ded into appropriate sub-projects. Even if these projects are executed within one company, this sub-
division should also be conducted in accordance with the described acquirer/supplier interface. This
is the only way to control the coordination between the projects adequately and to make corrections
if required.
5.2 System Development

The system development includes the development of the »System to be prepared and the develop-
ment of the »Enabling System required in various system life cycles. For the development, the sys-
tem is subdivided hierarchically into smaller units until finally a realization is possible. It is subdivi-
ded hierarchically into »Segments, »Hardware Units, »Software Unit, »External Units, »Hardware
Component, »Software Components, »Hardware Module, »Software Modules, »External Hardware
Modules, and »External Software Modules (see »V-Modell Reference Work Products, see Chapter
»Structural Product Dependencies).
In accordance with this hierarchical system structure, the system is specified and subdivided into
smaller units during the system development. The »Decision Gates depicted in Figure 16 are the ba-
sic steps for the refinement of the specification and the subdivision into smaller units.
There is an accurate procedure for every subdivision step, which is based on a uniform pattern and
permits a complete tracing of the requirements. During every step, the requirements of the higher
»System Elements are taken into account, the subdivision is designed, the realization of the »Sys-
tem Elements is specified, and finally, the requirements are assigned to the next level of »System
Elements.
The realization and integration of the system is conducted in reverse order as compared to the speci-
fication and subdivision. Based on the realized »Hardware Modules and »Software Module, the
more complex »System Elements, and finally the system are integrated. As shown in Figure 16, ve-
rification and validation are ensured at every design level.
Figure 16: System Development Structure
5.3 Introduction and Maintenance of an Organization-Specific V-Modell

The »Process Module »Introduction and Maintenance of an Organization-Specific Process Model
describes a procedure for introducing and continually improving an »Organization-Specific Process
Model. The procedures and guidelines of this process module have to be applied during the organi-

zation-specific adaptation of the V-Modell. The »V-Modell is adapted to the organization, specified
in detail and complemented by specific organization processes (see »Further Development of the V-
Modell).
5.4 Multi-Projektmanagement
Within the framework of the V-Modell, an Acquirer may cooperate during a project with several
Suppliers in parallel. The individual »Decision Gate of these sub-projects can be achieved indepent-
ly of each other.
There are a variety of reasons for subdividing a project in this way, e.g., if it is impossible to find a
general contractor as sole supplier, or if the project definition based on the first architectural consi-
derations already shows that the system comprises several relatively independent components,
which may be developed independently by several suppliers.
In order to subdivide a project into several sub-projects, the Acquirer needs the contents of the pro-
cess module »Management of Multiple Projects. The selection of the project type variant »Project
(Acquirer) with Several Suppliers adds this process module to the project-specific application profi-
le.

6 Further Development of the V-Modell 1-33
6 Further Development of the V-Modell

A two-stage procedure is defined for the maintenance and further development of the V-Modell.
The procedure is also recommended for modifications of a V-Modell adapted to a specific organiza-
tion if the adoption of the updated V-Modell is planned or the organization-specific V-Modell is in-
tended to be updated for other reasons.
At relatively short intervals, which correspond to the innovation cycles of information technology,
the V-Modell may be changed and upgraded. For this purpose, an »Advanced V-Modell, or parts of
an advanced V-Modell, will be developed in accordance with the development of an organization-
specific V-Modell. These change and development proposals are submitted to the Weit association
(»Weit e.V.). The Weit e.V. decides whether the changes will be integrated into the »V-Modell.
Changes and upgradings can only affect »Process Module, »Project Execution Strategy, »Decision
Gate, »Project Characteristic and »Mapping to Standards.
Changes beyond this scope, e.g., changes of the existing »Fundamentals of the V-Modell, belong to
the second stage of the procedure. Changes of this type have to be executed by a special review and
coordination process with the »V-Modell Users within the scope of an updating project.

7 List of Figures

Part 2: A Tour through the V-Modell
V-Modell® XT

V-Modell XT V-Modell® XT Version 1.3

Part 2: A Tour through the V-Modell 2-3
Table of Contents
1 Introduction..................................................................................................................................2-4
1.1 Objectives...............................................................................................................................2-4
1.2 Audience.................................................................................................................................2-4
2 Introduction into the Sample Project.........................................................................................2-5
2.1 Project Setting........................................................................................................................2-5
2.2 Overview of the Products of the Sample Project....................................................................2-8
3 Initializing a Project...................................................................................................................2-11
3.1 Project Proposal....................................................................................................................2-11
3.2 Project Progress Decision "Project Approved".................................................2-16
4 Definition of a Project................................................................................................................2-20
4.1 Project Manual......................................................................................................................2-20
4.2 Project Plan...........................................................................................................................2-24
4.3 Project Progress Decision "Project Defined"....................................................2-28
5 Specification of Requirements...................................................................................................2-31
5.1 Work Order...........................................................................................................................2-31
5.2 Requirements Specification..................................................................................................2-32
6 List of Figures.............................................................................................................................2-41

2-4 Part 2: A Tour through the V-Modell
1 Introduction
1.1 Objectives
The V-Modell Tour demonstrates the use of the V-Modell by leading the reader through an imagina-
ry showcase. It gives a first impression of the application of the V-Modell, demonstrating how some
of the main »Products are created.
1.2 Audience
This document is intended for all persons employing the V-Modell. For the »Project Leader of a V-
Modell project, this document is required reading. Furthermore, this document provides a hands-on
introduction for those who want to inform themselves about the V-Modell.

This document consists of the following chapters:
»Introduction into the Sample Project
This chapter delineates the exemplary project. It gives an outline of the course of the project and of
parts of the exemplary documents.
»Initializing a Project
This chapter explains the work products »Project Proposal and »Project Progress Decision in ex-
cerpts. These work products must be produced during the initialization of the project and submitted
at the »Decision Gate »Project Approved, the approach for producing them will be exemplified.
»Definition of a Project
The products »Project Manual, »Project Plan and »Project Progress Decision, which need to be de-
livered at the »Decision Gate »Project Defined are explained in this chapter.
»Specification of Requirements
This chapter explains the products »Work Order and »Requirements Specification, which need to be
delivered at the »Decision Gate »Requirements Specified.

2 Introduction into the Sample Project 2-5
2 Introduction into the Sample Project

This chapter introduces the sample project on which the V-Modell Tour is based. This sample pro-
ject deals with the development of an information system. The V-Modell project is conducted from
the point of view of the acquirer. The information system is intended to support the members of a
university in filing applications for trademarks and patents. It will be realized by a supplier determi-
ned by a »Request for Proposal.
2.1 Project Setting

The V-Modell can be applied by both, acquirer and supplier. The sample project will deal solely
with the project of the acquirer, the role of which is adopted by the Technische Universität München
(TUM). It is an imaginary project.
The acquirer project is subdivided into two areas of responsibility, i.e., execution and management.
Executive authority is a chair of the Technische Universität München - hereinafter referred to as
Project Team of the TUM. The Management is vested in the Trademark and Patent Administration
of the Technische Universität München - hereinafter referred to as Trademark and Patent Admi-
nistration. The information system to be realized will be referred to as Trademark and Patent In-
formation System.
When applying the V-Modell, the project type variants defined in the model provide a rough project
sequence. The project type variant relevant for our pilot project - »Project (Acquirer) with One Sup-
plier (see Figure 1) - defines a basis which will be adapted specifically to the Trademark and Patent
Information System. This project-specific planning is part of the »Project Manual and will be des-
cribed in our exemplary project in the Chapter »Project Manual.
During the development of the Trademark and Patent Information System, only a part of the system
- i.e. the subsystem for the application for trademarks - will be developed in the first expansion sta-
ge. Only if this system meets with adequate acceptance on part of the user, the following two expan-
sion stages - the application for patents and the management of trademarks and patents - will be
commissioned. As shown in Figure 1, the Trademark and Patent Information System will be subdi-
vided into three »Project Stages. A project stage describes the interval between two (partial) ship-
ments of a supplier. For each project stage the »Decision Gates beginning with »Requirements Spe-
cified up to »Acceptance Completed are planned correspondingly.
In each project stage the affected »Product Instance will be revised by the acquirer, i.e., particularly
the Technische Universität München. This applies amongst others to the »Requirements Specificati-
on. For each of the project stages I to III, a supplier,who will be responsible for the realization of
the respective subsystem, is determined by a request for proposal. The Technische Universität Mün-
chen supports the suppliers during their projects and is responsible for the final acceptances. After
the final acceptances the decision, whether the delivered system needs to be modified in the next
project stage or whether the following project stage may be initiated, can be made.
For a more detailed discussion of the sample project, we will concentrate on the start of the project
and the first project stage. We will extract the first few decision gates from the overall sequence. Fi-
gure 2 shows the products to be submitted to the management at every decision gate. The products
written in gray will be submitted multiple times. The sequence of the depicted decision gates will be
described in the following paragraphs.

Figure 1: »Project Execution Strategy for the Trademark and Patent Information System Project
At the beginning stands the idea for the Trademark and Patent Information System project, which is
elaborated into a »Project Proposal. The acquirer of the Trademark and Patent Information System -
i.e. the Project Team of the TUM - submits this project proposal to the responsible management,
i.e., the Trademark and Patent Administration. Since all circumstances are satisfactory - good idea,
implementation in three sequential steps sensible and funds available - it is reasonable to assume
that the »Project Progress Decision will be positive and the decision gate »Project Approved will be
passed.
In the following »Project Section, which will lead to the decision gate »Project Defined, the plan-
ning and organization of the project is defined in detail. Requirements for various areas - e.g. confi-
guration management, are specified. The products »Project Plan, »Project Manual, »QA Manual,
»Product Library, »Project Status Report and »Quality Status Report will be submitted before the fi-

nal »Project Progress Decision can be taken. The »Project Progress Decision includes - among other
things - an evaluation of the previous deliverables and a detailed planning for the following project
section.
At the decision gate »Requirements Specified, the Project Team of the TUM submits the product
»Requirements Specification. The requirements are the basis for the system to be developed. During
this project section, the Project Team of the TUM repeatedly prepares the product »Requirements
Evaluation, the results of which will be included into the requirements document. Furthermore the
Product »RFP Concept must also be defined during this project section.
Finally, the requirements will be reviewed and submitted to the Trademark and Patent Administrati-
on on a meeting, during which the »Project Progress Decision will be made. Moreover the actual
Product Instances of the »Project Status Report, »Quality Status Report and »Project Plan need to
be submitted.
Figure 2: Decision Gates and Products to be Submitted
The »Requirements Specification will be included in the »Request for Proposal, which can be com-
pleted in the next project section. In addition the Project Team of the TUM develops guidelines for
evaluating and comparing offers received from potential suppliers. The request for proposal will be
published, and the decision gate »Request for Proposal Released may be passed.
Within a legally specified period, offers can be submitted. The Project Team of the TUM records the
results of the assay of the submitted offers in the product »Offer Assessment. The decision on the
the award of a contract will be based on these results. Hereupon the Project Team of the TUM ela-
borates a contract in close contact with the Trademark and Patent Administration and the supplier.

Finally the »Evaluation Specification Delivery must be worked out, in order to be able to conduct
the acceptance later on. When all these product have been developed the decision gate »Contract
Awarded may be passed.
Now it is up to the supplier to fulfill the obligations specified in the contract and realize the Trade-
mark and Patent Information Subsystem I. For this purpose a consolidated plan of the upcoming ite-
ration is necessary. The plan will be delivered at the »Decision Gate »Iteration Scheduled of the ac-
quirer. At this decision gate revised product instances of the »Project Manual and »QA Manual may
have to be submitted in addition to the usual product instances of the »Project Status Report, »Qua-
lity Status Report and »Project Plan. These products will be referred to the Trademark and Patent
Administration in the scope of the Steering Committee meeting.
Finally the acquirer accompanies and supervises the project progress up to the acceptance. Synchro-
nized with important milestones of the supplier (e.g. completion of the »Overall System Specificati-
on, or the completion of the detailed design or of the first prototype) the acquirer passes the milesto-
ne »Project Progress Revised. Within this milestone the »Project Status Report of the supplier are
presented and help the acquirer to keep track of the progress of the suppliers work, which is in turn
documented within the acquirers own »Project Status Report. Change requests concerning the actu-
al expansion stage of the system and new feature requests will be collected and documented before
entering the request for proposal of the second project stage.
2.2 Overview of the Products of the Sample Project

Figure 3 shows the products which are used as examples in the following chapters. The elaborated
subjects of the sample products are marked in black.

Figure 3: Summary of the Products of the Sample Project
In the following chapters, the history from the beginning of the pilot project to the specification of
requirements will be described in a detailed manner and explained by product examples. The break-
down of the chapters will follow the »Project Sections illustrated in Figure 3.
The presentation will follow the principles of a narration. Actions and motives of the participants
will be explained by the author. Example:
„During his dissertation, Mr. Apollon, who works at the Technische Universität München, invents a
trademark he wants to register. Colleagues have told him that the realization of this plan is difficult.
Thus, he develops the idea for a project which is intended to support all members of the university
in the application for trademarks and patents. Against this background, Mr. Apollon contacts the

holder of his professorial chair, Professor Aristoteles. He tells him of his idea and Professor Aristo-
teles supports the project. He wants to realize it and appoints the future »Project Leader, Dr. Odys-
seus, a member of his chair who has experience in the handling of projects …“

3 Initializing a Project 2-11
3 Initializing a Project
V-Modell Description: »Decision Gate »Project Approved
In the decision gate »Project Approved, the »Steering Committee of the acquirer decides - based on
the »Project Proposal - whether the »Request for Proposal shall be initiated.
After the idea for the project is born, the »Project Leader Dr. Odysseus prepares a »Project Propo-
sal. The process for "initiating" a project is not specified in the V-Modell. The product »Project Pro-
posal is marked as »External Product, and the V-Modell does not include any activity describing the
preparation of a »Project Proposal. Nevertheless, Dr. Odysseus can use the proposed structure and
contents of a »Project Proposal - which is included in the »V-Modell Reference Work Products - as
orientation.
3.1 Project Proposal

V-Modell Description: »Project Proposal
The project proposal is intended to systematically present information and data showing that the
execution of a project such as developing a product or system or improving a process is required,
profitable and useful.
The »Project Leader Dr. Odysseus contacts the "inventor" of the project, Mr. Apollon. During his
dissertation Mr. Apollon has made an invention, which he wants to register as a trademark. Collea-
gues have told Mr. Apollon that his intention is difficult to realize. Dr. Odysseus and Mr. Apollon
describe these facts.
Project Proposal: Initial Situation
If an employee of the Technische Universität München, who has an idea for a trademark or pa-
tent, directly applies to the German Patent and Trademark Office, the trademark or patent will
only be registered under his/her name. However, this is inconsistent with the »Contract, which
has to be signed by employees of the Technische Universität München. According to this con-
tract, all work results "belong" to the Technische Universität München and may only be published
under both names - employee and university. On the other hand an employee alone cannot regis-
ter a trademark or patent under both names at the German Patent and Trademark Office. For this
purpose he/she needs the responsible member of the university, Dipl.-Ing. Platon.
Based on these facts, it seems reasonable to establish a dedicated administration within the uni-
versity which supports all university members applying for trademarks and patents.
This proposal is supported by the argument that many members do not even try to register their
trademarks or patents due to the high effort. However, this cannot be in the interest of the Techni-
sche Universität München since many registrations increase the reputation of a university. In ad-
dition, costs can be saved by a prior examination within the university. Only probably successful
candidates would be funded and forwarded to the German Patent and Trademark Office.

In addition to a dedicated administration within the university, the realization of the idea - to sup-
port employees during the application for trademarks and patents - requires a technical system. Mr.
Apollon as future user knows the required capabilities of the system, but he does not know how his
requirements can be implemented at software level.
Therefore Dr. Odysseus contacts his colleague, Mr. Sokrates, and explains the situation. Mr. Sokra-
tes proposes the development of a Trademark and Patent Information System for executing the ad-
ministrative processes.
He describes his concept of the system as follows.
Project Proposal: Objectives of the Project and System Concepts
The Trademark and Patent Information System is required in order to fulfill the administrative
tasks arising due to the founding of the university-intern Trademark and Patent Administration.
Alternatively, an administration based on folders and paper documents would be conceivable.
This would be more cost-effective in the procurement, but it would require a considerably greater
personnel effort. In view of the great number of applications, it is impossible to cope with the
flood of paper. Furthermore it would be almost impossible to operate transparent to the public.
The Trademark and Patent Information System will be available to all members of the university.
Is is a database-based information system which can be used on all computers within the universi-
ty. Up to now, no German university has a comparable system.
The system will support
● the preparation of trademark and patent applications,
● the examination of trademark and patent applications by the Trademark and Patent Admi-
nistration,
● the rejection of trademark and patent applications by the Trademark and Patent Adminis-
tration,
● the submission of trademark and patent applications to the German Patent and Trademark
Office by the Trademark and Patent Application,
● the administration of trademarks and patents.
An electronic data file will be prepared, examined and - if appropriate - faxed to the German Pa-
tent and Trademark Office for every trademark and patent to be registered.
All files available will be made accessible to the public in an electronic information system.
The Trademark and Patent Information System must be user-friendly and reliable. Every employ-
ee of the Technische Universität München must be able to use it without a long familiarization
time.
Since the acceptance of the users is decisive, it is recommended to subdivide the project into
»Project Stage, which should be executed successively. In case of success - i.e., if the system is
economical, used frequently and accepted by the users - the following project stages will be in-

itiated.
Accordingly, the success of the system mainly depends on most of the employees using the Trade-
mark and Patent Information system and that a maximum number of promising patents and trade-
marks will be applied for.
The Project Leader Dr. Odysseus completes the »Project Proposal, by considering additional »Op-
portunities and Risks and the »Economic Efficiency without forgetting the potential benefit.
He has already discussed the funding with Dipl.-Ing. Platon who is Administrative Director of the
Trademark and Patent Administration of the Technische Universität München. However, the availa-
ble budget is not unlimited, and the Administration Board has not yet approved the »Project Propo-
sal. In order to facilitate the decision for the Administration Board, Dr. Odysseus plans the project
to be executed in three project stages, with only the first project stage having to be funded in the be-
ginning. He roughly estimates the costs for these three project stages in order to give the Adminis-
tration Board a feeling for the scope of the project.
The Project Leader Dr. Odysseus sends the following »Project Proposal in written and electronic
form to Dipl.-Ing. Platon for a review. In the meantime Dipl.-Ing. Platon has already attended to
staffing the »Steering Committee for the project. Some of the members of the university administra-
tion have already shown great interest the idea of an electronic system for the administration of tra-
demarks and patents.
Project Proposal: Planning

The Trademark and Patent Information System will be subdivided into three project stages and
integrated into the organization of the university as shown in the following figure.

The Trademark and Patent Administration decides for the overall Trademark and Patent Informa-
tion System project and on the progress during the project stages.

The budget was determined by a rough estimate and is subject to a margin of error of + 60%.
The following resources are available at the Technische Universität München.

System development personnel cannot be provided. Therefore a potential supplier will be deter-
mined by a public »Request for Proposal. The execution of this request for proposal, the support
of the supplier's project and the acceptance of the developed system will be executed by the abo-
ve-mentioned Project Team of the Technische Universität München and supervised by the Mana-
gement of the Trademark and Patent Administration of the Technische Universität München.
3.2 Project Progress Decision "Project Approved"

V- Model Description: »Project Progress Decision
Based on the »Product Instance to be submitted, a decision on the accomplishment of the respective
»Project Progress Stage will made at every »Decision Gate and the result will be recorded in the
project progress decision
The first project progress decision to be made during the decision gate »Project Approved repres-
ents the authorization of the project by the higher-ranking management.
The »Project Progress Decision will be made during the first meeting of the newly founded »Stee-
ring Committee. After the »Project Leader has submitted and explained the »Project Proposal, it
will be discussed under the chairmanship of the »Executive Professor Aristoteles.
The Project Leader Dr. Odysseus takes the minutes and records the statements made during the
meeting - e.g. the financing commitment. The document »Project Progress Decision is used for do-
cumenting decisions and adopting the directives stated by the Trademark and Patent Administration
in cooperation with the Project Team into the Trademark and Patent Information System project.
Since this decision is based on the »Project Proposal, this proposal will be examined and evaluated
first.
Project Progress Decision »Project Approved: Evaluation
The proposals submitted in the project proposal are accepted.

This document records additional mandatory directives in writing. Additional products to be pre-
pared shall adopt any relevant directives stated in this document. Otherwise, the descriptions of
the project proposal are effective.
In the »Project Progress Decision the subject »Planning of the »Project Proposal will again be dis-
cussed. The Trademark and Patent Administration will add additional directives or change existing
statements. In contrast to the "proposals" of the »Project Proposal, these delineations are mandatory.
Project Progress Decision »Project Approved: Planning of Contents and Schedule

Within the university administration, a new department - the Trademark and Patent Administrati-
on headed by Dipl.-Ing. Platon - will be founded. On behalf of the Trademark and Patent Admi-
nistration, Dipl.-Ing. Platon is also responsible for the project Trademark and Patent Information
System I.
Target Dates
Quality Objectives
The project will be planned and executed based on documented procedures which correspond to
the regulations of the V-Modell and will be coordinated with the procedures and planning of the
Trademark and Patent Administration Management.
The fulfillment of the schedule and budget requirements will be decisive.
In the further course of the project, these dates will be integrated into the »Project Manual and the
»Project Plan. The fulfillment of the schedule is as decisive as the fulfillment of the quality objecti-
ves, which are integrated into »QA Manual, where they will be refined and implemented by appro-
priate measures.
In addition to schedule and product quality, the available personnel, the appointment of persons in
charge and the available funds are decisive.
Project Progress Decision »Project Approved: Resource Planning
Responsibility:

Execution:
* The figures for the participation in the project apply to »Project Stage Trademark and Patent In-
formation System I and indicate the percentage of the overall 38 working hours per week.
Details of the work scheduling are coordinated at bilateral level by the Project Team of the Tech-
nische Universität München and the Steering Committee.
Budget:

A total of 900.000 € were released for the »Project Section project definition and specification of
requirements. The decision on the funds for the following project sections of the project stage
Trademark and Patent Information System I will be made after the first two project sections have
been completed successfully.
In order to prepare this funding decision, a detailed »Estimation of costs based on the specified
requirements shall be submitted.
This defines the three corner stones of each project - quality, costs and schedule. The funds availa-
ble for the development and the provisions specified by the Trademark and Patent Administration
for the project considerably determine how the Project Team of the Technische Universität Mün-
chen designs the Trademark and Patent Information System.
Project Progress Decision »Project Approved: Directives and General Conditions

The project stage Trademark and Patent Information System I includes the realization of a system
intended to support the application for trademarks. The requirements will be determined by the
team of Project Leader Odysseus, which still has to be built up. The realization of the system will
be put up for bidding.
The Trademark and Patent Information System Project and the supplier's project for realizing the
system proceed in accordance with the V-Modell.
The »Project Progress Decision and the »Project Proposal specify the desired and mandatory frame-
work for the project Trademark and Patent Information System I.

4 Definition of a Project
V-Modell Description: »Decision Gate »Project Defined
The decision gate »Project Defined examines whether the »Project Manual and the »QA Manual
describe the project correctly. In case of a positive assessment, the »Project Manual and the »QA
Manual specify the first directives and conditions for the project which - in the course of the project
- enable the acquirer to specify requirements and the supplier to design the system.
The »Project Leader Dr. Odysseus has received the approval for the Project Trademark and Patent
Information System I and the directives relevant to the Trademark and Patent Administration of the
Technische Universität München. In order to define the project, he must refine and extend the gene-
ral framework in this »Project Section. The provisions of the V-Modell apply; it is necessary to exe-
cute a project-specific adaptation of the V-Modell - the so-called »Tailoring – and to document the
same in the »Project Manual.
Dr. Odysseus finds the description of the decision gate »Project Defined, which is common to all
»V-Modell Project, in the »V-Modell Reference Tailoring. Descriptions of the work products are in-
cluded in the »V-Modell Reference Work Products.
In addition to Dr. Artemis, who will be responsible for »Configuration Management, Dr. Odysseus
includes additional experienced and competent members in his team. He appoints Mr. Prometheus
as »QA Manager and Mr. Sokrates as »Requirements Engineer (Acquirer).
At a joint meeting - the so-called kick-off meeting - the project members discuss their concepts for
the future tasks. In the near future, i.e., until the next decision gate »Project Defined, the »Project
Manual, the »Project Plan, the »QA Manual, a »Project Status Report and a »Quality Status Report
shall be prepared. Furthermore, the »Product Library has to be set up.
4.1 Project Manual
V-Modell Description: »Project Manual

The V-Modell is a generic process standard which must be adapted and concretized for an actual
project. The »Project Manual specifies the adaptations and shapings required for management and
development. Thus it documents how and to what extent the V-Modell is applied to the project and
is a source of information and guideline for all stakeholders.
The Project Leader Dr. Odysseus wants to provide his team with project information in order to fa-
miliarize all team members with its contents. This summary will also be used as basis for all team
members joining the project at a later stage. The following summary chapter of the »Project Manual
will later also be included into the request for proposal and is an introduction into the project for the
supplier.
Just like the team, who was introduced into the Trademark and Patent Information System project
by the summary of Dr. Odysseus, the V-Modell must be "introduced" into the project. The adaptati-
on process is called Tailoring. This tailoring is required since the V-Modell is applicable to nume-
rous different project constellations.

4 Definition of a Project 2-21
In order to adapt the V-Modell to the specific project requirements for the Trademark and Patent In-
formation System, the Project Leader Dr. Odysseus selects the adequate values from the available
project characteristics. The tailoring mechanism of the V-Modell is described in detail in the »V-
Modell Reference Tailoring in chapter »Directives and Instructions for Tailoring. As shown in Figu-
re 4, the tailoring may be executed by means of the available V-Modell Project Assistant or simply
by hand on a piece of paper.
Figure 4: Characterization of the Project
The result of this characterization specifies the process modules to be used in the project and the
project execution strategy. Dr. Odysseus documents this result in the Subject »Project-Specific V-
Modell of the »Project Manual.

The project type variant is »Project (Acquirer) with One Supplier.
The activities and work products for the project are based on the process modules. Using the project
assistant, the Project Leader Dr. Odysseus can generate a V-Modell documentation which only com-
prises the descriptions of work products, activities, roles and other V-Modell elements of the pro-
cess modules relevant for the project. Alternatively, he can use the »V-Modell Reference Tailoring
in order to determine which products and activities are assigned to the process modules selected for
the project.
Dr. Odysseus deals with the remaining process modules and considers if they are useful for the de-
velopment of a Trademark and Patent Information System. He thinks that a further adaptation is not
required.
The project type variant »Project (Acquirer) with One Supplier is specified by adapting the V-Mo-
dell specifically to the Trademark and Patent Information System.

This project type variant also determines the decision gates. First, Dr. Odysseus prepares a rough
schedule for the decision gates, taking into account the requirements of the »Project Progress Deci-
sion (see Chapter »Project Progress Decision "Project Approved"). The bidding line for
potential suppliers is the only important milestone which does not follow directly from the specifi-
cation of the decision gates.

This »Project Execution Plan is intended to specify the dates for meetings with the Trademark and
Patent Administration of the Technische Universität München and the products to be submitted on
these meetings in accordance with the V-Modell. A detailed planning is included in the »Project
Plan.
4.2 Project Plan
V-Modell Description: »Project Plan

An adequate project plan is indispensable for the safe and organized execution of a project. The
project plan describes the selected approach to the project, specifying in detail what shall be done
when and by whom. It is the basis for monitoring and controlling the project. The »Project Leader
is responsible for the project plan, which will be prepared and developed in cooperation with all
participants.
The project leader Dr. Odysseus uses the »Decision Gate as basic framework and top ordering crite-
rion for project planning. In order to develop the »Integrated Planning in the »Project Plan, Dr.
Odysseus first plans the activities required for developing the »Work Product for the respective de-
cision gates, i.e. the work products which must be submitted to the Trademark and Patent Adminis-
tration of the Technische Universität München. To be on the safe side, he includes a buffer so the
products can be »Submitted in any case in time before the decision gate.

The Project Leader Dr. Odysseus can repeat activities, as shown by the activity »Planning Project.
During the course of the project, the schedule must be re-adapted frequently since there will be de-
lays caused by risks or unforeseen events. The »Project Plan will then be updated, and the activity
»Planning Project will be repeated.

Dr. Odysseus updates the »Project Plan continually. However, the »Project Execution Plan of the
»Project Manual will only be prepared once at the beginning of the project unless there are changes
which require a new processing, e.g. delays of the decision gates planned in the »Project Manual.
An other example for the repetition of activities is the activity »Preparing Project Status Report. In
contrast to the activity »Planning Project, however, this is not an activity which repeatedly develops
the same product, but it includes several identical activities for different products. »Project Status
Reports must be prepared anew at the end of each »Project Section and submitted at each decision
gate.
Up to now, Dr. Odysseus has planned the activities relating to the products to be submitted at the
decision gates. Now he deals with the remaining products.
Dr. Odysseus plans the establishment of the »Project Management Infrastructure – e.g. the technical
infrastructure for filing the electronic project data, which is clearly important - also in the project
section leading to the decision gate »Project Defined.
He regards some activities as too small for the overall plan of the Trademark and Patent Information
system. Nevertheless, he wants to include them into his plan in order to prevent them from being
forgotten. Therefore he introduces »Work Package, e.g., the work package "Supporting project sec-

tion", the processing of which is scheduled from the beginning to the end of the project section. Dr.
Odysseus associates, for example, the activity »Keeping a Project Diary, which is not intended to be
planned with a start and end date, with this work package.
The »CM Manager Dr. Artemis has informed Dr. Odysseus, that she wants to design the »Configu-
ration Management for the project in such a way that the products can alway be entered into the
configuration management tool by the participants themselves. Therefore it is not necessary to plan
the activity »Managing Product Library. Dr. Odysseus assigns this activity to the work package
"Supporting project section".
The V-Modell offers the »Product Dependency concept as an aid for planning. Dr. Odysseus consi-
ders this concept when planning quality assurance evaluations.
Certain products are marked with an "i" for initial in the V-Modell; they must be prepared exactly
once in every V-Modell project. In addition to these initial products, the V-Modell also includes
non-initial products, e.g. evaluation reports.
These are products which are not developed directly in the project but will be derived from other
products. These interconnections are documented in the V-Modell by the generative product depen-
dencies which are specified in the V-Modell. For example, an evaluation report will be generated by
a »Generative Product Dependency, which will be derived from the »QA Manual and the »Project
Plan. An evaluation report includes the evaluation history records made by the »Inspector.
The Project Leader Dr. Odysseus must consult the »QA Manual and the »Project Plan when plan-
ning the evaluations. The »QA Manager, Mr. Prometheus, has already prepared the »QA Manual
and submitted it to Dr. Odysseus to obtain his opinion. In the QA Manual, Dr. Prometheus specified
- among other things - the products which shall undergo thorough evaluations. He included the pro-
ducts of the decision gates, complementing them by other products he wants to be evaluated.

From the »QA Manual Dr. Odysseus knows that products »Request for Proposal and »Criteria Cata-
log for Assessment of Offers are intended to be evaluated. Thus he plans evaluations for these pro-
ducts. As shown in the above example, the planning shall ensure that the comments made by Mr.
Prometheus after the evaluation will be included.
Now Dr. Odysseus has completed the »Project Manual and the »Project Plan and these products can
be submitted at the decision gates »Project Defined after being examined by Mr. Prometheus.
At present, the planning of Dr. Odysseus is not yet complete, for he plans only so far into the future
as he considers useful at the respective point in time. While having prepared a rough plan based on
the decision gates in the »Project Manual, the detailed planning in the »Project Plan only covers the
time until the decision gate »Request for Proposal Released.
4.3 Project Progress Decision "Project Defined"

V-Modell Description: »Project Progress Decision
Based on the »Product Instance to be submitted, the persons in charge decide at each »Decision
Gate if the respective »Project Progress Stage has been reached, and record the result in the project
progress decision.
Dipl.-Ing. Platon, member of the Trademark and Patent Administration of the Technische Universi-
tät München, two additional members of the administration, the »Project Leader Dr. Odysseus and
the »Requirements Engineer (Acquirer) participate in the meeting deciding on the project progress.
This meeting is intended to obtain the confirmation from the Trademark and Patent Administration
that the submitted products reflect the project correctly, thus defining the project Trademark and Pa-
tent Information System I.
After a positive assessment of the submitted products, Dr. Odysseus wants to determine the schedu-
le for future meetings between the Trademark and Patent Administration and the Project Team of
the Technische Universität München. The participants accept the proposal of Prof. Aristoteles, ac-
cording to which the dates for the decision gates will also be used as dates for the decision mee-
tings.
Dr. Odysseus records this and other decisions in writing in the »Project Progress Decision.
Project Progress Decision »Project Defined: »Planning and Scheduling

Quality Objectives
It is decisive to comply with the schedule and the budget. The user acceptance, which was inclu-
ded as objective in the project proposal, has also to be ensured.
The quality objectives of ease of use, functionality, reliability, efficiency and changeability are
defined in the requirements and will be verified and validated by the »Requirements Evaluation
and the final evaluations.

The above quality objectives and the procedure for achieving them are discussed for a long time.
The idea to submit the »Requirements Specification not only to project members but also to a group
of future users in order to increase the acceptance is accepted and integrated as specification into the
project Trademark and Patent Information System I.
Project Progress Decision »Project Defined: Specifications and Framework Conditions

Before being evaluated formally, the requirements will be submitted to a selected group of future
users for evaluation.
The regulations of the Technische Universität München, which are specified by laws and orders
(e.g. regarding data privacy protection), shall be observed during the specification of require-
ments.
The technical solution shall be an advanced system based on proven information and communica-
tion technology.

Thus, the project Trademark and Patent Information System I is defined, and the specification of re-
quirements may begin.

5 Specification of Requirements 2-31
5 Specification of Requirements
V-Modell Description: »Decision Gate »Requirements Specified
In the decision gate »Requirements Specified, the »Steering Committee of the acquirer or the end
users, resp., check the completeness and correctness of the developed requirements and their priori-
tization. In case of a positive evaluation, the requirements will be documented in form of the work
product »Requirements Specification. In addition an evaluation of requirements in accordance with
the priority assigned to the individual requirements by the acquirer will be submitted. Based on the-
se documents, the system may be developed by the supplier after the contract has been awarded.
The Trademark and Patent Information System team has reached the »Project Progress Stage for de-
fining the project and begins to analyze the requirements using the V-Modell as basis. »Project Lea-
der Dr. Odysseus intends to prepare the requirements in several iterations.
The Requirements Analyst Mr. Sokrates is tasked with preparing a first version of the »Require-
ments Specification. Then Dr. Odysseus will evaluate these requirements thoroughly with respect to
technical feasibility, affordability, economic efficiency and importance. He records this in writing in
the »Requirements Evaluation. Based on this evaluation, Mr. Sokrates will review the requirements.
This second version of requirements will then be submitted to some users - including but not limited
to Mr. Apollon, who had the idea for the Trademark and Patent Information System - for assess-
ment. This early and intensive integration of the future users of the system will significantly reduce
the risk that the system will possibly not be accepted.
5.1 Work Order

V-Modell Description: »Work Order
The work order is an instrument used by the »Project Leader for internal project control. The Pro-
ject Leader can give work orders to the project members. The required information - e.g. task des-
cription, person in charge and date of completion - shall be recorded for each work order in accor-
dance with the specifications in the »Project Manual. Work orders can be summarized and collec-
ted in one action list.
The following example shows a part of the action list used by Dr. Odysseus for entering the tasks of
his team and following the processing state.

At this time, the Requirements Analyst Mr. Sokrates has already submitted a first version of require-
ments to Dr. Odysseus.
5.2 Requirements Specification

V- Model Description: »Requirements Specification
The product »Requirements Specification includes all requirements identified for the system to be
developed. It is the basis for the request for proposal and the contract, and thus the most important
specification for the preparation of an offer. The requirements specification is part of the contract
between acquirer and supplier. The requirements specify the framework conditions for the develop-
ment, which will be detailed by the supplier in the »Overall System Specification.
When preparing the »Requirements Specification the Requirements Analyst Mr.Sokrates considers
the specifications of the »Project Proposal and of the previous »Project Progress Decision. He uses
the finished chapter »Project Objectives and System Concepts of the »Project Proposal as basis and
adapts it specifically to the project stage Trademark and Patent Information System I.
In the course of further research, Mr. Sokrates discovers that the Trademark and Patent Administra-
tion of the Technische Universität München has an information system called Trademark and Patent
Forum, which is accessible via Internet. This system is used for presenting available files to the pu-
blic. Thus the idea to establish an interface between the Trademark and Patent Information System I
and the already existing Trademark and Patent Forum suggests itself.
Requirements Specification: Initial Situation and Objectives

The management and processing of the files of the Trademark and Patent Administration of the
Technische Universität München is intended to be supported electronically by the Trademark and
Patent Information System.

The first project stage, Trademark and Patent Information System I, will only support the app-
lication of trademarks.
In detail, the Trademark and Patent Information System I will support the following
● the preparation of trademark applications,
● the examination of trademark applications by the Trademark and Patent Administration of
the Technische Universität München,
● the rejection of trademark applications by the Trademark and Patent Administration of the
Technische Universität München,
● the submission of trademark applications to the German Patent and Trademark Office by
the Trademark and Patent Application of the Technische Universität München
● the publication of the existing files in the existing Trademark and Patent Forum.
For every trademark to be registered, a data file will be prepared, examined and submitted to the
the German Patent and Trademark Office as required.
As a first step for preparing the chapter »Functional Requirements, the Requirement Analyst Mr.
Sokrates defines the actors interacting with the Trademark and Patent Information System. By de-
termining the individual tasks which should be fulfilled by the system for these actors, he can derive
the requirements. He sketches these use cases in a survey diagram.


After completing the survey diagram, the Requirement Analyst Dr. Sokrates describes the exact pro-
file of the use cases. For this purpose, he uses a uniform description method which is not specified
by the V-Modell but has proven its worth in previous projects. All use cases will be described uni-
formly by this method (see Figure 5 ). This facilitates the preparation of unambiguous, repeatable,
verifiable and complete requirements (Reference: »RD02).

Figure 5: Use Case Form
The following example shows the application of this template to the use case "Processing registrati-
on"
Requirements Specification (continued)
Use case 4.3: <<Processing registration>>

Point of contact:
Requirement Engineer, Mr. Sokrates, Trademark and Patent Administration, Technische Universi-
tät München
Brief description:
The system must enable the applicant to process his registration.
Priority:

High
Notes:
The reference number will be assigned automatically, making the registration unambiguously
identifiable.
Open questions:
None
Integration and survey:
Administering registration
Preconditions:
All documents required are available in electronic form.
Trigger:
The applicant wants to submit an application for the registration of his/her trademark.
Postconditions:
Applicant and examiner receive a notification including the reference number.
Normal flow of events:
1. The applicant selects the functionality for preparing a new application
2. The system shows an input mask.
3. The applicant can enter his/her personal data (name, address, telephone, e-mail).
4. The applicant can add or delete files.
5. The applicant transmits the entry.
6. The system assigns a registration number.
7. The system stores the entry.
8. Use use case 6 <<Informing>> (<<Benachrichtigen>>)
9. The system indicates the registration number.
Alternative flow of events:
● Before the entry is transmitted, the process can be aborted at any time. The entry will not
be stored and the application case is terminated.
● The applicant does not load a file. The system informs him/her that a trademark file must
be attached to every application. A transmission is impossible unless this fault is correc-
ted.
● The applicant enters incomplete or wrong personal data. The system induces the applicant
to correct the data; otherwise a transmission is impossible.

...
The Requirements Analyst Mr. Sokrates describes requirements regarding additional quality charac-
teristics of the system - e.g. user-friendliness and reliability - or the system development process in
the chapter »Non-Functional Requirements.
Requirements Specification: Non-Functional Requirements

The specified system shall correspond to the state of the art and fulfill the organizational and legal
framework conditions of the Technische Universität München. It shall fit smoothly into the exis-
ting data processing environment. The following requirements were specified:
Quality Requirements
User-friendliness
● NF 1: Faults and wrong inputs shall be indicated in near real time (response time < 0,5s)

to the user. The application shall be supported by a help mode.

● NF 2: The graphical user interfaces shall be clear and robust, have a uniform structure and
provide the required functionality. An intuitive operation must be possible, i.e., the user
bust be able to operate the system without instruction, only using the help mode.
● NF 3: The user input interface shall be adapted to the web-based surface of the German
Patent and Trademark Office.
Reliability and Protection
● NF 4: The system shall always respond reliably - even under high workloads. Uncontrol-
led system crashes and data losses shall be avoided. In case of a malfunction, it must be
ensured that at least the data of the previous day can be used.
● NF 5: Programs and data shall be protected against inadvertent modifications.
System Creation Requirements
Technical Requirements
● NF 7: Java shall be used as implementation language.
● NF 8: Windows XP is the target system.
● NF 9: The system shall be based on components in order to facilitate maintainability and
extendability.
● NF 10: As far as possible, the system architecture shall be documented in the Unified Mo-
deling Language (UML).
Logistic Requirements
● NF 11: Suitable training and instruction documents for the system's end users are to be
prepared.
● ...
...
Together with a colleague, the »Requirements Engineer (Acquirer) Mr. Sokrates defines a rough ar-
chitecture of the system in order to clarify the specified requirements and ensure that the require-
ments are technically feasible. He describes this architecture in the chapter »Outline of the Life Cy-
cle and the Overall System Architecture.

The architecture of Trademark and Patent Information System I is intended to be designed as

web-based client-server model comprising database, system core and a web-based user interface.
Trademark and Patent Information System I transmits trademark applications via E-mail to the
German Patent and Trademark Office.
The »Requirements Engineer (Acquirer) Mr. Sokrates submits this version of the requirements to a
group of future users for evaluation.
In this text, we have followed the way of the project by means of the project results - i.e. the pro-
ducts - and their interconnections within the development process in order to illustrate the proces-
sing of a project in accordance with the V-Modell. The following procedural steps include request
for proposal, commissioning and acceptance of the system. The processing of these project sections
in a real project and the processing of a supplier project are left to the reader.

6 List of Figures 2-41
6 List of Figures

Part 3: V-Modell Reference Tailoring
V-Modell® XT


Part 3: V-Modell Reference Tailoring 3-3
Table of Contents
1 Introduction..................................................................................................................................3-5
1.1 Objectives of the V-Model Reference....................................................................................3-5
1.2 Audience of the V-Modell Reference.....................................................................................3-5
1.3 Contents and Structure of the V-Modell Reference................................................................3-5
1.4 Notes on the Presentation in the V-Modell Reference............................................................3-6
2 Directives and Instructions for Tailoring...................................................................................3-8
3 Project Characteristics..............................................................................................................3-12
3.1 Security (Acquirer)...............................................................................................................3-12
3.2 Security (Supplier)................................................................................................................3-12
3.3 Life Cycle Cost Management...............................................................................................3-13
3.4 Project Measures..................................................................................................................3-13
3.5 Subject of the Project............................................................................................................3-14
3.6 Off-the-Shelf Products..........................................................................................................3-14
3.7 User Interface.......................................................................................................................3-15
3.8 Subcontract...........................................................................................................................3-15
3.9 Legacy System......................................................................................................................3-16
3.10 Prototype Development......................................................................................................3-16
4 Project Types...............................................................................................................................3-17
4.1 System Development Project (Acquirer)..............................................................................3-17
4.2 System Development Project (Supplier)..............................................................................3-20
4.3 System Development Project (Acquirer/Supplier)...............................................................3-23
4.4 Introduction and Maintenance of an Organization-Specific Process Model........................3-26
5 Project Type Variants.................................................................................................................3-30
5.1 Project (Acquirer) with One Supplier...................................................................................3-30
5.2 Project (Acquirer) with Several Suppliers............................................................................3-35
5.3 Project (Acquirer) Including Development, Enhancement or Migration.............................3-41
5.4 Project (Acquirer) Including System Maintenance..............................................................3-62
5.5 Project (Acquirer/Supplier) Including Development, Enhancement or Migration..............3-74
5.6 Project (Acquirer/Supplier) Including System Maintenance...............................................3-95
5.7 Introduction and Maintenance of an Organization-Specific Process Model......................3-107
6 Process Modules........................................................................................................................3-111
6.1 Project Management...........................................................................................................3-111
6.2 Quality Assurance...............................................................................................................3-112
6.3 Configuration Management................................................................................................3-113
6.4 Problem and Change Management.....................................................................................3-114
6.5 Delivery and Acceptance (Acquirer)..................................................................................3-115
6.6 Drafting and Conclusion of Contract (Acquirer)................................................................3-116
6.7 Specification of Requirements............................................................................................3-117
6.8 Evaluation of Off-the-Shelf Products.................................................................................3-118
6.9 Safety and Security.............................................................................................................3-119
6.10 Safety and Security (Supplier)..........................................................................................3-120
6.11 Life Cycle Cost Management...........................................................................................3-121
6.12 Measurement and Analysis...............................................................................................3-122
6.13 Delivery and Acceptance (Supplier).................................................................................3-123

3-4 Part 3: V-Modell Reference Tailoring
6.14 Drafting and Conclusion of Contract (Supplier)..............................................................3-124

6.15 System Development........................................................................................................3-125
6.16 Hardware Development....................................................................................................3-127
6.17 Software Development.....................................................................................................3-128
6.18 Integrated Logistic Support..............................................................................................3-129
6.19 Usability and Ergonomics................................................................................................3-130
6.20 Enhancement and Migration of Legacy Systems.............................................................3-131
6.21 Introduction and Maintenance of an Organization-Specific Process Model....................3-132
6.22 Management of Multiple Projects....................................................................................3-134
7 Decision Gates...........................................................................................................................3-135
7.1 Project Approved................................................................................................................3-135
7.2 Project Defined...................................................................................................................3-135
7.3 Requirements Specified......................................................................................................3-136
7.4 Request for Proposal Released...........................................................................................3-136
7.5 Offer Submitted..................................................................................................................3-136
7.6 Contract Awarded...............................................................................................................3-137
7.7 Iteration Scheduled.............................................................................................................3-138
7.8 System Specified................................................................................................................3-138
7.9 System Designed................................................................................................................3-139
7.10 Detailed Design Completed..............................................................................................3-139
7.11 System Elements Realized................................................................................................3-140
7.12 System Integrated.............................................................................................................3-140
7.13 Delivery Conducted..........................................................................................................3-141
7.14 Project Progress Revised..................................................................................................3-141
7.15 Acceptance Completed.....................................................................................................3-141
7.16 Project Completed............................................................................................................3-142
7.17 Process Model Analyzed..................................................................................................3-142
7.18 Process Model Improvement Specified............................................................................3-143
7.19 Process Model Improvement Implemented......................................................................3-143
7.20 Overall Project Partitioned...............................................................................................3-144
7.21 Overall Project Progress Revised.....................................................................................3-144
8 Tailoring-Related Product Dependencies...............................................................................3-145
8.1 Procurement of Off-the-Shelf Products..............................................................................3-145
8.2 Optional Procurement of Off-the-Shelf Products...............................................................3-145
8.3 Directives from the Overall System Specification.............................................................3-145
8.4 Directives from the Acquirer..............................................................................................3-145
8.5 Specifying a Management of Multiple Projects.................................................................3-145
8.6 Directives from the System Architecture...........................................................................3-146
8.7 Directives from the Project Manual...................................................................................3-146
8.8 Directives from the Enabling System Architecture............................................................3-146
9 Process Module Index..............................................................................................................3-148
10 Process Module Index (Alphabetical)...................................................................................3-169
11 List of Figures.........................................................................................................................3-170

1 Introduction 3-5
1 Introduction
1.1 Objectives of the V-Model Reference

The »V-Modell Reference Tailoring describes the »Project Characteristics which are used as basis
for preparing a project-specific »Application Profile. In addition, it provides a summary of the si-
gnificant contents of the V-Modell »Process Module and describes the »Decision Gates , »Product
Types and »Project Type Variants available in the V-Modell. Thus, this V-Modell Reference provi-
des all information required for »Tailoring.
1.2 Audience of the V-Modell Reference

This V-Modell Reference is mainly addressed to all project members who have a »Role, which is
responsible for the project-specific adaptation of the V-Modell, e.g., the »Project Leader and the
Quality Manager. In addition, this V-Modell Reference provides the other project members with a
good summary of the significant contents of the V-Modell.
1.3 Contents and Structure of the V-Modell Reference

The V-Modell Reference comprises the following chapters:
»Directives and Instructions for Tailoring
This chapter describes the project-specific adaptation of the V-Modell, the so-called tailoring.
»Project Characteristics
This chapter describes the individual »Project Characteristics and the meaning of their possible pa-
rameters. Based on these parameters, a specific evaluation of project characteristics - the so-called
»Application Profile - can be prepared for each project. This application profile is used as basis for
the automatic tailoring, which determines the process modules required for the project and a suita-
ble work flow in form of a »Project Execution Strategy.
»Project Types
This chapter describes the relevant project characteristics and the possible »Decision Gates and
»Process Modules for every »Project Type.
»Project Type Variant
This chapter describes the possible project type variants and the process modules and process cha-
racteristics optional for a project type variant. For each project type variant, the specifications regar-
ding the logical sequence of decision gates will be explained in detail.
»Process Modules
This chapter introduces the individual process modules. The »Roles, »Disciplines, »Work Products,
and »Activityies assigned to each process module are specified.
»Decision Gates

This chapter describes the »Decision Gates defined in the V-Modell. The products on which the re-
spective »Project Progress Decision is based are specified for every decision gate.
»Tailoring-Related Product Dependencies
This chapter describes the dynamic tailoring standards of the V-Modell. These standards are subdi-
vided into standards of the Acquirer, the Project Manual, the Overall System Specification and the
architecture of the system or »Enabling System.
»Process Module Index
This index completely lists all components of each process module. It explains the dependencies
between the process modules, demonstrating - for example - how the process modules add subjects
to the work products of other process modules.
»Process Module Index (Alphabetical)
This chapter lists all process modules in alphabetical order.
1.4 Notes on the Presentation in the V-Modell Reference

In the following paragraphs, the basic V-Modell concepts relevant for the V-Modell Reference Tai-
loring will be explained in detail.
The chapter »Project Types modifies the pictorial diagrams showing all process modules and decisi-
on gates of the V-Modell section »Fundamentals of the V-Modell in such a way that only the model
elements applicable to the respective project type are depicted.
The chapter »Process Modules introduces the individual process modules of the V-Modell. The pic-
torial diagrams for the individual process modules follow the pattern shown in Figure 1. This figure
is subdivided into two columns. The left column includes the »Roles, the right column comprises
the »Discipline and »Work Product, and the right column includes the activity groups and activities
relevant for the respective »Process Module. Activities are always assigned to the discipline of the
work product, which is completed by the respective activity.
Elements defined in another process module are marked by a dashed edging. Initial products - i.e.
products which must always be created once and only once - are marked by an "I" at the left edge of
the product symbol. External products - i.e. products which are not generated within the scope of
the »V-Modell Project - are marked by an "E". In addition, each product is assigned to one and only
one responsible role by a connecting line. Roles which are not connected to a product contribute to
the processing of one or more products of the respective process module without being responsible
for it. The activity completing a certain product is also connected to the product by a connecting
line.

1 Introduction 3-7
Figure 1: Legend for Pictorial Diagrams of Process Modules

The illustrations of the »Project Type Variant in chapter »Project Type Variants visualize the project
flow through the individual »Decision Gates by means of arrows. Figure Figure 2 shows the seman-
tics of the individual arrows.
Figure 2: Legend for Pictorial Diagrams of Project Execution Strategies

2 Directives and Instructions for Tailoring

The »V-Modell is a guideline for planning and executing development projects, taking into account
the entire system life cycle. It regulates the results to be prepared in a project and describes the con-
crete procedures for preparing these results. In addition, the V-Modell specifies the responsibilities
of the individual project members.
The V-Modell is a generic process model, which can be employed in different project constellations,
the so-called »Project Types. The different project types, which can be based on an approach offered
by the V-Modell, are described in the chapter »Project Types.
A project type describes a concrete project constellation and the mandatory »Process Modules. A
process module realizes a concrete task which may arise within the scope of a »V-Modell Project,
e.g. project management or software development. A process module comprises the »Work Product
s and »Activityies which are relevant for fulfilling this task and thus belong together with regard to
their contents. In addition, process modules describe which V-Modell »Roles are responsible for
completing the products and which roles cooperate in the development. Moreover, different »Pro-
ject Characteristics providing additional selectable process modules are assigned to each project
type. Finally, a project type specifies a rough framework for the execution of the project, which will
be devoped further in the following steps and concretized in a »Project Execution Strategy.
Process modules describe the result structure of a project, but do not specify in which sequence the
results have to be prepared. A sequence of this type is specified by the so-called »Project Execution
Strategy. The project execution strategy of a project is largely determined by the selected »Project
Type Variant and may, in individual cases, be influenced by project characteristics. In the V-Modell,
project type variants are assigned unambiguously to a project type, thus refining it.
Each project type offers at least one project type variant. Complementing the project type, project
type variants specify not only the project execution strategy but also additional mandatory process
modules. Depending on the selected project type variant, the tailoring process assigns values to the
project characteristics, making it possible to add additional process modules and certain procedural
steps of the project execution strategy to the project. The concrete project execution strategy for a
project is specified if the tailoring is completed and all »Project Characteristics have been assigned
a value. During the tailoring process, the possible project type variant for a concrete project will be
selected.
Tailoring Process
The poject-specific adaptation of the V-Model, the so-called »Tailoring, only determines the »Pro-
ject Type, selects the possible »Project Type Variant and assigns values to the appropriate »Project
Characteristics. It is not necessary to select or delete the activities and products of the V-Modell in-
dividually.The tailoring process creates an »Application Profile by following the above-mentioned
steps. The step-by-step selection restricts further options in accordance with the situation. For ex-
ample, after selection of a project type, it is only possible to select project type variants assigned to
the selected project type. This restriction does not only affect the process modules, but also the »De-
cision Gates required by the project execution strategy resulting from the project type variant. From
the comprehensive V-Modell, the tailoring process only selects only those components required for
the current project constellation and combines them in a consistent manner.

2 Directives and Instructions for Tailoring 3-9
Normally, this application profile will be defined at the beginning of a project and remain stable du-
ring project execution. This is designated as »Static Tailoring. However, it may happen that certain
project characteristics change during project execution, e.g., it could be possible that hardware por-
tions are identified in the course of a project which was at first dedicated exclusively to software de-
velopment purposes. In this case, it is possible to select additional process modules and to adapt
work flows in the project execution strategy during project execution. This process is designated as
»Dynamic Tailoring.
The Tailoring is described in detail by the sub-activities (cf. »V-Modell Reference Activities)
● »Preparing and Analyzing an Application Profile,
● »Realizing Project-Specific Adaptation and
● »Performing Project-Specific Adaption during Project Execution
of the process module »Project Management.
Tailoring Documentation
The Tailoring documented in the »Project Manual is limited to the selection of the process modules
and the project execution strategy decisive for the planning. It is not necessary to select or delete in-
dividual products or activities. The adaptation of the V-Modell exceeding the Tailoring process, the
determination of » Product Instances and »Activity Instances will be executed during the project
planning in accordance with the specifications of the generative »Product Dependency (see also
»Project Planning ).

Figure 3: Tailoring Facilities

2 Directives and Instructions for Tailoring 3-11
Figure 4: Tailoring Facilities (continued)

If a product model must be created in the project due to the specifications of the generative product
dependencies, the structure is specified in form of subjects (see also »Templates). Subjects must not
be deleted so that the uniformity of the documents of projects compliant to the V-Modell will be en-
sured. In individual cases, however, subjects may be marked as "not relevant in the special context
of the project" in the product model.

3 Project Characteristics
The »Project Characteristics are used for characterizing a project. They can be assigned to a »Pro-
ject Type and to a project type variant. Within the framework of the tailoring process, every project
characteristic is marked by one if its possible values, which will be explained in this chapter. The
selection of a value for each project characteristic generates a so-called »Application Profile. This
application profile is no accurate description of a project. It is used for selecting additional optional
process modules - in addition to the mandatory »Process Module of the project type and the project
type variant - and for adapting the project execution strategy provided by the »Project Type Variant
as required. The project characteristic »Security (Supplier) includes work products to be provided
by the supplier into the project, which are not included in the project characteristic »Security (Ac-
quirer).
3.1 Security (Acquirer)
Question
Are Safety and Security of the system critical?
Description
If the safety and security aspects of a system must be considered particularly, extended measures for
evaluating the integrity, authenticity, confidentiality, availability and the failure risk of system com-
ponents and design measures for preventing failures will have to be taken into account during sys-
tem development. An example for a safety- and security-critical system is a reactor control. Also ap-
plications requiring the consideration of data privacy protection aspects - e.g. homebanking softwa-
re - are safety- and security-critical systems.
Values
Yes Safety and security aspects must be considered particularly for this
project.
No Safety and security aspects need not be considered particularly for
this project.
3.2 Security (Supplier)
Question
Are Safety and Security of the system critical?
Description
If the safety and security aspects of a system must be considered particularly, extended measures for
evaluating the integrity, authenticity, confidentiality, availability and the failure risk of system com-
ponents and design measures for preventing failures will have to be taken into account during sys-

3 Project Characteristics 3-13
tem development. An example for a safety- and security-critical system is a reactor control. Also ap-
plications requiring the consideration of data privacy protection aspects - e.g. homebanking softwa-
re - are safety- and security-critical systems.
Values
Yes Safety and security aspects must be considered particularly for this
project.
No Safety and security aspects need not be considered particularly for
this project.
3.3 Life Cycle Cost Management
Question
Is a commercial project planning and tracing required?
Description
The commercial project planning and tracing includes the project cost planning and the respective
project control. If high costs are projected, this is particularly important in order to ensure the suc-
cess of a project.
Values
Yes Economic planning and tracing are required for the project.
No Economic planning and tracing are not required for the project.
3.4 Project Measures
Question
Is the determination of quantitative project parameters required?
Description
The determination of quantitative project parameters by measurements and »Metrics is required in
order to make comparative statements on project results over an extended period of time. This can
be important for example to evaluate the effectivity of a development process.
Values
Yes The determination of quantitative project parameters is required.
No The determination of quantitative project parameters is not
required.

3.5 Subject of the Project
Question
What is the subject matter of the project?
Description
The subject matter of the project is the result to be achieved by the project. It may be a system or an
organization-wide process to be improved, like the introduction of the V-Modell.
Values
HW The main subject matter of the project is a system which is
composed of hardware components, e.g., a CAN Bus Controller.
SW The main subject matter of the project is a software system, i.e., a
program in the broadest sense. Examples for software systems
include E-Commerce applications and address administration
programs.
HW and SW A Hardware and Software System / Embedded System normally
includes hardware, software and embedded components. A project
which includes a Hardware and Software System / Embedded
System as subject matter would be - e.g.- the development of the
Eurofighter or of a ship. Furthermore a Hardware and Software
System / Embedded System is characterized through the property
that it uses sensors and actuators to acquire and influence its
environment. This definition also addresses smaller systems as for
example a microcontroller, which administers the behavior of an
airbag system in a vehicle.
Integration The project deals with the integration of components, which
already exist or may still have to be developed or selected, into a
system. An example for a system integration would be the Airbus
production, which includes numerous components, or the SAP
connection of existing systems.
3.6 Off-the-Shelf Products
Question
Are the evaluation and use of off-the-shelf products intended if reasonable and possible?

3 Project Characteristics 3-15
Description
If the use of off-the-shelf products is intended, measures must be taken at an early system develop-
ment stage in order to determine system elements which could be candidates for off-the-shelf pro-
ducts. In addition, the appropriate commercial off-the-shelf solutions must be determined and eva-
luated. The use of finished components is particularly reasonable if a project includes components
for which there are already numerous off-the-shelf solutions.
Values
Yes The use of off-the-shelf products is desired in the project.
No The use of off-the-shelf products is not desired in the project.
3.7 User Interface
Question
Is the user interface a success criterion?
Description
If the user interface is critical for the success of a project, special analytical measures and design
specifications are required. Examples include systems which must be particularly intuitively opera-
ble due to the great number of users to be expected.
Values
Yes The user interface is particularly important for project success.
No The user interface is not particularly important for project success.
3.8 Subcontract
Question
Is the award of subcontracts intended during system development?
Description
In case of larger Projects (Supplier) or larger projects (Acquirer/Supplier), it is possible to award
one or more subcontracts. By awarding subcontracts, the Supplier (or the Acquirer/Supplier) fulfills
tasks of the Acquirer, like Request for Proposal, Contract Award and Project Monitoring.
If the value »Yes is assigned to this project characteristic, this will also influence the project execu-
tion strategy.
Values
Yes The award of subcontracts is intended in this system.

No The award of subcontracts is not intended in this project.
3.9 Legacy System
Question
Is the migration of a legacy system intended in this project?
Description
The project deals with the enhancement and/or migration of an existing (legacy) system. The focus
of the project lies on the development of additional functionalities for or the replacement of an exis-
ting system.
Values
Yes The project deals with the enhancement and/or migration of a
legacy system.
No Legacy systems are not considered in this project.
3.10 Prototype Development
Question
Is the development of prototypes intended within the framework of System Development?
Description
If not all requirements are specified at the beginning of a project or if the development of one or
more prototypes is intended for demonstrating/proving realization possibilities, the value »Yes must
be assigned to this project characteristic. As a consequence, the project execution strategy enables
the Project Leader to select a development strategy which permits a rapid realization of prototypes -
at first without specification/documentation.This approach can be used as prestage, e.g., for an In-
cremental or Component-Based System Development.
Values
Yes A prototypic system development strategy is provided, which
permits the rapid realization of prototypes without documentation
effort.
No Additional process modules or sequences will not be provided.
Only the standard elements of the respective project type are
available.

4 Project Types 3-17
4 Project Types
A »Project Type unites several projects. The project type is determined initially during the tailoring
process. For every project type, at least one »Project Type Variant and several mandatory »Process
Module will be specified. Different »Project Characteristics, which enable the selection of optional
process modules, are assigned to each projet type.
4.1 System Development Project (Acquirer)
Description
This project type deals with V-Modell projects on acquirer side, i.e., during the project a request for
proposal must be prepared and a supplier must be selected based on the offers. This supplier is re-
sponsible for system development and delivers a system, which must be accepted by the acquirer.
The mandatory and optional process modules for this project type are depicted in Figure 5. The
»Decision Gates of the possible »Project Execution Strategy for this »Project Type are listed in Fi-
gure 6.

Figure 5: Relations between the »Process Module for the Project Type »System Development Pro-
ject (Acquirer)

Figure 6: Decision Gates of the Project Execution Strategies Available for Projects of the Type Sys-
tem Development Project (Acquirer)
Possible project type variants: Project (Acquirer) with One Supplier, Project (Acquirer)
with Several Suppliers

Process Modules to be used: Specification of Requirements, Configuration

Management, Delivery and Acceptance (Acquirer),
Problem and Change Management, Project Management,
Quality Assurance, Drafting and Conclusion of Contract
(Acquirer)
Project characteristics to be deter- Security (Acquirer), Life Cycle Cost Management, Project
mined during tailoring: Measures, Off-the-Shelf Products
4.2 System Development Project (Supplier)
Description
This project type deals with V-Modell projects on supplier side. During a project of this type, an of-
fer must be prepared and - in case of a contract award - a system must be developed in accordance
with the »Project Execution Strategy of one of the offered »Project Type Variant. The system will
then be delivered to the acquirer for acceptance. The mandatory and optional process modules for
this project are depicted in Figure 7. The »Decision Gate of the possible project execution strategy
for this »Project Type are listed in Figure 8.

ject (Supplier)

Figure 8: Decision Gates of the Available Project Execution Strategies for System Development
Projects of a Supplier
Possible project type variants: Project (Acquirer) Including Development, Enhancement
or Migration, Project (Acquirer) Including System
Maintenance

Process Modules to be used: Configuration Management, Delivery and Acceptance

(Supplier), Problem and Change Management, Project
Management, Quality Assurance, System Development,
Drafting and Conclusion of Contract (Supplier)
Project characteristics to be deter- Security (Supplier), Life Cycle Cost Management, Project
mined during tailoring: Measures, Off-the-Shelf Products, User Interface, Subject
of the Project
4.3 System Development Project (Acquirer/Supplier)
Description
This project type deals with V-Modell projects which need not be separated into a project on the ac-
quirer side and a project on the supplier side. This may be possible if the system development pro-
ject is executed by one organization or if several organizations participating in a project cooperate
deliberately. In contrast to the separated »System Development Project (Acquirer) and »System De-
velopment Project (Supplier), the System Development Project (Acquirer/Supplier) does not require
the work product Supply and Contracting and the double project organization with two Project Lea-
ders. Tasks of the acquirer side may - for example - be fulfilled by a functional department, and
tasks of the supplier side may be fulfilled by the IT department.
The mandatory and optional process modules for this project are depicted in Figure Figure 9. The
»Decision Gate of the possible »Project Execution Strategy for this »Project Type are listed in Figu-
re Figure 10.

ject (Acquirer/Supplier)

Figure 10: Decision Gates of the Project Execution Strategies Available for Projects of the Type
System Development Project (Acquirer/Supplier)
Possible project type variants: Project (Acquirer/Supplier) Including Development,
Enhancement or Migration, Project (Acquirer/Supplier)
Including System Maintenance

Process Modules to be used: Specification of Requirements, Configuration

Management, Delivery and Acceptance (Acquirer),
Delivery and Acceptance (Supplier), Problem and Change
Management, Project Management, Quality Assurance,
System Development
Project characteristics to be deter- Security (Supplier), Life Cycle Cost Management, Project
mined during tailoring: Measures, Off-the-Shelf Products, User Interface, Subject
of the Project
4.4 Introduction and Maintenance of an Organization-Specific Process

Model
Description
This project type deals with V-Modell projects intended to establish a process model within an orga-
nization. For this purpose, any existing process model should be analyzed, and improvement possi-
bilities should be developed and executed. The mandatory and optional process modules for this
model are shown in Figure 11. The »Decision Gate of the possible »Project Execution Strategy of
for this »Project Type are listed in Figure 12.

Figure 11: Relations between the »Process Module for the Project Type Development of an Organi-
zation-Specific Process Model

Figure 12: Decision Gates of the Available Project Execution Strategies for Projects of the Type
Development of an Organization-Specific Process Modell
Possible project type variants: Introduction and Maintenance of an Organization-Specific
Process Model

Process Modules to be used: Introduction and Maintenance of an Organization-Specific

Process Model, Configuration Management, Problem and
Change Management, Project Management, Quality
Assurance
Project characteristics to be deter- Life Cycle Cost Management, Project Measures

mined during tailoring:

5 Project Type Variants

A project type variant determines the »Project Execution Strategy, which specifies a sequence of re-
levant »Decision Gates, and thus a chronological order for project execution. In addition, a project
type variant can specify additional mandatory »Process Modules. The conditional »Project Charac-
teristics also provide optional process modules and adaptations of the project execution strategy.
The descriptions of project type variants are structured as follows: At first the purpose of the project
type variant and the framework conditions for its use are described.Then, a detailed description of
the sequence follows. This sequence comprises a general part, which also displays the overall se-
quence. Afterwards, the individual decision gates of the project execution strategy are described in
detail. For each decision gate, the transitions to the following decision gates are described
under"MöglicheÜbergängeausgehendvon 'Entscheidungspunkt'" ("Possible transitions from 'Decisi-
on Gate'").
Transitions already listed may reappear if they can be used at another place of the project execution
strategy. In this case, the transition will not be described again. Instead, reference will be made to
the previous description.
5.1 Project (Acquirer) with One Supplier
Extended project type: System Development Project (Acquirer)
Descriptions
As already described in Part1: "»Fundamentals of the V-Modell", the V-Modell provides specific
project type variants, which are adapted to different »Project Types. The project type variant »Pro-
ject (Acquirer) with One Supplier describes the appropriate procedure for the project type »System
Development Project (Acquirer).
The award and execution of system development projects is based on the fundamental idea that the
Acquirer has recognized the necessitiy for a system development project, but does not want to deve-
lop the project himself. Thus, he must specify the Requirements for the system. The development of
the system (or of individual configuration levels of a system) will be carried out by a Supplier. After
completing a Request for Proposal procedure, the supplies and services to be provided will be speci-
fied in a »Contract between the Acquirer and the Supplier. The supplies and services provided by
the Supplier will be subject to acceptance by the Acquirer.
The project type variant »Project (Acquirer) with One Supplier should always be employed if a pro-
ject is intended to have a Supplier develop a system.
Process Modules to be used

Due to the project type: Specification of Requirements, Configuration Management,
Delivery and Acceptance (Acquirer), Problem and Change Ma-
nagement, Project Management, Quality Assurance, Drafting
and Conclusion of Contract (Acquirer)

5 Project Type Variants 3-31
Project characteristics to be determined during tailoring

Due to the project type: Security (Acquirer), Life Cycle Cost Management, Project
Measures, Off-the-Shelf Products
Activity Flow
Figure 13: Project type variant Project (Acquirer) with One Supplier
The decision gates and the sequence of the project type variant »Project (Acquirer) with One Sup-
plier are shown in figure Figure 13. In the following, the award and execution of the project will be
described by means of the decision gates carried out.
Possible transitions based on 'Projektstart'

From 'Project beginning' to 'Project Approved'
The potential acquirer, operating under the custodianship of a sponsor, prepares a »Project Proposal
which includes all information required for deciding on the implementation of the proposal in form
of a project. A sponsor is defined as person or department providing a budget for project acquisition.
The project proposal is discussed in the decision gate »Project Approved, which ends with the deci-
sion as to whether or not the project should be started.
Possible transitions based on 'Project Approved'
From 'Project Approved' to 'Project Defined'
In case of a positive decision, a Project Manual and a QA Manual will be prepared, which will be
examined in order to determine if they are suitable for project execution on side of the acquirer.
These activities are intended to reach the decision gate »Project Defined.
Possible transitions based on 'Project Defined'
From 'Project Defined' to 'Requirements Specified'

After project definition, the user requirements will be prepared and subjected to a »Requirements
Evaluation. The user will examine the requirements for completeness and correctness. In case of a
positive assessment, the acquirer specifies and prioritizes the requirements in form of the »Require-
ments Specification. In addition, an »RFP Concept will be prepared in order to ensure that the con-
tract award law will be observed during the request for proposal. These activities are intended to re-
ach the decision gate »Requirements Specified.
Possible transitions based on 'Requirements Specified'
From 'Requirements Specified' to 'Request for Proposal Released'
Based on the specification of requirements, the »Request for Proposal will be prepared. For this
purpose, the RFP documents will be prepared based on the »RFP Concept specified in the decision
gate »Requirements Specified, and a »Criteria Catalog for Assessment of Offers will be developed.
Afterwards, it will be examined if the request for proposal can be released. In case of a positive de-
cision, the request for proposal will be published in accordance with the procedures specified in the
RFP concept. These activities are intended to reach the decision gate »Request for Proposal Relea-
sed.
Possible transitions based on 'Request for Proposal Released'
From 'Request for Proposal Released' to 'Contract Awarded'
The »Offers received after the »Request for Proposal will be evaluated in accordance with the »Cri-
teria Catalog for Assessment of Offers. A provider with whom negotiations will be conducted will
be selected. The acquirer decides - based on the assessment of the offers and the result of the con-
tract negotiations - if the offer of the selected provider should be accepted. In case of a positive de-
cision, a »Contract will be concluded between acquirer and supplier. In case of public acquirers and
suppliers, contract negotiations are only possible under strict conditions. The public acquirer em-
ploys the »Offer Assessment in order to decide which offer is the most economical offer. The con-
tract award commits the supplier to execute the project for the acquirer in accordance with the con-
tractual agreements. These activities are intended to reach the decision gate »Contract Awarded.
Possible transitions based on 'Contract Awarded'
From 'Contract Awarded' to 'Iteration Scheduled'

After a »Contract has been concluded, the system development process, i.e., the decision gates to be
achieved and the extent of the requirements to be implemented, will be planned. In addition, it will
be examined if the products »Project Manual and »QA Manual still correctly reflect the project.
Otherwise these products will be adapted. These activities are intended to reach the decision gate
»Iteration Scheduled.
Possible transitions based on 'Iteration Scheduled'
From 'Iteration Scheduled' to 'Project Progress Revised'
Then the acquirer is then tasked with supporting the execution of the supplier's project at the current
»Project Stage in accordance with the specifications made in the contract. This is intended to ensure
the success of the project and is a decisive acquirer task in this project execution strategy. The sup-
plier will submit a Project Status Report (Supplier) for controlling the project progress. This report
will determine which results have been achieved at the agreed project milestones. For this purpose,
the acquirer will prepare a Project Status Report of his/her own. These activities are intended to re-
ach the decision gate »Project Progress Revised.
Possible transitions based on 'Project Progress Revised'
From 'Project Progress Revised' to 'Project Progress Revised'
The supplier will submit the Project Status Report to the acquirer at regular intervals, which may be
adapted to the sequence of the supplier's Project Progress Decisions. At these points, the acquirer
will also prepare a Project Status Report. These activities are intended to reach the decision gate
»Project Progress Revised.
From 'Project Progress Revised' to 'Acceptance Completed'

If the supplier has achieved a specified system development status, the acquirer will receive the
contractually agreed deliveries. The acquirer examines whether the »Delivery (Supplier) meets the
requirements. This leads to the project progress decision of the decision gate »Acceptance Comple-
ted.
Possible transitions based on 'Acceptance Completed'
From 'Acceptance Completed' to 'Iteration Scheduled'
In order to plan a new iteration after the acceptance, the acquirer will check the open change re-
quests of the »Change Status List in cooperation with the supplier. At the decision gate »Iteration
Scheduled, this list is used for deciding which change requests will be included into the new iterati-
on and which will be postponed for the time being. In addition, it will be specified, which of the
components that have not yet been implemented will be taken into account in the new iteration. The
change requests and the open requirements are the basis for a new development cycle. Again, it will
These activities are intended to reach the decision gate »Iteration Scheduled.
From 'Acceptance Completed' to 'Contract Awarded'
If acquirer and supplier have determined previously that one or a few iterations will first be imple-
mented before the overall scope is fixed contractually, a new »Contract will possibly be concluded
after the acceptance has been completed. If necessary, a »Contract Addendum will be agreed with
the supplier. These activities are intended to reach the decision gate »Contract Awarded.
From 'Acceptance Completed' to 'Requirements Specified'
If the experiences gained show that the requirements must be modified and the modifications cannot
be made within the scope of the contract, a new »Requirements Evaluation will be conducted and
new requirements will be specified. These activities are intended to achieve the decision gate »Re-
quirements Specified and to award a new contract to a supplier.

5.2 Project (Acquirer) with Several Suppliers
Extended project type: System Development Project (Acquirer)
Descriptions
As already described in Part 1: "»Fundamentals of the V-Modell", the V-Model provides specific
project type variants, which are adapted to the different »Project Types. The project type variant
»Project (Acquirer) with Several Suppliers describes the appropriate procedure for the project type
»System Development Project (Acquirer).
The project type variant »Project (Acquirer) with Several Suppliers is based on the fundamental
idea that the Acquirer has recognized the requirement for a system development project, but does
not want tor develop the project himself/herself and that the realization in several Sub-Projects will
probably offer technical, organizational and economic advantages. It is thus necessary to specify the
Requirements of the overall system. In addition, it must be possible to reasonably subdivide the Re-
quirements into Sub-Projects based on the overall system architecture. In this context, a Sub-Project
must always be defined in such a way that the integration includes the results of the other Sub-Pro-
jects. The development of the system (or of individual configuration levels of a system) will be car-
ried out in several Sub-Projects by one or several Suppliers.
However, this project type is only useful if the effort required for integrating the results of the indi-
vidual Sub-Projects does not exceed the above-mentioned advantages of a development in Sub-Pro-
jects.
After completion of a Request for Proposals procedure, the supplies and serviced to be provided in
the Sub-Projects will be specified in contracts to be defined between Acquirer and Suppliers. The
supplies and services provided by the Suppliers in the Sub-Projects will be subject to acceptance by
the Acquirer.
The project type variant »Project (Acquirer) with Several Suppliers should always be employed if a
project is intended to have one or several Suppliers develop a system in several Sub-Projectsl.

Delivery and Acceptance (Acquirer), Problem and Change Ma-
nagement, Project Management, Quality Assurance, Drafting
and Conclusion of Contract (Acquirer)
Due to the project type variant: Management of Multiple Projects

Due to the project type: Security (Acquirer), Life Cycle Cost Management, Project
Measures, Off-the-Shelf Products

Activity Flow
Figure 14: Project type variant Project (Acquirer) with Several Suppliers
The decision gates and the sequence of the project type variant »Project (Acquirer) with Several
Suppliers are shown in figure Figure 14. In the following, the sequence will be described by means
of the decision gates carried out.

From 'Project Defined' to 'Overall Project Partitioned'

If the overall project is defined in one Project Manual and QA Manual, the product »Requirements
Specification Overall Project should include an »Outline of the Life Cycle and the Overall System
Architecture, which permits a subdivision of the overall project into feasible sub-projects. If this
subidivision is technically, organizationally and economically feasible, the specification of the sub-
projects and the sub-project Integration will be incorporated into Project Manual and »Project Plan.
A sub-project Integration, which includes the integration of the sub-projects' results, must always be
defined. The functional-and non-functional requirements specified in the Requirements Specificati-
on Overall Project will be assigned to the sub-projects. These activities are intended to reach the de-
cision gate »Overall Project Partitioned.
Possible transitions based on 'Overall Project Partitioned'
From 'Overall Project Partitioned' to 'Overall Project Progress Revised'
If the overall project is subdivided into sub-projects, the »Overall Project Progress shall be control-
led based on the »Project Status Report(Supplier) prepared at the decision gate Overall »Project
Progress Revised. The acquirer will integrated these sub-project data into a Project Status Report
Overall Project. These activities are intended to reach the decision gate »Overall Project Progress
Revised.
From 'Overall Project Partitioned' to 'Requirements Specified'
Based on all Project Status Reports (Supplier) of the individual sub-projects, a »Coming to a Project
Progress Decision shall be made as to whether the overall project is still within the planning data
specified in the Project Plan and as to whether and how the project shall be continued.
Possible transitions based on 'Overall Project Progress Revised'
From 'Overall Project Progress Revised' to 'Overall Project Progress Revised'

Based on all Project Status Reports (Supplier) of the individual sub-projects, a »Coming to a Project
Progress Decision shall be made as to whether the overall project is still within the planning data
specified in the Project Plan and as to whether and how the project shall be continued.
From 'Overall Project Progress Revised' to 'Overall Project Partitioned'
If the acceptance of all sub-projects and the results of the decision gate »Overall Project Progress
Revised show that the objectives of the overall project cannot be not fulfilled, the overall project
shall be subdivided into new sub-projects. However, this decision must stand the most stringent
economical tests.
From 'Requirements Specified' to 'Request for Proposal Released'
sed.
Possible transitions based on 'Request for Proposal Released'

Possible transitions based on 'Project Progress Revised'

ted.

If the experiences gained show that the requirements must be modified and the modifications cannot
be made within the scope of the contract, a new »Requirements Evaluation will be conducted and
new requirements will be specified. These activities are intended to achieve the decision gate »Re-
quirements Specified and to award a new contract to a supplier.
From 'Acceptance Completed' to 'Overall Project Partitioned'
If the acceptance of all sub-projects and the results of the decision gate »Overall Project Progress
Revised show that the objectives of the overall project cannot be not fulfilled, the overall project
shall be subdivided into new sub-projects. However, this decision must stand the most stringent
economical tests.
5.3 Project (Acquirer) Including Development, Enhancement or Migration
Extended project type: System Development Project (Supplier)
Descriptions
»Project (Acquirer) Including Development, Enhancement or Migration describes the appropriate
procedure for the project type »System Development Project (Supplier).

The project type variant »Project (Acquirer) Including Development, Enhancement or Migration is
based on the fundamental idea that the Acquirer has defined the user requirements relatively clearly
at the beginning of the project. After the Requirements have been defined in the »Contract (Acqui-
rer), subsequent changes of the Requirements can only be executed via the problem and change ma-
nagement and the »Decision Gate »Iteration Scheduled and will be regulated by additional con-
tracts. The Supplier designs, realizes and delivers the system in individual stages, which are also re-
ferred to as »Increment. Each stage will be accepted individually by the Acquirer. The different sta-
ges are contractually agreed in advance. In addition, Contract Addenda can specify complementing
increments during the Project Progress. The Supplier may execute several internal iterations before
delivering the increment to the Acquirer.
In this project type variant, the Acquirer should avoid changes within one increment. These changes
should be included by the Change Management into the following increment. Important changes,
which could - for example - influence the system architecture significantly, should be forwarded to
the Supplier as early as possible. For the Acquirer, this procedure has the advantage of providing a
prestage, which already realizes the system's most important basic functionalities at an early time.
particularly suitable if the system requirements are regarded as relatively stable and technological
risks are rather small. It is possible to use off-the-shelf products, but the main part of the system will
be developed within the scope of the project.
not only suitable for the development of new systems. It can also be used for the enhancement or
migration of legacy systems. In this case, a »Legacy System Analysis must be prepared in addition.
The execution of a »Legacy System Analysis depends on the condition of the legacy system and its
documentation. It will be prepared within the framework of the Overall System Specification (»Sys-
tem Specified ).
During the enhancement of legacy systems, the new System Requirements, which will be included
in the enhancement process, are documented. The enhancement or migration of a system in mainte-
nance is indicated if System Requirements would entail effects on the system architecture.
If the system is migrated to a new enviroment, e.g. a new hardware platform or a new running time
environment, the Requirements will be based on existing functionalities as determined by the »Le-
gacy System Analysis, Requirements of the change status list, and new Requirements of the Acqui-
rer. A complete migration is not always necessary. In case of a partial migration, parts of the legacy
system remain on their original platform while the access to the new system is provided by integra-
tion technologies.

Due to the project type: Configuration Management, Delivery and Acceptance (Sup-
plier), Problem and Change Management, Project Manage-
ment, Quality Assurance, System Development, Drafting and
Conclusion of Contract (Supplier)


Due to the project type: Security (Supplier), Life Cycle Cost Management, Project
Measures, Off-the-Shelf Products, User Interface, Subject of
the Project
Due to the project type variant: Subcontract, Legacy System, Prototype Development
Activity Flow
Figure 15: Project type variant Project (Acquirer) Including Development, Enhancement or Migra-
tion
The decision gates and the sequence of the project type variant »Project (Acquirer) Including Deve-
lopment, Enhancement or Migration are shown in figure Figure 15. This project type variant per-
mits the application of different development strategies:
1. »Incremental Development
2. »Component-Based Development
3. »Prototypic Development

The decision for a development strategy is always made after the decision gate »Iteration Scheduled
has been scheduled. If there are high realization risks, it is possible to execute an early iteration by
means of a prototypic development.
In the following, the sequence will be described by means of the decision gates carried out.

The »Acquirer with one Supplier sends a »Request for Proposal (Acquirer) including the require-
ments posed on the system to be developed to the »Supplier without Subcontractors. After exami-
ning the requirements, the supplier decides whether an »Offer for this request for proposal is reaso-
nable from an economic and strategic point of view. Depending on this decision, the project will be
approved (»Project Approved).
If the project was approved, the supplier defines the project on a small scale by preparing simple
versions of the »Project Manual and »QA Manual including the components relevant for the offer.
At the decision gate »Project Defined, it will be examined whether these products are suitable for
the conclusion of a contract.
From 'Project Defined' to 'Offer Submitted'
After the project definition, the supplier prepares an »Offer concerning the specified requirements.
After examining this offer, the supplier decides whether the offer will be submitted to the acquirer
(»Offer Submitted).
Possible transitions based on 'Offer Submitted'
From 'Offer Submitted' to 'Contract Awarded'
If the acquirer accepts the offer, acquirer and supplier will conclude a »Contract, which specifies the
system requirements and the framework conditions of the project in writing. (»Contract Awarded).


After the contract has been awarded, the system development procedure, i.e. the decision gates to be
passed until the product is accepted, and the scope of the requirements to be implemented will be
planned. In addition, it will be examined whether the products »Project Manual and »QA Manual
are appropriate for the project. If necessary, these products must be adapted to the requirements.
The project and quality management aspects, which have possibly not been taken into account ap-
propriately, will be defined in more detail. These activities are intended to reach the decision gate
From 'Iteration Scheduled' to 'System Elements Realized (prototypical development)'
After the iteration has been planned, the realization of the individual software units of the system
and the enabling systems will begin. Of course, this requires a basic understanding of the system ar-
chitecture and the information which system elements should be realized. However, this is not re-
flected in a decision gate, since the agile system development permits the architecture and additio-
nal design decisions to be changed without problems during the implementation. At this point, the
evaluation reports are used in order to check whether the individual system elements were realized
in accordance with the acquirer requirements. The realization finally leads to the decision gate
»System Elements Realized.
From 'Iteration Scheduled' to 'System Specified (component based development)'
In the project, the requirements planned will be evaluated, and a first preliminary design will be pre-
pared. Requirements and preliminary design will be documented in the »Overall System Specifica-
tion, which is the basis for the further development of the system. If the project includes the enhan-
cement or migration of a legacy system, a »Legacy System Analysis will be prepared together with
the Overall System Specification. These activities are intended to reach the decision gate »System
Specified.
From 'Iteration Scheduled' to 'System Specified (incremental development)'

In the project, the requirements planned at the decision gate »Iteration Scheduled will be evaluated
in cooperation with the acquirer, and a first preliminary design will be prepared. Requirements and
preliminary design will be documented in the »Overall System Specification, which is the basis for
the further development of the system. If the project includes the enhancement or migration of a le-
gacy system, a »Legacy System Analysis will be prepared together with the Overall System Specifi-
cation. These activities are intended to reach the decision gate »System Specified.
Possible transitions based on 'System Elements Realized (prototypical development)' (Ablauf-
baustein Prototypical System Development)
From 'System Elements Realized (prototypical development)' to 'Detailed Design Completed (proto-
typical development)'
The specification and documentation of the elements can be prepared based on the realized system
elements. The correctness of the specifications will be examined at the decision gate »Detailed De-
sign Completed.
Possible transitions based on 'Detailed Design Completed (prototypical development)' (Ab-
laufbaustein Prototypical System Development)
From 'Detailed Design Completed (prototypical development)' to 'System Elements Realized (proto-
After the detailed designed has been specified, software elements can be realized anew. This provi-
des a possibility for planning internal iterations in the software development. These activities are in-
tended to reach the decision gate »System Elements Realized.
From 'Detailed Design Completed (prototypical development)' to 'System Integrated (prototypical
development)'
After specification of the detailed design, the elements will be integrated, and the correct functiona-
lity of the system will be examined based on the evaluation reports of the system. If there are sepa-
rate suborders, their results will now be integrated. These activities are intended to reach the decisi-
on gate »System Integrated.
Possible transitions based on 'System Integrated (prototypical development)' (Ablaufbaustein
Prototypical System Development)

From 'System Integrated (prototypical development)' to 'System Designed (prototypical develop-

ment)'
If the integrated systems and enabling systems are available, the architecture of the systems and
enabling systems can be specified. The capacity of these architectures will be examined. These acti-
vities are intended to reach the decision gate »System Designed.
Possible transitions based on 'System Designed (prototypical development)' (Ablaufbaustein
From 'System Designed (prototypical development)' to 'Request for Proposal Released'
If External Units are identified within the scope of the system design (decision gate »System Desi-
gned), the supplier shall execute a sub-project (acquirer). At first, a »Request for Proposal (Acqui-
rer) is conducted, and the first target of the suborder is the decision gate »Request for Proposal Re-
leased. The decision gates of the suborder are executed like the respective decision gates in the Pro-
ject Execution Strategy »Project (Acquirer) with One Supplier.
sed.
From 'System Designed (prototypical development)' to 'System Elements Realized (prototypical de-
velopment)'
The system design is the prerequisite for executing an additional realization iteration before the
overall system is specified. For this purpose, software elements already realized will be developed
further or components not yet processed will be implemented. These activities are intended to reach
the decision gate »System Elements Realized.

From 'System Designed (prototypical development)' to 'System Specified (prototypical

development)'
After the decision gate »System Designed has been reached and all internal iterations have been
completed, the specification for the developed overall system will be prepared, taking into account
all systems and enabling systems which have been realized and designed up to now. Afterwards, the
correctness of the »Overall System Specification will be rechecked. These activities are intended to
reach the decision gate »System Specified.
Possible transitions based on 'Request for Proposal Released' (Ablaufbaustein Subcontract)
Possible transitions based on 'Contract Awarded' (Ablaufbaustein Subcontract)
Possible transitions based on 'Iteration Scheduled' (Ablaufbaustein Subcontract)

Possible transitions based on 'Project Progress Revised' (Ablaufbaustein Subcontract)
ted.
Possible transitions based on 'Acceptance Completed' (Ablaufbaustein Subcontract)

From 'Acceptance Completed' to 'System Integrated (prototypical development)'
Possible transitions based on 'System Specified (prototypical development)' (Ablaufbaustein
From 'System Specified (prototypical development)' to 'Delivery Conducted (prototypical develop-
ment)'
After the overall system developed in an agile manner has been specified it will be checked whether
a delivery is possible. In case of a positive decision, the current version of the system will be deli-
vered to the acquirer, and the decision gate »Delivery Conducted is reached.
Possible transitions based on 'Delivery Conducted (prototypical development)' (Ablaufbau-
stein Prototypical System Development)
From 'Delivery Conducted (prototypical development)' to 'Acceptance Completed'

The acquirer tests the »Delivery in order to determine if the requirements are fulfilled. At the decisi-
on gate »Acceptance Completed, the acquirer will examine the results and decide whether a »State-
ment of Acceptance will be granted or corrective actions by the supplier are required. These activi-
ties are intended to reach the decision gate »Acceptance Completed.
Possible transitions based on 'System Specified (component based development)' (Ablaufbau-
stein Component-Based System Development)
From 'System Specified (component based development)' to 'System Designed (component based
development)'
Based on the preliminary design, architectures will be designed for the system and all identifiable
»Enabling Systems . The architectures will define the »Segment s down to the level of hardware
and software units. The requirements will be specified and assigned to system elements. Develop-
ment process and evaluation strategy will be specified. The following decision gates to be executed
until the project is delivered can be planned independently and executed simultaneously for the sys-
tem and the various enabling systems. These activities are intended to reach the decision gate »Sys-
tem Designed for the system and every enabling system.
From 'System Specified (component based development)' to 'Detailed Design Completed'

After the decision gate »System Specified has been reached, the work on the detailed design may
begin, which will happen simultaneously with the preparation of the system design at the Decision
Gate System Designed. At this decision gate, the system is developed top-down, i.e., from the sys-
tem down to the units, based on the »Overall System Specification. In the project execution strategy
»Component-based System Development (Supplier), not only the »Overall System Specification,
but also the specifications for external software/hardware modules are available. In order to integra-
te these modules into the system design, the detailed design for the modules will be prepared bot-
tom-up, i.e., from modules to units. If system design and detailed design are developed in parallel, it
must be ensured, that the common interfaces, i.e., »Software Unit, »Hardware Units and »External
Unit, reflect the design coherently. In addition, the development process and test strategy will be
specified, and external software/hardware specifications for any suborders will be prepared as re-
quired. These activities are intended develop the system design in parallel to the detailed design and
to reach the decision gate »Detailed Design Completed.
Possible transitions based on 'System Designed (component based development)' (Ablaufbau-
From 'System Designed (component based development)' to 'Request for Proposal Released'
sed.
From 'System Designed (component based development)' to 'System Integraded (component based
development)'
All realized hardware and software elements and External Units, which were developed within the
scope of suborders, will be integrated into system elements and finally into a system or enabling
system. The integrated elements will be tested. In order to ensure the integration capability of the

different units, the process aims at the Decision Gate System Integrated while awarding contracts
for external units and providing for the project-own realization of units. These activities are inten-
ded to reach the decision gate »System Integrated.
Possible transitions based on 'Detailed Design Completed' (Ablaufbaustein Component-Based
System Development)
From 'Detailed Design Completed' to 'Request for Proposal Released'
sed.
From 'Detailed Design Completed' to 'System Elements Realized'
All hardware and software elements identified in the detailed design will be realized and evaluated
in accordance with the requirements. In this context, also an iterative approach is possible, exten-
ding the detailed design after some system elements of the detailed design have been realized. If an
External Hardware/Software Module Specifications were prepared during the detailed design, sub-
contracts may be awarded for the development of the software/hardware modules. If no subcon-
tracts are awarded, all hardware and software elements identified in the detailed design will be reali-
zed and evaluated in accordance with the requirements.
»From 'Request for Proposal Released' to 'Contract Awarded' (see above)
»From 'Contract Awarded' to 'Iteration Scheduled' (see above)

»From 'Iteration Scheduled' to 'Project Progress Revised' (see above)

»From 'Project Progress Revised' to 'Project Progress Revised' (see above)
»From 'Project Progress Revised' to 'Acceptance Completed' (see above)
»From 'Acceptance Completed' to 'Iteration Scheduled' (see above)
»From 'Acceptance Completed' to 'Contract Awarded' (see above)
From 'Acceptance Completed' to 'System Elements Realized'
After acceptance, the units will be integrated into the project.

Possible transitions based on 'System Elements Realized' (Ablaufbaustein Component-Based
System Development)
From 'System Elements Realized' to 'Detailed Design Completed'
In order to permit an iterative execution of detailed design and realization, it is possible to go back
to the preparation of the detailed design after the realization. In this step, hardware and software
units, which have not been included into the detailed design process during the previous iteration,
will be designed in detail. These activities are intended to reach decision gate »Detailed Design
Completed.
From 'System Elements Realized' to 'System Integraded (component based development)'


From 'Acceptance Completed' to 'System Integraded (component based development)'
Possible transitions based on 'System Integraded (component based development)' (Ablauf-
baustein Component-Based System Development)
From 'System Integraded (component based development)' to 'System Specified (component based
development)'
Since internal iterations can be executed in this project execution strategy, a new internal iteration
may be planned. For this purpose, a transition to the Decision Gate »System Specified can be esta-
blished by extending the »Overall System Specification. These activities are intended to reach the
decision gate »System Designed.
From 'System Integraded (component based development)' to 'Delivery Conducted (component ba-
sed development)'

The overall system to be delivered will be assorted for delivery in accordance with the require-
ments. A delivery includes the system, any enabling systems and documentation. At the decision
gate »Delivery Conducted, the results will be examined, and it will be decided whether the delivery
will be sent to the acquirer for acceptance.
Possible transitions based on 'Delivery Conducted (component based development)' (Ablauf-
From 'Delivery Conducted (component based development)' to 'Acceptance Completed'
Possible transitions based on 'System Specified (incremental development)' (Ablaufbaustein
Incremental System Development)
From 'System Specified (incremental development)' to 'System Designed (incremental development)'
Possible transitions based on 'System Designed (incremental development)' (Ablaufbaustein

From 'System Designed (incremental development)' to 'Detailed Design Completed'
After the decision gate »System Designed has been reached, the work on the detailed design may
begin. For the detailed design, the architectures of the hardware and software units will be develo-
ped into components and process modules, and external software/hardware specifications will be
prepared as required. The requirements will be assigned to the hardware and software elements. De-
velopment process and test strategy will be specified. On the way towards the integration of realized
system elements, it is possible to plan and conduct the design of hardware and software units simul-
taneously with the realization of other hardware and software units. These activities are intended to
reach the decision gate »Detailed Design Completed for every workflow.
Due to possible parallel workflows, it is possible that the decision gate »Detailed Design Completed
has been reached in some segments - and the realization may begin - while the detailed design for
other segments is not yet completed.
From 'System Designed (incremental development)' to 'Request for Proposal Released'
sed.
Possible transitions based on 'Detailed Design Completed' (Ablaufbaustein Incremental Sys-
tem Development)

sed.



Possible transitions based on 'System Elements Realized' (Ablaufbaustein Incremental System
Development)
Completed.
From 'System Elements Realized' to 'System Integrated (incremental development)'
system. The integrated elements will be tested. These activities are intended to reach the decision
gate »System Integrated.


From 'Acceptance Completed' to 'System Integrated (incremental development)'
Possible transitions based on 'System Integrated (incremental development)' (Ablaufbaustein
From 'System Integrated (incremental development)' to 'System Designed (incremental develop-
ment)'
Since not only detailed design and realization, but also system design and integration can be execu-
ted in an iterative manner, a new internal iteration may be planned for system design. In the archi-
tectures, system elements not yet implemented are identified down to the level of hardware and
software units. These activities are intended to reach the decision gate »System Designed.
From 'System Integrated (incremental development)' to 'Delivery Conducted (incremental develop-
ment)'

Possible transitions based on 'Delivery Conducted (incremental development)' (Ablaufbau-
stein Incremental System Development)
From 'Delivery Conducted (incremental development)' to 'Acceptance Completed'
If the system development includes several increments, the detailed planning of the following incre-
ments may be initiated after the acceptance of the previous increments. In order to plan a new incre-
ment, all unfinished »Problem Report / Change Request s and the »Change Status List will be ex-
amined in cooperation with the acquirer. At the decision gate Iteration Planned, this list will be used
in order to decide which change requests should be integrated into the new increment and which re-
quests can be deferred for the time being. In addition, it will be specified which of the components
that have not yet been implemented shall be included into the new increment. The change requests
and any unfinished requests concerning the »Overall System Specification are the basis for a new
development cycle. In addition, it will be examined whether the products »Project Manual and »QA
Manual are appropriate for the project. These activities are intended to reach the decision gate »Ite-
ration Scheduled.

If acquirer and supplier have agreed in advance that at first only one or a few iterations will be im-
plemented before the overall project is specified contractually, a new »Contract may be awarded or
a »Contract Addendum will be specified after the decision gate »Acceptance Completed. In this
connection, public acquirers must observe the contract law. These activities are intended to reach
the decision gate »Offer Submitted.
From 'Acceptance Completed' to 'Project Completed'
If all requirements have been taken into account and all change requests are completed, it will be
decided to finish the project. A »Final Project Report will be prepared and submitted to the acquirer.
These activities are intended to reach the decision gate »Project Completed.
5.4 Project (Acquirer) Including System Maintenance
Extended project type: System Development Project (Supplier)
Descriptions
»Project (Acquirer) Including System Maintenance describes the appropriate procedure for the pro-
ject type »System Development Project (Supplier).
The project type variant »Project (Acquirer) Including System Maintenance is based on the situati-
on that a system in use must be adapted or changed, e.g. by correcting faults, introducing new tech-
nologies, improving the fulfilment of non-functional requirements or modifying or extending func-
tionalities. These "change requirements" will be specified by the Acquirer at the beginning of the
project. Additional change requirements, which arise during project execution, can only be managed
by the »Problem and Change Management . The Supplier analyses the change requirements, execu-
tes the required system changes and delivers the system normally in several iterations. Each iterati-
on will be accepted individually by the Acquirer.

Due to the project type: Configuration Management, Delivery and Acceptance (Sup-
plier), Problem and Change Management, Project Manage-
ment, Quality Assurance, System Development, Drafting and
Conclusion of Contract (Supplier)

the Project
Due to the project type variant: Subcontract, Legacy System

Activity Flow
Figure 16: Project type variant Project (Acquirer) Including System Maintenance
The decision gates and the sequence of the project type variant »Project (Acquirer) Including Sys-
tem Maintenance are shown in figure Figure 16. The sequence differs significantly from that of the
project type variant »Project (Acquirer) Including Development, Enhancement or Migration by the
different system development entry points, which depend on the scope of the system changes to be
executed. It may affect the Overall System Specification, the System Design or the Detail Design.
In the following, the sequence of System Maintenance will be described by means of the decision
gates carried out.

The »Acquirer with one Supplier sends a »Request for Proposal (Acquirer) including the require-
ments posed on the system to be developed to the »Supplier without Subcontractors. After exami-
ning the requirements, the supplier decides whether an »Offer for this request for proposal is reaso-
nable from an economic and strategic point of view. Depending on this decision, the project will be
approved (»Project Approved).
If the project was approved, the supplier defines the project on a small scale by preparing simple
versions of the »Project Manual and »QA Manual including the components relevant for the offer.
At the decision gate »Project Defined, it will be examined whether these products are suitable for
the conclusion of a contract.

From 'Project Defined' to 'Offer Submitted'
After the project definition, the supplier prepares an »Offer concerning the specified requirements.
After examining this offer, the supplier decides whether the offer will be submitted to the acquirer
(»Offer Submitted).
Possible transitions based on 'Offer Submitted'
From 'Offer Submitted' to 'Contract Awarded'
If the acquirer accepts the offer, acquirer and supplier will conclude a »Contract, which specifies the
system requirements and the framework conditions of the project in writing. (»Contract Awarded).
After the contract has been awarded, the system development procedure, i.e. the decision gates to be
passed until the product is accepted, and the scope of the requirements to be implemented will be
planned. In addition, it will be examined whether the products »Project Manual and »QA Manual
are appropriate for the project. If necessary, these products must be adapted to the requirements.
The project and quality management aspects, which have possibly not been taken into account ap-
propriately, will be defined in more detail. These activities are intended to reach the decision gate
From 'Iteration Scheduled' to 'System Specified'
From 'Iteration Scheduled' to 'System Designed'

If the changes planned at the decision gate »Iteration Scheduled influence the system design, but do
not affect the »Overall System Specification , the system design will be changed. The effects on the
system and all identified enabling systems will be designed. This process may be executed indepen-
dently for the system and each enabling system. These activities are intended to reach the decision
gate »System Designed for the system and each enabling system.
From 'Iteration Scheduled' to 'Detailed Design Completed'
If the changes planned at the decision gate »Iteration Scheduled influence the detailed design, but
do not affect the Overall System Specification and the system design, the detailed design will be
changed. For this purpose the architectures of hardware and software units will be subdivided into
components and modules. These activities are intended to reach the decision gate »Detailed Design
Completed.
Possible transitions based on 'System Specified'
From 'System Specified' to 'System Designed'

Possible transitions based on 'System Designed'
From 'System Designed' to 'Detailed Design Completed'
reach the decision gate »Detailed Design Completed for every workflow. Due to possible parallel
workflows, it is possible that the decision gate »Detailed Design Completed has been reached in
some segments - and the realization may begin - while the detailed design for other segments is not
yet completed.
From 'System Designed' to 'Request for Proposal Released'

sed.
Possible transitions based on 'Detailed Design Completed'

sed.

ted.


Possible transitions based on 'System Elements Realized'
Completed.

From 'System Elements Realized' to 'System Integrated'
From 'Acceptance Completed' to 'System Integrated'

Possible transitions based on 'System Integrated'
From 'System Integrated' to 'System Designed'
From 'System Integrated' to 'Delivery Conducted'

Possible transitions based on 'Delivery Conducted'

From 'Delivery Conducted' to 'Acceptance Completed'
If the system development includes several increments, the detailed planning of the following incre-
ments may be initiated after the acceptance of the previous increments. In order to plan a new incre-
ment, all unfinished »Problem Report / Change Request s and the »Change Status List will be ex-
amined in cooperation with the acquirer. At the decision gate Iteration Planned, this list will be used
in order to decide which change requests should be integrated into the new increment and which re-
quests can be deferred for the time being. In addition, it will be specified which of the components
that have not yet been implemented shall be included into the new increment. The change requests
and any unfinished requests concerning the »Overall System Specification are the basis for a new
development cycle. In addition, it will be examined whether the products »Project Manual and »QA
Manual are appropriate for the project. These activities are intended to reach the decision gate »Ite-
ration Scheduled.
If acquirer and supplier have agreed in advance that at first only one or a few iterations will be im-
plemented before the overall project is specified contractually, a new »Contract may be awarded or
a »Contract Addendum will be specified after the decision gate »Acceptance Completed. In this
connection, public acquirers must observe the contract law. These activities are intended to reach
the decision gate »Offer Submitted.

5.5 Project (Acquirer/Supplier) Including Development, Enhancement or

Migration
Extended project type: System Development Project (Acquirer/Supplier)
Descriptions
»Project (Acquirer/Supplier) Including Development, Enhancement or Migration can only be app-
lied to the project type »System Development Project (Acquirer/Supplier), i.e. if it is not necessary
to subdivide a system development project into two separate projects - one for the side of the Acqui-
rer and one for the side of the Supplier. This is possible, if the system development project is execu-
ted within one organization or if several organizations, which deliberately cooperate closely in one
project, participate in the project. As distinguished from a separate »System Development Project
(Acquirer) und »System Development Project (Supplier), the Request for Proposals and Contracting
and the dual project organization with two Project Leaders are not required.
The project type variant »Project (Acquirer/Supplier) Including Development, Enhancement or Mi-
gration is based on the fundamental idea that the user requirements are relatively clear at the begin-
ning of the project. After the Requirements have been defined in the decision gate »Requirements
Specified, subsequent changes of the Requirements can only be executed via the problem and
change management and the »Decision Gate »Iteration Scheduled. The system will be designed,
realized and delivered in individual stages, which are also referred to as »Increment. Each stage will
be accepted individually. The System Developer may execute several internal iterations before deli-
vering an increment.
In this »Project Execution Strategy, changes within one increment should be avoided and included
by the Change Management into the following increment. Important changes, which could - for ex-
ample - influence the system architecture significantly, should be forwarded as early as possible.
This procedure has the advantage of providing the User with a prestage, which already realizes the
system's most important basic functionalities at an early time.
The project type variant »Project (Acquirer/Supplier) Including Development, Enhancement or Mi-
gration is not only suitable for the development of new systems. During the enhancement of legacy
systems, the new System Requirements, which will be included in the enhancement process, are do-
cumented. The enhancement or migration of a system in maintenance is indicated if System Requi-
rements would entail effects on the system architecture.

If the system is migrated to a new enviroment, e.g. a new hardware platform or a new running time
environment, the Requirements will be based on other features. These may include the existing
functionalities as determined by the Overall System Specification (»System Specified) within the
scope of the »Legacy System Analysis, Requirements of the change status list, and new Require-
ments of the User. A complete migration is not always necessary. In case of a partial migration,
parts of the legacy system remain on their original platform while the access to the new system is
provided by integration technologies.

Delivery and Acceptance (Acquirer), Delivery and Acceptance
(Supplier), Problem and Change Management, Project Mana-
gement, Quality Assurance, System Development

the Project
Due to the project type variant: Subcontract, Legacy System, Prototype Development

Activity Flow
Figure 17: Project type variant Project (Acquirer/Supplier) Including Development, Enhancement
or Migration
The decision gates and the sequence of the project type variant »Project (Acquirer/Supplier) Inclu-
ding Development, Enhancement or Migration are shown in figure Figure 17. This project type va-
riant permits the application of different development strategies:
1. »Incremental Development
2. »Component-Based Development
3. »Prototypic Development
The decision for a development strategy is always made after the decision gate »Iteration Scheduled
has been scheduled. If there are, for example, high realization risks, it is possible to execute an early
iteration by means of a prototypic development.
In the following, the sequence will be described by means of the decision gates carried out.


From 'Requirements Specified' to 'Iteration Scheduled'

If the product Requirements Specification includes functional requirements, the scope of the requi-
rements implemented in the respective iteration will be planned. In addition, it will be examined
whether the products »Project Manual and »QA Manual are appropriate for the project. If necessary,
these products must be adapted to the requirements. These activities are intended to reach the deci-
sion gate »Iteration Scheduled.
From 'Iteration Scheduled' to 'System Elements Realized (prototypical development)'
After the iteration has been planned, the realization of the individual software units of the system
and the enabling systems will begin. Of course, this requires a basic understanding of the system ar-
chitecture and the information which system elements should be realized. However, this is not re-
flected in a decision gate, since the agile system development permits the architecture and additio-
nal design decisions to be changed without problems during the implementation. At this point, the
evaluation reports are used in order to check whether the individual system elements were realized
in accordance with the acquirer requirements. The realization finally leads to the decision gate
»System Elements Realized.
From 'Iteration Scheduled' to 'System Specified (component based development)'
In the project, the requirements planned will be evaluated, and a first preliminary design will be pre-
pared. Requirements and preliminary design will be documented in the »Overall System Specifica-
tion, which is the basis for the further development of the system. If the project includes the enhan-
cement or migration of a legacy system, a »Legacy System Analysis will be prepared together with
the Overall System Specification. These activities are intended to reach the decision gate »System
Specified.
From 'Iteration Scheduled' to 'System Specified (incremental development)'
Possible transitions based on 'System Elements Realized (prototypical development)' (Ablauf-
baustein Prototypical System Development)
From 'System Elements Realized (prototypical development)' to 'Detailed Design Completed (proto-

The specification and documentation of the elements can be prepared based on the realized system
elements. The correctness of the specifications will be examined at the decision gate »Detailed De-
sign Completed.
Possible transitions based on 'Detailed Design Completed (prototypical development)' (Ab-
laufbaustein Prototypical System Development)
From 'Detailed Design Completed (prototypical development)' to 'System Elements Realized (proto-
After the detailed designed has been specified, software elements can be realized anew. This provi-
des a possibility for planning internal iterations in the software development. These activities are in-
tended to reach the decision gate »System Elements Realized.
From 'Detailed Design Completed (prototypical development)' to 'System Integrated (prototypical
development)'
Possible transitions based on 'System Integrated (prototypical development)' (Ablaufbaustein
From 'System Integrated (prototypical development)' to 'System Designed (prototypical develop-
ment)'
If the integrated systems and enabling systems are available, the architecture of the systems and
enabling systems can be specified. The capacity of these architectures will be examined. These acti-
vities are intended to reach the decision gate »System Designed.
Possible transitions based on 'System Designed (prototypical development)' (Ablaufbaustein

From 'System Designed (prototypical development)' to 'Request for Proposal Released'
sed.
From 'System Designed (prototypical development)' to 'System Elements Realized (prototypical de-
velopment)'
The system design is the prerequisite for executing an additional realization iteration before the
overall system is specified. For this purpose, software elements already realized will be developed
further or components not yet processed will be implemented. These activities are intended to reach
the decision gate »System Elements Realized.
From 'System Designed (prototypical development)' to 'System Specified (prototypical
development)'

After the decision gate »System Designed has been reached and all internal iterations have been
completed, the specification for the developed overall system will be prepared, taking into account
all systems and enabling systems which have been realized and designed up to now. Afterwards, the
correctness of the »Overall System Specification will be rechecked. These activities are intended to
reach the decision gate »System Specified.

ted.

From 'Acceptance Completed' to 'System Integrated (prototypical development)'
Possible transitions based on 'System Specified (prototypical development)' (Ablaufbaustein
From 'System Specified (prototypical development)' to 'Delivery Conducted (prototypical develop-
ment)'
After the overall system developed in an agile manner has been specified it will be checked whether
a delivery is possible. In case of a positive decision, the current version of the system will be deli-
vered to the acquirer, and the decision gate »Delivery Conducted is reached.
Possible transitions based on 'Delivery Conducted (prototypical development)' (Ablaufbau-
stein Prototypical System Development)
From 'Delivery Conducted (prototypical development)' to 'Acceptance Completed'

on gate »Acceptance Completed, the acquirer will examine the results and decide whether correcti-
ve actions are required. These activities are intended to reach the decision gate »Acceptance Com-
pleted .
Possible transitions based on 'System Specified (component based development)' (Ablaufbau-
From 'System Specified (component based development)' to 'System Designed (component based
development)'
From 'System Specified (component based development)' to 'Detailed Design Completed'
After the decision gate »System Specified has been reached, the work on the detailed design may
begin, which will happen simultaneously with the preparation of the system design at the Decision
Gate System Designed. At this decision gate, the system is developed top-down, i.e., from the sys-
tem down to the units, based on the »Overall System Specification. In the project execution strategy
»Component-based System Development (Supplier), not only the »Overall System Specification,
but also the specifications for external software/hardware modules are available. In order to integra-
te these modules into the system design, the detailed design for the modules will be prepared bot-
tom-up, i.e., from modules to units. If system design and detailed design are developed in parallel, it
must be ensured, that the common interfaces, i.e., »Software Unit, »Hardware Units and »External

Unit, reflect the design coherently. In addition, the development process and test strategy will be
specified, and external software/hardware specifications for any suborders will be prepared as re-
quired. These activities are intended develop the system design in parallel to the detailed design and
to reach the decision gate »Detailed Design Completed.
Possible transitions based on 'System Designed (component based development)' (Ablaufbau-
From 'System Designed (component based development)' to 'Request for Proposal Released'
sed.
From 'System Designed (component based development)' to 'System Integraded (component based
development)'
Possible transitions based on 'Detailed Design Completed' (Ablaufbaustein Component-Based
System Development)

sed.



Possible transitions based on 'System Elements Realized' (Ablaufbaustein Component-Based
System Development)
Completed.
From 'System Elements Realized' to 'System Integraded (component based development)'


From 'Acceptance Completed' to 'System Integraded (component based development)'
Possible transitions based on 'System Integraded (component based development)' (Ablauf-
From 'System Integraded (component based development)' to 'System Specified (component based
development)'
Since internal iterations can be executed in this project execution strategy, a new internal iteration
may be planned. For this purpose, a transition to the Decision Gate »System Specified can be esta-
blished by extending the »Overall System Specification. These activities are intended to reach the
decision gate »System Designed.
From 'System Integraded (component based development)' to 'Delivery Conducted (component ba-
sed development)'

Possible transitions based on 'Delivery Conducted (component based development)' (Ablauf-
From 'Delivery Conducted (component based development)' to 'Acceptance Completed'
pleted .
Possible transitions based on 'System Specified (incremental development)' (Ablaufbaustein
From 'System Specified (incremental development)' to 'System Designed (incremental development)'
Possible transitions based on 'System Designed (incremental development)' (Ablaufbaustein

From 'System Designed (incremental development)' to 'Detailed Design Completed'
reach the decision gate »Detailed Design Completed for every workflow.
Due to possible parallel workflows, it is possible that the decision gate »Detailed Design Completed
has been reached in some segments - and the realization may begin - while the detailed design for
other segments is not yet completed.
From 'System Designed (incremental development)' to 'Request for Proposal Released'
sed.
Possible transitions based on 'Detailed Design Completed' (Ablaufbaustein Incremental Sys-
tem Development)

sed.



Possible transitions based on 'System Elements Realized' (Ablaufbaustein Incremental System
Development)
Completed.
From 'System Elements Realized' to 'System Integrated (incremental development)'


From 'Acceptance Completed' to 'System Integrated (incremental development)'
Possible transitions based on 'System Integrated (incremental development)' (Ablaufbaustein
From 'System Integrated (incremental development)' to 'System Designed (incremental develop-
ment)'
From 'System Integrated (incremental development)' to 'Delivery Conducted (incremental develop-
ment)'

Possible transitions based on 'Delivery Conducted (incremental development)' (Ablaufbau-
stein Incremental System Development)
From 'Delivery Conducted (incremental development)' to 'Acceptance Completed'
pleted .
If the system development includes several increments, the detailed planning of the following itera-
tion may be initiated after the acceptance of the previous iteration. In order to plan a new iteration,
all unfinished »Problem Report / Change Request s and the »Change Status List will be examined in
cooperation with the acquirer. At the decision gate Iteration Planned, this list will be used in order to
decide which change requests should be integrated into the new iteration and which requests can be
deferred for the time being. In addition, it will be specified which of the components that have not
yet been implemented shall be included into the new iteration. The change requests and any unfinis-
hed requests concerning the »Overall System Specification are the basis for a new development cy-
cle. In addition, it will be examined whether the products »Project Manual and »QA Manual are ap-
propriate for the project. These activities are intended to reach the decision gate »Iteration Schedu-
led.

5.6 Project (Acquirer/Supplier) Including System Maintenance
Extended project type: System Development Project (Acquirer/Supplier)
Descriptions
»Project (Acquirer/Supplier) Including System Maintenance can only be applied to the project type
»System Development Project (Acquirer/Supplier), i.e. if it is not necessary to subdivide a system
development project into two separate projects - one for the side of the Acquirer and one for the side
of the Supplier. This is possible, if the system development project is executed within one organiza-
tion or if several organizations, which deliberately cooperate closely in one project, participate in
the project. As distinguished from a separate »System Development Project (Acquirer) und »System
Development Project (Supplier), the Request for Proposals and Contracting and the dual project or-
ganization with two Project Leaders are not required.
The project type variant »Project (Acquirer/Supplier) Including System Maintenance»Project (Ac-
quirer) Including System Maintenance is based on the situation that a system in use must be adapted
or changed, e.g. by correcting faults, introducing new technologies, improving the fulfilment of
non-functional requirements or modifying or extending functionalities. These "change require-
ments" will be specified by the Acquirer at the beginning of the project. Additional change require-
ments, which arise during project execution, can only be managed by the »Problem and Change
Management. The System Developer analyses the change requirements, executes the required sys-
tem changes and delivers the modified system normally in several iterations. Each iteration will be
accepted individually by the User.


Delivery and Acceptance (Acquirer), Delivery and Acceptance
(Supplier), Problem and Change Management, Project Mana-
gement, Quality Assurance, System Development

the Project
Due to the project type variant: Subcontract, Legacy System
Activity Flow
Figure 18: Project type variant Project (Acquirer/Supplier) Including System Maintenance
The decision gates and the sequence of the project type variant »Project (Acquirer/Supplier) Inclu-
ding System Maintenance are shown in figure Figure 18. The sequence differs significantly from
that of the project type variant »Project (Acquirer/Supplier) Including Development, Enhancement
or Migration by the different system development entry points, which depend on the scope of the
system changes to be executed. It may affect the Overall System Specification, the System Design
or the Detail Design. In the following, the sequence of a System Maintenance »Iteration will be des-
cribed by means of the decision gates carried out.


From 'Requirements Specified' to 'Iteration Scheduled'
If the product Requirements Specification includes functional requirements, the scope of the requi-
rements implemented in the respective iteration will be planned. In addition, it will be examined
whether the products »Project Manual and »QA Manual are appropriate for the project. If necessary,
these products must be adapted to the requirements. These activities are intended to reach the deci-
sion gate »Iteration Scheduled.
From 'Iteration Scheduled' to 'System Specified'

From 'Iteration Scheduled' to 'System Designed'
If the changes planned at the decision gate »Iteration Scheduled influence the system design, but do
not affect the »Overall System Specification , the system design will be changed. The effects on the
system and all identified enabling systems will be designed. This process may be executed indepen-
dently for the system and each enabling system. These activities are intended to reach the decision
gate »System Designed for the system and each enabling system.
From 'Iteration Scheduled' to 'Detailed Design Completed'
If the changes planned at the decision gate »Iteration Scheduled influence the detailed design, but
do not affect the Overall System Specification and the system design, the detailed design will be
changed. For this purpose the architectures of hardware and software units will be subdivided into
components and modules. These activities are intended to reach the decision gate »Detailed Design
Completed.

Possible transitions based on 'System Specified'

From 'System Specified' to 'System Designed'
Possible transitions based on 'System Designed'
From 'System Designed' to 'Detailed Design Completed'
reach the decision gate »Detailed Design Completed for every workflow. Due to possible parallel
workflows, it is possible that the decision gate »Detailed Design Completed has been reached in
some segments - and the realization may begin - while the detailed design for other segments is not
yet completed.
From 'System Designed' to 'Request for Proposal Released'

sed.
Possible transitions based on 'Detailed Design Completed'

sed.


ted.


Possible transitions based on 'System Elements Realized'
Completed.
From 'System Elements Realized' to 'System Integrated'
From 'Acceptance Completed' to 'System Integrated'

Possible transitions based on 'System Integrated'
From 'System Integrated' to 'System Designed'
From 'System Integrated' to 'Delivery Conducted'

Possible transitions based on 'Delivery Conducted'

From 'Delivery Conducted' to 'Acceptance Completed'
pleted .
If the system development includes several increments, the detailed planning of the following itera-
tion may be initiated after the acceptance of the previous iteration. In order to plan a new iteration,
all unfinished »Problem Report / Change Request s and the »Change Status List will be examined in
cooperation with the acquirer. At the decision gate Iteration Planned, this list will be used in order to
decide which change requests should be integrated into the new iteration and which requests can be
deferred for the time being. In addition, it will be specified which of the components that have not
yet been implemented shall be included into the new iteration. The change requests and any unfinis-
hed requests concerning the »Overall System Specification are the basis for a new development cy-
cle. In addition, it will be examined whether the products »Project Manual and »QA Manual are ap-
propriate for the project. These activities are intended to reach the decision gate »Iteration Schedu-
led.


Model
Extended project type: Introduction and Maintenance of an Organization-Specific

Process Model
Descriptions
»Introduction and Maintenance of an Organization-Specific Process Model describes the appropria-
te procedure for the project type »Introduction and Maintenance of an Organization-Specific Pro-
cess Model .
This project type variant is based on the idea that:
● an organization wants to introduce a new specific process model or
● wants to improve an already existing process model.
This will be executed within the scope of a spearate project, planned and controlled like any other
project by means of the Project Plan, »Project Status Report and Commercial Project Status Report.

Due to the project type: Introduction and Maintenance of an Organization-Specific Pro-
cess Model, Configuration Management, Problem and Change
Management, Project Management, Quality Assurance

Due to the project type: Life Cycle Cost Management, Project Measures
Activity Flow

Figure 19: Project type variant Introduction and Maintenance of an Organization-Specific Process
Model
The decision gates and the sequence of the project type variant »Introduction and Maintenance of
an Organization-Specific Process Model are shown in figure Figure 19. In the following, the intro-
duction and maintenance of an organization-specific process model will be described by means of
the decision gates carried out.

If an organization recognizes the need to introduce or improve an organization-specific process mo-

del, a »Proposal for the Introduction and Maintenance of an Organization-Specific Process Model
will be prepared. Based on this »Proposal for the Introduction and Maintenance of an Organization-
Specific Process Model, the management decides at the decision gate »Project Approved if a project
should be executed.
A Project Manual and a QA Manual will be prepared. At the decision gate »Project Defined, it will
be examined whether these two products are adequate for the project.
From 'Project Defined' to 'Process Model Analyzed'
After successful definition of the project, the current state of the processes in the organiation will be
evaluated by an independent assessor and/or process assessments (e.g. in accordance with the V-
Modell XT conformance, V-Modell XT assessment, »CMMI® or »SPICE model). This assessment
results in the preparation and presentation of a report including the strength and weakness profile
and proposals for improvement. At the decision gate »Process Model Analyzed, this report is used
as basis for the further development. In case of a continuous improvement process, the decision gate
»Process Model Analyzed may be executed several times. At the beginning of a new cycle, a brief
process evaluation will be conducted, which is limited to the review of changes in the process porti-
ons modified during the previous improvement cycle.
Possible transitions based on 'Process Model Analyzed'

From 'Process Model Analyzed' to 'Process Model Improvement Specified'
If the requirements and concepts for the project are specified, based on the evaluation of the process
model, the decision gate »Process Model Improvement Specified will be reached. The decision gate
»Process Model Improvement Specified may be reached several times if change requests entailing
new requirements and/or a modified concept are submitted and accepted during the realization of
the process model.
Possible transitions based on 'Process Model Improvement Specified'
From 'Process Model Improvement Specified' to 'Process Model Improvement Implemented'
The »Organization-Specific Process Model will be developed and piloted on the basis of the process
defined in the »Process Model Improvement Concept. At the end of the broad implementation, the
decision gate »Process Model Improvement Implemented will be reached.
Possible transitions based on 'Process Model Improvement Implemented'
From 'Process Model Improvement Implemented' to 'Process Model Analyzed'
After Roll Out, the decision gate »Process Model Improvement Implemented is reached. From this
gate, it is again possible to proceed to the decision gate »Process Model Analyzed in order to realize
a continuous improvement process.
From 'Process Model Improvement Implemented' to 'Iteration Scheduled'
If modifications of the organization-specific process model are required, they will be considered
and included in the modification plan. Thus, the decision gate »Iteration Scheduled is reached. Mo-
difications can partly be integrated during the realization of the project.
From 'Process Model Improvement Implemented' to 'Project Completed'

decided to finish the project after the acceptance has been completed. A »Final Project Report will
be prepared and submitted to the acquirer. These activities are intended to reach the decision gate
»Project Completed.
From 'Iteration Scheduled' to 'Process Model Improvement Specified'
If an organization-specific process model must be changed to an extent that cannot be implemented

within the framework of an iteration, change requests and/or improvement measures shall be pro-
cessed separately. This will lead again to the decision gate »Process Model Improvement Specified.
From 'Iteration Scheduled' to 'Process Model Improvement Implemented'
In an additional iteration step, the functionality planned for the respective iteration - including the
specified changes - will be developed and piloted. If the Roll Out has been completed, the decision
gate »Process Model Improvement Implemented is reached.

6 Process Modules 3-111
6 Process Modules
»Process Modules are the decisive elements of the V-Modell. They include a number of »Activitys
and »Work Products arranged in logical groups. Static »Tailoring deals with the selection of the pro-
cess modules required for the project.
6.1 Project Management
Overview
Figure 20: Process module Project Management
Purpose
The project management includes all tasks required for planning and controlling the activities of the
project team in order to safely achieve the objective of project and to early recognize and correct
any problems. For this purpose, the »Process Module Project Management defines a process for
planning and controlling projects. The management of a project has a decisive influence on the suc-
cess of the project.
The project management describes the initialization, planning, execution and conclusion of a pro-
ject. Important products include the »Project Manual, which specifies the organizational framework
conditions, the »Project Plan, the »Risk List and the »Reporting products, which are intended to do-
cument all project events and results and ensure the internal and external distribution.

The »Project Leader prepares the »Project Manual, an initial »Project Plan and a »Risk List in co-
operation with the acquirer. In the course of the project, these documents will be updated. At regular
intervals - at least before pending »Project Progress Decisions, a »Project Status Report shall be
prepared for the acquirer and the in-house management. A the end of the project, a »Final Project
Report will be prepared.
Project types that may include this process module

System Development Project (Acquirer), System Development Project (Supplier), System
Development Project (Acquirer/Supplier), Introduction and Maintenance of an Organization-
Specific Process Model
6.2 Quality Assurance

Needs: Project Management
Overview
Figure 21: Process module Quality Assurance
Purpose
The »Process Module Quality Assurance (QA) defines the basic processes for planning and execu-
ting quality assurance measures. It describes how and by which means the project quality is inten-
ded to be ensured (QA Manual). In addition, products and activities of this process module are used
for
● Planning (evaluation plan)
● Preparing (evaluation environment, evaluation specification)
● Executing (testing) and
● Documenting (evaluation report)

tests.
Test activities are included in the corresponding process modules (system development, software
development, hardware development). If the project does not include the respective development
activities, test activities are not required.
In contrast to the development tests, all formal tests shall be executed by an independent »Inspector
(e.g. developer colleague). In addition, they must be repeatable (evaluation specification, evaluation
procedure, evaluation report). The rule that the producer shall not test his/her own product (four-
eyes principle) applies to all formal tests.
The regulations of the process module Quality Assurance (QA) shall in no way affect organizational
specifications, i.e., quality assurance tasks need not be executed in one organizational unit, but can
be executed within the scope of the development - however, the four-eyes principle must always be
ensured.
Product States in Tests
If quality assurance measures are not planned for specific system products (system components,
software, hardware), these products proceed from the state "in processing" to the state "finished" af-
ter the development tests have been completed.
Products which are intended to undergo quality assurance measures proceed at first to the state
"submitted". After the tests have been completed successfully, they from the state "submitted" to the
state "finished".

6.3 Configuration Management

Needs: Project Management, Quality Assurance
Overview
Figure 22: Process module Configuration Management

Purpose
A »Product Configuration is defined as a quantity of associated products and tools, e.g. hardware
evaluation environment, software development environment etc., in a certain version and a certain
product state. The configuration management monitors product configurations in such a way that
the connections and differences between previous and current product configurations are always re-
cognizable. It ensures that a recourse to previous product versions is always possible. Thus product
changes can always be repeated and verified.
The assessment of and decision on change requests is regulated in the »Process Module »Problem
and Change Management . The configuration management documents the implementation of pro-
duct changes in a repeatable way.
The configuration management (CM) is intended to ensure that functional and physical characteri-
stics of a products can always be identified unambiguously. This identification is used for a syste-
matic control of changes and ensures the integrity, also during the utilization phase of the product.

6.4 Problem and Change Management

Overview
Figure 23: Process module Problem and Change Management
Purpose
The problem and change management deals with change requests, faults and problems arising du-
ring system development and utilization.
This procedure is initiated by a problem report or a change request which may be submitted by all
persons concerned (user, developer, acquirer, etc.). The status of all problem reports/change requests
is documented in the change status list. For every problem report and every change request, a pro-
blem/change evaluation will be prepared, and a change decision will be made as to whether the pro-
blem shall be solved or the change shall be executed.

An acquirer or user may submit change requests e.g. because of system malfunctions, a lack of
functionality and changes in the own environment. The supplier may also have change requests, e.g.
due to problems with external supplies, misunderstandings in the order, or newly recognized depen-
dencies.
The following principles, which shall be observed by all participants, apply:
● All participants must realize that there are no changes "on acclamation" or "on the quiet".
● Every change request which leads to a deviation from the ordered, released or accepted cha-
racteristics or refers to a system in the utilization phase shall be processed by means of a
problem report or change request within the scope of problem and change management.
● Every change request shall be documented and evaluated.
The change management regulates the following
● required contents of a problem report or change request,
● analysis and assessment of change requests, and
● procedures for deciding on changes.
The changes themselves will not be executed in the »Process Module Problem and Change Manage-
ment, but only initiated by the »Change Decision.

6.5 Delivery and Acceptance (Acquirer)

Needs: Quality Assurance
Overview
Figure 24: Process module Delivery and Acceptance (Acquirer)

Purpose
The process module Delivery and Acceptance (Acquirer) is intended to define the delivery and ac-
ceptance process on part of the acquirer. The acquirer accompanies the supplier's project during the
individual project stages in order to ensure the success of the project. After realization and delivery
of the respective items, the Inspector will conduct the acceptance test and prepare the Delivery Eva-
luation Record based on the Delivery Evaluation Specification. The supplier will repair any repor-
ted malfunction by conducting the respective corrective action. If required, a new acceptance test
must be conducted.

System Development Project (Acquirer), System Development Project (Acquirer/Supplier)
Project characteristics that may include this process module

Subcontract
6.6 Drafting and Conclusion of Contract (Acquirer)

Needs: Delivery and Acceptance (Acquirer)
Overview
Figure 25: Process module Drafting and Conclusion of Contract (Acquirer)

Purpose
The »Process Module Drafting and Conclusion of Contract (Acquirer) is intended to define the ac-
quirer side of the acquirer/supplier interface. Contracts to be awarded may refer to »Systems or
»External Units. The contract specifies which »Work Products will be exchanged between supplier
and acquirer and for which products the acquirer will be responsible. The supplier side of this inter-
face is regulated in the process module »Drafting and Conclusion of Contract (Supplier).
The »Project Manual or a »Make-or-Buy Decision specifies whether contracts will be awarded and
the process module Drafting and Conclusion of Contract (Acquirer) will be included into the pro-
ject-specific V-Modell. When processing an order, the role »RFP-Manager specifies the »RFP con-
cept, deciding how the contract will be awarded, e.g., in public competitions. The RFP Manager
will prepare the »request for proposal based on the »Requirements Specification. Any suborder will
be based on the »External Unit Specification. The »Request for Proposal will be mailed or publis-
hed in accordance with the »RFP Concept. The assessment of »offers and the decision as to which
supplier will be awarded the contract will be based on the work product »Criteria Catalog for As-
sessment of Offers. In this decision, a concrete »Offer (Supplier) will be selected.
Afterwards, the contract negotiations will begin. If the selected contract award procedure permits, it
is possible to re-negotiate the requirements posed on the delivery (deliveries) to be developed.
»Executive, »Purchaser and a Representative of the Supplier will conclude the »contract.
Since there are numerous contract award procedures, these are deliberately not modeled explicitly.
The V-Modell only describes the work product »request for proposal, which is in the center of all
contract award procedures. Any additional specifications necessary will be defined in the work pro-
duct »RFP Concept.

System Development Project (Acquirer)

Subcontract
6.7 Specification of Requirements

Overview
Figure 26: Process module Specification of Requirements

Purpose
The »Process Module »Specification of Requirements ensures that the reasons for executing a pro-
ject are documented systematically based on unambiguous decisions. The decision on start and de-
sign of a project can be based on a project proposal which was submitted at the beginning of the
project and not prepared within the scope of the V-Modell.
In addition, the process module Specification of Requirements supports the specification of unambi-
guous, complete, realistic, understandable, consistent, repeatable, prioritized and stable user require-
ments, which are suitable for an economic realization and acceptance of a system. The user require-
ments must be specified in detail in order to enable the developer or supplier of the system to de-
sign, offer and realize optimum technical solutions.

System Development Project (Acquirer), System Development Project (Acquirer/Supplier)
6.8 Evaluation of Off-the-Shelf Products

Needs at least one: System Development, Specification of Requirements
Overview
Figure 27: Process module Evaluation of Off-the-Shelf Products
Purpose
The »Process Module »Evaluation of Off-the-Shelf Products includes a procedure for the market
survey and technical evaluation of off-the-shelf products for the system to be developed or for the
»Enabling Systems required for developing, testing or operating the system.
Finished products are completed products or components which may be used as system elements,
e.g., »Software Units, »Hardware Unit or »Segments. Examples for off-the-shelf products include
the following:
● »COTS products, e.g. purchased software or library programs, test monitors, operating sys-
tems, compiler, tools or finished hardware, e.g. processors
● Usable software or hardware which was developed within the same organization but not
with the scope of the current project
● Releasable open source products
The »Market Survey for Off-the-Shelf Products provides the »System Architect with a survey of the
off-the-shelf products available on the market. The »Evaluation of Off-the-Shelf Products evaluates
to what extent the different off-the-shelf products fulfill the requirements and if additional adaptati-
ons are necessary.

Frequently the result shows that there is a discrepancy between the requirements and the actual cha-
racteristics of potential off-the-shelf products. Either the off-the-shelf products do not fulfill the re-
quirements completely, or they outperform the functionalities. In both cases, it must be examined if
the requirements can be adapted accordingly. Thus the selection of an off-the-shelf product or the
deliberate decision against using off-the-shelf products depends on the relation between price, per-
formance and effort required for the adaptation. The results of the assessment will be documented -
on acquirer side - in the evaluation of requirements and, on supplier side, in the »Evaluation of Off-
the-Shelf Products which will contribute to the »Make-or-Buy Decision.
The integration into the system or enabling system to be developed poses a particular difficulty
when using off-the-shelf products. Therefore, it is necessary to select the off-the-shelf products to
be integrated as early as possible. The process module »Evaluation of Off-the-Shelf Products sup-
ports two different approaches:
● On acquirer side, the Requirements Engineer (Acquirer) can conduct a Market Survey for
Off-the-Shelf products based on the Project proposal or the preliminary system architecture
outlined in the Requirements Specification. Based on the results, the following Evaluation of
Requirements can evaluate whether and, if yes, which off-the-shelf products may be used
with which potential restrictions. The results will be integrated into the Requirements Speci-
fication and determine if the Request for Proposals refers to
○ a pure system development project or
○ a pure acquisition of off-the-shelf products or
○ a combination of acquisition and development elements.
● On supplier side:
○ At an early stage of the system architecture development, potential candidates for off-
the-shelf products, which were selected based on a »Market Survey for Off-the-Shelf
Products, are proposed to the System Architect. This market survey is based on the
»Overall System Specification and »System Architecture design. Based on the results, a
further development of the system architecture is possible.
○ If the »System Architecture is in a later stage and »External Unit have already been iden-
tified, the »Market Survey for Off-the-Shelf ProductsThe »Purchaser will be responsible
for procuring off-the-shelf products. External Hardware Modules and External Software
Modules will be integrated at hardware level and software level, External Units will be
integrated at system level or subsystem level. After an initial inspection to be specified
in the QA Manual, the off-the-shelf products will be tested like the other system ele-
ments.

Off-the-Shelf Products
6.9 Safety and Security

Needs at least one: Specification of Requirements, Usability and Ergonomics,
Hardware Development, Software Development, System
Development, Delivery and Acceptance (Acquirer)

Overview
The process module does not contain any products.
Purpose
Within the scope of the V-Modell XT, this term includes the aspects of functional safety (Safety),
information security (Security), and data protection. Functional safety comprises procedural or ope-
rational safety and the aspects of reliability, fault tolerance and correctness. Information security is
mainly intended to ensure the confidentiality, authenticity, and availability of information. Data pro-
tection regulates the implementation of legal data protection standards for the handling of personal
data.
The process module Safety and Security includes the V-Modell XT elements, which are required in
addition if safety and security aspects must be considered in the respective project, i.e., if risks
which could arise from the operation of the system must be avoided or minimized. The elements in
this process module are equally relevant for projects of Suppliers and Acquirers. Since the safety
and security requirements are based on the system environment and the planned use of the system, a
wholistic consideration of system and system environment is indispensable.
The process module does not include risks like realization risks (e.g. technological or organizational
realization risks), risks for the business model (e.g. competition situation and demand behavior) or
political risks.
The products (or subjects) and activities (or subactivities) of this process module refer to the follo-
wing:
● the determination of directives for safety and security,
● the determination of system safety and security requirements.
Since the safety and security requirements are based on the system environment and the planned use
of the system, a wholistic consideration of system and system environment is indispensable.
The process module does not include risks like realization risks (e.g. technological or organizational
realization risks), risks for the business model (e.g. competition situation and demand behavior) or
political risks.
The products (or subjects) and activities (or subactivities) of this process module refer to the speci-
fication of project-relevant safety and security directives and requirements.

Security (Acquirer), Security (Supplier)
6.10 Safety and Security (Supplier)

Needs: Safety and Security

Overview
Figure 28: Process module Safety and Security (Supplier)
Purpose
The process module Safety and Security (Supplier) is based on the process module »Safety and Se-
curity , complementing the latter by supplier-specific aspects.That means this module is only rele-
vant for projects of a supplier, which must consider safety and security aspects.
Safety and security analyses will be prepared in accordance with the specifications of the »Project
Manual. The results of the analyses regarding functional safety will be included in the Implementa-
tion, Integration and Test Concept, while the results regarding information security will be included
in the »Information Security Concept and the »Data Protection Concept.
Since the safety and security requirements are based on the system environment and the planned use
of the system, a wholistic consideration of system and system environment is indispensable.
The Information Security Concept comprises all statements on Information Security contained in
other V-Modell XT work products. It must be planned and implemented carefully and reviewed and
updated regularly.
A Data Protection Concept shall be prepared if personal data are handled in the project.

Security (Supplier)
6.11 Life Cycle Cost Management

Overview

Figure 29: Process module Life Cycle Cost Management
Purpose
The »Process Module Life Cycle Cost Management describes the commercial aspects of Project
Management. Every project must aim at achieving a positive commercial result. Thus, the process
module »Life Cycle Cost Management defines a process for planning and controlling the life cycle
costs to be expected. These include the costs for planning the project from the idea to contract
award (planning costs), the costs for executing the V-Model project (project costs), the costs requi-
red for production (production costs) and the costs required for using the system (in-service costs)
after the end of the V-Model project (e.g. for operation and maintenance, etc.). The latter will large-
ly be determined during the development phase and must be taken into account at an early develop-
ment stage. The life cycle specifications are outlined in the life cycle diagram and the overall sys-
tem architecture.
In case of large systems, the planning costs can be specified in a separate V-Modell project. In most
cases, the life cycle costs for the planned system are analyzed during this phase.
The project costs planned on the basis of the »Estimation of Effort will be transferred into a com-
mercially repeatable »Account Structure by means of the project structure plan. In this context, "ac-
counts" are generally defined as "cost units" and do not correspond to the account as defined by
commercial accounting.
In addition, the product costs to be expected can be derived from the »Product Structure in order to
fix a competitive market price for the system by employing appropriate procedures, e.g. target
costing.
The in-service costs (costs for starting up, maintaining and disposing of the system) are important
additional life cycle costs. Within the scope of logistic support, these costs will be described in de-
tail together with their expected development during the entire life cycle of the system.
Based on the life cycle costs, the economic efficiency of the project will be planned and documen-
ted in the product »Life Cycle Cost Calculation. This »Life Cycle Cost Calculation prepared at the
beginning of a project will be updated within the scope of the product »Commercial Project Status
Report, which supervises the planning costs, the project costs, the product costs to be expected, the
in-service costs and the economic efficiency. In case of deviations, the product »Problem Report /
Change Request initiates controlling measures and, possibly, technical modifications in the overall
system.

Life Cycle Cost Management
6.12 Measurement and Analysis


Overview
Figure 30: Process module Measurement and Analysis
Purpose
This »Process Module is intended to describe the processes for defining and using »Metrics (project
parameters), which are an important instrument for controlling the project. The V-Modell delibera-
tely does not specify which metrics will be used.
The use of metrics provides quantitative and qualitative statements on various project issues. These
statements aid in achieving the project objectives. Interesting questions include, e.g., the state of a
current project in order to be able to intervene, or the supervision of product characteristics in order
to demonstrate the compliance with user requirements or other (legal/normative) requirements. In
addition, metrics are used for developing experience-based knowledge within an organization,
which, e.g., supports the planning of other projects, or for gaining information on the quality of sub-
processes in order to recognize systematic errors. Metrics are not intended to control or assess the
performance of individual staff members.
The metrics in a project or for an entire organization must be defined clearly. This ensures that they
are equally understood and that the results are equally processed by all staff members. At the begin-
ning of a project, the metrics are either defined directly in the »Project Manual or, if available, se-
lected from an organization-wide »Metrics Catalog, which will be described in the organization-
specific process model.
In the course of the project, the »Measurement Data required for calculating the metrics will be col-
lected. A »Metrics Analysis, the results of which will be evaluated and communicated by means of
the »Reporting system, will be prepared at regular intervals or as required.

Project Measures
6.13 Delivery and Acceptance (Supplier)

Overview

Figure 31: Process module Delivery and Acceptance (Supplier)
Purpose
The process module Delivery and Acceptance (Supplier) is intended to define the delivery and ac-
ceptance process on part of the supplier. Within the scope of the individual project stages, the sup-
plier will develop deliveries, which will be delivered to the acquirer. The acceptance of the delivery
on part of the acquirer is specified in the process module Delivery and Acceptance (Acquirer). After
a successful acceptance, the »Statement of Acceptance signed by the Acquirer documents the suc-
cessful provisioning of the agreed supplies and services for Acquirer and Supplier alike.

System Development Project (Supplier), System Development Project (Acquirer/Supplier)
6.14 Drafting and Conclusion of Contract (Supplier)

Needs: Delivery and Acceptance (Supplier)
Overview
Figure 32: Process module Drafting and Conclusion of Contract (Supplier)
Purpose
The process module Drafting and Conclusion of Contract (Supplier) is intended to prepare an offer
which is acceptable from a technical, engineering, organizational and economical point of view, to
conclude a Contract (Acquirer) with the Acquirer on the basis of this offer, and finally to execute
the project successfully. Thus, this process module extends the acquirer side of the acquirer/supplier
interface contained in the process module Drafting and Conclusion of Contract (Acquirer). The pre-
vious project acquisition, which also includes the Assessment of Request for Proposal, is not inclu-
ded in this process module, but will be executed in accordance with the specifications of the respec-
tive supplier organization.
Based on the Assessment of Request for Proposal, the supplier will decide - at the decision gate Pro-
ject Approved - whether he wants to prepare an offer. In case of a positive assessment, the responsi-
ble Account Manager will prepare an appropriate Offer based on the Request for Proposal (Acqui-
rer) in close cooperation with the future Project Leader.

The offer outlines the contents of the offered system and the system development procedure. It fo-
cuses on accurate, verifiable information on functionality, quality, project life, effort and costs.
If the contract is concluded, the supplier is provided with an appropriate Contract (Acquirer), which
includes the requirements posed on the overall system to be developed and the relevant parts of the
Project Manual (Supplier) and the QA Manual (Supplier). In addition, it specifies schedule and sco-
pe of the deliveries.
In the course of the project, it may be necessary to prepare the work product Contract Addendum
(Acquirer), possibly several times. In addition, the successful accomplishment of the contractually
agreed supplies and services shall be documented by both sides in the Statement of Acceptance (Ac-
quirer).
The work products marked by the addendum "(Acquirer)" have identical duplicates on the side of
the acquirer in the process module Drafting and Conclusion of Contract (Supplier).

System Development Project (Supplier)
6.15 System Development


Overview
Figure 33: Process module System Development
Purpose
The »Process Module System Development defines the basic skeleton of system development
which is the basis for additional process modules as Software Development and Hardware Develop-
ment. The software and »Hardware Unit s defined in the system architecture will be realized in the
process modules Software Development and Hardware Development. In addition off-the-shelf pro-
ducts or results from subcontracts can be integrated during the system integration.

For this purpose, the process module includes activities and products required for creating a system
and the appropriate »Enabling System. The system is subdivided into the system elements »Seg-
ment and software, hardware and »External Unit . The enabling systems support the systems during
the life cycle phases and ensure the operation of the system within the respective operational envi-
ronment.
(In accordance with »ISO/IEC 12207 ) The system is defined as a uniform whole, capable of fulfil-
ling specified requirements or achieving certain objectives. It is the subject matter of the order
agreed between acquirer and supplier. This means that a segment or a »Software Unit may be the
subject matter of an order and, thus, of the system.
In the »Overall System Specification, the system development requirements are derived from the
user requirements, which are part of the »Contract, defined more precisely and transfered to the sys-
tem, the enabling system and the logistic support. Based on the requirements, the system architec-
ture, the »Enabling System Architecture and the appropriate »System Specifications will be prepa-
red. Similarly, integration - including the assembly and quality assurance for the integration proce-
dures - is defined in parallel to the system design. Based on these integration concepts, the system
and the enabling systems will be integrated from the system elements. The system elements charac-
terize the actually developed products, e.g., an automobile, aircraft or database.

System Development Project (Supplier), System Development Project (Acquirer/Supplier)
6.16 Hardware Development

Needs: System Development
Overview
Figure 34: Process module Hardware Development

Purpose
The »Process Module Hardware Development is closely connected with the process module »Sys-
tem Development. It is intended to design or specify, to realize and to integrate the hardware based
on the requirements and interfaces of system development. It concerns all hardware-relevant com-
ponents of the system architecture.
The process module Hardware Development uses a model-based approach. The model is described
by the »Hardware Architecture, the »Hardware Specification and the External Hardware Module
Specification. The Hardware Specification must be defined for all hardware architecture elements
which are not described in higher specifications.
The hardware creation procedure is subdivided into design, realization and integration. The design
describes the specification and the concept. The realization defines the implementation of the design
in hardware system elements. The integration describes assembly, initialization and testing.
The hardware creation is based on a continuous and repeatable development process which adopts
and refines the system development requirements until »Hardware Modules and External Hardware
Modules can be realized and integrated into »Hardware Components and »Hardware Units.

Subject of the Project
6.17 Software Development

Overview
Figure 35: Process module Software Development

Purpose
The »Process Module »Software Development is closely connected with the process module »Sys-
tem Development. It is intended to provide the system development with a concrete realization of
the »Software Unit s identified in the system architecture.
The initial product for developing a »Software Unit is the »Software Specification, which will be
prepared during the system design process for every »Software Unit to be realized. The »Software
Specification defines the requirements posed on the »Software Unit to be realized and the interfa-
ces. The »Software Specification is the basis for the design of the »Software Architecture.
During the architectural design, the »Software Unit is conceptually subdivided into »Software Com-
ponents, »Software Modules and products of the type »External Software Module. A »Software
Specification or a product of the type »External Software Module Specification will also be prepa-
red for every element identified in the »Software Architecture if this is required by the architecture.
Otherwise, the specification of a higher element will be used as standard for the realization.
In addition to the products to be designed, the process module »Software Development includes all
structural products required for realizing the »Software Unit, the »Software Unit itself, the »Softwa-
re Component , the »Software Module, and the product »External Software Module. These will be
designed in accordance with the »Software Architecture specifications and realized, integrated and
tested in accordance with the process module »Software Implementation, Integration and Evaluati-
on Concept. The completed »Software Unit will be integrated into the higher »Segment.

6.18 Integrated Logistic Support

Overview
Figure 36: Process module Integrated Logistic Support

Purpose
The »Integrated Logistic Support deals with the definition and the logistic support of the system's
life phases after delivery to the acquirer. The »Process Module »Integrated Logistic Support (ILS)
includes activities and products necessary for fulfilling the logistic requirements.
The logistic concept specifies and structures the integrated logistic support. Depending on the com-
plexity of the system, this may require comprehensive calculations and analyses. The significant ob-
jectives of the logistic concept include the following:
● Exerting systematic influence on technical system design and construction in order to opti-
mally fulfill the system requirements regarding high availability and low life cycle costs.
● Planning, establishing and maintaining the operational readiness of a system by specifying
logistic elements and taking into account additional logistic resources (e.g. special tools and
training equipment).
The logistic elements include, but are not limited to, the »Logistic Support Documentation,»Trai-
ning Documentation, »In-Service Documentation , »Maintenance Documentation, Repair Docu-
mentation and a Spare Parts Catalogue for each individual system. The In-Service Documentation
includes all information on operation and administration.
The optimization of logistic support considers all significant costs and their probable development
during the entire in-service life (system initialization, utilization, maintenance and repair, disposal)
in order to ensure the planned availability with minimum costs. The main costs result from the fol-
lowing:
● procurement costs including documentation and training,
● planned maintenance,
● unscheduled repair,
● sparing,
● breakdown of production and nonavailability,
● procurement of backup devices, and
● disposal.
Planning funding and control of logistic support activities are management functions fulfilled by the
role »Logistics Manager (ILS-Manager). Depending in the size of the project the role »Logistics
Manager may have the function of a subproject manager.

6.19 Usability and Ergonomics


Overview
Figure 37: Process module Usability and Ergonomics
Purpose
The »Process Module »Usability and Ergonomics is intended to design the interface between user
(man) and system (machine), i.e., the so-called man-machine interface. The interfaces are subdivi-
ded into interfaces between men and objects and interfaces between men and user interfaces (GUI).
The man-machine interface becomes increasingly important for the overall system:
● It is the interface where great portions of the system's overall functionality become visible
(e.g. the user interface as "face" of the overall system).
● It becomes increasingly important as marketing and differentiating instrument in competiti-
on with other products.
● It is decisive for the acceptance by future users.
Therefore, the acquirer increasingly makes demands on the consideration of ergonomic aspects to
be developed in close cooperation with the future clients.
Consequently, the supplier recognizes software and hardware ergonomics as necessary core compe-
tence.

User Interface
6.20 Enhancement and Migration of Legacy Systems


Overview
Figure 38: Process module Enhancement and Migration of Legacy Systems
Purpose
The process module »Enhancement and Migration of Legacy Systems is intended to plan and exe-
cute measures for further developing systems in maintenance or for planning and executing the mi-
gration of the system to new technologies.
At a certain time, preventive maintenance may require a comprehensive further development of the
system, e.g., due to extensive changes of functionality.
Systems will frequently degenerate in the course of time. Therefore, a »Legacy System Analysis is
recommendable, but not indispensable for the further development of the system. Based on this ana-
lysis, the documentation of the system can be adapted or prepared anew. The effort required for the
analysis varies greatly, depending on the system's degeneration level and on the quality of the exis-
ting system documentation.
The further development normally includes the incorporation of new requirements, which will have
to be included into »Overall System Specification and integrated into the »System Architecture. If
components of the system are migrated due to the new requirements, a »Migration Concept must be
prepared. This is the case, e.g., if new requirements lead to changes in the »Data Model.
If a technical and functional revision of the system is required, a migration will normally be ne-
cessary. In case of a migration, the functionality of the system will be developed completely anew,
while the data and interfaces of the legacy system will be integrated into the new architecture or
platform.
In case of a migration, a »Legacy System Analysis shall be executed in order to determine if com-
ponents can be migrated. The »Migration Concept will be based on this analysis. The new system
will be developed anew in the process module »System Development. The »Migration Concept de-
fines data and interfaces to be migrated.

Legacy System

Model

Overview
Figure 39: Process module Introduction and Maintenance of an Organization-Specific Process Mo-
del
Purpose
This »Process Module is intended to introduce, implement and continually improve a process model
for an organization. The defined procedure is applied to two cases:
1. to the first introduction and implementation of organization-wide process descriptions
2. to the repeated execution of an organization-wide process improvement program
The continuous improvement process is based on the V-Modell with its sub-processes, products and
activities. During the introduction of an organization-specific process model, the V-Modell can be
adapted to the organization and complemented by organization-specific processes. At the beginning
of the improvement project, it is necessary to specify which units belong to the organization.
The process improvement requirements are derived - on the one hand - from the requirements posed
by the management and - on the other hand - from the results of the process evaluations, which are
conducted based, e.g., on the following models
● V-Modell XT confomance check
● V-Modell XT Assessment
● »CMMI® (Capability Maturity Model Integration) developed by SEI (Software Engineering
Institute of the Carnegie Mellon University)
● »SPICE-Model (ISO/IEC 15504)
The implementation of the requirements will then be prepared in the »Process Model Improvement
Concept. Afterwards, process descriptions, »Training Documentation etc. will be prepared or revi-
sed and filed in the »Organization-Specific Process Model. This is the basis for piloting and intro-
ducing the organization-specific process model.
One of the most important conditions for a successful process improvement is the visible, clear sup-
port by the management which ensures the backing and the priority of the activities within the scope
of process improvement.
The process module »Introduction and Maintenance of an Organization-Specific Process Model has
interfaces to other process modules, e.g.,

● to the process module »Project Management, which derives the subject »Project-Specific V-
Modell from the product »Organization-Specific Process Model, and
● to the process module »Measurement and Analysis via the »Metrics Catalog.
These are not modeled explicitly here.

Introduction and Maintenance of an Organization-Specific Process Model
6.22 Management of Multiple Projects

Needs: Specification of Requirements
Overview
Figure 40: Process module Management of Multiple Projects
Purpose
The Management of Multiple Projects is a variation of »Project Management, intended to improve
the controllability of complex and large projects by subdividing them into partial projects and inten-
ded to minimize the project risks. On the basis of a »Project Manual for the overall project, the
»Process Module Management of Multiple Projects will prepare a »Requirements Specification
Overall Project, which enables the »Project Leader to subdivide the overall project into partial pro-
jects which can be executed independently. In the end, the results of the partial project will again be
reunited into one overall system.
Project type variants that may include this process module

Project (Acquirer) with Several Suppliers

7 Decision Gates 3-135
7 Decision Gates
A »Decision Gate is a project point where the »Steering Committee decides whether a »Project Pro-
gress Stage has been achieved. Decision Gates subdivide the project history into »Project Sections.
7.1 Project Approved

Products: Proposal for the Introduction and Maintenance of an Organization-Specific Process
Model, Assessment of Request for Proposal, Project Proposal, Project Progress
Decision
Purpose
At the »Decision Gate »Project Approved, the »Steering Committee of the acquirer decides - based
on the »Project Proposal - whether the project should be started with the »Request for Proposal.
The Management Board of the supplier decides - based on the »Assessment of Request for Proposal
- whether an »Offer should be prepared.
If the project deals with the introduction and maintenance of an organization-specific process mo-
del, the »Steering Committee decides - based on the »Proposal for the Introduction and Mainte-
nance of an Organization-Specific Process Model - whether the project should be started with the
»Assessment of a Process Model.
A »Project Progress Decision will be made in order to proceed to the next decision gate.
7.2 Project Defined

Products: Product Library, Project Progress Decision, Project Manual, QA Manual, Project
Plan, Project Status Report, Quality Status Report
Purpose
The »Decision Gate »Project Defined includes the decision as to whether »Project Manual and »QA
Manual correctly reflect the project.
In case of a positive assessment, »Project Manual and »QA Manual specify first framework conditi-
ons for the project, which - in the further course of the project - enable the acquirer to specify the
requirements and the supplier to develop the project.
A detailed »Project Plan includes the planning for the following »Project Progress Stage. The »Pro-
ject Status Report documents the project progress, and the »Quality Status Report describes the qua-
lity characteristics of the project.
All project-relevant data will be filed in the »Product Library, which is managed by the »Configura-
tion Management. The structure of the product library will be specified at the latest at the »Decision
Gate »Project Defined.

7.3 Requirements Specified

Products: RFP Concept, Project Progress Decision, Requirements Specification, Requirements
Evaluation, Project Plan, Project Status Report, Quality Status Report
Purpose
At the »Decision Gate »Requirements Specified, the »Steering Committee of the acquirer or the
user checks the specified requirements and their priority for completeness and correctness.
In case of a positive assessment, the requirements will be documented as »Requirements Specifica-
tion. In addition, the user submits a »Requirements Evaluation in accordance with the priority
he/she assigns to the individual requirements. On the basis of these documents, the supplier can de-
velop the system.
If the contract is awarded based on a »Request for Proposal, the appropriate preparation will begin
already in this decision gate. It may be subject to certain regulations of the contract award law. The
»RFP Concept is intended to ensure that these regulations are complied with. It specifies a legally
correct procedure for developing a reasonable request for proposal.
7.4 Request for Proposal Released

Products: Request for Proposal, Criteria Catalog for Assessment of Offers, Project Progress
Decision, Project Plan, Project Status Report, Quality Status Report
Purpose
The »Decision Gate »Request for Proposal Released includes the decision as to whether the »Re-
quest for Proposal may be published.
In case of a positive assessment, an »Request for Proposal and a »Criteria Catalog for Assessment
of Offers are submitted which permit an objective evaluation of received »Offers.
7.5 Offer Submitted

Products: Offer, Project Progress Decision, Project Plan, Project Status Report, Quality Status
Report

Purpose
At the »Decision Gate »Offer Submitted, the »Steering Committee of a potential supplier examines
whether the »Offer prepared based on the »Request for Proposal shall be submitted in its present
form to the acquirer.
In case of a positive assessment, the »Offer will be submitted to the acquirer.
7.6 Contract Awarded

Products: Contract (Acquirer), Offer Assessment, Contract Addendum (Acquirer), Contract,
Contract Addendum, Project Progress Decision, Evaluation Specification Delivery,
Project Plan, Project Status Report, Quality Status Report
Purpose
At the »Decision Gate »Contract Awarded, the Steering Committees of acquirer and supplier decide
on the conclusion of contract.
In this context, there are three possible initial situations:
1. The intended contract is the project's first contractual agreement between acquirer and sup-
plier. The acquirer will make this decision based on the »Offer Assessment, while the sup-
plier's decision will be based on the »Contract (Acquirer).
2. Acquirer and supplier have already concluded a contractual agreement and a part of the re-
quirements has already been realized, possibly in form of a prototype. In this case, the acqui-
rer decides whether - in view of the results achieved up to now - a cooperation with the sup-
plier is desirable for the entire realization of the project. The supplier's decision will again be
based on the Contract (Acquirer).
3. If the acquirer has achieved new knowledge about the requirements during the system deve-
lopment, he can specify new or modified requirements. This may lead to the specification of
a contract addendum. In case of a public request for proposals, however, the applicable con-
tract award law must be complied with.
In case of a positive decision, a »Contract will be concluded between acquirer and supplier, which
commits the supplier to develop and, finally, to deliver the system to the acquirer.
The contents of the contract and the requirements contained therein influence the »Evaluation Spe-
cification Delivery , which is decisive for the acceptance test of the »Delivery (Supplier) at the deci-
sion gate »Acceptance Completed.

7.7 Iteration Scheduled

Products: Project Progress Decision, Project Manual, QA Manual, Project Plan, Project Status
Report, Quality Status Report
Purpose
The decision gate Iteration Scheduled specifies the planning for the following system development
steps. The planning covers the period to the next increment, but may go even further.
For this purpose, the open Change Requests of the Change Status List are examined, and acquirer
and supplier will agree on the subsequent proceedings.
The Acquirer plans the preparation of the products required for the acceptance test, e.g., the Evalua-
tion Specification.
The Supplier plans the detailed proceedings through the system development decision gates to the
Delivery and Acceptance.
7.8 System Specified

Products: Overall System Specification, Project Progress Decision, Evaluation Specification
Document, Evaluation Specification System Element, Data Protection Concept,
Information Security Concept, Safety and Security Analysis, Project Plan, Project
Status Report, Quality Status Report
Purpose
The »Decision Gate »System Specified evaluates if the overall system specification has been prepa-
red completely as planned and in accordance with the requirements.
In case of a positive assessment, the »Overall System Specification will be submitted, which will
enable the system to be designed and realized. In addition, the »Evaluation Specification System
Element will completed for every system element. If required, a »Evaluation Specification Docu-
ment will be prepared for every document to be delivered.
lity characteristics of the project. In addition, the hazards connected with the project are documen-
ted in a »Safety and Security Analysis.

7.9 System Designed

Products: Logistic Support Specification, System Architecture, System Specification, Enabling
System Architecture, External Unit Specification, System Implementation,
Integration and Evaluation Concept, Project Progress Decision, Enabling System
Implementation, Integration, and Evaluation Concept, Evaluation Specification
System Element, Data Protection Concept, Information Security Concept, Safety and
Security Analysis, Project Plan, Project Status Report, Quality Status Report
Purpose
The »Decision Gate »System Designed includes the final evaluation of the capacity of the »System
Architecture and the »Enabling System Architecture.
In case of a positive assessment, the »System Specification, the »Logistic Support Specification and
the »Evaluation Specification System Element are completed for the system and all designed sys-
tem elements. The basic implementation, test and integration procedures are specified in the »Sys-
tem Implementation, Integration and Evaluation Concept and the »Enabling System Implementati-
on, Integration, and Evaluation Concept. In addition, a »Evaluation Specification System Element is
prepared for each system element. Thus, a following detailed design can be executed within a unit
based on a stable preliminary design. In addition, an »External Unit Specification was prepared for
external units.
7.10 Detailed Design Completed

Products: Logistic Support Concept, Hardware Architecture, Hardware Specification, Software
Architecture, Software Specification, External Hardware Module Specification,
External Software Module Specification, Project Progress Decision, Hardware
Implementation, Integration and Evaluation Concept, Software Implementation,
Integration and Evaluation Concept, Evaluation Specification System Element,
Information Security Concept, Safety and Security Analysis, Project Plan, Project
Purpose
The »Decision Gate »Detailed Design Completed includes the final evaluation of the capacity of the
hardware and software architecture.
In case of a positive decision, the detailed »Hardware Specification and »Software Specification
and the products of the types External Hardware Module Specification and External Software Mo-
dule Specification are completed, which will be used for realizing the future units. In addition, the
hardware and software test and integration concepts are completed, which will be used for checking

the functionality of implemented units. The products »Hardware Architecture, »Software Architec-
ture and a »Logistic Support Concept will be submitted. By means of these products, the system
elements can be realized or suitable products of the types External Hardware Module, External
Software Module and External Unit can be selected, which will later become »System Integrated. In
addition, the »Evaluation Specification System Element will be completed for all system elements.
7.11 System Elements Realized

Products: Hardware Unit, Software Unit, External Hardware Module, Project Progress
Decision, External Software Module, Evaluation Report System Element, Project
Purpose
Based on the product »Evaluation Report System Element, the »Decision Gate »System Elements
Realized evaluates if all units work in accordance with their specifications.
In case of a positive result, the individual operational »Hardware Units and »Software Units are rea-
dy and can be integrated into the overall system.
7.12 System Integrated

Products: System, Segment, External Unit, Project Progress Decision, Logistic Support
Documentation, Evaluation Report System Element, Project Plan, Project Status
Purpose
At the »Decision Gate »System Integrated, the supplier employs the product »Evaluation Report
System Element for checking whether the »System fulfills the requirements of the acquirer.
In case of a positive assessment, the integrated »System including all »Segments, Hardware Units,
Software Units and products of the type »External Unit and the »Logistic Support Documentation
exist in deliverable form.

7.13 Delivery Conducted

Products: Delivery, Project Progress Decision, Evaluation Report Document, Evaluation
Report System Element, Project Plan, Project Status Report, Quality Status Report
Purpose
The »Decision Gate »Delivery Conducted is intended to deliver the system to the acquirer or the
user. For this purpose the system or the documents to be delivered will be evaluated, and the result
will be recorded in the product »Evaluation Report System Element or the »Evaluation Report Do-
cument.
In case of a positive assessment, the (sub-)system shall delivered as »Delivery to the acquirer or
user, who can then examine whether the (sub-)system fulfills his/her requirements.
7.14 Project Progress Revised

Products: Project Progress Decision, Project Status Report (Supplier), Project Plan, Project
Purpose
At the decision gate Project Progress Revised, the Acquirer checks the project progress achieved by
the Supplier. While the Supplier deals with the system development, the Acquirer is tasked with
supporting the Supplier in technical questions and observing the project progress.
The schedule of this decision gate will be planned in dependence on the Supplier. The Supplier sub-
mits the Project Status Report (Supplier) as decision basis for this decision gate.
7.15 Acceptance Completed

Products: Statement of Acceptance (Acquirer), Delivery (Supplier), Project Progress Decision,
Statement of Acceptance, Evaluation Report Delivery, Project Plan, Project Status

Purpose
At the »Decision Gate »Acceptance Completed, the »Steering Committee of the acquirer or the user
uses the »Evaluation Report Delivery for checking whether the delivered (sub-)system fulfills
his/her requirements. In case of a positive result, the »Statement of Acceptance may be signed. Ba-
sed on the »Statement of Acceptance of the acquirer, the Steering Committee of the supplier or the
system developer checks at this decision gate, whether the project can enter the next development
cycle or reach the state »Project Completed, or whether further corrective actions are required.
In case of a positive assessment by both sides, the (sub-)system is completed, and the possession is
transferred to the acquirer within the scope of the »Delivery (Supplier), unless acquirer and supplier
belong to the same organizational unit. The acquirer or user has tested the delivered products, recor-
ded the results in the product »Evaluation Report Delivery and prepared an »Statement of Acceptan-
ce.
If the delivery cannot be accepted due to a lack of quality, there are the following possibilities:
1. The payment of installments may depend on the acceptance. It is possible to specify that the
installments for one iteration are transferred to the next iteration if the delivery is not accep-
ted. In this case, the planned workflow is not interrupted, but the deficiencies must be reme-
died in the following iteration.
2. The project goes back for the required number of decision gates, and the procedures leading
toward the acceptance are repeated.
3. The project is cancelled.
7.16 Project Completed

Products: Project Progress Decision, Final Project Report
Purpose
The »Decision Gate »Project Completed includes the decision as to whether the project will be
completed.
In case of a positive assessment, the »Final Project Report is the basis for future analysis tasks.
7.17 Process Model Analyzed

Products: Assessment of a Process Model, Project Progress Decision, Project Plan, Project

Purpose
At the »Decision Gate »Process Model Analyzed, the Management of an organizational unit em-
ploys the »Assessment of a Process Model to decide whether the proposed improvement project
should be executed.
In case of a positive assessment, the »Assessment of a Process Model provides a basis for future im-
provement measures.
7.18 Process Model Improvement Specified

Products: Process Model Improvement Concept, Project Progress Decision, Project Plan,
Project Status Report, Quality Status Report
Purpose
At the »Decision Gate »Process Model Improvement Specified, the management of an organization
decides whether the proposed project should be continued. This decision will be based on the pro-
duct »Process Model Improvement Concept.
In case of a positive assessment, an »Process Model Improvement Concept exists, which specifies
how the process model should be improved in the further course of the project.
7.19 Process Model Improvement Implemented

Products: Organization-Specific Process Model, Project Progress Decision, Project Plan,
Project Status Report, Quality Status Report
Purpose
At the »Decision Gate »Process Model Improvement Implemented, the management of an organiza-
tional unit employs the product »Organization-Specific Process Model to decide whether the impro-
vement project should be completed.
In case of a positive assessment, the improved process model is available, and its contents is subject
to configuration management.

7.20 Overall Project Partitioned

Products: Project Progress Decision, Requirements Specification Overall Project, Evaluation of
the Overall Project Requirements Specification, Project Manual, QA Manual, Project
Purpose
At the decision gate Overall Project Partitioned, the project will be partitioned into feasible partial
projects in accordance with Outline of the Life Cycle and the Overall System Architecture in the
Requirements Specification. If this partition into partial projects is feasible, the specification of the
partial projects will be integrated into the Project Manual and the Project Plan.
7.21 Overall Project Progress Revised

Products: Project Progress Decision, Project Status Report (Supplier), Project Plan, Project
Purpose
On the basis of all Project Status Reports (Supplier), a »Project Progress Decision will be made as
to whether the overall project still fulfills the planning data specified in the Project Plan and as to
whether and how the project shall be continued.

8 Tailoring-Related Product Dependencies 3-145
8 Tailoring-Related Product Dependencies

Tailoring-related product dependencies describe the relations between »Products and »Process Mo-
dules, which are relevant for »Tailoring. For a description of tailoring product dependencies, refer
to V-Model Part 1: »Fundamentals of the V-Modell, Chapter »Tailoring .
8.1 Procurement of Off-the-Shelf Products

Tailoring influenced by: Project Proposal
If the Project Proposal recommends or specifies that off-the-shelf products be used if possible, an
evaluation of off-the-shelf products shall be conducted.
8.2 Optional Procurement of Off-the-Shelf Products

Tailoring influenced by: Requirements Specification, Requirements Specification
Overall Project
During the requirements specification, the outline of the life cycle and the overall system architec-
ture may show that it is not necessary to develop all system components and that some components
or the overall system can possibly be procured as off-the-shelf products. If it is decided that off-the-
shelf products should be used, an evaluation of off-the-shelf products shall be conducted.
8.3 Directives from the Overall System Specification

Tailoring influenced by: Overall System Specification
The contents of the »Overall System Specification is decisive for the »Tailoring Result, which will
be documented in the »Project Manual. If requirements were assigned to the integrated logistic sup-
port or to logistic elements, maintenance documentation, repair documentation or spare parts cata-
logs in the product »Overall System Specification under the subject »Requirements Tracing, the
»Process Module »Integrated Logistic Support must be selected.
8.4 Directives from the Acquirer

Tailoring influenced by: Request for Proposal (Acquirer), Contract (Acquirer), Contract
Addendum (Acquirer)
The acquirer may specify mandatory »Process Modules to be selected by the supplier. If the acqui-
rer has made specifications of this type referring to the »Project Manual of the supplier in the pro-
ducts »Request for Proposal (Acquirer), »Contract (Acquirer) and »Contract Addendum (Acquirer),
these shall be taken into account during the »Tailoring process.
8.5 Specifying a Management of Multiple Projects

Tailoring influenced by: Project Proposal
If the Project Proposal recommends or specifies that the overall project be subdivided into sub-pro-
jects, a management of multiple projects shall be conducted.

8.6 Directives from the System Architecture

Tailoring influenced by: System Architecture
The contents of the »System Architecture is decisive for the »Tailoring Result, which will be docu-
mented in the »Project Manual . The following provisions shall be observed:
● If at least one »Software Unit or one External Software Module has been identified in the
product System Architecture, the »Process Module »Software Development must be selec-
ted in the Project Manual.
● If at least one »Hardware Unit or one External Hardware Module has been selected in the
product System Architecture, the process module »Hardware Development must be selected
in the Project Manual.
● If at least one »External Unit or one External Hardware Module or External Software Modu-
le to be bought has been selected in the product System Architecture, the process module
»Evaluation of Off-the-Shelf Products must be selected in the Project Manual.
le to be awarded as subcontract has been selected in the product System Architecture, the
process module »Delivery and Acceptance (Acquirer) must be selected in the Project Manu-
al.
le to be adopted from a legacy system has been selected in the product System Architecture,
the process module »Enhancement and Migration of Legacy Systems must be selected in the
Project Manual.
8.7 Directives from the Project Manual

Tailoring influenced by: Project Manual
The »Tailoring Result will be documented in the »Project Manual under the subject »Project-Speci-
fic V-Modell. In addition, there are other subjects in the »Project Manual which influence the tailo-
ring result, e.g. the subject »Project Execution Plan.
8.8 Directives from the Enabling System Architecture

Tailoring influenced by: Enabling System Architecture
The contents of the »Enabling System Architecture is decisive for the »Tailoring Result, which will
be documented in the »Project Manual. The following provisions shall be observed:
● If at least one »Software Unit or one External Software Module has been identified in the
product Enabling System Architecture, the »Process Module »Software Development must
be selected in the Project Manual.
● If at least one »Hardware Unit or one External Hardware Module has been identified in the
product Enabling System Architecture, the process module »Hardware Development must
be selected in the Project Manual.

8 Tailoring-Related Product Dependencies 3-147
le to be bought as off-the-shelf product has been identified in the product Enabling System
Architecture, the process module »Evaluation of Off-the-Shelf Products must be selected in
the Project Manual.
le to be awarded as subcontract has been identified in the product Enabling System Architec-
ture, the process module »Delivery and Acceptance (Acquirer) must be selected in the Pro-
ject Manual.
le to be adopted from a legacy system has been identified in the product Enabling System
Architecture, the process module »Enhancement and Migration of Legacy Systems must be
selected in the Project Manual.

9 Process Module Index
Project Management...................................................................................................................3-111
Products
Planning and Control..................................................................................................................5-23
Estimation..............................................................................................................................5-36
Estimation of the Scope....................................................................................................5-37
Estimation of Effort..........................................................................................................5-37
Project Management Infrastructure.......................................................................................5-35
Project Manual.......................................................................................................................5-25
Project Overview, Project Targets and Success Factors....................................................5-27
Project-Specific V-Modell.................................................................................................5-27
Deviations from the V-Modell..........................................................................................5-28
Project Execution Plan......................................................................................................5-28
Project Management - Organization and Directives.........................................................5-28
Risk Management - Organization and Directives.............................................................5-29
Reporting and Communication Channels.........................................................................5-32
Project Plan............................................................................................................................5-39
Project Execution Plan......................................................................................................5-40
Integrated Planning...........................................................................................................5-40
Training Plan.....................................................................................................................5-42
Project Progress Decision......................................................................................................5-23
Project Evaluation.............................................................................................................5-24
Decision Submittal............................................................................................................5-24
Planning and Scheduling...................................................................................................5-25
Resource Planning.............................................................................................................5-25
Directives and General Conditions...................................................................................5-25
Risk List.................................................................................................................................5-37
Identified Risks.................................................................................................................5-38
Risk Mitigation Measures.................................................................................................5-38
Work Order............................................................................................................................5-42
Reporting....................................................................................................................................5-44
Final Project Report...............................................................................................................5-55
Management Summary.....................................................................................................5-55
Initial Situation and Objectives.........................................................................................5-56
Project Results...................................................................................................................5-56
Project Progress.................................................................................................................5-56
Meeting Document................................................................................................................5-44
Invitation...........................................................................................................................5-45
Protocol.............................................................................................................................5-45
Project Diary..........................................................................................................................5-47
Lessons Learned................................................................................................................5-48
Project Status Report.............................................................................................................5-51
Management Summary.....................................................................................................5-52
Project Results...................................................................................................................5-52
Current Risks and Related Risk Mitigation Measures......................................................5-53

9 Process Module Index 3-149
Deviations from the Project Plan......................................................................................5-53

Planning for the next Reporting Period.............................................................................5-53
Activities
Planning and Control..................................................................................................................5-23
Assigning a Work Order........................................................................................................6-29
Coming to a Project Progress Decision.................................................................................6-11
Establishing and Maintaining a Project Management Infrastructure.....................................6-19
Managing Risks.....................................................................................................................6-21
Identifying Risks and Measures........................................................................................6-21
Monitoring Risks and Measures.......................................................................................6-24
Performing an Estimation......................................................................................................6-20
Determining Estimation Methodology and Objects..........................................................6-20
Determining Estimations...................................................................................................6-21
Consolidating Estimation Results.....................................................................................6-21
Planning Project.....................................................................................................................6-24
Planning Project Execution...............................................................................................6-25
Planning Products and Activities of the Decision Gates...................................................6-26
Planning Work Breakdown Structure................................................................................6-26
Planning Work Packages...................................................................................................6-27
Coordinating Project Plan with Stakeholders...................................................................6-28
Preparing the Project Manual................................................................................................6-12
Preparing and Analyzing an Application Profile...............................................................6-15
Realizing Project-Specific Adaptation..............................................................................6-15
Planning Project Execution...............................................................................................6-16
Coordinating the Project Manual with all Stakeholders...................................................6-17
Preparing and Performing Project Kick-Off.....................................................................6-17
Performing Project-Specific Adaption during Project Execution.....................................6-17
Reporting....................................................................................................................................5-44
Concluding Project................................................................................................................6-36
Holding a Meeting.................................................................................................................6-32
Keeping a Project Diary.........................................................................................................6-33
Preparing Project Status Report.............................................................................................6-35
Quality Assurance........................................................................................................................3-112
Products
Evaluation...................................................................................................................................5-61
Evaluation Report Document................................................................................................5-64
Evaluation Object..............................................................................................................5-64
Evaluation Results.............................................................................................................5-64
Analysis of Results and Proposals for Corrective Actions...............................................5-64
Evaluation Report Process.....................................................................................................5-65
Evaluation Specification Document......................................................................................5-63
Evaluation Criteria............................................................................................................5-64
Evaluation Specification Process...........................................................................................5-65

Qualification Record..............................................................................................................5-77
Necessity and Allocation of Qualifications.......................................................................5-77
Listing of Qualifications...................................................................................................5-77
Planning and Control (Process module Project Management)...................................................5-23
Project Plan (Process module Project Management).............................................................5-39
Evaluation Plan Documents..............................................................................................5-41
Evaluation Plan Processes.................................................................................................5-41
QA Manual.............................................................................................................................5-33
Quality Targets and Requirements....................................................................................5-34
Products to Be Evaluated..................................................................................................5-34
Processes to Be Evaluated.................................................................................................5-34
Quality Assurance - Organization and Directives.............................................................5-34
Reporting (Process module Project Management).....................................................................5-44
Final Project Report (Process module Project Management)................................................5-55
Quality Assessment...........................................................................................................5-56
Project Status Report (Process module Project Management)..............................................5-51
Quality Assessment...........................................................................................................5-53
Quality Status Report.............................................................................................................5-54
Scope of Evaluations.........................................................................................................5-54
Status of Processes............................................................................................................5-54
Quality Problems...............................................................................................................5-54
Corrective Actions.............................................................................................................5-55
Activities
Evaluation...................................................................................................................................5-61
Evaluating Document............................................................................................................6-49
Evaluating Process.................................................................................................................6-50
Keeping Qualification Record...............................................................................................6-61
Setting up Qualification Record........................................................................................6-61
Obtaining Qualifications...................................................................................................6-62
Preparing Evaluation Specification Document......................................................................6-49
Preparing Evaluation Specification Process..........................................................................6-50
Preparing the QA Manual......................................................................................................6-18
Determining Quality Goals and Requirements.................................................................6-18
Determining the Scope of Evaluations..............................................................................6-18
Determining Organization and Directives........................................................................6-19
Preparing Quality Status Report............................................................................................6-36
Configuration Management.......................................................................................................3-113
Products
Configuration and Change Management (Process module Project Management).....................5-56
Product Configuration...........................................................................................................5-57
Product Library......................................................................................................................5-56
Evaluation (Process module Quality Assurance).......................................................................5-61
Evaluation Report Product Configuration.............................................................................5-62


Evaluation Specification Product Configuration...................................................................5-62
Project Manual (Process module Project Management)........................................................5-25
Configuration Management - Organization and Directives..............................................5-30
Activities
Managing Product Configuration..........................................................................................6-47
Initializing and Updating Configuration...........................................................................6-47
Document Delivery Data..................................................................................................6-48
Managing Product Library.....................................................................................................6-43
Establishing CM................................................................................................................6-44
Establishing and Administering Access Rights.................................................................6-45
Initializing and Administering Products...........................................................................6-45
Saving and Archiving Products.........................................................................................6-45
Preparing CM Evaluations................................................................................................6-46
Evaluating Product Configuration.........................................................................................6-49
Preparing Evaluation Specification Product Configuration..................................................6-48
Problem and Change Management...........................................................................................3-114
Products
Change Decision....................................................................................................................5-60
Decision Criteria...............................................................................................................5-60
Decision and Rationale.....................................................................................................5-61
Change Status List.................................................................................................................5-61
Problem/Change Evaluation..................................................................................................5-59
Opportunity/Problem Analysis..........................................................................................5-59
Suggested Solutions and Consequences...........................................................................5-60
Recommendation..............................................................................................................5-60
Problem Report / Change Request.........................................................................................5-58
Identification and Classification.......................................................................................5-58
Opportunity/Problem Description.....................................................................................5-59
Suggested Solution............................................................................................................5-59
Problem and Change Management - Organization and Directives...................................5-29
Problem and Change Statistics..........................................................................................5-53
Activities
Assessing Problem Report/Change Request..........................................................................6-37
Analyzing Problem...........................................................................................................6-38
Proposing Solutions..........................................................................................................6-38
Making a Recommendation..............................................................................................6-39

Deciding on Changes.............................................................................................................6-39
Maintaining Change Status List.............................................................................................6-41
Recording Change Requests.............................................................................................6-42
Evaluating Change Requests.............................................................................................6-43
Updating Change Status List.............................................................................................6-43
Preparing Problem Report/Change Request..........................................................................6-37
Delivery and Acceptance (Acquirer)..........................................................................................3-115
Products
Acquisition and Contracting.......................................................................................................5-78
Statement of Acceptance........................................................................................................5-85
Evaluation of Delivery......................................................................................................5-85
Annex: Evaluation Report Delivery..................................................................................5-86
Evaluation Report Delivery...................................................................................................5-76
Evaluation Specification Delivery.........................................................................................5-75
Evaluation Strategy...........................................................................................................5-75
Evaluation Cases...............................................................................................................5-75
Evaluation Environment...................................................................................................5-76
Allocation of Evaluation Cases.........................................................................................5-76
Activities
Acquisition and Contracting.......................................................................................................5-78
Issuing Statement of Acceptance (Acquirer).........................................................................6-65
Evaluating Delivery...............................................................................................................6-61
Verifying (Partial) Delivery..............................................................................................6-61
Validating (Partial) Delivery.............................................................................................6-61
Preparing Evaluation Specification Delivery........................................................................6-59
Specifying Evaluation Strategy.........................................................................................6-59
Deriving Evaluation Cases................................................................................................6-60
Allocating Evaluation Cases to Requirements..................................................................6-60
Determining Evaluation Environment..............................................................................6-60
Drafting and Conclusion of Contract (Acquirer).....................................................................3-116
Products
Acquisition and Contracting (Process module Delivery and Acceptance (Acquirer))...............5-78
Contract..................................................................................................................................5-83
Contract - Legal and Commercial Clauses and Conditions..............................................5-83
Annex 1: Requirements Regarding (Sub-)System............................................................5-84
Annex 2: Contract-Relevant Parts of the Project Manual (Supplier)................................5-84
Annex 3: Contract-Relevant Parts of the QA Manual (Supplier).....................................5-84
Contract Addendum...............................................................................................................5-84
Criteria Catalog for Assessment of Offers.............................................................................5-80
Delivery (Supplier)................................................................................................................5-85

Offer (Supplier)......................................................................................................................5-81
Offer Assessment...................................................................................................................5-82
Offers Received.................................................................................................................5-82
Assessment of Offers........................................................................................................5-82
Acceptance of an Offer.....................................................................................................5-82
Request for Proposal..............................................................................................................5-79
General Remarks on the Request for Proposal.................................................................5-80
Annex 1: Requirements Regarding the (Sub-)System......................................................5-80
Annex 2: Directives for the Project Manual (Supplier)....................................................5-80
Annex 3: Directives for the QA Manual (Supplier)..........................................................5-80
RFP Concept..........................................................................................................................5-78
Overview and Evaluation of Alternatives.........................................................................5-79
Selection of a RFP Concept..............................................................................................5-79
Request for Proposal - Organization and Guidelines........................................................5-79
Distribution List................................................................................................................5-79
Directives for the Project Manual of the Supplier............................................................5-32
QA Manual (Process module Quality Assurance).................................................................5-33
Directives for the QA Manual of the Supplier..................................................................5-35
Final Project Report (Supplier)..............................................................................................5-47
Project Diary (Process module Project Management)...........................................................5-47
Experience with Suppliers................................................................................................5-49
Project Status Report (Supplier)............................................................................................5-45
Activities
Acquisition and Contracting (Process module Delivery and Acceptance (Acquirer))...............5-78
Assessing and Selecting Offers..............................................................................................6-64
Awarding Contract (Acquirer)...............................................................................................6-65
Awarding Contract Addendum (Acquirer).............................................................................6-65
Determining RFP Concept.....................................................................................................6-62
Peparing Criteria Catalog for Assessment of Offers..............................................................6-64
Preparing Request for Proposal.............................................................................................6-63
Specification of Requirements....................................................................................................3-117
Products
Requirements Management - Organization and Directives..............................................5-31
Requirements and Analyses (Process module Project Management).........................................5-86
Project Proposal.....................................................................................................................5-87
Initial Situation..................................................................................................................5-88
General Conditions and Constraints.................................................................................5-89
Project Objectives and System Concepts..........................................................................5-89
Opportunities and Risks....................................................................................................5-89
Planning............................................................................................................................5-90
Economic Efficiency.........................................................................................................5-90
Requirements Evaluation.......................................................................................................5-96

Requirements Specification...................................................................................................5-92
Functional Requirements..................................................................................................5-94
Non-Functional Requirements..........................................................................................5-94
Outline of the Life Cycle and the Overall System Architecture.......................................5-94
Scope of Delivery..............................................................................................................5-95
Acceptance Criteria...........................................................................................................5-95
Activities
Determining Requirements....................................................................................................6-72
Describing Initial Situation and Objectives......................................................................6-73
Specifying Functional Requirements................................................................................6-74
Specifying Non-Functional Requirements........................................................................6-76
Preparing Outline of System Life Cycle and Overall System Architecture......................6-81
Analyzing Quality of Requirements.................................................................................6-82
Specifying Scope of Delivery and Acceptance Criteria....................................................6-84
Preparing Requirements Evaluation......................................................................................6-86
Specifying Evaluation Criteria..........................................................................................6-87
Evaluating Requirements..................................................................................................6-88
Integrating Evaluation Results..........................................................................................6-91
Evaluation of Off-the-Shelf Products........................................................................................3-118
Products
Directives for Evaluation Specification for Off-the-Shelf Products.................................5-35
Experiences with Off-the-Shelf Products.........................................................................5-49
Make-or-Buy Decision (Process module System Development)........................................5-108
Evaluation of Off-the-Shelf Products..............................................................................5-111
Market Survey for Off-the-Shelf Products..........................................................................5-107
Activities
Performing Market Survey for Off-the-Shelf Products.......................................................6-100
Safety and Security......................................................................................................................3-119
Products
Evaluation Specification Delivery (Process module Delivery and Acceptance (Acquirer)). 5-75
Protective Measures..........................................................................................................5-76
Evaluation Specification Usability (Process module Usability and Ergonomics).................5-66
Safety and Security - Organization and Directives...........................................................5-31

Requirements Specification (Process module Specification of Requirements).....................5-92

Safety and Security Relevant Requirements, Risk Acceptance and Safety and Security
Levels...........................................................................................................................5-95
Requirements Specification Overall Project (Process module Management of Multiple
Projects)............................................................................................................................5-90
Levels...........................................................................................................................5-91
Activities
Safety and Security (Supplier)...................................................................................................3-120

Products
Evaluation Specification System Element (Process module System Development).............5-70
Data Protection Concept........................................................................................................5-98
Legal Foundations and Their Implementation................................................................5-100
Origin and Purpose of Processing Personal Data............................................................5-100
System Survey and Protection Requirements.................................................................5-100
Risks................................................................................................................................5-100
Requirements and Measures...........................................................................................5-100
Information Security Concept..............................................................................................5-101
Presentation of the Project and the Operational Environment........................................5-102
Protection Requirements.................................................................................................5-102
System Architecture from an IT Security Point of View................................................5-102
Information Security Requirements................................................................................5-102
Information Security Measures.......................................................................................5-103
Risks Remaining.............................................................................................................5-103
Emergency Plan..............................................................................................................5-103
Standards for Verifying the Effectiveness of the Measures............................................5-103
Safety and Security Analysis...............................................................................................5-103
Hazard Identification and Damage Classification..........................................................5-104
Post analysis and determination of relevance.................................................................5-105
Safety and Security Measures.........................................................................................5-105
System Design (Process module System Development)..........................................................5-140
Enabling System Implementation, Integration, and Evaluation Concept (Process module
System Development).....................................................................................................5-157
Safety and Security Relevant System Elements and Safety and Security Measures......5-159
Hardware Implementation, Integration and Evaluation Concept (Process module Hardware
Development)..................................................................................................................5-159
Safety and Security Relevant Hardware Elements and Safety and Security Measures. .5-162
Software Implementation, Integration and Evaluation Concept (Process module Software
Development)..................................................................................................................5-162
Safety and Security Relevant Software Elements and Safety and Security Measures.. .5-165
System Implementation, Integration and Evaluation Concept (Process module System
Development)..................................................................................................................5-153
Safety and Security Relevant System Elements and Safety and Security Measures......5-157
System Specifications (Process module System Development)..............................................5-120

Overall System Specification (Process module System Development)..............................5-121

Levels.........................................................................................................................5-123
Activities
Performing and Evaluating Safety and Security Analysis.....................................................6-97
Identifying Hazards and Classifying Damage..................................................................6-98
Performing System Safety and Security Analysis.............................................................6-98
Identifying and Determining Risk Reduction Measures...................................................6-98
Preparing Data Protection Concept.......................................................................................6-94
Preparing Information Security Concept...............................................................................6-95
Describing Operational Purpose.......................................................................................6-95
Analyzing Protection Requirements.................................................................................6-95
Presenting System Architecture........................................................................................6-96
Determining Information Security Requirements.............................................................6-96
Determining Information Security Measures....................................................................6-96
Analyzing Risks Remaining..............................................................................................6-96
Executing Emergency Planning........................................................................................6-97
Preparing Standards for Verifying the Effectiveness of the Measures..............................6-97
Life Cycle Cost Management.....................................................................................................3-121
Products
Life Cycle Cost Calculation...................................................................................................5-42
Costs of Planning Stage....................................................................................................5-43
Project Costs.....................................................................................................................5-43
Manufacturing Costs.........................................................................................................5-43
Costs of Use......................................................................................................................5-44
Account Structure.............................................................................................................5-44
Analysis of Cost-Effectiveness.........................................................................................5-44
Controlling - Organization and Directives........................................................................5-30
Commercial Project Status Report.........................................................................................5-50
Deviation from Projected Costs of Planning Stage...........................................................5-50
Deviations of Project Costs...............................................................................................5-51
Deviations of Manufacturing Costs..................................................................................5-51
Deviations from Projected Costs of Use...........................................................................5-51
Deviations from Projected Cost-Effectiveness.................................................................5-51
Activities
Performing Life Cycle Cost Calculation...............................................................................6-29
Estimating Costs of Planning Stage..................................................................................6-30
Estimating Project Costs...................................................................................................6-30
Establishing Accounts.......................................................................................................6-30
Estimating Manufacturing Costs.......................................................................................6-31
Estimating Costs of Use....................................................................................................6-31
Planning of the Overall Project Result..............................................................................6-32

Preparing Commercial Project Status Report........................................................................6-34

Measurement and Analysis.........................................................................................................3-122
Products
Measurements and Analyses - Organization and Directives.............................................5-30
Measurement Data.................................................................................................................5-49
Metrics Analysis....................................................................................................................5-49
Activities
Calculating and Analyzing Metrics.......................................................................................6-34
Collecting Measurement Data...............................................................................................6-34
Delivery and Acceptance (Supplier)..........................................................................................3-123
Products
Quality Assurance of Delivery - Organization and Directives..........................................5-35
Supply and Contracting..............................................................................................................5-17
Delivery.................................................................................................................................5-22
Activities
Supply and Contracting..............................................................................................................5-17
Preparing and Making a Delivery..........................................................................................6-10
Drafting and Conclusion of Contract (Supplier)......................................................................3-124
Products
Cooperation and Provisions of the Acquirer.....................................................................5-28
Experiences with the Acquirer..........................................................................................5-49
Supply and Contracting (Process module Delivery and Acceptance (Supplier)).......................5-17
Assessment of Request for Proposal......................................................................................5-18
Requirements Analysis......................................................................................................5-18
Suggested Technical Solution...........................................................................................5-18
Consideration of Economic Efficiency.............................................................................5-18
Success Strategy................................................................................................................5-19
Offer Preparation - Organization and Guidelines.............................................................5-19
Evaluation Result..............................................................................................................5-19
Contract (Acquirer)................................................................................................................5-21
Contract Addendum (Acquirer).............................................................................................5-21
Offer.......................................................................................................................................5-19
General Clauses and Conditions.......................................................................................5-20
Offer - Legal and Commercial Clauses and Conditions...................................................5-20
Annex 1: Specification of Services...................................................................................5-20
Annex 2: Offer-Relevant Parts of the Project Manual (Supplier).....................................5-20
Annex 3: Offer-Relevant Parts of the QA Manual (Supplier)...........................................5-21

Request for Proposal (Acquirer)............................................................................................5-17

Statement of Acceptance (Acquirer)......................................................................................5-23
Activities
Supply and Contracting (Process module Delivery and Acceptance (Supplier)).......................5-17
Concluding a Contract (Supplier)............................................................................................6-9
Concluding a Contract Addendum (Supplier).......................................................................6-10
Obtaining the Statement of Acceptance (Supplier)...............................................................6-10
Submitting an Offer.................................................................................................................6-9
System Development...................................................................................................................3-125
Products
Evaluation Procedure System Element..................................................................................5-72
Evaluation Report System Element.......................................................................................5-73
Evaluation Specification System Element.............................................................................5-70
Logistic Elements.....................................................................................................................5-167
In-Service Documentation...................................................................................................5-170
Installation and Operation...............................................................................................5-171
Logistic Support Documentation.........................................................................................5-174
Training Documentation......................................................................................................5-168
Participants Dokumentation............................................................................................5-169
System Development - Organization and Directives........................................................5-31
Project Plan (Process module Project Management).............................................................5-39
Integration and Evaluation Plan System Elements...........................................................5-41
Make-or-Buy Decision........................................................................................................5-108
Strategic Analysis............................................................................................................5-110
Economic Analysis..........................................................................................................5-110
Assessment and Result....................................................................................................5-111
System Design..........................................................................................................................5-140
Enabling System Architecture.............................................................................................5-144
Architectural Principles and Design Alternatives...........................................................5-145
Enabling System Decomposition....................................................................................5-145
Overall System Characteristics.......................................................................................5-145
Interface Overview..........................................................................................................5-145
Overall Data Catalog.......................................................................................................5-145
Design Evaluation...........................................................................................................5-145
System Elements to be Specified....................................................................................5-145
Enabling System Implementation, Integration, and Evaluation Concept............................5-157

Realization Procedures and Environment.......................................................................5-158

Integration Procedures and Integration Plan...................................................................5-158
Installation Procedures and Target Environments...........................................................5-158
Evaluation Procedures and Strategy...............................................................................5-159
System Elements to be Evaluated...................................................................................5-159
System Architecture.............................................................................................................5-140
System Decomposition...................................................................................................5-142
Overall System Characteristics.......................................................................................5-142
Overall Data Catalog.......................................................................................................5-143
System Elements to be Specified....................................................................................5-143
System Implementation, Integration and Evaluation Concept............................................5-153
Realization Procedures and Environment.......................................................................5-155
Installation Procedures and Target Environment............................................................5-156
System Elements to be Evaluated...................................................................................5-156
System Elements.......................................................................................................................5-112
Enabling System..................................................................................................................5-113
External Unit........................................................................................................................5-114
Segment................................................................................................................................5-114
System..................................................................................................................................5-113
System Specifications...............................................................................................................5-120
External Unit Specification..................................................................................................5-127
System Element Overview..............................................................................................5-127
Interface Specification....................................................................................................5-128
Non-Functional Requirements........................................................................................5-128
Acceptance Criteria and Receiving Evaluation Criteria.................................................5-129
Overall System Specification..............................................................................................5-121
Initial Situation and Objectives.......................................................................................5-122
Functional Requirements................................................................................................5-122
Life Cycle Analysis and Overall System Architecture....................................................5-123
Scope of Delivery............................................................................................................5-123
Acceptance Criteria.........................................................................................................5-123
Requirements Tracing to Requirements Specification....................................................5-124
Requirements Tracing.....................................................................................................5-124
System Specification...........................................................................................................5-124
System Element Overview..............................................................................................5-125
Interface Realization.......................................................................................................5-126
Refining Non-Functional Requirements.........................................................................5-126
Activities


Evaluating System Element...................................................................................................6-58
Verifying System Element................................................................................................6-59
Validating System Element...............................................................................................6-59
Preparing Evaluation Specification System Element............................................................6-56
Realizing Evaluation Procedure System Element.................................................................6-58
Logistic Elements.....................................................................................................................5-167
Defining In-Service Documentation....................................................................................6-148
Integrating into Logistic Support Documentation...............................................................6-153
Preparing Training Documentation......................................................................................6-147
Performing Make-or-Buy Decision.....................................................................................6-101
Performing Analyses.......................................................................................................6-102
Evaluating Result............................................................................................................6-103
System Design..........................................................................................................................5-140
Preparing Enabling System Architecture.............................................................................6-123
Identifying Architectural Drivers....................................................................................6-124
Determining Evaluation Criteria.....................................................................................6-124
Identfying Architectural Views.......................................................................................6-124
Preparing Architectural Views........................................................................................6-124
Evaluating Architecture...................................................................................................6-124
Preparing Enabling System Implementation, Integration and Evaluation Concept............6-138
Identifying Realization Procedures and Target Environments........................................6-139
Defining Development Process.......................................................................................6-139
Preparing Integration Plan..............................................................................................6-139
Determining Evaluation Strategy....................................................................................6-139
Preparing System Architecture............................................................................................6-119
Identifying Architectural Views......................................................................................6-122
Preparing System Implementation, Integration and Evaluation Concept............................6-134
Identifying Realization Procedures and Target Environments........................................6-136
System Elements.......................................................................................................................5-112
Integrating into Enabling System........................................................................................6-104
Integrating into Segment......................................................................................................6-104
Integrating into System........................................................................................................6-103
Taking over External Unit....................................................................................................6-104
System Specifications...............................................................................................................5-120
Preparing External Unit Specification.................................................................................6-115

Preparing Overall System Specification..............................................................................6-108

Evaluating and Revising Requirements..........................................................................6-111
Analyzing System Life Cycle.........................................................................................6-111
Preparing Overall System Architecture...........................................................................6-111
Assigning Requirements.................................................................................................6-111
Defining Scope of Delivery and Acceptance Criteria.....................................................6-112
Preparing Requirements Trace Overview.......................................................................6-112
Preparing System Specification...........................................................................................6-112
Identifying Interfaces and Non-Functional Requirements..............................................6-113
Refining Interfaces and Non-Functional Requirements..................................................6-114
Allocating Interfaces and Non-Functional Requirements...............................................6-114
Hardware Development..............................................................................................................3-127
Products
Hardware Architecture.........................................................................................................5-147
Hardware Unit Decomposition.......................................................................................5-148
Data and Signal Catalog..................................................................................................5-149
Hardware Elements to be Specified................................................................................5-150
Hardware Implementation, Integration and Evaluation Concept........................................5-159
Realization Procedures and Environments.....................................................................5-160
Hardware Elements to be Evaluated...............................................................................5-162
System Elements (Process module System Development)......................................................5-112
External Hardware Module..................................................................................................5-118
Hardware Component..........................................................................................................5-116
Hardware Module................................................................................................................5-118
Hardware Unit......................................................................................................................5-115
External Hardware Module Specification...........................................................................5-135
External Hardware Module Overview............................................................................5-136
Hardware Specification.......................................................................................................5-129
Hardware Element Overview..........................................................................................5-130
Refinement of Non-Functional Requirements................................................................5-132
Activities

Preparing Hardware Architecture........................................................................................6-127

Preparing Set of Drawings..............................................................................................6-130
Preparing Hardware Implementation, Integration and Evaluation Concept........................6-140
Identifying Standards for Realization and Target Environments....................................6-141
Specifying Evaluation Strategy.......................................................................................6-142
Integrating into Hardware Component................................................................................6-105
Integrating into Hardware Unit............................................................................................6-105
Realizing Hardware Module................................................................................................6-107
Taking over External Hardware Module.............................................................................6-106
Preparing External Hardware Module Specification...........................................................6-117
Preparing Hardware Specification.......................................................................................6-115
Allocating Interfaces and Non-Functional Requirements...............................................6-116
Software Development................................................................................................................3-128
Products
Database Design..................................................................................................................5-152
Logical Data Model........................................................................................................5-153
Physical Data Model.......................................................................................................5-153
Software Architecture..........................................................................................................5-150
Software Unit Decomposition.........................................................................................5-151
Data Catalog....................................................................................................................5-152
Software Elements to be Specified.................................................................................5-152
Software Implementation, Integration and Evaluation Concept..........................................5-162
Realization Procedures and Environments.....................................................................5-164
Software Elements to be Evaluated................................................................................5-165
External Software Module...................................................................................................5-119
Software Component...........................................................................................................5-117
Software Module.................................................................................................................5-120
Software Unit.......................................................................................................................5-116


External Software Module Specification.............................................................................5-138
External Software Module Overview.............................................................................5-139
Software Specification.........................................................................................................5-132
Software Element Overview...........................................................................................5-133
Refinement of Non-Functional Requirements................................................................5-134
Activities
Preparing Database Design..................................................................................................6-133
Deriving Logical Data Model.........................................................................................6-133
Designing Database Structure.........................................................................................6-134
Preparing Software Architecture..........................................................................................6-131
Preparing Software Implementation, Integration and Evaluation Concept.........................6-142
Identifying Realization Targets and Target Environments..............................................6-143
Integrating into Software Component.................................................................................6-106
Integrating into Software Unit.............................................................................................6-105
Preparing External Software Module Specification............................................................6-106
Realizing Software Module.................................................................................................6-108
Taking over External Software Module...............................................................................6-107
Preparing Software Specification........................................................................................6-117
Assigning Interfaces and Non-Functional Requirements...............................................6-118
Integrated Logistic Support.......................................................................................................3-129
Products
Logistic Conception..................................................................................................................5-175
Logistic Calculations and Analyses.....................................................................................5-181
Logistic Support Concept....................................................................................................5-177
Directives and General Conditions.................................................................................5-178
System Architecture........................................................................................................5-178

Logistic Support Alternatives and Comparative Evaluation...........................................5-178

Logistic Support Design..................................................................................................5-179
Logistic Resources Cooperation.....................................................................................5-180
Establishment of Logistic Supportability and Introduction into Service........................5-180
Disposal...........................................................................................................................5-180
Logistic Support Specification............................................................................................5-175
Initial Situation................................................................................................................5-176
Logistic Requirements....................................................................................................5-176
Refinement of the Logistic Requirements......................................................................5-176
Logistic Elements (Process module System Development).....................................................5-167
In-Service Documentation (Process module System Development)...................................5-170
Warning Statements and Notes of Caution.....................................................................5-170
System Scope and Functionality.....................................................................................5-171
Preventive Maintenance Instructions..............................................................................5-171
Maintenance Documentation...............................................................................................5-171
Maintenance Plan............................................................................................................5-172
Maintenance Instructions................................................................................................5-172
Repair Documentation.........................................................................................................5-173
Diagnosis Instructions.....................................................................................................5-173
Repair Instructions..........................................................................................................5-173
Spare Parts Catalog..............................................................................................................5-174
List Section.....................................................................................................................5-174
Illustrated Section...........................................................................................................5-174
Training Documentation (Process module System Development)......................................5-168
Curriculum......................................................................................................................5-168
Instructor Documentation...............................................................................................5-169
Execution Record............................................................................................................5-170
Activities
Logistic Conception..................................................................................................................5-175
Performing Logistic Calculations and Analyses..................................................................6-158
Planning Calculations and Analyses...............................................................................6-158
Acquiring Data for Calculations and Analyses...............................................................6-158
Performing Calculations and Analyses...........................................................................6-159
Preparing Report on Project Results...............................................................................6-159
Preparing Logistic Support Concept....................................................................................6-155
Defining Directives and General Conditions..................................................................6-155
Analyzing System Architecture......................................................................................6-155
Developing, Evaluating and Selecting Alternatives........................................................6-156
Preparing Logistic Support Concept...............................................................................6-156
Describing Interaction of Logistic Resources.................................................................6-156
Establishing Logistic Supportability and Transfer to In-Service Use.............................6-157
Preparing Disposal..........................................................................................................6-157
Preparing Logistic Support Specification............................................................................6-153
Analyzing Initial Situation and Logistic Requirements..................................................6-154
Refining and Allocating Logistic Requirements.............................................................6-154
Preparing Requirements Tracing Survey........................................................................6-155
Logistic Elements (Process module System Development).....................................................5-167

Defining Spare Parts Catalog...............................................................................................6-151

Defining Spare Parts Catalogue......................................................................................6-152
Acquiring Data for Spare Parts Catalog..........................................................................6-152
Developing Spare Parts Catalog.....................................................................................6-152
Compiling and Integrating Spare Parts Catalog..............................................................6-152
Preparing Maintenance Documentation..............................................................................6-150
Preparing Repair Documentation........................................................................................6-151
Usability and Ergonomics...........................................................................................................3-130
Products
Evaluation Report Usability..................................................................................................5-68
Evaluation Specification Usability........................................................................................5-66
User Tasks Analysis...............................................................................................................5-97
User Profiles......................................................................................................................5-97
Physical Operation Environment......................................................................................5-98
User Tasks.........................................................................................................................5-98
Man-Machine Interface (Style Guide).................................................................................5-146
Design Principles and Alternatives.................................................................................5-146
Identification and Structure of Operation Elements.......................................................5-147
Design Rules for Operation Elements.............................................................................5-147
Activities
Evaluating Usability..............................................................................................................6-54
Verifying Usability............................................................................................................6-55
Validating Usability...........................................................................................................6-55
Preparing Evaluation Specification Usability........................................................................6-51
Analyzing User Tasks............................................................................................................6-92
Preparing User Profiles.....................................................................................................6-92
Analyzing Physical Operation Environment.....................................................................6-92
Collecting User Tasks.......................................................................................................6-93
Preparing Style Guide for Man-Machine Interface.............................................................6-124
Determining Design Principles and Alternatives............................................................6-125

Identifying and Structuring Operation Elements............................................................6-125

Determining Design Rules..............................................................................................6-126
Enhancement and Migration of Legacy Systems.....................................................................3-131
Products
Legacy System Analysis......................................................................................................5-106
System Outline................................................................................................................5-106
Functional Overview.......................................................................................................5-106
Interface and Dependency Analysis................................................................................5-107
Data Model......................................................................................................................5-107
Migration Concept...............................................................................................................5-165
Migration Overview........................................................................................................5-166
Migration Strategy..........................................................................................................5-166
Rollback Strategy............................................................................................................5-167
Data Migration................................................................................................................5-167
Migration Plan.................................................................................................................5-167
Activities
Analyzing Legacy System.....................................................................................................6-99
Preparing a System and Function Summary.....................................................................6-99
Specifying Interfaces and Dependencies..........................................................................6-99
Performing Data Analysis...............................................................................................6-100
Developing Migration Concept...........................................................................................6-144
Specifying Migration Approach......................................................................................6-145
Defining Data Map..........................................................................................................6-145
Planning Migration.........................................................................................................6-146
Introduction and Maintenance of an Organization-Specific Process Model.........................3-132
Products
Process Improvement...............................................................................................................5-182
Assessment of a Process Model...........................................................................................5-182
Objectives and Management Support.............................................................................5-183
Strengths and Weaknesses Profile...................................................................................5-183
Improvement Measures...................................................................................................5-183
Organization-Specific Process Model.................................................................................5-185
Process Descriptions.......................................................................................................5-186
Metrics Catalog...............................................................................................................5-186
Experience Base..............................................................................................................5-188
Training Concept.............................................................................................................5-188
Training Documentation.................................................................................................5-189
Organization-specific Directives and Informations........................................................5-190
Product Templates...........................................................................................................5-190
Process Model Improvement Concept.................................................................................5-183
Objectives and Management Support.............................................................................5-184
Requirements..................................................................................................................5-185
Realization Concept........................................................................................................5-185

Piloting Concept..............................................................................................................5-185
Proposal for the Introduction and Maintenance of an Organization-Specific Process Model
...........................................................................................................................................5-86
Initial Situation..................................................................................................................5-87
General Conditions and Constraints.................................................................................5-87
Project Objectives, Opportunities and Risks.....................................................................5-87
Planning............................................................................................................................5-87
Economic Efficiency.........................................................................................................5-87
Activities
Process Improvement...............................................................................................................5-182
Performing a Process Model Assessment............................................................................6-159
Preparing and Organizing Assessment............................................................................6-161
Collecting and Analyzing Assessment Data....................................................................6-161
Assessing Processes and Specifying Improvement Measures........................................6-162
Preparing Final Report and Presentation........................................................................6-162
Preparing, Introducing and Maintaining an Organization-Specific Process Model............6-163
Preparing Process Descriptions, Standards, Information, and Templates.......................6-165
Preparing and Maintaining Metrics Catalog...................................................................6-165
Performing Piloting.........................................................................................................6-167
Performing Roll Out........................................................................................................6-168
Specifying Process Improvement........................................................................................6-162
Determining Objectives, Management Support and Requirements................................6-162
Preparing Realization and Piloting Concept...................................................................6-163
Management of Multiple Projects.............................................................................................3-134
Products
Sub-Projects......................................................................................................................5-27
Overall Project Progress....................................................................................................5-53
Evaluation of the Overall Project Requirements Specification.............................................5-92
Evaluation Criteria Overall Project...................................................................................5-92
Evaluation Results Overall Project...................................................................................5-92
Requirements Specification Overall Project..........................................................................5-90
Functional Requirements..................................................................................................5-91
Non-Functional Requirements..........................................................................................5-91
Outline of the Life Cycle and the Overall System Architecture.......................................5-91
Scope of Delivery Overall Project....................................................................................5-91
Acceptance Criteria...........................................................................................................5-91
Activities
Determining Requirements Overall Project...........................................................................6-66
Describing Initial Situation and Objectives......................................................................6-66
Specifying Functional Requirements................................................................................6-67

Specifying Non-Functional Requirements........................................................................6-67

Preparing Outline of System Life Cycle and Overall System Architecture......................6-67
Determining Sub-Projects.................................................................................................6-67
Analyzing Quality of Requirements.................................................................................6-68
Specifying Scope of Delivery and Acceptance Criteria....................................................6-68
Preparing Overall Project Requirements Evaluation.............................................................6-68
Specifying Evaluation Criteria..........................................................................................6-68
Evaluating Requirements..................................................................................................6-70
Integrating Evaluation Results..........................................................................................6-71

10 Process Module Index (Alphabetical) 3-169
10 Process Module Index (Alphabetical)
Project Management...................................................................................................................3-111
Quality Assurance........................................................................................................................3-112
Configuration Management.......................................................................................................3-113
Problem and Change Management...........................................................................................3-114
Delivery and Acceptance (Acquirer)..........................................................................................3-115
Drafting and Conclusion of Contract (Acquirer).....................................................................3-116
Specification of Requirements....................................................................................................3-117
Evaluation of Off-the-Shelf Products........................................................................................3-118
Safety and Security......................................................................................................................3-119
Safety and Security (Supplier)...................................................................................................3-120
Life Cycle Cost Management.....................................................................................................3-121
Measurement and Analysis.........................................................................................................3-122
Delivery and Acceptance (Supplier)..........................................................................................3-123
Drafting and Conclusion of Contract (Supplier)......................................................................3-124
System Development...................................................................................................................3-125
Hardware Development..............................................................................................................3-127
Software Development................................................................................................................3-128
Integrated Logistic Support.......................................................................................................3-129
Usability and Ergonomics...........................................................................................................3-130
Enhancement and Migration of Legacy Systems.....................................................................3-131
Introduction and Maintenance of an Organization-Specific Process Model.........................3-132
Management of Multiple Projects.............................................................................................3-134

11 List of Figures
Figure 1: Legend for Pictorial Diagrams of Process Modules .........................................................3-7

Figure 2: Legend for Pictorial Diagrams of Project Execution Strategies........................................3-7
Figure 3: Tailoring Facilities...........................................................................................................3-10
Figure 4: Tailoring Facilities (continued)........................................................................................3-11
Figure 5: Relations between the »Process Module for the Project Type »System Development
Project (Acquirer) ......................................................................................................................3-18
System Development Project (Acquirer) ...................................................................................3-19
Project (Supplier)........................................................................................................................3-21
Figure 8: Decision Gates of the Available Project Execution Strategies for System Development
Projects of a Supplier .................................................................................................................3-22
Project (Acquirer/Supplier) .......................................................................................................3-24
System Development Project (Acquirer/Supplier) ....................................................................3-25
Figure 11: Relations between the »Process Module for the Project Type Development of an
Organization-Specific Process Model .......................................................................................3-27
Figure 12: Decision Gates of the Available Project Execution Strategies for Projects of the Type
Development of an Organization-Specific Process Modell ......................................................3-28
Figure 13: Project type variant Project (Acquirer) with One Supplier...........................................3-31
Figure 14: Project type variant Project (Acquirer) with Several Suppliers....................................3-36
Figure 15: Project type variant Project (Acquirer) Including Development, Enhancement or
Migration....................................................................................................................................3-43
Figure 16: Project type variant Project (Acquirer) Including System Maintenance.......................3-63
Figure 17: Project type variant Project (Acquirer/Supplier) Including Development, Enhancement
or Migration................................................................................................................................3-76
Figure 18: Project type variant Project (Acquirer/Supplier) Including System Maintenance........3-96
Figure 19: Project type variant Introduction and Maintenance of an Organization-Specific Process
Model........................................................................................................................................3-108
Figure 20: Process module Project Management..........................................................................3-111
Figure 21: Process module Quality Assurance..............................................................................3-112
Figure 22: Process module Configuration Management...............................................................3-113
Figure 23: Process module Problem and Change Management....................................................3-114
Figure 24: Process module Delivery and Acceptance (Acquirer).................................................3-115
Figure 25: Process module Drafting and Conclusion of Contract (Acquirer)...............................3-116
Figure 26: Process module Specification of Requirements...........................................................3-117
Figure 27: Process module Evaluation of Off-the-Shelf Products................................................3-118
Figure 28: Process module Safety and Security (Supplier)..........................................................3-121
Figure 29: Process module Life Cycle Cost Management............................................................3-122
Figure 30: Process module Measurement and Analysis................................................................3-123
Figure 31: Process module Delivery and Acceptance (Supplier)..................................................3-124
Figure 32: Process module Drafting and Conclusion of Contract (Supplier)...............................3-124
Figure 33: Process module System Development.........................................................................3-126

Figure 34: Process module Hardware Development.....................................................................3-127

Figure 35: Process module Software Development......................................................................3-128
Figure 36: Process module Integrated Logistic Support...............................................................3-129
Figure 37: Process module Usability and Ergonomics.................................................................3-131
Figure 38: Process module Enhancement and Migration of Legacy Systems..............................3-132
Figure 39: Process module Introduction and Maintenance of an Organization-Specific Process
Model........................................................................................................................................3-133
Figure 40: Process module Management of Multiple Projects.....................................................3-134

Part 4: V-Modell Reference Roles
V-Modell® XT


Part 4: V-Modell Reference Roles 4-3
Table of Contents
1 Introduction..................................................................................................................................4-4
1.1 Objectives of the V-Modell Reference...................................................................................4-4
1.2 Audience.................................................................................................................................4-4
1.4 Notes on the Presentation in the V-Modell Reference............................................................4-4
2 Roles..............................................................................................................................................4-6
2.1 Account Manager....................................................................................................................4-6
2.2 Assessor..................................................................................................................................4-7
2.3 Change Control Board............................................................................................................4-8
2.4 Change Request Manager.......................................................................................................4-9
2.5 CM Administrator.................................................................................................................4-10
2.6 CM Manager.........................................................................................................................4-11
2.7 Coach....................................................................................................................................4-12
2.8 Controller..............................................................................................................................4-12
2.9 Data Protection Manager......................................................................................................4-14
2.10 Ergonomics Manager..........................................................................................................4-14
2.11 Executive............................................................................................................................4-15
2.12 Hardware Architect.............................................................................................................4-16
2.13 Hardware Developer...........................................................................................................4-17
2.14 Inspector.............................................................................................................................4-19
2.15 Logistics Developer............................................................................................................4-19
2.16 Logistics Manager..............................................................................................................4-21
2.17 Process Engineer................................................................................................................4-22
2.18 Project Leader.....................................................................................................................4-23
2.19 Purchaser............................................................................................................................4-24
2.20 QA Manager.......................................................................................................................4-25
2.21 Quality Manager.................................................................................................................4-26
2.22 Requirements Engineer (Acquirer).....................................................................................4-28
2.23 Requirements Engineer (Supplier).....................................................................................4-29
2.24 RFP-Manager.....................................................................................................................4-31
2.25 Safety Manager...................................................................................................................4-32
2.26 Security Manager................................................................................................................4-33
2.27 Software Architect..............................................................................................................4-34
2.28 Software Developer............................................................................................................4-35
2.29 Steering Committee............................................................................................................4-36
2.30 System Architect.................................................................................................................4-36
2.31 System Integrator................................................................................................................4-38
2.32 Technical Author.................................................................................................................4-39
2.33 User.....................................................................................................................................4-40
3 Role Index...................................................................................................................................4-42

4-4 Part 4: V-Modell Reference Roles
1 Introduction
1.1 Objectives of the V-Modell Reference

The »V-Modell Reference Roles provides a survey of all roles of the V-Modell. In addition to a de-
tailed description of roles, the reference specifies the »Work Product and »Activity for which each
role is responsible and the products and activities in which each role cooperates.
For project management, it is necessary to concentrate the staff in project teams, with the roles for
each team member being specified in order to ensure a joint achievement of project goals in time,
with the appropriate quality and at adequate costs.
1.2 Audience
This V-Modell reference is the guideline for the assignment of roles and provides the project mem-
bers with a first orientation regarding the future tasks and authorizations.

This V-Modell reference comprises the following chapters:
»Roles
This chapter comprises the description of all roles in alphabetical order. The roles are explained by
a summary description and a description of their tasks and authorizations as well as a capability pro-
file. In addition, the chapter includes advisory remarks on appointments, if these remarks are ne-
cessary for the understanding. The dashed lists must be applied in a project-specific manner. In ad-
dition, the products for which the respective role is responsible and the products in which the role
cooperates are listed.
»Role Index
This chapter completely lists all roles included in the V-Modell.
1.4 Notes on the Presentation in the V-Modell Reference

A role is a definition with capabilities and knowledge which is independent of the organization and
which is assigned responsibilities and authorizations. Each role includes a capabilitiy profile which
can be used for selecting suitable project staff members. If particular framework conditions must be
observed when the role is staffed, these are indicated under the headline "Appointment".
The above-mentioned descriptions are a general list. The subjects valid for a specific project must
be selected from this list. The following role and function designations refer equally to members of
both genders.
Roles, which either have the participation "responsible" or "cooperating", will be assigned to each
product.
Participation of Role "Responsible":

1 Introduction 4-5
● assuming the responsibillity for creating the product with the planned quality, at the planned
date and with the planned budget,
● delivering the created/changed product to CM,
● reporting the start and the end of the activity/sub-activity of the product/subject to be crea-
ted/changed to the »CM Manager,
● coordinating the participating roles.
Participation of Role "Cooperating"
● participating in the creation of products/subjects,
● participating in votings,
● generally, the products can only be created by cooperation,
● providing knowledge and experience in order to execute the development project at the
planned date, with the planned budget and with the adapted quality,
● finding more economic solutions for the product life in accordance with product manage-
ment.
The following rules always apply to the assignment of roles to products:
● All roles for the products required for a project shall be staffed.
● One role may be staffed by several persons.
● One person may occupy several roles of a project.
● Of course, it is permitted and desirable to employ know-how providers in addition to the
presented roles.
● All specialties involved in the course of a product life should be integrated as early as possi-
ble.

2 Roles
2.1 Account Manager
Description
The Account Manager is responsible for planning the order intake of his sales department and for
maintining the existing and developing new acquirer relations. He is also responsible for »Request
for Proposal with are of relevance for the submission of a proposal.
He provides the stewardship for the bid/no-bid decision and is the responsible point of contact for
acquirers and external partners. His activities are intended to continuously increase or stabilize the
number of orders received in his sales department. He should initiate the improvement of existing
products or the development of new products by providing a feedback on the demands of the mar-
ket.
Tasks and Responsibilities

● Analyzing acquirer decision structures,
● examining acquirer satisfaction,
● observing and communicating competitor activities,
● developing acquirer-oriented strategies (particularly win strategy),
● controlling the success in acquirer relations,
● establishing contact to acquirers/partners,
● building confidence and maintaining relations to acquirers,
● generating ideas for promoting cooperation/interest,
● coordinating all acquirer activities,
● acting as ”solicitor of the acquirers”,
● preparing the bid/no-bid decision,
● controlling the offer until it is submitted,
● negotiating the contract with the acquirer,
● negotiating contracts with sub-suppliers, partners and suppliers,
● requesting and managing the required funds.
Skill profile
● Strategic capability of thinking,
● understanding of complex connections,
● profound technical and economic knowledge,

2 Roles 4-7
● thorough export experience with respect to the specific countries,

● foreign language skills in speaking and writing,
● communication capability,
● self assertion regarding the internal implementation of sales actions,
● resilience.
Responsible for
Offer, Request for Proposal (Acquirer)
2.2 Assessor
Description
The »Assessor is an independent consultant. He assesses the documented and practiced processes of
the process model of an organization.

● Planning and preparing the process assessment,
● interviewing all participants (e.g. interview with the Project Leader on the subject Project
Planning and Project Controlling),
● and/or inspecting documents on the defined and practiced processes,
● analysing the results of the interviews and/or document inspection,
● preparing an assessment and developing proposals for improvement, which will be docu-
mented in a report,
● presenting the assessment results,
● assuming responsibility for the adequate and correct execution of the assessment (result,
schedule, budget, acquirer satisfaction),
● assuming responsibility for the interviews with project staff and management,
● assuming responsibility for the assessment of the documented and practiced process,
● assuming responsibility for proposing an improvement project.
Skill profile
● Thorough knowledge of the respective process fields (e.g. PM, QA, CM) and in project ma-
nagement,
● thorough knowledge of the employed process model,
● familiarity with contents and processes of reference documents and standards, e.g., V-Mo-
dell XT conformance, CMMI®, ISO 900x, V-Modell, SPICE,
● expertise in moderation and interview techniques,

● experience from previous assessments,

● trustworthiness, objectivity and integrity.
Role Allocation
The Assessor is an external consultant or a staff member who is independent of the organizational
unit to be assessed.
Responsible for
Assessment of a Process Model
2.3 Change Control Board
Description
The Change Control Board will be convoked in case of important (for definition, refer to Project
Manual) changes and will decide how one or more interconnected changes should be processed.
The execution of the change will be planned and initiated by the project management.

● Evaluating the project situation as initial basis for the decision to be made,
● developing management-specific decision criteria as basis for the decision to be made,
● making the decision on one or more problem reports/change requests based on the problem/
change assessment,
● determining the future approach for implementing change requests.
Skill profile
● Experience in project management and in the assessment of unforeseen project situations,
● experience in the assessment of possible effects caused by the changes (effort, time, budget,
resources, quality) and the consequences for the success of the project,
● competence in evaluating the relevance of change requests for the success of the project,
● communication and consensus-building capabilities in case of controversial approach con-
cepts (negotiating skills),
● self assertion within the scope of the project.
Role Allocation
Depending on the type of change request to be assessed, the Change Control Board is composed of
internal representatives and - if the change request is submitted by the acquirer - of internal and ex-
ternal representatives. Project-Specific conflict management and escalation strategies shall be speci-
fied in the »Project Manual under the subject »Problem and Change Management - Organization
and Directives.

2 Roles 4-9
The internal Change Control Board is composed of project internal representatives working at the
operational level, e.g., from the project steering committee, development departments, QA and CM.
Responsible for
Change Decision
2.4 Change Request Manager
Description
The Change Request Manager is an experienced expert in his field. He will be selected by the »Pro-
ject Leader depending on the subject of the problem report or change request and will process the
subject independently by
● analysing the problem,
● developing suggested solutions for the problem,
● assessing these solutions and making a recommendation.

● Searching the cause of the described problem,
● determining technical decision criteria for assessing the solutions,
● searching a suitable solution for the described problem,
● recommending the technically most reasonable solution.
Skill profile
● Expertise in the matter which is subject of the problem report or change request,
● technical understanding and knowledge of the system (application/use/technology),
● profound expertise for determining suitable suggested solutions for the submitted
problem/fault/improvement proposal,
● experience in the technical assessment of the proposed solutions
(advantages/disadvantages),
● profound knowledge of the V-Modell in order to identify the action point of the required
change,
● capability to recognize dependencies and effects,
● capability to recognize whether the change request exceeds the scope of the agreed user re-
quirements (change of contract).

Role Allocation
The role Change Request Manager should always be manned. The Change Request Manager is all-
ways responsible for problem and change requests even if, depending on the subject of the change
requests, there may be several persons in charge of changes for different fields (e.g. system, softwa-
re, hardware, logistics).
Responsible for
Change Status List, Problem/Change Evaluation, Problem Report / Change Request
Participating in
Change Decision, Project Status Report
2.5 CM Administrator
Description
The »CM Administrator is responsible for the project-specific »Product Configuration and for sa-
ving and archiving products and configurations in such a way that the present and previous product
configurations of the systems can be traced and restored during the entire system life cycle.

● Estabishing configuration management and product library,
● initializing and administering products and product configurations,
● saving and archiving products and configurations,
● documenting delivery data,
● executing the CM procedures regarding the data exchange e.g. with acquirers/partners/sub-
suppliers.
Skill profile
● Knowledge and mastery of configuration management processes, procedures, methos and
tools,
● communication and team capabilities.
Role Allocation
If reasonable and required (e.g. in case of small projects), the role of CM Adminstrator and the role
of »CM Manager may be staffed by one person.
Responsible for
Product Configuration

2 Roles 4-11
Participating in
Product Library, Project Management Infrastructure
2.6 CM Manager
Description
The CM manager manages, coordinates and controls the »Configuration Management and specifies
all necessary project-specific conditions in the »Project Manual. He reports on the project progress
to the »Project Leader.

● Preparing the configuration management section in the Project Manual,
● appointing the CM Administrator,
● controlling the establishment of configuration management,
● establishing and administering access authorizations,
● controlling the initialization and administration of the product library,
● controling the initialization and updating of the product configuration,
● implementing the requirements on product saving and archiving,
● evaluating the product library and reporting to the Project Leader,
● specifying and coordinating the CM procedures, e.g. with acquirers/partners/sub-suppliers.
Skill profile
● Experience in project execution,
● knowledge of the contractual framework conditions,
● knowledge and mastery of the configuration management processes, precedures, methods
and tools required for the respective functional area,
● knowledge of the framework conditions/regulations for configuration and product manage-
ment (uniform identification system),
● knowledge of application and operational areas of the system to be developed,
● knowledge of the different system versions,
● organization and communication capabilities.
Role Allocation
The role of CM Manager must be staffed in every project. Since product and configuration changes
will be adopted in the »Problem and Change Management, the CM Manger must be member of the
»Change Control Board. If reasonable and required, tasks of the CM Manager may be delegated to
the CM Administrator under certain conditions.

Responsible for
Product Library
Participating in
Evaluation Specification Product Configuration, Change Decision, Problem/Change Evaluation,
Final Project Report, Project Manual, Project Plan, Project Status Report
2.7 Coach
Description
The coach cooperates in the specification of a training concept and the preparation of the training
documentation. During piloting and roll out, he instructs the pilot users and the staff.

● Cooperation in the specification of a training concept;
● preparation of the training documentation;
● instructing pilot users,
● instructing personnel for the roll out.
Skill profile
● Task-specific knowledge,
● process understanding,
● capability to convert technical facts and connections into target group-oriented training pro-
grams,
● didactic/rhetoric capabilities,
● foreign language skills as required by the project,
● knowledge of relevant regulations, processes, procedures, methods and tools.
Participating in
Organization-Specific Process Model
2.8 Controller
Description
The »Controller is responsible for all commercial tasks connected with the project, including all
control and management tasks required for realizing the economic objectives of the project.

2 Roles 4-13

● Tracking the costs,
● specifying the commercial conditions in internal and external orders,
● safeguarding the economic interests when the conditions of internal and external orders are
negotiated,
● preparing calcuations of offers and orders,
● checking the acceptance of contracts, possibly with the assistance of the legal branch,
● conducting commercial order administration until the accounts are rendered and settled, in-
cluding the award of sub-contracts to internal and external agencies,
● preparing a co-calculation based on the work packages specified in the workload breakdown
structure and ensuring the connection to the partial plans of other working fields,
● continuously monitoring and publicating contract effects (e.g. warranties, contractual penal-
ties, liabilities),
● determining project-related risks,
● Executing planned/actual comparisons and analyses if plans, budgets and project objectives
deviate in the field of commercial concerns,
● contributing to the regular internal and external reporting on the project status report,
● cooperating in the preparation of price review documents,
● cooperating in the preparation of offers and contracts,
● cooperating in the preparation of the commercial sections of the work breakdown structure,
● cooperating in the preparation of the post/final calculation of the project and the final project
report, including the evaluation of measurable quantities of the project and the internal les-
sons learned report.
Skill profile
● Economic knowledge,
● capability to work independently,
● comprehensive economic awareness for costs and risks.
Responsible for
Life Cycle Cost Calculation, Commercial Project Status Report
Participating in
Final Project Report, Project Manual, Project Plan, Project Status Report, Project Diary, Make-or-
Buy Decision, Offer Assessment, Request for Proposal, RFP Concept, Criteria Catalog for
Assessment of Offers, Contract, Contract Addendum, Offer

2.9 Data Protection Manager
Description
The Data Protection Manager shall be integrated into a project if the project deals with personal
data. He evaluates the type of personal data, which are collected and processed, and the legal data
protection requirements of the project. The Data Protection Specialist cooperates closely with the
Safety and the Security Manager.

● Peparing the »Data Protection Concept,
● providing advice and support in all data protection issues,
● evaluating the legal data protection requirements,
● determining technical, organizational, personnel and material data protection measures.
Skill profile
● Knowledge of the applicable data protection regulations,
● assertiveness,
● capability to recognize weak points, hazards and the resulting risks,
● knowledge of the application and use of the system.
Role Allocation
The Data Protection Specialist is only required in projects dealing with personal data. The Data Pro-
tection Specialist is normally an organization-wide role.
Responsible for
Data Protection Concept
Participating in
Requirements Specification, Requirements Specification Overall Project, Project Manual, Overall
System Specification
2.10 Ergonomics Manager
Description
The Manager for Ergonomics is responsible for the usability and ergonomics of the system. He shall
ensure the implementation of ergonomic requirements in the overall system (i.e., for system, soft-
ware, hardware, logistics, etc.) and is a decisive link between user and supplier.

2 Roles 4-15
In addition, the Manager for Ergonomics is responsible for the overall design of the user interfaces.
He is decisively involved in the specification of the display and control concept and in the specifica-
tion of the regulations for the design of the man-machine interface.

● Executing the user task analysis and the analysis of business processes,
● preparing and harmonizing a styleguide,
● preparing the »Evaluation Specification Usability.
Skill profile
● Knowledge and experience in the field of ergonomics and usability,
● experience in the design of user interfaces,
● experience in the handling of usability engineering tools,
● capability to proceed systematically,
● capability to moderate,
● knowledge of application and use of the system,
● capability to abstract, to model and to simplify,
● capability to recognize dependencies.
Responsible for
User Tasks Analysis, Man-Machine Interface (Style Guide)
Participating in
Evaluation Report Usability, Evaluation Specification Usability, External Hardware Module
Specification, Hardware Specification, Logistic Calculations and Analyses, External Software
Module Specification, Software Specification, External Unit Specification, Overall System
Specification, In-Service Documentation, System Specification
2.11 Executive
Description
The »Executive is responsible to his superior and the »Steering Committee for the economically and
technically successful planning, execution and completion of a project.
He represents the project to suppliers and external partners/syndicates.

● Specifying the framework conditions for the project organization,
● initializing and coordinating the project, coordinating several projects, if required,

● initializing and cooperating in the award of contract,

● controlling and complying with contractual agreements,
● developing problem and conflict solutions for project planning, project execution and pro-
ject completion,
● sharing in the decision-making process of the Steering Committee.
Skill profile
● Knowledge of business principles, but also technical understanding,
● experience in project organization,
● knowledge of application and use of the system,
● leadership abilities,
● organization and delegation capabilities.
Responsible for
Project Proposal, Proposal for the Introduction and Maintenance of an Organization-Specific
Process Model, Statement of Acceptance, Project Progress Decision, Contract, Contract Addendum,
Statement of Acceptance (Acquirer), Assessment of Request for Proposal, Contract (Acquirer),
Contract Addendum (Acquirer)
Participating in
Requirements Specification, Requirements Evaluation, Evaluation of the Overall Project
Requirements Specification, Requirements Specification Overall Project, Project Manual, Project
Plan, Offer Assessment, Request for Proposal, Criteria Catalog for Assessment of Offers, Offer
2.12 Hardware Architect
Description
The role of »Hardware Architect includes particularly the engineering and integration of hardware
systems. He is responsible for hardware architecture, hardware specification, external hardware mo-
dule specification and the hardware implementation, integration and evaluation concept.

● Developing the hardware architecture of the hardware unit,
● specifying the technical requirements and interfaces for the hardware,
● specifying the product external hardware module in the external hardware module specifica-
tion,
● preparing the hardware implementation, integration and evaluation concept,
● selecting mechanical and electronic components,
● defining the common use and reuse of hardware units/components/modules and products of
the type external hardware module,

2 Roles 4-17
● supporting the realization activities,

● organizing and controlling the integration process,
● cooperating in the integration into segments and - possibly - systems,
● identfying and editing operational data, user and diagnostic information from the hardware
development for the utilization phase.
Skill profile
● Understanding of the system context,
● understanding of the system functions and interfaces,
● knowledge of the available standard hardware, the market and the competitors,
● knowledge of the commercially available technologies,
● knowledge of the commercially available methods and tools,
● capability to interpret the applicable EMC, environmental and reliability requirements,
● capability to recognize weak points of the hardware design,
● capability to identify and analyse risks and initiate countermeasures at an early stage,
● capability to decompose and proceed in a structured manner,
● capability to recognize and understand technological connections,
● modeling capability,
● knowledge of test possibilities and strategies applicable during development and production.
Responsible for
External Hardware Module Specification, Hardware Architecture, Hardware Specification,
Hardware Implementation, Integration and Evaluation Concept
Participating in
Maintenance Documentation, Repair Documentation, Logistic Calculations and Analyses, Change
Decision, Problem/Change Evaluation, Training Documentation, External Unit Specification,
Make-or-Buy Decision, In-Service Documentation, Evaluation Specification System Element,
System Architecture, Enabling System Architecture
2.13 Hardware Developer
Description
The role of »Hardware Developer comprises the realization of hardware elements. The resulting re-
sponsibility refers to »Hardware Unit, »Hardware Component and »Hardware Module.

● Cooperating in hardware specification,

● cooperating in the development of hardware architecture,

● cooperating in the development of the hardware implementation, integration and evaluation
concept,
● cooperating in the selection of mechanical and electronic components,
● realizing hardware process modules,
● integrating hardware components,
● integrating hardware units,
● conducting laboratory tests during the implementation and step-by-step integration,
● cooperating in the integration into segments and - possibly - systems,
● cooperating in the identification and editing of operational data, user and diagnostic infor-
mation from the hardware development for the user.
Skill profile
● Knowledge of the development environment,
● knowledge of the commercially available hardware technologies,
● knowledge of production technologies and environment,
● knowledge of the hardware/software interfaces,
● knowledge of hardware development processes,
● capability to communicate with hardware/software developers and users,
● knowledge of commercially available methods and tools,
● knowledge of the evaluation of cost effects and the fundamentals of cost planning,
● capability to recognize and understand technological connections,
● capability to implement ergonomic requirements,
● knowledge of test possibilities and strategies applicable during development and production.
Responsible for
External Hardware Module, Hardware Unit, Hardware Component, Hardware Module
Participating in
External Hardware Module Specification, Hardware Architecture, Hardware Specification,
Hardware Implementation, Integration and Evaluation Concept, Maintenance Documentation,
Repair Documentation, Logistic Calculations and Analyses, Training Documentation, System
Implementation, Integration and Evaluation Concept, Enabling System Implementation, Integration,
and Evaluation Concept, In-Service Documentation, Evaluation Report System Element

2 Roles 4-19
2.14 Inspector
Description
The »Inspector prepares the evaluation specifications, which he uses as basis for testing the project
results. He records the evaluation results in an evaluation report.

● Using the measurement and evaluation environment in accordance with the specifications of
the test documentation,
● preparing the evaluation specification,
● testing and evaluating the evaluation objects using the specified evaluation
specification/evaluation procedure and initiating corrective action if required,
● documenting the evaluation results in an evaluation report.
Skill profile
● Knowledge of test methods and tools,
● knowledge of application, realization and use of the evaluation objects,
● capability to identify weak points and risks.
Role Allocation
Normally, the inspector is a member of the project team, in most cases a competent developer or a
person familiar with the evaluation object.
The inspector must not be the creator of the evaluation object.
Responsible for
Evaluation Report Usability, Evaluation Specification Usability, Evaluation Report Product
Configuration, Evaluation Specification Product Configuration, Evaluation Report Delivery,
Evaluation Specification Delivery, Evaluation Report Document, Evaluation Report Process,
Evaluation Specification Document, Evaluation Specification Process, Evaluation Report System
Element, Evaluation Procedure System Element, Evaluation Specification System Element
Participating in
External Hardware Module Specification, External Software Module Specification, Software
Specification, External Unit Specification, Overall System Specification, System Specification
2.15 Logistics Developer
Description
The »Logistics Developer is responsible for »Logistic Calculations and Analyses and cooperates in
the preparation of the »Logistic Support Specification and the integrated logistic support concept.


● Defining technical requirements from a logistic point of view,
● cooperating in the development of the system architecture,
● cooperating in the development of logistic concepts,
● cooperating in the selection of suitable logistic tools,
● cooperating in reviews,
● preparing and submitting change proposals for optimizing the system design,
● conducting logistic analyses, calculations and verifications (RM&T, LCC, etc.),
● determining/calculating the required logistic resources,
● recording the technical information and development data required for logistic analyses, la-
ter use, operation and repair,
● editing the information and data, assigning them to various target groups (operator, user, ad-
ministrator, maintenance and repair personnel),
● transmitting the edited information and data to the »Technical Author,
● cooperating in the development of evaluation strategies and product-related evaluation con-
cepts in accordance with the audit requirements.
Skill profile
● Knowledge of logistic procedures and tasks (Integrated Logistic Support)
● team and communication capabilities,
● knowledge and mastery of the processes, procedures, methods and tools required for »Logi-
stic Calculations and Analyses (see application aids),
● technical understanding and knowledge of the system (application, use, technolgy),
● capability to develop and present change proposals for optimizing the design,
● basic knowledge in system modeling.
Role Allocation
If comprehensive logistic calculations and analyses are required (particularly in case of long-life ca-
pital goods, e.g., airborne systems), the role of Logistic Developer shall be staffed.
Responsible for
Logistic Calculations and Analyses
Participating in
User Tasks Analysis, External Hardware Module Specification, Hardware Specification, External
Software Module Specification, Software Specification, External Unit Specification, System
Specification

2 Roles 4-21
2.16 Logistics Manager
Description
The Logistic Manager is responsible for planning and implementing logistic concept, particularly
the »Logistic Support Specification and the product Integrated Logistic Support Concept.

● Planning, controlling and executing measures and activities for developing the logistic enab-
ling system and optimizing the logistic system characteristics,
● developing logistic concepts for products and systems in accordance with external and inter-
nal specifications and determining the required logistic resources,
● planning and coordinating the external and internal support for logistic activities,
● guiding and coordinating the activities of assigned personnel,
● cooperating in the selection of suitable data processing tools and aids for fulfilling the tasks,
● cooperating in reviews,
● cooperating in the development of system development products, e.g. for the »Enabling Sys-
tem and the system, and in the architecture development in the process modules System De-
velopment, Hardware Development and Software Development,
● reporting to the project management.
Skill profile
● Mastery of Integrated Logistic Support (ILS),
● team and communication capabilities,
● leadership, motivation and moderation capabilities,
● basic knowledge of the processes, procedures, methods and tools required for »Logistic Cal-
culations and Analyses (see application aids),
● understanding of business principles,
● knowledge of the legal regulations, standards and provisions on export,
● capability to negotiate with internal and external acquirers,
● knowledge of project management and controlling techniques,
● knowledge of the system (application-related/use/technology),
● knowledge of evaluation environment, production, integration and system initialization,
● self-assertion and acceptance within the project,
● capability to identify and assess weak points, risks and chances,
● capability to provide objective and constructive evaluations,
● logistically relevant knowledge of the market and competitors.

Role Allocation
If the logistic concept is intended to be developed and optimized for a system, the role of Logistic
Manager should be staffed.
Responsible for
Logistic Support Concept, Logistic Support Specification
Participating in
Market Survey for Off-the-Shelf Products, Logistic Calculations and Analyses, Change Decision,
Problem/Change Evaluation, Project Plan, External Unit Specification, Overall System
Specification, Enabling System Implementation, Integration, and Evaluation Concept, System
Architecture, System Specification, Enabling System Architecture
2.17 Process Engineer
Description
The »Process Engineer supports the participants of the improvement project in the development,
maintenance and introduction of an organization-specific process model.
● Developing and maintaining the organization-specific process model in coordination with

the responsible specialties, e.g., Requirements Analyst (Acquirer), Requirements Analyst
(Supplier), System Architect, and QA Manager,
● developing concepts for introducing and improving processes,
● managing the introduction of the process model in pilot projects and the broad rollout,
● monitoring and assessing the effectiveness of the processes
● developing training concepts,
● conducting process training,
● defining, collecting and evaluating metrics and proposing measures derived from them,
● planning, controlling and introducing processes,
● developing a standard process,
● developing process change procedures within the organization,
● cooperating in the assessment of the process model,
● cooperating in the comprehensive process harmonization,
● determining the strategic training requirements.
Skill profile

2 Roles 4-23
● Knowledge of structure, contents and application of the business system, particularly of the
contents of the allocated processes,
● thorough knowledge of the respective process fields (e.g. project management, CM, QA),
● thorough knowledge of the process model employed,
● knowledge of contents and processes of references and standards, e.g. V-Modell XT confor-
mance, CMMI®, ISO 900x, SPICE,
● capability to clearly explain the contents of a process,
● experience in process management techniques (e.g. cause-effect diagrams),
● experience in the coaching of operational projects and knowledge of the operational project,
● capability to judge objectively and constructively.
Responsible for
Organization-Specific Process Model, Process Model Improvement Concept
2.18 Project Leader
Description
The »Project Leader assumes the operational management of the project. He plans, coordinates, mo-
nitors and controls the project sequence, the project team and the project as a whole. Thus, he is tas-
ked with montoring the project results of the other stakeholders and requesting corrective actions
from the respective product managers if required.

In addition to the responsibilities and cooperation rights specified in the V-Modell, the Project Lea-
der has the following tasks:
● Preparing regular and unscheduled reports for the Steering Committee if problems arise,
● assuming responsibility for the technical solution and its realization,
● controlling deadlines, degree of fulfillment of the work packages and funds flow schedule
and reporting to the Steering Committee in case of specified project progress decisions,
● cooperating in the selection of (sub-)suppliers and suppliers and the monitoring of their per-
formance.
Skill profile
● Knowledge and experience in project execution,
● knowledge of business principles,
● knowledge of application, use and technical design of the system,
● knowledge of project management tools,

● self-assertion and acceptance among the participants of the project,

● leadership, motivation and moderation capabilities,
Role Allocation
● The role of Project Leader must be staffed in every project.
● Larger projects should be subdivided into several sub-projects with independent Sub-project
Leaders. In this case, an Overall Project Leader would assume the overall responsibility. The
administrative tasks could be delegated to other team members.
● The Project Leader is member of the Steering Committee and the »Change Control Board.
Responsible for
Market Survey for Off-the-Shelf Products, Delivery, Measurement Data, Metrics Analysis, Work
Order, Meeting Document, Final Project Report, Project Manual, Project Management
Infrastructure, Project Plan, Project Status Report, Project Diary, Risk List, Estimation, Make-or-
Buy Decision, Delivery (Supplier), Final Project Report (Supplier), Project Status Report (Supplier)
Participating in
Requirements Specification, Requirements Evaluation, Life Cycle Cost Calculation, Product
Library, Statement of Acceptance, Evaluation of the Overall Project Requirements Specification,
Requirements Specification Overall Project, Project Progress Decision, QA Manual, Offer
Assessment, Request for Proposal, Criteria Catalog for Assessment of Offers, Contract, Contract
Addendum, Offer
2.19 Purchaser
Description
The »Purchaser supports projects in the award of contract or the procurement of off-the-shelf pro-
ducts. Futhermore the purchaser is responsible for the proposals submitted by the supplier. The
Purchaser is an organization-wide role which provides services for projects.

● Establishing and maintaining a supplier database,
● collecting reports on experiences with suppliers/off-the-shelf products and assessing and fi-
ling these experiences in a supplier database,
● executing supplier assessments,
● performing strategic activities, e.g. selecting preferred suppliers/off-the-shelf products,
● concluding framework contracts and negotiating the price.
The Purchasing Agent supports projects e.g. in
● the selection of potential suppliers/off-the-shelf products,

2 Roles 4-25
● the negotiation of individual contracts,

● the execution of ordering processes.
Skill profile
● Knowledge of legal fundamentals for invitations for bids and contracts,
● experience knowledge of possible risks in the cooperation with suppliers or the use of off-
the-shelf products,
● awareness of the economic aspects to be considered in the award of contracts or the use of
off-the-shelf products.
Responsible for
Offer (Supplier)
Participating in
Market Survey for Off-the-Shelf Products, External Hardware Module, Statement of Acceptance,
External Software Module, External Unit, Make-or-Buy Decision, Offer Assessment, Request for
Proposal, RFP Concept, Criteria Catalog for Assessment of Offers, Contract, Contract Addendum
2.20 QA Manager
Description
The QA Manager is responsible for monitoring the quality in the project, and thus for the quality of
the project results.

● Cooperating in the Change Control Board,
● executing audits,
● ensuring function and availability of the required measurement and evaluation environment
in cooperation with the inspector,
● sharing the decision-making process of the Project Team,
● exercising unlimited access to all quality-related processes and all rights in order to execute
the above tasks,
● exercising co-signing rights for all releases in his area of responsibility,
● developing the QA Manual and the QA reporting system,
● cooperating in the planning of all QA-related tasks.
Skill profile
● Experience in project execution,
● knowledge of test methods and test tools,

● self-assertion in the Project Team,

● capability to identify weak points and risks,
● capability to provide objective and constructive assessments,
Role Allocation
There will be a QA Manager in every project. In small projects, this role can easily be combined
with other roles, e.g. the role of CM Manager. The role of QA Manager should not be combined
with the role of Executive since this could lead to a conflict of interest (Executive - responsible for
time and budget - versus QA Manager - responsible for quality).
Responsible for
Qualification Record, Quality Status Report, QA Manual
Participating in
Statement of Acceptance, Maintenance Documentation, Repair Documentation, Change Decision,
Problem/Change Evaluation, Final Project Report, Project Plan, Project Status Report, Training
Documentation, Overall System Specification, In-Service Documentation, Safety and Security
Analysis
2.21 Quality Manager
Description
The »Quality Manager has cross-service tasks and is responsible for preparing, maintaining, coordi-
nating and distributing quality management regulations in the entire organization. He is in charge of
implementing the quality policy and of all multi-project quality aspects in the system/software/hard-
ware development. He is responsible for the standard-conform contents, economic efficiency, effec-
tivity, and the permanent updating of the quality management system.

● Preparing and maintaining the - company-wide - Quality Management Manual (quality poli-
cy),
● systematically developing a strategic quality management (CIP - continuous improvement
process),
● initiating process improvements within the company,
● establishing and maintining a know-how center for quality issues,
● preparing standards for the quality management reporting system of the projects (as basis for
the improvment of the quality management system),
● analysing the effectivity of the quality management system by evaluating the quality reports,
● providing quality statistics and improvement proposals to the projects,

2 Roles 4-27
● developing mandatory standards as to how QA Manuals, evaluation plans and evaluation

specifications shall be prepared - before the project starts,
● specifying regulations and procedures in accordance with which the projects shall plan and
execute quality assurance measures,
● advising and supporting the projects in all quality management questions,
● determining constructional and analytical QA measures,
● cooperating in the specifications of project-specific QA measures,
● specifying the framework conditions and reguations for the organization of QA measures,
● releasing evaluation plans/test flowcharts/QA Manuals,
● cooperating in the agreement of quality assurance measures with suppliers,
● providing support in the selection of sub-suppliers,
● executing project and sub-supplier audits,
● executing audits as required,
● exercising unlimited access to all quality-related processes and all rights required to fulfill
the above tasks.
Skill profile
● Expertise in quality management tasks,
● knowledge of legal regulations and national and international quality management stan-
dards,
● knowledge of QA methods and tools,
● technical experience and knowledge of application, realization and use of the product,
● experience in project execution and in the application of QA methods to orders,
● capability to organize, delegate and communciate,
● self-assertion and capability to develop a consensus in the project/program organization,
● capability to identify weak points and risks,
● capability to provide objective and constructive evaluations.
Role Allocation
The Quality Manager is an organization-wide role which must exist in all companies certified in ac-
cordance with ISO 9001. He is responsible for the quality management in his company.
Participating in
Organization-Specific Process Model, Process Model Improvement Concept, QA Manual

2.22 Requirements Engineer (Acquirer)
Description
After the project contract has been awarded, the »Requirements Engineer (Acquirer) will be respon-
sible for the products »Requirements Specification and »Requirements Evaluation. If required, he
conducts a »Market Survey for Off-the-Shelf Products, the results of which will be evaluated during
the »Requirements Evaluation and taken into account as in the case of a »Make-or-Buy Decision.
He shall ensure the quality of user requirements and create the prerequisites for ensuring trackabili-
ty and changeability of the requirements throughout the entire life cycle. The »Requirements Engi-
neer (Acquirer) shall observe the fundamentals of the specialty "Requirements Engineering" and
"Procurement Planning" when executing his tasks.

● Preparing the fundamentals for the development and management of requirements,
● selecting and implementing the tools for the acquisition and administration of requirements,
● analysing business processes,
● cooperating in realization studies,
● analysing threat and risk,
● executing weak point, safety and performance analyses,
● collecting and describing functional and non-functional requirements,
● coordinating an harmonizing the collected requirements with all participants,
● systematizing and prioritizing the collected requirements,
● developing acceptance criteria,
● preparing a draft requirements document,
● conducting quality assurance tests of the requirements in accordance with prespecified qua-
lity criteria,
● checking the system design for compliance with the user requirements,
● correcting deficiencies of the requirements,
● preparing requirements for requirements controlling,
● assessing requirements in accordance with prespecified criteria,
● analysing the operational necessity and technical feasibility of requirements,
● assessing the economic efficiency of the requirements (cost-benefit analysis),
● preparing a requirements document ready to be used as request for proposal.
Skill profile
● Knowledge and experience in the fields of "Requirements Engineering" (preparation and
management of requirements) and "Procurement Planning"

2 Roles 4-29
● knowledge of the application and intended use of the system,

● experience in the assessment of architectures,
● experience in handling Requirements Engineering tools,
● capability to abstract, to model and to simplify,
● capability to recognize dependencies,
● capability to communicate with the supplier/user and the project staff.
Responsible for
Requirements Specification, Requirements Evaluation, Evaluation of the Overall Project
Requirements Specification, Requirements Specification Overall Project
Participating in
Market Survey for Off-the-Shelf Products, Offer Assessment, Request for Proposal, Criteria Catalog
for Assessment of Offers, Contract
2.23 Requirements Engineer (Supplier)
Description
After receiving the Requirements Specification, the »Requirements Engineer (Supplier) will be re-
sponsible for the preparation of the product »Overall System Specification. In order to fulfill this
complex task, he shall cooperate with specialists in order to ensure the quality of the requirements
and create the prerequisites for tracking the requirements during the entire life cycle. The Require-
ments Analyst (Supplier) shall observe the fundamentals of the specialty Requirements Engineering
when fulfilling his tasks.

● Developing the principles for the preparation and management of requirements,
● selecting and establishing the tools for collecting and managing requirements,
● analysing business processes,
● assessing, refining and specifying functional requirements,
● assessing, refining and specifying non-functional requirements,
● coordinating and harmonizing the requirements with all participants,
● systematizing and prioritizing the requirements,
● developing the preliminary architecture for the system, enabling system and logistic support,
● specifying development criteria,
● preparing the draft requirements document,

● conducting quality assurance tests of the requirements in accordance with prespecified qua-
lity criteria,
● correcting deficiencies of requirements,
● preparing the requirements for requirement controlling,
● assessing the requirements in accordance with prespecified criteria,
● analysing the operational necessity and technical feasibility of requirements,
● assessing the economic efficiency of requirements (cost-benefit analysis),
● preparing a master system specification,
● assigning requirements to product life cycles,
● cooperating in realization studies,
● analysing threat and risk,
● conducting weak point analysis,
● conducting safety and performance analyses,
● designing system architectures.
Skill profile
● Knowledge and experience in the field "Requirements Engineering" (preparation and mana-
gement of requirements) and "Planning Procurement",
● experience in the handling of requirements engineering tools,
● abstraction capability,
● knowledge of application and function of the system,
● experience in the assessment of architectures,
● capability to communicate with the acquirer/user and the project staff.
Responsible for
Overall System Specification
Participating in
User Tasks Analysis, Logistic Support Specification, Offer

2 Roles 4-31
2.24 RFP-Manager
Description
The RFP Manager is responsible for the preparation of the »Request for Proposal and the selection
of a suitable supplier based on the received »Offers and previously defined decision criteria.

● Planning the order in close cooperation with the »Project Leader (harmonization of contents,
quality requirements, budget and schedule),
● specifying requirements to be observed by the supplier during the adminstration of the order,
● executing the request for proposal correctly from the selection of the suitable RFP concept
to the acceptance of an offer,
● observing the correct schedule and the compliance with all laws and regulations during the
request for proposal,
● coordinating the selection of potential suppliers with the »Purchaser if a »Distribution List
must be prepared,
● preparing and maintaining RFP concepts and selection criteria for the organization.
Skill profile
● Thorough knowledge of the legal basis and the regulations in the RFP system (in case of pu-
blic invitations for bids particularly the guidelines for preparing the tender specifications and
the contract award law, e.g., »VgV, »GWB, »VOL, »VOF, »VOB, »UfAB III, »WiBe 21),
● experience in the preparation of invitations for bids,
● experience in the assessment of offers.
Role Allocation
It is useful to appoint one or more RFP managers within an organization as service providers for
projects.
Responsible for
Offer Assessment, Request for Proposal, RFP Concept, Criteria Catalog for Assessment of Offers
Participating in
Statement of Acceptance, Project Manual, QA Manual

2.25 Safety Manager
Description
The Safety Manager is responsible for the compliance with and the implementation of the »Safety
requirements of a system to be developed or to be used.

● Specifying the functional safety requirements on the part of the acquirer,
● analyzing and tracking the functional safety requirements on the part of the supplier,
● integrating the functional safety requirements into the supplier's system elements,
● interpreting and selecting standards, directives, guidelines and regulations regarding functio-
nal safety,
● monitoring the compliance with functional safety regulations,
● integrating functional safety aspects into the implementation, integration and evaluation
concepts and the evaluation specification,
● integrating personal experience and showing technical risks and chances in the field of func-
tional safety,
● executing the Hazard and Risk Analysis - Functional Safety,
● determining, assessing and implementing risk reduction measures.
Skill profile
● Capability to recognize weak points, hazards and the resulting risks,
● knowledge of the application and use of the system,
● knowledge of the methods and tools used for the Hazard and Risk Analysis - Functional Sa-
fety,
● knowledge of the applicable functional safety standards, assertiveness.
Role Allocation
The Safety Manager is only required in projects which must take into account functional safety re-
quirements. In a project, the roles of Safety Manager and Security Manager can be assumed by one
person.
Responsible for
Safety and Security Analysis
Participating in
Requirements Specification, External Hardware Module Specification, Hardware Specification,
Hardware Implementation, Integration and Evaluation Concept, Requirements Specification Overall
Project, Project Manual, External Software Module Specification, Software Implementation,

2 Roles 4-33
Integration and Evaluation Concept, Software Specification, External Unit Specification, Overall
System Specification, System Implementation, Integration and Evaluation Concept, Enabling
System Implementation, Integration, and Evaluation Concept, System Specification
2.26 Security Manager
Description
The Security Manager is responsible for the compliance with and the implementation of »Security
aspects in IT projects and projects with IT elements. Within the scope of the project, he is mainly
tasked with the preparation and updating of the project-related security concept. In addition, the Se-
curity Manager is basically responsible for monitoring the implementation of the security concept.

● Preparing the project-related security concept,
● reviewing the acceptance of security measures in accordance with the information security
concept,
● advising the Project Manager in technical questions regarding the project's security.
Skill profile
● Capability to recognize weak points, hazards and the resulting risks,
● knowledge of the application and use of the system,
● knowledge of the methods and tools used for the Hazard and Risk Analysis - Information
Security,
● knowledge of the applicable information security standards/regulations/directives,
● assertiveness.
Role Allocation
The Security Manager is only required in projects which must take into account information securi-
ty requirements. Security aspects shall always be considered in IT projects and projects with IT ele-
ments. In a project, the roles of Security Manager and »Safety Manager can be assumed by one per-
son.
Responsible for
Information Security Concept
Participating in
Requirements Specification, Requirements Specification Overall Project, Project Manual, Overall
System Specification, Data Protection Concept

2.27 Software Architect
Description
The »Software Architect is responsible for designing and developing all »Software Unit s and pro-
ducts of the type External Software Module of a »System.

● Designing the »Software Architecture,
● implementing the requirements posed on the software units,
● defining the requirements posed on the products of the type External Software Module,
● assuming responsibility for the software implementation, integration and evaluation concept,
● assuming responsibility for the External Software Module Specification,
● cooperating in the integration into the sgement and - possibly - system,
● cooperating in the development of the »System Architecture and the »Enabling System Ar-
chitecture,
● cooperating in the preparation of the »System Specification or »External Unit Specification.
Skill profile
● Knowledge of application, environment and use of the system,
● knowledge of the system's interfaces,
● knowledge of architectural principles and different software architectures,
● knowledge of the system's software interfaces,
● knowledge of the standard software,
● knowledge of methods and tools,
● capability to recognize weak points and risks,
● capability to analyse problems with due consideration of the software/hardware and to deve-
lop appropriate solutions,
● capability to abstract and simplify,
● capability to communicate with hardware developers, logistic experts and users.
Responsible for
Database Design, External Software Module Specification, Software Implementation, Integration
and Evaluation Concept, Software Architecture, Software Specification
Participating in
Maintenance Documentation, Repair Documentation, Logistic Calculations and Analyses, Change

2 Roles 4-35
Decision, Problem/Change Evaluation, Training Documentation, External Unit Specification,

System Implementation, Integration and Evaluation Concept, Enabling System Implementation,
Integration, and Evaluation Concept, Make-or-Buy Decision, In-Service Documentation, Evaluation
Specification System Element, System Architecture, Enabling System Architecture
2.28 Software Developer
Description
The »Software Developer is responsible for realizing the software elements in accordance with the
»Software Specification.

● Realizing »Software Modules,
● integrating »Software Modules into »Software Components and »Software Units,
● integrating »Software Units into the »System,
● executing developer tests,
● supporting the »Inspector in the test of software elements.
Skill profile
● knowledge of the development environment,
● knowledge of the development standards,
● knowledge of programming and programming concepts,
● knowledge of standard software, programming languages, data definition languages and data
manipulation languages,
● knowledge of the software/hardware interfaces,
● capability to provide structured programming,
● capability to communicate with hardware developers, logistic experts and users.
Responsible for
External Software Module, Software Unit, Software Component, Software Module
Participating in
Maintenance Documentation, Repair Documentation, Logistic Calculations and Analyses, Database
Design, External Software Module Specification, Software Implementation, Integration and
Evaluation Concept, Software Architecture, Software Specification, Training Documentation, In-
Service Documentation, Evaluation Report System Element

2.29 Steering Committee
Description
The »Steering Committee is the highest decision-making body of the project organization, in which
all stakeholders should be represented adequately.
Normally, the »Executive is responsible for the »Project Progress Decision ; however, far-reaching
decisions - e.g. on the discontinuation of the project - shall be escalated to the Steering Committee.
From the beginning, it must be specified which decisions will be made by the Steering Committee.
In addition, the »Project Progress Decisions in which the Steering Committee will participate must
be determined. These decisions will be specified as »Decision Gates in the V-Modell.

● Making the specified »Project Progress Decisions,
● developing solutions for problems which cannot be solved at executive level (conflict mana-
gement).
Role Allocation
At minimum, the Steering Committee shall comprise the »Project Leaders and the »Executives of
acquirer and supplier.
Participating in
Project Progress Decision
2.30 System Architect
Description
The »System Architect has the central role in system design and specification. Based on the »Over-
all System Specification, he designs the »System Architecture and »Enabling System Architecture.
Simultaneously, he defines the system elements based on the »System Specification or »External
Unit Specification and the respective »System Implementation, Integration and Evaluation Concept
or »Enabling System Implementation, Integration, and Evaluation Concept. In addition, the System
Architect is responsible for the »Legacy System Analysis and the »Migration Concept.

● Developing the system and enabling system architecture,
● designing the system elements in accordance with the system element specifications,
● indicating technical risks and chances, using his experience,
● defining system element specifications,
● cooperating in logistic concepts,

2 Roles 4-37
● specifying technical system design,

● examining feasibility,
● allocating requirements,
● describing non-functional requirements,
● describing the interface,
● checking infrastructure,
● specifying system integration,
● testing the system,
● defining requirements for the common use of hardware/software units,
● assessing legacy systems,
● designing migration concepts.
Skill profile
● Knowledge of application, framework conditions and function of the system,
● knowledge of the system's software and hardware interfaces,
● knowledge of architectural principles and different software and hardware architectures,
● knowledge of standard software and standard hardware,
● knowledge of development methods and tools,
● capability to recognize weak points and risks,
● capability to analyse problems,
● capability to abstract and simplify,
● knowledge of system integration,
● capability to communicate with hardware developers, logistic experts and users,
● knowledge of system demonstration.
Responsible for
External Unit Specification, System Implementation, Integration and Evaluation Concept, Enabling
System Implementation, Integration, and Evaluation Concept, System Architecture, System
Specification, Enabling System Architecture, Legacy System Analysis, Migration Concept
Participating in
Market Survey for Off-the-Shelf Products, Hardware Architecture, Maintenance Documentation,
Repair Documentation, Logistic Calculations and Analyses, Logistic Support Concept, Change
Decision, Problem/Change Evaluation, Project Manual, Project Plan, Software Architecture,
Training Documentation, Overall System Specification, Make-or-Buy Decision, In-Service
Documentation, Evaluation Specification System Element

2.31 System Integrator
Description
The »System Integrator has the central role in the system realization phase. Based on the »System
Implementation, Integration and Evaluation Concept, he integrates system elements into »Segments
and into the »System. Analogously, he uses the »Enabling System Implementation, Integration, and
Evaluation Concept to integrate the »Enabling System. In both integration cases, »External Units
must possibly be taken into account.

● Installing, integrating and supporting a system or enabling system,
● recognizing faults arising during the integration,
● coordinating the interfaces between segments,
● preparing segment tests during the development phase and system tests to be demonstrated
to the acquirer,
● supporting and accepting external units,
● supporting the preparation of training documents and user documentation,
● supporting logistic activities,
● supporting the construction of laboratory models and prototypes between the development
and production phases,
● providing the evaluation environment.
Skill profile
● Knowledge of the system's structure and principle of operation,
● knowledge of development, integration and installation measures,
● comprehensive knowledge of the application of the system,
● capability to build up on existing concepts and to familiarize himself with new ways of thin-
king,
● capability to give constructive criticism,
● capability to communicate with developers and users,
● technical support of sub-suppliers.
Responsible for
External Unit, Segment, System, Enabling System
Participating in
Market Survey for Off-the-Shelf Products, Hardware Architecture, Evaluation Report Delivery,
Delivery, Software Architecture, External Unit Specification, Overall System Specification, System
Implementation, Integration and Evaluation Concept, Enabling System Implementation, Integration,

2 Roles 4-39
and Evaluation Concept, Make-or-Buy Decision, Evaluation Report System Element, Evaluation
Procedure System Element, Evaluation Specification System Element, System Specification,
Migration Concept
2.32 Technical Author
Description
The Technical Author (Technical Writer) develops and prepares the (technical) documentation and
the »Training Documentation and conducts acquirer instructions within the scope of the »V-Modell
Project.

● Developing acquirer documentation and preparing the documentation concept,
● recording technical information and data, which are required for future use, operation and
maintenance, from the logistic databases and technical archives,
● preparing technical manuals or electronic documentation in accordance with the specified
documentation concept,
● cooperating in the specification and review of the acquirer instruction requirements included
in offers and contracts,
● preparing training documents and CAT (computer-aided training),
● preparing (including the preparation of training documents) and conducting acquirer instruc-
tions,
● editing information and data, allocating them to various target groups.
Skill profile
● Technical understanding,
● capability to convert technical facts and connections into target group-oriented descriptions
and programs of instruction,
● capability to express himself clearly in text and graphics,
● didactic/rhetoric capabilities,
● foreign language skills as required by the project,
● capability to identify and stress essential statements,
● knowledge and mastery of the processes, procedures, methods and tools required for the
task,
● qualification as trainer/instructor,
● knowledge of the legal regulations and standards.

Role Allocation
The role of the Technical Author should be staffed as soon as documentation or training documents
must be prepared or acquirer instructions must be conducted within the scope of the project.
Responsible for
Spare Parts Catalog, Maintenance Documentation, Repair Documentation, Training Documentation,
Logistic Support Documentation, In-Service Documentation
Participating in
User Tasks Analysis
2.33 User
Description
After delivery, the user uses the system for fulfilling his tasks. Based on his experience with system
operation and maintenance, he derives requirements for the overall system and introduces appro-
priate change proposals.

● Participating in the preparation of the »Requirements Specification,
● cooperating in the preparation of the user task analysis,
● cooperating in the identification of functions to be realized,
● describing problems, taking into account the technical and organizational integration of the
system,
● specifying safety and security requirements from point of view of the user,
● describing framework conditions for the system maintenance and modification concept from
point of view of the user,
● supporting the specification of organizational regulations for the use of the system,
● supporting the provisioning of infrastructure for operators and acceptance personnel,
● supporting the assessment of requirements and their economic efficiency,
● cooperating in tests and acceptance procedures,
● preparing change requests for extending and improving the functions of the delivered sys-
tem.
Skill profile
● Knowledge of function and use of the system,
● communication capability.

2 Roles 4-41
Participating in
Requirements Specification, Requirements Evaluation, User Tasks Analysis, Evaluation Report
Delivery, Evaluation of the Overall Project Requirements Specification, Requirements Specification
Overall Project

3 Role Index
Account Manager............................................................................................................................4-6
Assessor............................................................................................................................................4-7
Change Control Board....................................................................................................................4-8
Change Request Manager..............................................................................................................4-9
CM Administrator.........................................................................................................................4-10
CM Manager..................................................................................................................................4-11
Coach..............................................................................................................................................4-12
Controller.......................................................................................................................................4-12
Data Protection Manager.............................................................................................................4-14
Ergonomics Manager....................................................................................................................4-14
Executive........................................................................................................................................4-15
Hardware Architect.......................................................................................................................4-16
Hardware Developer.....................................................................................................................4-17
Inspector.........................................................................................................................................4-19
Logistics Developer.......................................................................................................................4-19
Logistics Manager.........................................................................................................................4-21
Process Engineer...........................................................................................................................4-22
Project Leader...............................................................................................................................4-23
Purchaser.......................................................................................................................................4-24
QA Manager..................................................................................................................................4-25
Quality Manager...........................................................................................................................4-26
Requirements Engineer (Acquirer).............................................................................................4-28
Requirements Engineer (Supplier)..............................................................................................4-29
RFP-Manager................................................................................................................................4-31
Safety Manager..............................................................................................................................4-32
Security Manager..........................................................................................................................4-33
Software Architect.........................................................................................................................4-34
Software Developer.......................................................................................................................4-35
Steering Committee.......................................................................................................................4-36
System Architect............................................................................................................................4-36
System Integrator..........................................................................................................................4-38
Technical Author...........................................................................................................................4-39
User.................................................................................................................................................4-40

Part 5: V-Modell Reference Work
Products
V-Modell® XT


Part 5: V-Modell Reference Work Products 5-3
Table of Contents
1 Introduction..................................................................................................................................5-6
1.2 Audience.................................................................................................................................5-6
1.4 Notes Concerning the Display in the V-Modell Reference....................................................5-7
2 Overview of the Product Model of the V-Modell.......................................................................5-8
2.1 Disciplines..............................................................................................................................5-8
2.2 Structural Product Dependencies.........................................................................................5-10
2.3 Generative Product Dependencies........................................................................................5-12
3 Products.......................................................................................................................................5-17
3.1 Supply and Contracting.......................................................................................................5-17
3.2 Planning and Control...........................................................................................................5-23
3.3 Reporting.............................................................................................................................5-44
3.4 Configuration and Change Management.............................................................................5-56
3.5 Evaluation............................................................................................................................5-61
3.6 Acquisition and Contracting................................................................................................5-78
3.7 Requirements and Analyses.................................................................................................5-86
3.8 System Elements................................................................................................................5-112
3.9 System Specifications........................................................................................................5-120
3.10 System Design.................................................................................................................5-140
3.11 Logistic Elements............................................................................................................5-167
3.12 Logistic Conception.........................................................................................................5-175
3.13 Process Improvement......................................................................................................5-182
4 Generative Product Dependencies..........................................................................................5-191
4.1 Assessment of a Process Model..........................................................................................5-191
4.2 Product Set for the Improvement of an Organization-Specific Process Model.................5-191
4.3 Conducting a Market Survey for Off-the-Shelf Products...................................................5-191
4.4 Product Set of a Hardware Unit within the System............................................................5-191
4.5 Product Set of a Hardware Unit within an Enabling System.............................................5-192
4.6 Product Set of a Hardware Component..............................................................................5-192
4.7 Product Set of an External Hardware Module....................................................................5-193
4.8 Product Set of a Hardware Module....................................................................................5-194
4.9 Product scope for the acceptance of a delivery (without contract)....................................5-194
4.10 Product scope for the compilation of a delivery (without contract).................................5-194
4.11 Product Set of Logistic Elements.....................................................................................5-194
4.12 Product Set of Logistic Support Documentation..............................................................5-195
4.13 Product Set for the Project Management..........................................................................5-195
4.14 Product Set for Quality Assurance...................................................................................5-195
4.15 Product Set of one Software Unit in the System..............................................................5-196
4.16 Product Set of one Software Unit in the Enabling System...............................................5-196
4.17 Product Set of one Software Component.........................................................................5-197
4.18 Product Set of one External Software Module.................................................................5-197
4.19 Product Set of one Software Module................................................................................5-198
4.20 Product Set of External Units in the System....................................................................5-198

5-4 Part 5: V-Modell Reference Work Products
4.21 Product Set of External Units in an Enabling System......................................................5-199

4.22 Product Set of Logistic Elements.....................................................................................5-199
4.23 Product Set of Segments in the System............................................................................5-199
4.24 Product Set of Segments in an Enabling System..............................................................5-200
4.25 Product Set of Enabling Systems.....................................................................................5-200
4.26 Product Set of the System.................................................................................................5-201
4.27 Product Scope for Safety..................................................................................................5-202
4.28 Preparation of a Contract Addendum...............................................................................5-202
4.29 Product Set for Contract Award........................................................................................5-202
4.30 Product Set for the Supplies and Services to be Received According to Contract...........5-202
4.31 Preparing an Offer............................................................................................................5-203
4.32 Product Set to be Delivered According to Contract.........................................................5-203
5 Content-Related Product Dependencies.................................................................................5-204
5.1 Consideration of the Project Proposal................................................................................5-204
5.2 Requirements Evaluation....................................................................................................5-204
5.3 Preparing the first Project Progress Decision.....................................................................5-204
5.4 Project Proposal and Requirements Specification..............................................................5-204
5.5 Consistency between Sub-Project Requirements and the Requirements Specification Overall
Project..................................................................................................................................5-204
5.6 Consistency of User Task Analysis and Overall System Specification..............................5-205
5.7 Directives for the User Interface........................................................................................5-205
5.8 Consideration of the Proposal for Introducing and Maintaining an Organization-Specific
Process Model......................................................................................................................5-205
5.9 Preparation of the First Project Progress Decision.............................................................5-205
5.10 Consistency of the Products of the Organization-specific Process Model.......................5-205
5.11 Proposal for Introducing and Maintaining an Organization-Specific Process Model......5-206
5.12 Consideration of the Market Survey.................................................................................5-206
5.13 Influence of an Off-the-Shelf Product on the External Unit Specification......................5-206
5.14 Influence of an Off-the-Shelf Product on the External Hardware Module Specification 5-207
5.15 Influence of an Off-the-Shelf Product on the External Software Module Specification..5-207
5.16 Directives of the QA Manual Regarding Off-the-Shelf Products.....................................5-208
5.17 Preparing the Life Cycle Cost Calculation.......................................................................5-208
5.18 Preparing the Life Cycle Cost Calculation.......................................................................5-208
5.19 Consistency between CM Requirements specified in the Project Manual and the Evaluation
Specification Product Configuration...................................................................................5-208
5.20 Description of System and Enabling Systems by Logistic Elements...............................5-209
5.21 Logistic Calculations and Analyses as Prerequisites for the Logistic Conception...........5-209
5.22 Logistic Calculations and Analyses based on (Enabling) System Architecture...............5-209
5.23 Influence of Logistic Conception on Hardware and Software Specifications.................5-209
5.24 Influence of Logistic Conception on In-Service and Training Documentation...............5-210
5.25 Evaulation of the Overall Project Requirements Specification........................................5-210
5.26 Aggregation of project status reports to the overall project.............................................5-210
5.27 Project proposal and requirements...................................................................................5-210
5.28 Change Status List within Project Status Report..............................................................5-210
5.29 Consistency of Problem and Change Management Products...........................................5-210
5.30 Consideration of Project Progress Decisions....................................................................5-211
5.31 Consistency of Work Orders and Project Plan..................................................................5-211
5.32 Planning of Risk Management Measures.........................................................................5-211

Part 5: V-Modell Reference Work Products 5-5
5.33 Preparing Regular Quality Status Reports........................................................................5-211

5.34 Evaluation Reports in the Quality Status Report..............................................................5-211
5.35 Evaluation Specification and Evaluation Report..............................................................5-212
5.36 Quality Status Reports in Project Status Report and Project Diary..................................5-212
5.37 Directives Regarding Products to be Evaluated...............................................................5-212
5.38 Integration of the System Elements..................................................................................5-212
5.39 Planning of Evaluation and Integration............................................................................5-212
5.40 Evaluation Procedure and Evaluation Report...................................................................5-213
5.41 Evaluation Specifications and Reports in the Qualification Record................................5-213
5.42 Directives in the Overall System Specification regarding Off-the-Shelf Products..........5-213
5.43 Directives Regarding Evaluation of System Elements.....................................................5-213
5.44 Consistency between the Requirements Specification and the Overall System Specification
(without contract).................................................................................................................5-213
5.45 Product Scope for Safety and Security.............................................................................5-214
5.46 Directives Regarding Safety and Security in the Project Manual....................................5-214
5.47 Information Security Specifications.................................................................................5-214
5.48 Acceptance of the Directives Specified for the Supplier in the Project Manual..............5-214
5.49 Acceptance of the Directives Specified for the Supplier in the QA Manual....................5-214
5.50 Requirements as Part of Request for Proposal and Contracts..........................................5-215
5.51 Supplier Reports...............................................................................................................5-215
5.52 Assessment of Offers........................................................................................................5-215
5.53 External Unit Specification as Part of Request for Proposal and Contract......................5-215
5.54 Planning of the Cooperation in Activities of the Supplier................................................5-216
5.55 Directives for the Supplier................................................................................................5-216
5.56 Consistency of Request for Proposal and Offer...............................................................5-216
5.57 Contract-Relevant Parts of Project and QA Manual in the Contract................................5-216
5.58 Consistency of Requirements Specification and Overall System Specification..............5-216
5.59 Influence of Legacy System Analysis on System Development......................................5-217
6 Product Index (According to Disciplines)..............................................................................5-218
7 Product Index (alphabetically)................................................................................................5-229
8 List of Figures...........................................................................................................................5-232

1 Introduction

The »V-Modell Reference Work Products includes all »Disciplines, »Work Products and subjects,
which will be described in accordance with the hierarchical product model of the V-Modell. The
connections between the individual products will be described explicitly by product dependencies.
1.2 Audience
This V-Modell Reference is intended particularly for all project members which coorperate in or are
responsible for the processing or testing of V-Modell products.

This V-Modell Reference includes the following chapters:
»Overview of the Product Model of the V-Modell
This chapter provides a survey of the V-Modell products, based on the »Discipline. In the following
sections, the structure of a system established in accordance with the V-Modell will be described by
means of the structural »Product Dependency. The generative product dependencies show the
connections established for product generation.
»Products
This chapter describes the »Discipline and the products contained therein in detail. The responsible
and cooperative »Roles will be specified. The respective generative product dependencies and the
content-related product dependencies will be listed for each product.
»Generative Product Dependencies and »Content-Related Product Dependencies
These chapters describe all product dependencies in detail. For each product dependency, the pro-
ducts connected with each other within the scope of the product dependency will be listed.
»Product Index (According to Disciplines)
This chapter includes a complete hierarchical list of all components of the product model contained
in the V-Modell, comprising disciplines, products and subjects.
»Product Index (alphabetically)
This chapter includes a complete alphabetical list of all V-Modell products.
»List of Figures
This chapter provides a survey of all illustrations contained in the »V-Modell Reference Work Pro-
ducts.

1 Introduction 5-7
1.4 Notes Concerning the Display in the V-Modell Reference

The following paragraphs will explain the display concepts relevant for the V-Modell Reference
Work Products in detail. This is particularly important for understanding the chapter »Overview of
the Product Model of the V-Modell; this chapter provides a graphical presentation of the assignment
of products to disciplines and the connection between the products as established by structural and
generative product dependencies.
The assignment to disciplines is displayed analogously to the presentation in the »V-Modell Refe-
rence Tailoring .
Structural product dependencies structure products and relate them to each other. This leads basical-
ly to the three possibilities shown in Figure Abbildung 1.
Abbildung 1: Legend for the Display of Structural Product Dependencies

Based on an initial product, a generative product dependency describes a condition; when this con-
dition occurs, a target product must or can be be generated. Depending on the situation, this V-Mo-
dell Reference describes two different display types for generative product dependencies, which ho-
wever are completely equivalent.
Abbildung 2: Legend for the Display of Generative Product Dependencies

2 Overview of the Product Model of the V-Modell

The graphical notation which will be used for products and disciplines in the following chapters is
explained in the section »Fundamentals of the V-Modell in chapter »Process Modules.
2.1 Disciplines
Products are structured hierarchically in the V-Modell. The disciplines are the highest level of the
product model. They categorize products in accordance with their contents and are useful for provi-
ding a survey of the V-Modell products. The V-Modell defines various disciplines, which can be
subdivided into three categories - project (management), development, and organization. This clas-
sification is only used for the presentation within this chapter.
Figure 3: Project Disciplines

Figure 3 shows the project disciplines. The discipline »Planning and Control includes the central
»Project Management products, like »Project Manual, »QA Manual and »Project Plan. Project re-
ports and similar products supporting the project management are summarized in the discipline
»Reporting. The products of the management disciplines Configuration and Change Management

2 Overview of the Product Model of the V-Modell 5-9
and Quality Assurance are summarized in the disciplines »Configuration and Change Management
and »Evaluation. Specific products for the execution of acquirer projects are included in the disci-
pline » Acquisition and Contracting, specific products for the supplier in the discipline »Supply and
Contracting. Frequently, acquirer products have counterparts on the side of the supplier, and vice
versa. An acquirer/supplier interface, which is modeled explicitly in the V-Modell (see »Generative
Product Dependencies), is based primarily on products of these two disciplines.
Figure 4: Development Disciplines

Figure 4 shows the development disciplines. Products describing the functional requirements and
analyses for specific development disciplines are summarized in the discipline »Requirements and
Analyses. The discipline »System Specifications includes the technical requirements and specifica-
tions for the system and its components. Products describing the implementation of specifications in
technical solutions and concepts - like the different architecture documents - are summarized in the
discipline »System Design. The realized system components and the system itself are included in
the discipline »System Elements. Products for the logistic support of the developed system are lis-
ted in the discipline »Logistic Conception for the concept documents and in the discipline »Logistic
Elements for the realized logistic elements.

Figure 5: Organization Disciplines

Figure 5 shows the organization disciplines. The discipline »Process Improvement includes pro-
ducts used for the introduction and maintenance of an organization-specific process model.
The products of the various disciplines and the disciplines themselves will be described in detail in
the chapter »Products. The following paragraphs provide a survey of the different connections bet-
ween the products. In the V-Modell, these connections are modeled explicitly as product dependen-
cies.
2.2 Structural Product Dependencies

»System Architecture and »Enabling System Architecture describe the hierarchical structure of the
»System and the »Enabling Systems. This hierarchical structure provides a logical structuring of the
system and the corresponding enabling systems. However, it does not reflect the complete composi-
tion structure and the layout plan of the system. Accordingly, it does not show the complete com-
muncation and interface structure. It is a logical, hierarchical structuring of the system. In the V-
Modell, the rules governing the layout of this hierarchical structure are described by means of struc-
tural product dependencies.
Figure 6 shows these dependencies. A system may comprise any number of interleaved »Segments.
Segments which are not subdivided into further segments consist of »Software Units, »Hardware
Units and »External Units. External units are not subdivided further. Software and hardware units
consist of any number of interleaved software or »Hardware Components. Software and hardware
components which are not subdivided further consist of products of the type »Software Module or
»Hardware Module. At hardware and software level, there are also products of the type »External
Hardware Module or »External Software Module, which are not subdivided further.
The segment and component levels may be omitted, i.e., the software/hardware unit level may be
directly below the system level, and the software/hardware module level may be directly below the
software/hardware unit level.
In addition to a system, a »V-Modell Project can develop a number of »Enabling Systems. Every
enabling system will be structured like a system. Any number of logistic support documentations
may be prepared for the system and the enabling systems. A logistic support documentation is a set
of documents which belong together with regard to contents, i.e., »In-Service Documentation and
»Training Documentation, and - depending on the necessary logistic effort - additional »Mainte-
nance Documentation, »Repair Documentation and »Spare Parts Catalog s .

Figure 6: Overview of Structural Product Dependencies

2.3 Generative Product Dependencies

»Product Dependency, Generative describes which models of the initial products will specify the
conditions for developing the models of the target products. Thus, the generative product dependen-
cies are a set of important rules which provide appropriate support for the planning and develop-
ment of a V-Modell project. The following figures depict these generative product dependencies as
arrows directed from the generating products to the generated products.
As shown in Figure 7, project management products will be developed in accordance with the spe-
cifications of the »Project Manual and the »Project Plan. The quality assurance products will be de-
veloped in accordance with the specifications of the »QA Manual and the »Project Plan.
Figure 7: Overview of the Generative »Product Dependency of Management Products

»RFP Concept, »Criteria Catalog for Assessment of Offers and »Request for Proposal will be prepa-
red in accordance with the specifications described in the »Project Manual of the acquirer. When
subcontracts will be awarded, the »Make-or-Buy Decision shall also be taken into account as initital
point for the preparation of these »Product Instance s.
The acquirer's request for proposal will be forwarded via the »Acquirer/Supplier Interface shown in
Figure 8 . On the side of the supplier, this product will be designated as »Request for Proposal (Ac-
quirer). Together with a positive »Assessment of Request for Proposal, this product will be used for
the preparation of an »Offer. On the side of the acquirer, this product will be designated as »Offer
(Supplier).
Based on these products and the specifications contained in the »Project Manual and - possibly - the
corresponding »Make-or-Buy Decision, an »Offer Assessment will be prepared. On the basis of the
»Contract and any »Contract Addendum, which will be developed within the scope of a »Change
Decision, the »Statement of Acceptance, »Evaluation Specification Delivery and »Evaluation Re-
port Delivery will be prepared.
Based on the »Contract (Acquirer) and any »Contract Addendum (Acquirer), the supplier will pre-
pare the »Delivery (Supplier), »Project Status Reports and the »Final Project Report, which in turn
will be forwarded to the acquirer via the »Acquirer/Supplier Interface.

Figure 8: Overview of the Generative Product Dependencies at the Acquirer/Supplier Interface

The system development in the »Project Type »System Development Project (Acquirer/Supplier) is
not provided with the »Acquirer/Supplier Interface described above. As shown in Figure Figure
9,the »Delivery (Supplier), the »Statement of Acceptance and the corresponding Evaluation Specifi-
cations and Evaluation Records will be generated by the Project Manual.
Figure 9: Generating Product Dependencies for the Delivery/Acceptance in »System Development

Project (Acquirer/Supplier)

Figure 10 shows the creation of the »Work Product within the scope of the system development. Ar-
chitectures, evaluation and integration concepts and the Overall System Specification are marked
grey. They include specifications for existence and contents of all products which are listed in the
equally colored boxes below.
The »Overall System Specification specifies if and how many enabling systems and logistic support
documentations shall be prepared for the system and enabling system. The scope of the required do-
cumentation will be specified for every »System, »Enabling System and »Logistic Support Docu-
mentation, i.e., it will be specified in accordance with Figure 10 whether a »System Specification,
an »User Tasks Analysis and a »Database Design must be prepared for the enabling system.
The products »Evaluation Report System Element , »Evaluation Procedure System Element, »Eva-
luation Specification System Element, »Evaluation Report Usability, »Evaluation Specification
Usability and »Safety and Security Analysis can be prepared for each system element and are only
indicated by "..." in order to improve clarity.

Figure 10: Overview of the System Development Product Dependencies

The system to be prepared is based on a »System Architecture, which describes the »System De-
composition down to unit level, i.e., it identifies »Segments, software and »Hardware Units and de-
cides on the possibilities of using external units. Together with the »System Implementation, Inte-
gration and Evaluation Concept, it provides specifications for the appropriate documents to be pre-
pared for segments, external units, »Hardware Units and »Software Units. The same applies analo-
gously to the »Enabling System Architecture and the corresponding »Enabling System Implementa-
tion, Integration, and Evaluation Concept.
Software and hardware units, in turn, have an architecture and an implementation, integration and
evaluation concept of their own, which have the same function as their counterparts at system level.
Analogously to the »External Units at system level, there are the system elements »External Hard-
ware Module and »External Software Module at hardware and software level, which can be procu-

red as off-the-shelf products or by a sub-order. The scope of the work product »Logistic Support
Documentation is regulated in the »Overall System Specification, which incudes the work product
»Logistic Support Concept. The latter specifies the product scope of the Logistic Elements.
Figure 11 shows the generation of the »Market Survey for Off-the-Shelf Products. A market survey
of this type can already be conducted during the specification of requirements if the necessary infor-
mation can be derived from the »Project Proposal or the »Requirements Specification.
Figure 11: Generative Product Dependencies for the Specification of Requirements

As shown in Figure 12, the product maturity of an organization will be evaluated before an »Orga-
nization-Specific Process Model can be introduced or maintained. Based on the resulting »Assess-
ment of a Process Model , an »Process Model Improvement Concept and finally the new process
model itself will be developed.
Figure 12: Overview of the Generative Product Dependencies of the Organization-Specific Process
Model

3 Products 5-17
3 Products
3.1 Supply and Contracting

The »Discipline Supply and Contracting includes the work products and activities from the »Re-
quest for Proposal (Acquirer) to »Offer, »Contract (Acquirer), »Delivery and »Statement of Accep-
tance (Acquirer) . Supplier products frequently have counterparts on the side of the acquirer and
vice versa. Thus the work products »Request for Proposal (Acquirer), Contract (Acquirer), »Con-
tract Addendum (Acquirer) and »Statement of Acceptance (Acquirer) are duplicates of the acqui-
rer's originals. Conversely, this applies to the offer which is provided to the acquirer as duplicate of
the supplier's original.
The »Assessment of Request for Proposal is unique since it is conducted by the respective organiza-
tion before the V-Modell is applied and since it is used as basis for the decision to submitt a propo-
sal in the »Decision Gate »Project Approved.
3.1.1 Request for Proposal (Acquirer)

Process module: Drafting and Conclusion of Contract (Supplier)
Responsible: Account Manager (when using process module Drafting and Conclusi-
on of Contract (Supplier))
Work Product Attributes: external, initial
Source Work Product: Request for Proposal
Purpose
The »Request for Proposal of the Acquirer is the basis for the Supplier's »Offer (for a description,
refer to »Delivery and Acceptance (Acquirer)).
Generates
Offer (see product dependency 4.31)
Depends on
3.1.1.1 General Remarks on the Request for Proposal

See General Remarks on the Request for Proposal in product Request for Proposal.
3.1.1.2 Annex 1: Requirements Regarding the (Sub-)System

See Annex 1: Requirements Regarding the (Sub-)System in product Request for Proposal.

3.1.1.3 Annex 2: Directives for the Project Manual (Supplier)

See Annex 2: Directives for the Project Manual (Supplier) in product Request for Proposal.
3.1.1.4 Annex 3: Directives for the QA Manual (Supplier)

See Annex 3: Directives for the QA Manual (Supplier) in product Request for Proposal.
3.1.2 Assessment of Request for Proposal

Responsible: Executive (when using process module Drafting and Conclusion of
Contract (Supplier))
Purpose
The evaluation of the request for proposal is the basis for the decision as to whether an »Offer shall
be prepared or not. For this purpose a rough technical solution proposal will be prepared based on
the »Requirements Specification defined in the »Request for Proposal, a strategy for success will be
developed, the economic profitability will be calculated, the significant specifications for the prepa-
ration of an offer will be made and the result of the evaluation will be processed systematically with
respect to a decision to submit an offer.
Generates
3.1.2.1 Requirements Analysis

The provider checks and evaluates the »Requirements Specification contained in the RFP docu-
ments with respect to their economic and technological feasibility, effort and importance.
3.1.2.2 Suggested Technical Solution

Based on the requirements analysis, the suggested technical solution describes the preliminary de-
sign of the overall system to be prepared. The overall system should be decomposed to a level
which permits a reliable estimate of the effort required for the preparation of the offer.
3.1.2.3 Consideration of Economic Efficiency

The consideration of economic efficiency first checks the rentability of the project (also designated
as business case), i.e., the question as to whether the project is profitable for the supplier. Based on
a first Life Cycle Cost Calculation, the probable »Project Costs and »Manufacturing Costs shall be
estimated and a Consideration of Economic Efficiency shall be executed.

3 Products 5-19
In addition, it is possible to conduct considerations of economic efficiency which exceed the profit
achieved directly, e.g., if additional chances on the market are possible, a product family is comple-
mented, the development team will be qualified, the supplier's image will be improved or the sys-
tem to be developed may be reused.
3.1.2.4 Success Strategy

This subject specifies the success factors of the »Offer which - in the opinion of the supplier - make
a contract award probable. It should take into account the organization's strategy, the competitive si-
tuation, the market/acquirer situation, the own technological competence, possible recognizable le-
gal and political influences, possible partners, the availability of resources, recognizable risks and
chances and possible pricing variants.
3.1.2.5 Offer Preparation - Organization and Guidelines

This subject specifies standards for the preparation of an offer, the furtherance of which will depend
on the probable effort required for the project. Normally, an »Offer does not require the preparation
of the necessary project management documents. Only in exceptional cases, i.e. in case of very lar-
ge projects, will - for example - the »Project Manual, the »Project Plan and the »QA Manual be pre-
pared for the offer.
The standards for the preparation of an offer include milestones, deadlines, budgets of the offer, re-
sponsibilities (e.g., bidding manager, tasks of the bidding team, establishment and tasks of an edito-
rial team (specialists not participating in the offer who are intended to improve the quality of the of-
fer) or the establishment of the quality assurance required for the offer), the structure of the offer
and the layout.
3.1.2.6 Evaluation Result

The results of the »Assessment of Request for Proposal will be summarized and prepared for the
Steering Committee in such a way that they can be used as a basis for making an unambiguous deci-
sion on the preparation of an offer.
3.1.3 Offer
Responsible: Account Manager (when using process module Drafting and Conclusi-
on of Contract (Supplier))
Activity: Submitting an Offer
Participating: Project Leader, Controller, Executive, Requirements Engineer (Sup-
plier)
Purpose
This product is intended to provide a competitive »Offer, which meets the informal expectations of
the acquirer and fulfills the requirements of the »request for proposal.

The offer will be based on the »Request for Proposal (Acquirer) and the assessment thereof. In ad-
dition to the general clauses and conditions with notes on the organization's profile and qualificati-
on, it includes legal and commercial clauses and conditions, technical specifications and offer-rele-
vant portions of the Project Manual and the QA Manual (Supplier). The latter need not be prepared
as separate documents unless this is required by the request for proposal.
The offer shall comply with the applicable laws and directives in accordance with the request for
proposal and the general statutory regulations (e.g. product safety, environmental protection regula-
tions).
Is generated by
Request for Proposal (Acquirer), Assessment of Request for Proposal (see product dependency
4.31)
Depends on
Request for Proposal (Acquirer) (see product dependency 5.56)
3.1.3.1 General Clauses and Conditions

The general clauses and conditions include an introduction and all relevant data required by the ac-
quirer, e.g., references to annexes like oraganization profile with references and qualification of em-
ployees, a description of the quality management system, organization brochures, applicable data
sheets and certificates. Frequently, this subject also includes a summary for the management.
3.1.3.2 Offer - Legal and Commercial Clauses and Conditions

The legal and commercial clauses and conditions of the offer include - on the one hand - the legal
conditions, e.g., general terms and conditions or - in case of a public acquirers - »EVB-IT, »BVB
and »VOL, warranty terms, license agreements, provisions for the transfer of ownership, warnings
and cautions, provisions of price legislation and place of jurisdiction.
On the other hand, they include commercial conditions, e.g., data on price type and price level, pay-
ment conditions and date of payment. Depending on the technical approach, they will frequently in-
clude a cost estimate, which - e.g. in case of competitive bidding - may be based on a detailed re-
view of the expenditure.
3.1.3.3 Annex 1: Specification of Services

Annex 1 describes structure and functionality of the overall system to be prepared in accordance
with the technical solution defined in the »Assessment of Request for Proposal, taking into account
the »Requirements Specification. The required degree of detail is specified in the request for propo-
sal. Interfaces and connections to the environment will be summarized.
This is a first pencil draft of the »Overall System Specification.
3.1.3.4 Annex 2: Offer-Relevant Parts of the Project Manual (Supplier)

Annex 2 describes the subjects of the »Project Manual which are requested in the Request for Pro-
posal.

3 Products 5-21
3.1.3.5 Annex 3: Offer-Relevant Parts of the QA Manual (Supplier)

Annex 3 describes the subjects of the »QA Manual which are requested in the Request for Proposal.
3.1.4 Contract (Acquirer)

Activity: Concluding a Contract (Supplier)
Source Work Product: Contract
Purpose
The Contract (Acquirer) is a copy of the »Contract in the project of the Acquirer.
Generates
Delivery, Final Project Report, Project Status Report, Evaluation Report Document, Evaluation
Specification Document, Evaluation Report System Element, Evaluation Specification System Ele-
ment (see product dependency 4.32)
Depends on
Project Manual, QA Manual, Contract Addendum (Acquirer) (see product dependency 5.57)
Overall System Specification, Contract Addendum (Acquirer) (see product dependency 5.58)
3.1.4.1 Contract - Legal and Commercial Clauses and Conditions

See Contract - Legal and Commercial Clauses and Conditions in product Contract.
3.1.4.2 Annex 1: Requirements Regarding (Sub-)System

See Annex 1: Requirements Regarding (Sub-)System in product Contract.
3.1.4.3 Annex 2: Contract-Relevant Parts of the Project Manual (Supplier)

See Annex 2: Contract-Relevant Parts of the Project Manual (Supplier) in product Contract.
3.1.4.4 Annex 3: Contract-Relevant Parts of the QA Manual (Supplier)

See Annex 3: Contract-Relevant Parts of the QA Manual (Supplier) in product Contract.
3.1.5 Contract Addendum (Acquirer)



Activity: Concluding a Contract Addendum (Supplier)
Work Product Attributes: external
Source Work Product: Contract Addendum
Purpose
The Contract Addendum (Acquirer) is a copy of the »Contract Addendum in the project of the ac-
quirer.
Generates
Delivery, Final Project Report, Project Status Report, Evaluation Report Document, Evaluation
Specification Document, Evaluation Report System Element, Evaluation Specification System Ele-
ment (see product dependency 4.32)
Depends on
Project Manual, QA Manual, Contract (Acquirer) (see product dependency 5.57)
Overall System Specification, Contract (Acquirer) (see product dependency 5.58)
3.1.6 Delivery
Process module: Delivery and Acceptance (Supplier)
Responsible: Project Leader (when using process module Delivery and Acceptance
(Supplier))
Activity: Preparing and Making a Delivery
Participating: System Integrator
Purpose
The delivery comprises the delivery items specified in the »Contract (Acquirer). These may include
system elements like software and hardware or documents. The delivery items must be transported
in a suitable packaging, which ensures that they arrive undamaged at the acquirer. It should be noted
that it may be necessary to develop the packaging as well. The applicable documents, like
freight/shipping documents, customs papers/export documents, delivery notes or sales documents,
are part of the delivery. They must specify the configuration of the delivery items in order to enable
the Acquirer to acknowledge receipt.
Is generated by
Project Manual (see product dependency 4.10)
Contract (Acquirer), Contract Addendum (Acquirer) (see product dependency 4.32)

3 Products 5-23
3.1.7 Statement of Acceptance (Acquirer)

Activity: Obtaining the Statement of Acceptance (Supplier)
Source Work Product: Statement of Acceptance
Purpose
For a description, refer to »Statement of Acceptance and »Delivery and Acceptance (Acquirer).
3.1.7.1 Evaluation of Delivery

See Evaluation of Delivery in product Statement of Acceptance.
3.1.7.2 Annex: Evaluation Report Delivery

See Annex: Evaluation Report Delivery in product Statement of Acceptance.
3.2 Planning and Control

The »Work Products and »Activityies of the »Discipline »Planning and Control provide the funda-
ment for an ordered and repeatable project management. The discipline includes products for the
development of a project concept and for the project definition, like »Project Manual and »QA Ma-
nual, products for project planning, like »Project Plan and »Estimation, and products and activities
for controlling the project, like »Project Progress Decision and »Meeting Document .
3.2.1 Project Progress Decision

Process module: Project Management
Responsible: Executive (when using process module Project Management)
Activity: Coming to a Project Progress Decision
Participating: Steering Committee, Project Leader
Purpose
The Project Execution Strategies define the framework for project execution. They specify the se-
quence of the »Decision Gates to be achieved during the project. Based on the »Product Instances, it
will be decided at each decision gate whether the respective »Project Progress Stage has been fulfil-
led; the result will be recorded in the »Project Progress Decision.

This decision includes the evaluation of the project progress, the coordination of the planned con-
tents and schedule for the next planning section, the release of the required resources and the deter-
mination of specifications and framework conditions for the next planning section. The planning
section must include at least the following »Project Section.
The project project decision will be made by the »Steering Committee, so that all decision makers
can participate adequately. However, the »Executive is responsible for the decision. He alone can
decide on the release of planning and resources.
A project progress decision will be made for every decision gate of the project. The first project pro-
ject decision at the decision gate »Project Approved represents the authorization of the project by
the higher management.
Is generated by
Project Manual, Project Plan (see product dependency 4.13)
Depends on
Project Proposal (see product dependency 5.3)
Proposal for the Introduction and Maintenance of an Organization-Specific Process Model (see pro-
duct dependency 5.9)
Project Status Report (see product dependency 5.26)
Example Work Products

»InfoMaPa:Project Progress Decision Project Approved
»InfoMaPa:Project Progress Decision Project Defined
3.2.1.1 Project Evaluation

The assessment is intended to determine if the project has »Finished all required results in order to
fulfill the tasks of the next »Project Section successfully. The assessment is based on the products
submitted at the »Decision Gate.
3.2.1.2 Decision Submittal

If a formal decision must be made based on organization-specific specifications and information or
project management organization and specifications, this subject summarizes all data required for
the decision. Thus it describes
● prioritized criteria for the evaluation of alternative solutions,
● alternative solutions,
● selected evaluation methods,
● the evaluation of alternative solutions,
● the recommended solution,

3 Products 5-25
● the decision documentation.
3.2.1.3 Planning and Scheduling

The »Project Progress Decision documents the framework for the next planning section, as it has
been coordinated wit »Executive and »Steering Committee. The planning section must include at
least the next »Project Section. In this connection the agreed contents planning and scheduling for
this planning section will be recorded. This includes a summary presentation of the - possibly adap-
ted - key figures of the project proposal, Project Manual, »QA Manual and project plan with regard
to the planned state of completion and the planned schedule, quality, effort and cost targets.
3.2.1.4 Resource Planning

The resource planning includes the provisioning of resources - e.g. qualified personnel, materiel and
funds - for the next planning section as it has been agreed and guaranteed by the »Executive and the
»Steering Committee.
3.2.1.5 Directives and General Conditions

This subject provides a summary of the specifications and framework conditions agreed by the
»Executive and the »Steering Committee. They include the key figures of contents planning and
scheduling, which may have been changed during the »Project Progress Decision, and the resource
planning. Moreover, additional specifications and framework conditions which were agreed by the
Executive and the Steering Committee - e.g. standards and guidelines to be observed and necessary
cooperations with facilities and persons outside the project - will be recorded.
3.2.2 Project Manual

Responsible: Project Leader (when using process module Project Management)
Activity: Preparing the Project Manual
Participating: Executive, Controller, CM Manager, System Architect, Safety Mana-
ger, RFP-Manager, Security Manager, Data Protection Manager
Work Product Attributes: initial
Purpose
The V-Modell is a generic process standard which must be adapted and concretized for an acutal
project. The Project Manual determines the adaptations and specifications required for management
and development. Thus it documents how and to what extent the V-Modell is applied to the project,
and it is a source of information and guideline for all particpants.
The Project Manual includes a brief description of the project, the description of the tailoring result,
the basic project execution plan, the required and agreed supplier support and organization and spe-
cifications for planning and executing the project as well as the corresponding development tasks.
The »Project Leader shall develop this central product in coordination with the key personnel of the
project.

The Project Manual determines frequency and necessity of generating follow-on products which are
necessary for the planning and execution of the project, bids and contracts and process improve-
ment, e.g. »Project Status Reports, »Risk List, contracts and assessment of process models.
Generates
Assessment of a Process Model (see product dependency 4.1)
Statement of Acceptance, Evaluation Report Delivery, Evaluation Specification Delivery (see pro-
Delivery, Evaluation Report Document, Evaluation Specification Document, Evaluation Report
System Element, Evaluation Specification System Element (see product dependency 4.10)
Life Cycle Cost Calculation, Commercial Project Status Report, Product Configuration, Measure-
ment Data, Metrics Analysis, Change Decision, Change Status List, Problem/Change Evaluation,
Problem Report / Change Request, Work Order, Meeting Document, Final Project Report, Project
Progress Decision, Project Management Infrastructure, Project Status Report, Project Diary, Risk
List, Estimation (see product dependency 4.13)
Hardware Implementation, Integration and Evaluation Concept, Software Implementation, Integra-
tion and Evaluation Concept, System Implementation, Integration and Evaluation Concept, Enab-
ling System Implementation, Integration, and Evaluation Concept, Safety and Security Analysis
(see product dependency 4.27)
Offer Assessment, Request for Proposal, RFP Concept, Criteria Catalog for Assessment of Offers,
Contract (see product dependency 4.29)
Depends on
Project Proposal, Project Plan (see product dependency 5.1)
Proposal for the Introduction and Maintenance of an Organization-Specific Process Model, Project
Plan (see product dependency 5.8)
Evaluation Specification Product Configuration (see product dependency 5.19)
Project Progress Decision, Project Plan (see product dependency 5.30)
Project Plan, Project Status Report, Risk List (see product dependency 5.32)
Quality Status Report (see product dependency 5.33)
QA Manual (see product dependency 5.37)
Requirements Specification, Overall System Specification (see product dependency 5.45)
Data Protection Concept, Information Security Concept, Safety and Security Analysis (see product
dependency 5.46)
Overall System Specification, Data Protection Concept, Information Security Concept (see product
dependency 5.47)
Request for Proposal (see product dependency 5.48)
QA Manual, Request for Proposal (see product dependency 5.55)
QA Manual, Contract (Acquirer), Contract Addendum (Acquirer) (see product dependency 5.57)

3 Products 5-27

»InfoMaPa:Project Manual
»WiBe:Project Manual
»ToSA:Project Manual
3.2.2.1 Project Overview, Project Targets and Success Factors

The Project Manual is an indispensable source of information and guideline for all participants.
This subject presents the common project model in a brief, concise and clear manner.
Exemplary Product Content

It is intended to describe
● the problem situation leading to the project,
● the initial situation including the results already achieved,
● the targets of the project,
● the product type (e.g. company information system, tracked vehicle, etc.),
● a summary of the significant requirements regarding
○ functionality,
○ quality,
○ maintainability and
○ safety and security,
● the rough system architecture as far as it is already known,
● the project type and size, as well as
● the decisive success factors for the project.
3.2.2.2 Sub-Projects
The sub-projects are specified based on an outline of the life cycle and the overall system architec-
ture, the functional requirements and the non-functional requirements of the overall project. The
specification of the sub-projects includes the number of sub-projects, a brief description and the
most important decision gates of the sub-projects, the assignment of functional and non-functional
requirements to the sub-projects and the coverage of the overall system architecture elements by the
sub-projects.
In this connection the sub-project Integration, which integrates the results of the other sub-projects
into the overall project, will also be specified.
The sub-project Integration describes the sequence of the sub-projects to be integrated, the particu-
lar procedures or methods for integrating the sub-project results, the schedules, efforts, responsibili-
ties and resources.
3.2.2.3 Project-Specific V-Modell

The V-Modell is a generic process model. The project-specific adaptation - the so-called »Tailoring
- is documented in this subject which determines the »Application Profile to be developed, the re-
sulting project type, the »Process Modules to be used, the process modules selected in addition, and

the selected Project Execution Strategies. This subject may also specify conditions and conse-
quences of foreseeable dynamic tailoring. These specifications must be justified in accordance with
the standards of the V-Modell (compare »Tailoring in Section 1: »Fundamentals of the V-Modell).
3.2.2.4 Deviations from the V-Modell

Every deviation from the standard of the V-Modell - e.g. deletion of individual products and activi-
ties, deviations from the tailoring procedure - must be documented, giving the reasons for this deci-
sion. The modifications shall be listed in this subject.
3.2.2.5 Project Execution Plan

The V-Modell specifies the rough structure of the project by determining appropriate »Decision Ga-
tes. This subject is intended to plan these decision gates by developing a project execution plan,
which will include at least the beginning and end of the project and all important decision gates du-
ring the project.
Moreover, additional project-specific milestones may be specified if they are relevant for all stake-
holders. Milestones which are only relevant within the project will be documented in the project
plan.
3.2.2.6 Cooperation and Provisions of the Acquirer

The acquirer's cooperation within the scope of the contractually specified range of activities shall be
specified in writing. It may include, e.g., the participation in project conferences and reviews - e.g.
of the »Overall System Specification and the system architecture - and the cooperation in the
»Change Control Board.
In addition, furnishings of the acquirer shall be specified unambiguously, stating particularly techni-
cal characteristics, like specifications and interfaces, but also deadlines and other conditions.
The Acquirer specifies his own cooperation and any possible provisions within the topic »Directives
for the Project Manual of the Supplier.
3.2.2.7 Project Management - Organization and Directives

In this subject, the project management specifications will be adapted and concretized. The internal
and external stakeholders will be listed, with the responsible points of contact being named. In addi-
tion the key roles of the V-Modell - like »Project Leader , »QA Manager and »System Architect -
will be appointed, and their tasks and responsibilities will be determined in accordance with the V-
Modell specifications.
The basic organization and execution of cooperation activities between all stakeholders will be defi-
ned. This includes e.g. meetings, harmonization procedures, conflict management and escalation
strategies, which specify the conditions for the execution of a formal decision process. In addition,
the subject defines threshold values, the exceeding of which leads to the initiation of control measu-
res. An example for this is the exceedance of the planning target values by more than 15%. Organi-
zation-wide specifications must be taken into account.

3 Products 5-29
For V-Modell products to be developed within the scope of project management - e.g. project plan,
work order and »Project Diary - the subject specifies if and when these products shall be developed,
on which methods, guidelines and standards they shall be based and with which tools or »Project
Management Infrastructure components they shall be processed (compare section Generative Pro-
duct Dependencies).
3.2.2.8 Risk Management - Organization and Directives

In order to ensure that the risks within the project are measured by the same standards, the risk ma-
nagement integrated in the V-Modell will be specified and concretized in this subject. This includes
the general decision whether - in addition to the risks - also chances should be considered. Since the
same procedure is applied to the assessment of chances and risks, the following paragraphs will not
differentiate between them.
This subject specifies when and in accordance with which criteria the risks shall be documented in a
»Risk List. In addition it must be defined on which methods, guidelines and standards the risk ma-
nagement shall be based and with which tools or »Project Management Infrastructure components it
shall be processed.
The following items must be specified in detail:
● »Risk Classes for the classification of risks
● Risk acceptance criteria
● Escalation levels based on the defined risk classes in accordance with the specifications of
the subject »Project Management - Organization and Directives
● Procedures for documenting the identified risks and the planned measures
● Schedule and procedures for risk identification
● Schedule for the re-evaluation of risks
● Schedule and procedures for planning and executing countermeasures
3.2.2.9 Problem and Change Management - Organization and Directives

In this subject, the problem and change management integrated in the V-Modell will be specified
and concretized. It will be specified if, when and and which problem reports and change requests
must be prepared, which methods, guidelines and standards will be used as basis for their preparati-
on and with which tools or »Project Management Infrastructure components they will be processed.
This includes, but is not limited to, the definition of the planned state of problem reports and change
requests (prepared, approved, rejected), the staffing of the »Change Control Board, the conflict ma-
nagement and escalation strategies. It may be necessary to appoint several persons in charge of
changes and several Change Control Boards with different decision competences and different com-
position.
If there are different opinions within a Change Control Board, escalation levels will be definied. For
example, a Change Control Board with greater decision competences or a »Steering Committee
may be specified as escalation instance.

3.2.2.10 Configuration Management - Organization and Directives

In this subject, the configuration management integrated in the V-Modell will be specified and con-
cretized. It will be specified which »Product Instance must be managed by the configuration mana-
gement when and based on which methods, guidelines and standards and when and how often »Pro-
duct Configuration and Releases must be prepared. The »Configuration Management specifications
regarding number and scope of product configurations shall be observed.
All products created within the scope of a V-Modell Project will be entered and administered in the
»Product Library in accordance with the specifications contained in the Project Manual. For this
purpose, it must be specified which filing structure and naming conventions shall be used in the
product library, how the products are named unambiguously in the configuration management, how
versions and releases are updated and which product states are passed by the product model from
point of view of the configuration management. The product states must include at least the states
defined in the Chapter »Quality Assurance and Product State Model.
This subject must specify the administration of the product library and a concept for saving and ar-
chiving the models in the product library. It will specify responsibilities, schedules and procedures
for data saving and concepts for archiving and storing data for extended periods of time.
The configuration management contributes to the »Project Status Report, which is intended to con-
trol the progress of product models and product configurations. It shall be specified when, in which
form and to which persons the CM evaluation shall be forwarded.
Furthermore this chapter describes, how entries are inserted into the »History of Change and Re-
view List. I.e., e.g. frequency of entries and which entries are edited under which circumstances.
3.2.2.11 Measurements and Analyses - Organization and Directives

In this subject, the measurement and analysis procedure integrated in the V-Modell will be specified
and concretized. For this purpose, the project objectives which are to be achieved by the »Metrics,
the metrics themselves and the »Measurement Data Types will be collated. The metrics will be allo-
cated to the project objectives. This permits a quantiative or qualitative tracking of these objectives.
If the selected metrics and the corresponding measurement data are not defined in the organization-
wide »Metrics Catalog, the required definitions must be made. These definitions correspond to the
specifications in the Metrics Catalog. If the metrics and measurement data types adopted from the
metrics catalog require project-specific adaptations, these must be documented here.
Finally, it must be specified if, when and by whom which »Measurement Data and »Metrics Analy-
sis are to be collected or prepared. In addition, it must be specified which methods, guidelines and
standards will be used as basis for their preparation and with which tools or »Project Management
Infrastructure components they will be processed. Particularly the project-specific filing structure of
the measurement data must be specified.
3.2.2.12 Controlling - Organization and Directives

In this subject, the commercial project management procedure integrated in the V-Modell will be
specified and concretized. The economic specifications of the organization must be adapted to the
project. It must be specified if and when which products are to be used for commercial project ma-
nagement, which methods, guidelines and standards will be used as basis for their preparation and
with which tools or »Project Management Infrastructure components they will be processed.

3 Products 5-31
This includes the specification of the organization and the allocation of commercial project manage-
ment roles to persons or organizational units of the company. The organization will normally be de-
veloped based on the four-eye principle in order to ensure a balanced representation of technical and
economical issues.
Escalation instances to be applied to in case of differences of opinion are normally specified within
the organization structure of the company, however a »Steering Committee may be determined as
escalation instance in great international projects.
3.2.2.13 Requirements Management - Organization and Directives

In this subject, the requirement management procedure integrated in the V-Modell will be specified
and concretized. It must be specified if and when which products are to be used for requirement ma-
nagement, which methods, guidelines and standards will be used as basis for their preparation and
with which tools or »Project Management Infrastructure components they will be processed.
This includes, but is not limited to, the appointment of all stakeholders of requirement management
for the entire project life including their responsibilities, the definition of possible conditions, like
the harmonization level of a requirement, the determination of a description template for require-
ments and possibly the specification of a tool for collecting and administering the requirements.
3.2.2.14 System Development - Organization and Directives

In this subject, the system development procedure integrated in the V-Modell will be specified and
concretized. It must be specified if and when which products are to be used for system develop-
ment, which methods, guidelines and standards will be used as basis for their preparation and with
which tools or »Project Management Infrastructure components they will be processed.
This includes at least the specification of development methods to be applied, development environ-
ment, technologies, conflict management and escalation strategy.
3.2.2.15 Safety and Security - Organization and Directives

In this subject, the safety and security procedure integrated in the V-Modell will be specified and
concretized. This includes functional safety and information security. Safety and security-relevant
roles will be assigned to persons or organizational units. It must be specified if and when which
»Work Product are to be used for safety and security, which methods, guidelines and standards will
be used as basis for their preparation and with which tools or »Project Management Infrastructure
components they will be processed.
This includes at least action concepts to be followed in case of inacceptable safety and security
risks, the specification of general risk reduction measures to be applied, the information strategy in
case of safety and security risks, conflict management and escalation strategies.
The general risk reduction measures will be specified in the safety and security level action matrix.
This matrix includes suitable design and test measures depending on the safety and security level.
These measures can be selected based on existing safety and security standards, e.g., »DIN EN IEC
61508. The measures suitable for the specific project shall be determined based on the measures
proposed in the standards, or the existing standards shall be concretized for the specific project.


In detail the following measures may be specified:
● Actions to be followed in case of safety and security risks.
○ Methods for determining and selecting risk reduction measures.
○ Specifications for problem reports and change requests, based on the safety and security
requirements of the specific system.
○ Description of the procedure for ensuring the obligation to inform the project
management.
● Specification of responsibilities and decision-making authorities.
● Determination of the decision-making procedure.
3.2.2.16 Directives for the Project Manual of the Supplier

In this subject, the acquirer can provide the supplier with a variety of specifications for the planning
and execution of the project. These specifications will be documented here, integrated into »Annex
2: Directives for the Project Manual (Supplier) of every »Request for Proposal and adapted as re-
quired. The specifications may include, e.g., the development process to be used, the »Tailoring and
the infrastructure to be used and »Safety and Security procedures.

Possible specifications include, but are not limited to, the following:
● development process, e.g., development in accordance with the V-Modell
● tailoring of the V-Modell, e.g., process modules like safety and security or off-the-shelf
products must be included
● milestones
● deadlines
● infrastructure to be used
● furnished items of the acquirer to be used
● type and frequency of reports
● risk acceptance matrix to be observed
● development of an as-built plan
3.2.2.17 Reporting and Communication Channels

The previous subjects determined the organization and specifications for various project planning
and execution tasks. This subject provides a survey of the specifed reporting and communication
channels. This includes, e.g., the specification as to who has to provide which information when and
in which form.

It must be specified
● who receives
● which type and form of information (technical or administrative, written or oral)
● when (fixed date, periodically or depending on events)
● from whom or provides it
● to whom.

3 Products 5-33
3.2.3 QA Manual
Process module: Quality Assurance
Responsible: QA Manager (when using process module Quality Assurance)
Activity: Preparing the QA Manual
Participating: Project Leader, Quality Manager, RFP-Manager
Purpose
The V-Modell is a generic process standard which must be adapted to and concretized for an actual
project. The QA Manual specifies the adaptations and features required for quality assurance. Thus
it documents type and scope of the V-Modell application within the project and is information sour-
ce and guideline for all stakeholders.
The »QA Manual includes a brief description of the project's quality targets, the specification of the
products and processes to be tested, the organization and specifications for planning and executing
quality assurance measures within the project and specifications for quality assurance measures to
be executed by external suppliers. The QA Manager shall develop this central product in coordinati-
on with the key persons of the project.
In particular, the QA Manual specifies frequency and necessity of generating further products which
are required for the quality assurance of the project, e.g. »Quality Status Report s, »Qualification
Records and evaluation reports.
Generates
Evaluation Report Product Configuration, Evaluation Specification Product Configuration, Qualifi-
cation Record, Evaluation Report Document, Evaluation Report Process, Evaluation Specification
Document, Evaluation Specification Process, Quality Status Report (see product dependency 4.14)
Depends on
Evaluation Specification System Element (see product dependency 5.16)
ling System Implementation, Integration, and Evaluation Concept (see product dependency 5.43)
Request for Proposal (see product dependency 5.49)
Project Manual, Request for Proposal (see product dependency 5.55)
Project Manual, Contract (Acquirer), Contract Addendum (Acquirer) (see product dependency 5.57)

»InfoMaPa:QA Manual
»WiBe:QA Manual

»ToSA:QA Manual
3.2.3.1 Quality Targets and Requirements

This subject defines the quality assurance requirements and the intended targets, e.g. a required test
overlap or formal specification techniques. »Quality Targets and Requirements regarding the item to
be developed will not be specified here since they have already been defined in the Requirements
Specification. If an organization-specific quality management manual is available, the targets and
requirements specified therein shall be adapted to the specific project.
3.2.3.2 Products to Be Evaluated

This subject specifies the products to be tested by an independent quality assurance activity. The se-
lection must be justified. The appropriate evaluation specifications and evaluation reports for these
products shall be prepared. The specification as to which system elements will be tested are docu-
mented in the corresponding implementation, integration and evaluation concepts.
3.2.3.3 Processes to Be Evaluated

This subject specifies the processes to be tested by an independent quality assurance activity. The
selection must be justified, stating also the standards and guidelines on which the test is based. The
appropriate evaluation specifications and evaluation reports for the processes to be tested shall be
prepared.
In addition, the testing of further processes may be required due to current events in the project or
its environment, e.g., an above-average deviation between estimated and actual planning.
3.2.3.4 Quality Assurance - Organization and Directives

In this subject, the V-Modell standards regarding product and process quality assurance will be con-
cretized and adapted to the project. It will be specified if, when and and which QA products shall be
used for project quality assurance, which methods, guidelines and standards will be used as basis
for their preparation and with which tools or »Project Management Infrastructure components they
will be processed.
Based on the quality targets, organization and authorities of project quality assurance will be speci-
fied. The constructional and analytical quality assurance measures will be presented.
Constructional measures include, but are not limited to, defensive programming, type-checking lan-
guages, standards, process models, checklists, guidelines. Analytical quality assurance measures in-
clude test measures for documents, e.g., reviews, tests of system elements and process tests.
In addition, procedures for output checks and input checks must be specified, e.g., tests of off-the-
shelf products and furnished items.
Within the scope of quality control, it shall be described how arising »Quality Problems should be
treated, tracked and solved by corrective actions. In addition, it shall be specified for which problem
types an unscheduled »Quality Status Report must be prepared.
If contracts will be awarded to »Sub-Suppliers, the applicable quality standards shall be specified.

3 Products 5-35
3.2.3.5 Quality Assurance of Delivery - Organization and Directives

This subject concretizes the standards for the quality assurance of the delivery. The acquirer con-
ducts an acceptance test for every »Delivery.
Therefore, the supplier must ensure that his delivery fulfills the requirements of the acquirer. The
requirements are replicable based on the »Evaluation Specification System Element. They include,
but are not limited to, a list of acceptance evaluation cases proving the fulfillment of the require-
ments included in the Requirements Specification.
The results will be recorded in the »Evaluation Report System Element.
3.2.3.6 Directives for Evaluation Specification for Off-the-Shelf Products

Like all system elements, also off-the-shelf products can and should be tested. For this purpose, a
»Evaluation Specification System Element will be prepared. In order to achieve a uniform quality
assurance standard - particularly in case of off-the-shelf products - this subject specifies targets for
the evaluation specification of off-the-shelf products. These targets shall be integrated into the cor-
responding system element evaluation specification. The targets may include requirements regar-
ding scope and quality of the documentation, the manufacturer and the use test.
3.2.3.7 Directives for the QA Manual of the Supplier

The acquirer may specify a variety of quality assurance requirements for the supplier. They will be
documented here, included into »Annex 3: Directives for the QA Manual (Supplier) of all »Request
for Proposal and adapted as required. These specifications may include, e.g., scope of product and
process testing and constructional quality assurance measures to be applied beyond the specificati-
ons in the V-Modell.

Possible specifications include, but are not limited to, the following:
● scope of documentation,
● development standards and methods to be used,
● specifications for internal tests of the supplier, and
● specifications for the planned configurations of the deliveries.
3.2.4 Project Management Infrastructure

Activity: Establishing and Maintaining a Project Management Infrastructure
Participating: CM Administrator

Purpose
The »Project Management Infrastructure is a conglomerate of tools and infrastructures used for
planning and executing the project, e.g., configuration management tool, planning tool and the
rooms of the project team. However, the project management infrastructure does not include the
tools and infrastructure components developed as »Enabling System (compare »Structural Product
Dependencies).
Is generated by
3.2.5 Estimation
Activity: Performing an Estimation
Purpose
Reliable »Estimations are indispensable for a safe project planning and execution. An estimation en-
sures that the scope of the object to be estimated and the corresponding effort are replicable with a
certain margin of error and that they are supported, estimated and documented methodically.
An estimation documents, e.g., the objects to be estimated, their description, the estimated values,
the estimation assumptions and the estimation method used. In case of an »Estimation of the Scope,
typical objects are specifications or system elements to be developed; in case of an »Estimation of
Effort, typical objects include »Work Packages to be executed.
The »Project Leader is responsible for the estimation. He will be supported by the necessary stake-
holders and additional experts as required.
The project planning will be prepared based on the estimations. During project execution, new facts
will arise and estimated parameters will be concretized. Accordingly, new, more accurate estimati-
ons will be prepared. Number and frequency of the estimations to be prepared will be specified in
the Project Manual.
Is generated by
Depends on
Requirements Specification, Life Cycle Cost Calculation, Project Plan, Risk List, Overall System
Specification (see product dependency 5.17)

3 Products 5-37
3.2.5.1 Estimation of the Scope

In this subject, the scope of the object will be estimated. The scope to be estimated may be determi-
ned by the functionality of the system, e.g. type and number of use cases, function points or object
points, or the results to be achieved, e.g. type and number of classes or lines of code. The estimation
units used for an »Estimation must be defined unambiguously.
In addition, estimations provide important information for project control, error predictions an the
projected design of target systems, e.g. computers, computer networks and bus structures.
3.2.5.2 Estimation of Effort

The »Estimation of Effort estimates a value for the effort - expressed e.g. in man months or man
days - based on the estimated scope. It shall estimate the net effort without taking into account holi-
days, illness days and other efforts which are not relevant for the project. The effort for crossover
project work - e.g. configuration management and project management - must also be estimated.
The estimate shall not only consider the sope but also influencing factors - like experience of the
stakeholders, stability of the requirements or reuse level of the object to be estimated - by adding or
subtracting a certain effort.
3.2.6 Risk List

Activity: Managing Risks
Purpose
The risk management is intended to recognize project risks as early as possible and respond proac-
tively to these risks before they become a problem for the project. The »Risk List administers the
identified risks and records the planned countermeasues.
The »Project Leader is reponsible for the list of risks. He will be supported by the necessary stake-
holders and additional experts as required. The recognized risks and the corresponding countermea-
sures will be integrated into project planning.
Is generated by
Depends on
Requirements Specification, Life Cycle Cost Calculation, Project Plan, Estimation, Overall System
Project Manual, Project Plan, Project Status Report (see product dependency 5.32)

3.2.6.1 Identified Risks

This subject lists all identified risks with the information required in accordance with the Project
Manual, e.g. risk state and »Risk Class.

The following data - normally in tabular form - will be compiled for all identified risks:
● Identification number
● Designation of risk
● Description of risk
● Date: when was the risk identfied
● Author
● Impacts of the risk: this item describes the impacts of the risk - in most cases schedule
slippage and - perhaps - the resulting missed market chances, budget exceedance, reduced
quality, lack of acquirer satisfaction etc.
● Estimated value for the probability of risk occurrence
● Risk damage
● Risk measure
● Risk class
● Risk state: this item can differentiate e.g. between active, occurred and closed.
3.2.6.2 Risk Mitigation Measures

The identified risks are countered by actions which are planned as response to the risk. For every
action, the list describes the information required in accordance with the Project Manual (e.g., type
of action, event triggering the action and person responsible for executing the action).

The following information is relevant for planning and executing the actions:
● Type of action: normally a distinction is made between the following possibilities: risk
prevention, risk reduction or minimization, risk transfer or distribution, and risk acceptance
● Designation of action
● Description of action: a rationale will be entered here if a risk, being no longer regarded as
relevant, receives the state "closed"
● Trigger: if an action is not intended to be initiated immediately, the event triggering the
action will be described.
● Person responsible for executing the action
● Planned deadline for completing the action
● Actual deadline: probable deadline as seen from today's point of view
● Planned effort
● Actual effort: probable effort as seen from today's point of view
● Action state: e.g. planned, active or completed
● Residual risk probability: estimated probability with which the risk will occur after the
action has been completed
● Residual risk damage: estimated damage if the risk occurs after the action has been
completed
● Residual risk measure
● Residual risk class

3 Products 5-39
3.2.7 Project Plan

Activity: Planning Project
Participating: Executive, QA Manager, System Architect, Controller, CM Manager,
Logistics Manager
Purpose
A sound project plan is indispensable for the safe and coordinated execution of a project. The pro-
ject plan describes the selected project approach and specifies in detail what must be done, by
whom and when. Thus the project plan is the basis for project control. The »Project Leader is re-
sponsible for the project plan, which will be prepared and processed in coordination with all stake-
holders.
Generates
Life Cycle Cost Calculation, Commercial Project Status Report, Product Configuration, Measure-
ment Data, Metrics Analysis, Change Decision, Change Status List, Problem/Change Evaluation,
Problem Report / Change Request, Work Order, Meeting Document, Final Project Report, Project
Progress Decision, Project Management Infrastructure, Project Status Report, Project Diary, Risk
List, Estimation (see product dependency 4.13)
Evaluation Report Product Configuration, Evaluation Specification Product Configuration, Qualifi-
cation Record, Evaluation Report Document, Evaluation Report Process, Evaluation Specification
Document, Evaluation Specification Process, Quality Status Report (see product dependency 4.14)
Depends on
Project Proposal, Project Manual (see product dependency 5.1)
Proposal for the Introduction and Maintenance of an Organization-Specific Process Model, Project
Manual (see product dependency 5.8)
Organization-Specific Process Model, Process Model Improvement Concept (see product depen-
dency 5.10)
Requirements Specification, Life Cycle Cost Calculation, Risk List, Estimation, Overall System
Change Decision, Change Status List, Problem/Change Evaluation, Problem Report / Change Re-
quest (see product dependency 5.29)
Project Progress Decision, Project Manual (see product dependency 5.30)
Work Order (see product dependency 5.31)
Project Manual, Project Status Report, Risk List (see product dependency 5.32)


tion and Evaluation Concept, System Implementation, Integration and Evaluation Concept (see pro-

»InfoMaPa:Project Plan
»WiBe:Project Plan
3.2.7.1 Project Execution Plan

The V-Modell specifies the rough structure of the project by determining appropriate »Decision Ga-
tes. This subject is intended to plan these decision gates by developing a project execution plan,
which will include at least the beginning and end of the project and all decision gates during the
project.
Moreover, additional project-specific milestones may be specified if they are relevant for all stake-
holders. Contrary to the »Project Execution Plan in the »Project Manual this plan shows all additio-
nal project-specific milestones. In contrast to the »Project Manual, it will not specify the V-Modell
products (more exactly: »Product Types), but the project-specific »Product Instances for every deci-
sion gate and every project-specific milestone. Thus this project execution plan includes the plan-
ning of the »Product Configurations to be developed within the scope of configuration management.
3.2.7.2 Integrated Planning

The subject Integrated Planning includes the complete project planning process. The other subjects
are only different views on Integrated Planning. They show special planning aspects, e.g., quality
assurance planning or planning of »Decision Gates.
During project execution, new facts will arise and the planning parameters will become more con-
crete. The project planning will then be updated accordingly. Number and frequency of project plan
updates will be specified in the Project Manual.
The Integrated Planning includes all planning data known at the respective planning time. Specific
data as defined in the »Project Manual will be listed for every element to be planned. Planning data
include at least deadlines, efforts, persons responsible and personnel and materiel resources.
The integrated planning comprises the planning of the
● »Product Structure, i.e., the »Product Instances and their connections, and the
● project structure or »Activity Structure in form of »Decision Gates, »Work Packages and
»Activity Instance.
The V-Modell does not provide for a subdivision into a product structure plan and a project struc-
ture plan. In the course of the project, the entire integrated planning must be updated in order to
achieve a consistent planning state. For example, a modification of the product structure normally
leads to a change of activity models and, thus, of the project structure.
In the V-Modell, the integrated planning is structured as follows:
● The integrated planning includes the planning of all project-specific decision gates.

3 Products 5-41
● The project-specific work packages are subordinate to the decision gates. They are integra-
ted into a »Project Section, i.e., into the period between two decision gates.
● All activities to be executed within the scope of the project are subordinate to the work
packages.
● All product models to be produced within the scope of the V-Modell, i.e., delivery items and
project-internal product models, are allocated to the activities.
The integrated planning must include all activity models, product models and project-specific deci-
sion gates which are defined in the V-Modell and used in the project. Moreover, additional activity
models not included in the V-Modell, e.g., training activities for the project staff, may be integrated.
However, deadlines, resources and efforts need not be planned specifically for all activity models.
Instead, project-specific »Work Packages including several activity models can be defined, e.g., a
configuration management work package. Deadlines, resources and efforts may be planned at the
level of these work packages.
If the planning elements are to small, they may be administered in one action list in accordance with
the specifications of the »Project Manual, as described in the product »Work Order.
It would be reasonable to use a computer-based project planning tool for the development of the in-
tegrated planning process. Various notations are conceivable for displaying the integrated planning,
e.g., Gantt chart, network diagram, table, indented list, organizational chart, or MindMap.
3.2.7.3 Evaluation Plan Documents

The »Evaluation Plan Documents includes all appropriate document test activities including the cor-
responding data, e.g., »Preparing Evaluation Specification Document and »Evaluating Document.
The evaluation plan specifies tasks, responsibilities and required resources. It includes a detailed
test schedule for every document.
3.2.7.4 Integration and Evaluation Plan System Elements

The »Integration and Evaluation Plan System Elements includes all appropriate system-element-
specific integration and test activities with the corresponding data, e.g. Integrating System and
»Evaluating System Element.
The integration and evaluation plan specifies tasks, responsibilities and required resources. It inclu-
des a detailed test schedule for every system element.
3.2.7.5 Evaluation Plan Processes

The »Evaluation Plan Processes includes all process test activities with the corresponding data, e.g.,
»Preparing Evaluation Specification Process and »Evaluating Process.
The evaluation plan specifies tasks, responsibilities and the required resources, e.g., personnel and
tools. It includes the detailed test schedule for every process.

3.2.7.6 Training Plan

The »Training Plan includes role-specific and project-specific instructions and follow-on training
for qualifying project members. The activities to be planned for this purpose are not included in the
V-Modell. They must be planned specifically for the respective project.
3.2.8 Work Order

Activity: Assigning a Work Order
Purpose
The work order is an instrument used by the »Project Leader for internal project control. The Pro-
ject Leader can give the staff work orders. In accordance with the Project Manual, the necessary
data, e.g., task description, person responsible and completion date, shall be specified appropriately
for every work order. The Project Manual also specifies if and in which form work orders will be
given, planned and tracked. It is possible to collect and administer work orders in an action list.
Is generated by
Depends on
Project Plan (see product dependency 5.31)

»InfoMaPa:Work Order
3.2.9 Life Cycle Cost Calculation

Process module: Life Cycle Cost Management
Responsible: Controller (when using process module Life Cycle Cost Management)
Activity: Performing Life Cycle Cost Calculation
Participating: Project Leader
Purpose
The Life Cycle Cost Calculation determines the life cycle costs, which are one of the important pa-
rameters. On this basis, the economic efficiency of a project will be determined by a Life Cycle
Cost Calculation at the start of the project in the Project Proposal, then in the »Assessment of Re-
quest for Proposal and continuously in the »Project Status Report.
Already during the preparation of the Requirements Specification, the life cycle is considered in
Outline of the Life Cycle and the Overall System Architecture. In this context, the planning costs
shall be examined as first.

3 Products 5-43
Based on the »Estimation, the Life Cycle Cost Calculation determines and documents the monetary
values for all planned project costs (e.g. development costs) and the expected »Manufacturing Costs
in a replicable way. The cost structure to be evaluated will be derived from the structure of the deli-
very item. For example, if a system is created, the structural elements of logistics, »Enabling Sys-
tems and the system itself will be included into the cost structure. In addition, risks and chances will
be evaluated from a monetary point of view (see list of risks).
The costs of use will be calculated in dependence on the specifications in the product Overall Sys-
tem Specification for the Life Cycle Analysis and the Overall System Architecture.
Based on these data, a cost and »Account Structure will be developed, which allows the costs to be
tracked. The project result can then be assessed from a monetary point of view, which allows target
costs for individual elements to be derived. Thus, the Life Cycle Cost Calculation provides an im-
portant indicator for project control.
Since many of the above data may be confidential, the Life Cycle Cost Calculation will frequently
be an internal presentation.
Is generated by
Depends on
Requirements Specification, Project Plan, Risk List, Estimation, Overall System Specification (see
product dependency 5.17)
Commercial Project Status Report, Final Project Report, Project Status Report, Project Diary (see
3.2.9.1 Costs of Planning Stage

The costs of planning stage comprise the costs arising during the planning of the project from the
idea to contract award. In case of large systems, they can be processed in a separate V-Modell pro-
ject. Normally, the life cycle costs will be analyzed during this phase.
3.2.9.2 Project Costs

Based on the »Estimation and the »Project Plan, the expected costs for the project developmentpha-
se will be determined by estimating the organization-specific cost parameters, e.g., for personnel,
travels, etc., and the development-relevant expenditure on material, like costs for tool support.
3.2.9.3 Manufacturing Costs

The significant portion of the »Manufacturing Costs will already be determined during the develop-
ment phase. Therefore, the optimization of manufacturing costs must be considered from the start of
the development.

The manufacturing costs are defined as the manufacturing costs expected for the overall system in
the production phase. They are relevant above-all for hardware-intensive systems. The manufactu-
ring costs are estimated based on all system elements of the system and the »Enabling System. The
calculation at the start of the project is built on analogies to known elements and technologies, im-
plicitely taking into account the know-how of the company.
Particularly if systems are combined with hardware, omtimized manufacturing costs are one of the
most important objectives of the project.
3.2.9.4 Costs of Use

The costs of use (costs for deployment, use, maintenance, repair and disposal) are the signficant ad-
ditional life cycle costs. Together with their expected development during the entire service life,
these costs are processed within the framework of logitic support.
3.2.9.5 Account Structure

The subject »Account Structure defines the accounts as based on the project costs and integrates
them into the organization-specific processes. It is used for tracking the costs arising the course of
the project.
In addition, the accounts will be based on economic variables. In this connection, e.g., deadlines
like payment milestones, the dates selected for accounting sales in the fiscal year and the outflow of
funds must be considered in the budget and coordinated with the »Project Plan.
3.2.9.6 Analysis of Cost-Effectiveness

The Analysis of Cost-Effectiveness estimates the possible result or the potential economic benefit
and compares it with the previously life cycle costs. In this connection, additional aspects like pro-
duct strategy or innovation effects can be integrated into the planned commercial result.
Since project costs, manufacturing costs and costs of use are determined by the system elements, it
is possible to derive appropriate standards for the individual system elements of the overall system
from the Analysis of Cost-Effectiveness.
3.3 Reporting
The »Discipline »Reporting includes all »Work Products and »Activityies which are distributed to
the stakeholders in accordance with the project-accompanying reporting system specified in the
Project Manual. This discipline includes all state reports, e.g., »Project Status Report , »Quality Sta-
tus Report and »Final Project Report , and current internal project daybooks, e.g. »Project Diary and
»Metrics Analysis.
3.3.1 Meeting Document

Activity: Holding a Meeting

3 Products 5-45
Purpose
The term »Meeting Document comprises a variety of conference documents (e.g., jour-fixe of the
project, design workshops, or requirement specification workshops). An invitation will be distribu-
ted before the meeting, and the conference will be documented appropriately. The »Project Leader
is responsible for this product. However, his responsibility does not only refer to the preparation of
the product, but also to the requirement that written briefs be prepared for the conferences to be do-
cumented in accordance with the Project Manual.
Is generated by
3.3.1.1 Invitation
The invitation includes all data required previously for the execution of the conference, e.g., date,
location, objective and agenda of the conference.

The invitation for a project conference should include at least the following data:
● Inviting agency with address
● Conference date
● Conference location
● Type of conference, e.g., "weekly jour fixe"
● Agenda, i.e., the individual items and the planned duration per item (including breaks)
● Projected overall duration of the conference
● Projected circle of participants or individual participants by name
● Necessary tools and equipment to be provided by the participant
● Necessary tools and equipment provided by the inviting agency
● Necessary preparation with regard to the contents of the conference
● Regulations for affirmative replies and cancelations
3.3.1.2 Protocol
The protocol is a written documentation of the course and the results of a conference. It should in-
clude particularly participants, list of distribution and the agreed tasks, if required in form of work
orders. The finished protocol shall be distributed to all participants and other persons concerned,
who will check it for correctness.

The protocol shall include at least the following data
● Participants, chairman, location and date,
● list of distribution, and
● results of the conference.
3.3.2 Project Status Report (Supplier)

Process module: Drafting and Conclusion of Contract (Acquirer)

Responsible: Project Leader (when using process module Drafting and Conclusion
of Contract (Acquirer))
Source Work Product: Project Status Report
Purpose
The »Project Status Report (Supplier) is a copy of the supplier's »Project Status Report in the pro-
ject of the user. Relevant data shall be integrated in the own »Project Status Report in the project of
the user.
Depends on
Final Project Report, Project Status Report, Final Project Report (Supplier) (see product dependen-
cy 5.51)
3.3.2.1 Management Summary

See Management Summary in product Project Status Report.
3.3.2.2 Project Results

See Project Results in product Project Status Report.
3.3.2.3 Problem and Change Statistics

See Problem and Change Statistics in product Project Status Report.
3.3.2.4 Quality Assessment

See Quality Assessment in product Project Status Report.
3.3.2.5 Current Risks and Related Risk Mitigation Measures

See Current Risks and Related Risk Mitigation Measures in product Project Status Report.
3.3.2.6 Deviations from the Project Plan

See Deviations from the Project Plan in product Project Status Report.
3.3.2.7 Planning for the next Reporting Period

See Planning for the next Reporting Period in product Project Status Report.
3.3.2.8 Overall Project Progress

See Overall Project Progress in product Project Status Report.

3 Products 5-47
3.3.3 Final Project Report (Supplier)

Source Work Product: Final Project Report
Purpose
The »Final Project Report (Supplier) is a copy of the supplier's »Final Project Report within the
project of the user. Relevant information shall be integrated into the own »Final Project Report wi-
thin the project of the user.
Depends on
Final Project Report, Project Status Report, Project Status Report (Supplier) (see product dependen-
cy 5.51)

See Management Summary in product Final Project Report.
3.3.3.2 Initial Situation and Objectives

See Initial Situation and Objectives in product Final Project Report.

See Project Results in product Final Project Report.

See Quality Assessment in product Final Project Report.
3.3.3.5 Project Progress

See Project Progress in product Final Project Report.
3.3.4 Project Diary

Activity: Keeping a Project Diary
Participating: Controller

Purpose
The »Project Diary is used as project-internal information source for all important project events
and project decisions. Thus, the »Project Leader can always provide information on the previous
project history - also in detail. In addition, the stakeholders can use the positive and negative lessons
learned for the remaining project time and for follow-on projects. The Project Diary will be updated
continually.
Is generated by
Depends on
Life Cycle Cost Calculation, Commercial Project Status Report, Final Project Report, Project Status
Report (see product dependency 5.18)
Project Status Report, Quality Status Report (see product dependency 5.36)
3.3.4.1 Lessons Learned

This subject documents the lessons learned which have influenced the project in a positive or nega-
tive way, e.g., project equipment, project risks, compliance with agreements, form and efficiency of
conferences. In addition, it provides an overview of all important project events and project decisi-
ons.

Possible aspects, the analysis of which may allow statements on the project progress, include, but
are not limited to:
● Project resources,
● project risks,
● motivation and commitment of team members,
● cooperation with acquirer or supplier,
● cooperation and dealings with internal and external team members,
● form and efficiency of conferences,
● conflict management,
● compliance with agreements,
● adherence to schedule of all participants,
● quality awareness of all participants,
● quality, reliability and and user-friendlines off employed tools,
● clearness, understandability and timeliness of »Reporting documents,
● efficiency of employed processes and possibly executed process improvements,
● flexibility in case of changes,
● planning accuracy, and
● up-to-dateness of the collected actual data.

3 Products 5-49
3.3.4.2 Experiences with the Acquirer

The positive and negative experiences made with the acquirer in the course of the project shall be
documented as neutrally as possible. These records may refer to the experiences gained during bid-
ding and contract award, payment behavior, reliability of providing items to be furnished and sup-
port, technical, procedural and management know-how of the acquirer staff, adherence to schedule,
stability of requirements etc.
3.3.4.3 Experience with Suppliers

See Experiences with Off-the-Shelf Products in product Project Diary.
3.3.4.4 Experiences with Off-the-Shelf Products

This subject documents experiences with external providers, which may be used as basis for deci-
ding on the future selection of providers. It should include a description of the order and an assess-
ment of the provider based on different critiera, like cooperation, quality and on-time delivery.
These data are forwarded to the »Purchaser who will manage them and take them into account when
selecting future providers.
3.3.5 Measurement Data

Process module: Measurement and Analysis
Responsible: Project Leader (when using process module Measurement and Analy-
sis)
Activity: Collecting Measurement Data
Purpose
The »Measurement Data are the explicit numerical material required for calculating the correspon-
ding »Metrics and for preparing the »Metrics Analysis. This product administers all data acquired
during the project for the calculation of metrics.
The Project Manual specifies for all metrics which »Measurement Data Types, i.e., which descripti-
on and which structure of the data to be acquired, are required for their calculation. The »Project
Management Infrastructure provides a central or distributed structure for filing the measurement
data in accordance with the specifications of the »Project Manual.
Is generated by
3.3.6 Metrics Analysis

Process module: Measurement and Analysis
Responsible: Project Leader (when using process module Measurement and Analy-
sis)
Activity: Calculating and Analyzing Metrics

Purpose
»Metrics Analysis provides quantitative and qualitative statements in order to answer questions in
the project. A metrics analysis shows the result and possible interpretation of a »Metric calculation
based on the available »Measurement Data.
This may also include first conclusions derived from the results, e.g, proposals for actions to be in-
itiated. In addition, metrics analyses can be used for the planned/actual comparison within the scope
of project control.
Examples for metrics analyses include, but are not limited to, number of faults per class, modificati-
on effort per document and adherence to schedule in the course of the project.
Is generated by
3.3.7 Commercial Project Status Report

Process module: Life Cycle Cost Management
Responsible: Controller (when using process module Life Cycle Cost Management)
Activity: Preparing Commercial Project Status Report
Purpose
The Commercial Project Status Report is used for tracking the life cycle costs planned in the »Life
Cycle Cost Calculation and the monetary project result and, thus, for controlling the monetary pro-
ject result. It informs at least the »Project Leader, the »Executive and the »Steering Committee on
the commercial situation of the project. Number and frequency of the Commercial Project Satus Re-
ports to be prepared are specified in the Project Manual.
The detailed cost analyses may partly be confidential. Therefore, they will be integrated in compres-
sed form into the »Project Diary's analysis of plan deviations and into the cost section of the »Pro-
ject Status Report.
Is generated by
Depends on
Life Cycle Cost Calculation, Final Project Report, Project Status Report, Project Diary (see product
dependency 5.18)
3.3.7.1 Deviation from Projected Costs of Planning Stage

The document Life Cylce Cost Calculation compares the costs at planning stage with the projected
budgeted costs. Any deviation will be documented and analyzed.
These deviations may be the basis for change proposals intended to ensure that the projected costs
of planning stage will not be exceeded.

3 Products 5-51
3.3.7.2 Deviations of Project Costs

The actual project costs will be compared with the costs planned in the work product »Life Cycle
Cost Calculation, taking into account additional cost factors, e.g., general expenses and interest
charges. Any deviation will be documented and analyzed with regard to contents.
Depending on the state of manufacture, the expected costs to complete, e.g., personnel costs, mate-
rial costs and travel expenses, will be determined. This includes additional costs, e.g., risk surchar-
ges, interests and financing charges. The costs at completion can be derived from these data.
3.3.7.3 Deviations of Manufacturing Costs

The future »Manufacturing Costs will be recalculated based on the current data and compared to the
costs planned in the »Life Cycle Cost Calculation. Any deviation will be documented and analyzed
with regard to contents.
The manufacturing costs will be detailed to such a degree that the cost drivers of individual system
elements can be recognized. Proposals for technical modifications may be derived from the deviati-
ons in order to prevent the manufacturing costs planned in the »Life Cycle Cost Calculation from
being exceeded.
3.3.7.4 Deviations from Projected Costs of Use

The document Life Cylce Cost Calculation compares the projected costs of use with the planned
budgeted costs. Any deviation will be documented and analyzed.
These deviations may be the basis for change proposals intended to ensure that the projected costs
of use will not be exceeded.
3.3.7.5 Deviations from Projected Cost-Effectiveness

The expected result will be recalculated based on current information and compared with the result
planned in the »Life Cycle Cost Calculation. Any deviations will be documented and analyzed with
regard to contents
Positive and negative effects of deviations from the planned values must compensate each other. If
the planned result cannot be achieved or cost-effectiveness cannot be ensured, control measures
shall be proposed and initiated.
3.3.8 Project Status Report

Activity: Preparing Project Status Report
Participating: Controller, Change Request Manager, QA Manager, CM Manager

Purpose
The project progress must be verified regularly in order to intervene appropriately if required. The
»Project Status Report is the central document for evaluating the project progress. It includes state-
ments on the current production state, stability and quality of the project results, risk assessments,
deviations from the original planning and a - possibly updated - new planning.
The »Project Leader is responsible for the Project Progress Report. He prepares it in cooperation
with the other key roles of the project. Number, frequency and distribution of the Project Status Re-
port are specified in the Project Manual. The Project Status Report is used for project-internal and
external reporting.
Is generated by
Depends on
Life Cycle Cost Calculation, Commercial Project Status Report, Final Project Report, Project Diary
Project Progress Decision (see product dependency 5.26)
Change Status List (see product dependency 5.28)
Project Manual, Project Plan, Risk List (see product dependency 5.32)
Project Diary, Quality Status Report (see product dependency 5.36)
Final Project Report, Final Project Report (Supplier), Project Status Report (Supplier) (see product
dependency 5.51)

»WiBe:Project Status Report - Project Defined

The Management Summary briefly and concisely describes the current project progress parameters
and any measures required for project control.

This subject provides a survey of the results achieved and the activities completed during the repor-
ting period. It should also include any results which could not be achieved as planned. The CM eva-
luations specified in the Project Manual can provide an adequate information source.

3 Products 5-53
3.3.8.3 Problem and Change Statistics

This subject presents the »Problem and Change Statistics, e.g., number and scope of problem re-
ports and change requests and number of finished and remodified products, in accordance with the
specifications of the Project Manual. The »Change Status List and the CM evaluations specified in
the Project Manual may be used as information sources.

See Quality Assessment in product Final Project Report.
3.3.8.5 Current Risks and Related Risk Mitigation Measures

This subject provides a summary of the current risks and the necessary future and already initiated
measures.
3.3.8.6 Deviations from the Project Plan

This subject shows the deviations between planned and actual values, e.g., for the state of producti-
on, schedule, quality and costs.
3.3.8.7 Planning for the next Reporting Period

This subject provides a summary of the planning for the next reporting period, particularly of the
planning changes required due to »Deviations from the Project Plan. In addition, decision documen-
tations for report addressees can be presented and agreed accordingly (e.g. a significant project con-
trol measure to be agreed and initiated within the scope of a »Project Progress Decision ).

Planning changes within the area of responsibility of the Project Leader may include, but are not
limited to, the following:
● Postponing planned deadlines for activities without endangering the project-specifically
planned decision gates as a whole,
● supporting critical activities especially, e.g. by
○ concentrating resources or
○ initiating a special quality assurance or external review of products,
● changing the assignment of personnel to activities,
● changing the resource allocation,
● adapting the contract,
● augmenting or reducing personnel on short notice,
● outsourcing work packages or awarding external contracts, or
● buying off-the-shelf products.
3.3.8.8 Overall Project Progress

In the overall project progress, the most important project progress values of the individual sub-pro-
jects are concentrated for the overall project. The project progress values of the sub-projects include
statements on the current production status, stability and quality of the project results, risk assess-
ments and deviations from the original planning.

3.3.9 Quality Status Report

Activity: Preparing Quality Status Report
Purpose
The quality of the results must be verified regularly in order to intervene appropriately if required.
The »Quality Status Report is the central document for evaluating the product quality. It includes
statements on the scope of the conducted tests, the arising »Quality Problems and measures for re-
medying these problems. The QA Manger is responsible for the »Quality Status Report. He prepares
it in cooperation with the other key roles of the project. Number, frequency and distribution of the
»Quality Status Report are specified in the »QA Manual. The »Quality Status Report is used for
project-internal and external reporting.
Is generated by
Project Plan, QA Manual (see product dependency 4.14)
Depends on
Evaluation Report Delivery, Evaluation Report Document, Evaluation Report Process, Evaluation
Report System Element (see product dependency 5.34)
Project Status Report, Project Diary (see product dependency 5.36)
3.3.9.1 Scope of Evaluations

This subject provides a survey of the tests conducted during the previous reporting period and indi-
cates which tests are planned for the next reporting period. Any modification of the original project
planning must be documented and justified.
3.3.9.2 Status of Processes

This subject presents the status of the individual processes in a concise manner, reflects the practice
on the expectations specified by the management or the organization-specific process model, identi-
fies problems and proposes measures for solving these problems.
3.3.9.3 Quality Problems

This subject summarizes the results of the tests conducted during the previous reporting period,
especially problems arising and their causes. Completed measures and solved problems will also be
documented.

Typical problems influencing the quality include, but are not limited to, the following:

3 Products 5-55
● Survey of conducted and still pending tests

● Evaluation results
● Trends and causes of recognized faults
● Unclear statements in contracts, specifications, task formulations
● Unsafe specifications in planning data
● Insufficient qualification, conflicts, insufficient availability, excessive stress within the
project team
● Insufficient support, behaviour of acquirer
● Resources, internal/external support
3.3.9.4 Corrective Actions

This subject lists actions for solving the pending »Quality Problems. The effects of these actions -
e.g. the effort required for the execution, resulting delays and possible risks - should also be presen-
ted.
3.3.10 Final Project Report

Activity: Concluding Project
Participating: QA Manager, Controller, CM Manager
Purpose
At the end of a project, the results achieved and the lessons learned should be documented in such a
way that future projects can build up on them. Therefore, the »Final Project Report includes a brief
survey of motivation and objectives of the project, a summary description of the project results and
their quality, and a brief description of the project history and the lessons learned. The Final Project
Report is used as information source for all stakeholders and - particularly - also for external per-
sons.
Is generated by
Depends on
Life Cycle Cost Calculation, Commercial Project Status Report, Project Status Report, Project Dia-
ry (see product dependency 5.18)
Project Status Report, Final Project Report (Supplier), Project Status Report (Supplier) (see product
dependency 5.51)

See Management Summary in product Project Status Report.


This subject provides a summary of the initial situation and the objectives of the project.

It shall include the following:
● the problem situation leading to the project,
● the economic, organizational, and legal rationale for the necessity of the project,
● the original project execution strategy,
● the first risk estimates,
● the significant requirements posed on the new system, and
● possibly, the expectations of the project sponsors.
The objectives of the project describe the state to be achieved at the end of the project. In addition
to the description of the contents of the expected project result, the so-called object goal, the
significant objectives include the following:
● the cost targets in form of budget or fund allocations at the start of the project and
● the intended deadlines, which include all interim dates for certain milestones as derived
from the end date.

See Project Results in product Project Status Report.

The quality assessment includes a summary of the »Quality Status Report.
3.3.10.5 Project Progress

This subject describes the project progress chronologically, presenting and assessing the significant
results and decisions. Planning changes executed during the project shall be presented together with
a description of their contents and cause. Particular emphasis shall be placed on the documentation
of project experiences. A summarizing planned/actual comparison shows the project progress quan-
tiatively.
3.4 Configuration and Change Management

The »Discipline »Configuration and Change Management includes the »Work Products and »Acti-
vityies »Product Library and »Product Configuration, which are the central products and activities
of »Configuration Management. The »Problem and Change Management is also represented in this
discipline by the respective products, from the product »Problem Report / Change Request to the
product »Change Decision.
3.4.1 Product Library

Process module: Configuration Management
Responsible: CM Manager (when using process module Configuration Manage-
ment)

3 Products 5-57
Activity: Managing Product Library

Participating: CM Administrator, Project Leader
Purpose
The »Product Library comprises all »Product Instances and their »Product Versions, which are de-
veloped in the course of a project. This includes at least the product models specified by the product
structure. Accordingly, the product library may be regarded as central project database. It is normal-
ly administered by a »CM Tool.
The product lirbrary administers all product models in accordance with the specifications of the
Project Manual. A product model as defined by the V-Modell is, e.g., a document, an individual
hardware or software element or a combination of these elements.
The »Project Manual specifies which »Product Instances are not administered physically in the pro-
duct library, e.g. physical hardware elements. In this case, at least an identificator of the »Product
Instance must be administered in the product library.
The identification system specified in the »Project Manual, e.g., filing structure and name conventi-
ons, initializes, identifies and references all products adminstered in the product library. The access
rights specified in the »Project Manual shall be established, administered and monitored when the
product library is established and the products are stored in the product library.
3.4.2 Product Configuration

Responsible: CM Administrator (when using process module Configuration Mana-
gement)
Activity: Managing Product Configuration
Purpose
A »Product Configuration is a quantity of »Product Versions, a so-called baseline, which is intended
to define the configuration units and their structural connections.
Product configurations are developed in accordance with the specifications of the »Project Manual
and the Project Plan. A product configuration must be developed at least for every »Decision Gate
and every project-internal milestone. Like every »Product Instance, also the product configuration
itself will be administered in the »Product Library.
A product configuration must include the products specified for the respective decision gate or pro-
ject-internal milestone in the »Product Version planned in the »Project Manual and the project plan.
In addition, at least all »Product Versions with product dependencies shall be recorded. Additional
»Product Versions may be recorded as desired.
Is generated by

3.4.3 Problem Report / Change Request

Process module: Problem and Change Management
Responsible: Change Request Manager (when using process module Problem and
Change Management)
Activity: Preparing Problem Report/Change Request
Purpose
Problem report and change request are the documented wish to solve a problem, execute a modifi-
cation or introduce an improvement. They may be initiated by various factors, e.g. changes of requi-
rements or faults within the system.
Problem reports or change requests may be prepared by each stakeholder, e.g. »Software Developer
or »User, or introduced as »External Product from the outside of the project. The Project Manual
specifies when problem reports and change requests must be prepared in order to initiate and imple-
ment a change.
Is generated by
Depends on
Change Decision, Change Status List, Problem/Change Evaluation, Project Plan (see product de-
pendency 5.29)
3.4.3.1 Identification and Classification

This subject describes the identified problem and change request in detail. It should document all
information - e.g. unambiguous identification of the subject matter of the problem, requesting agen-
cy and urgency - which is required in order to reproduce the problem or replicate the change re-
quest. Every change request shall be categorized and classified, e.g., with respect to the type of
change, change priority and completion.

The change request may include the following:
Identification
● Identificator of request
● Project identification
● Identification of the subject matter (configuration) to which the report or request refers
● Date of receipt
● Requesting agency (name, telephone, email)
● Related other requests
Classification
● Categorization of change (fault (in request, design, coding, process/procedure), problem,
change of requirement, extension, improvement)

3 Products 5-59
● Urgency as seen from point of view of the requesting agency (e.g., critical, very important,
important, desirable)
● Desired date of completion
3.4.3.2 Opportunity/Problem Description

Based on the description of the actual state in the previous subject, the »Opportunity/Problem Des-
cription indicates the reason for the change, e.g., technical problems, scarcity of resources or orga-
nisational conflicts. The rationale may also decribe opportunities and benefits of the desired change
and potential damage which may occur if the changes are not executed.
If the request refers to a deviation of the system behavior from the specified requirements or to the
change of a requirement, this requirement must be indicated.
3.4.3.3 Suggested Solution

If the requesting agency has any concrete concepts for implementing the desired state, these should
be presented here. The effects of the implementation should also be described.
3.4.4 Problem/Change Evaluation

Change Management)
Activity: Assessing Problem Report/Change Request
Participating: Hardware Architect, CM Manager, Logistics Manager, QA Manager,
Software Architect, System Architect
Purpose
The »Problem/Change Evaluation includes the analysis of one or more problem reports and change
requestes. The assessment must include all required information, e.g. problem analysis, suggested
solution and effects, in order to provide the »Change Control Board with a basis for deciding on
problem reports and change requests.
Is generated by
Depends on
Change Decision, Change Status List, Problem Report / Change Request, Project Plan (see product
dependency 5.29)
3.4.4.1 Opportunity/Problem Analysis

The problem analysis shall analyze and present the cause of the respective problems or change re-
quests. The resulting opportunities should be presented and classified accordingly.

3.4.4.2 Suggested Solutions and Consequences

All sensible suggestions for solving the problems or implementing the changes shall be described
including the required information, e.g., effort, effects, advantages and disadvantages.
3.4.4.3 Recommendation
The suggested solutions as presented above will be assessed; the most suitable solution with its pos-
sible variations will be specified as recommendation and justified.
3.4.5 Change Decision

Responsible: Change Control Board (when using process module Problem and
Change Management)
Activity: Deciding on Changes
Participating: Hardware Architect, CM Manager, Logistics Manager, Change Re-
quest Manager, QA Manager, Software Architect, System Architect
Purpose
The »Change Decision documents the decisions made by the »Change Control Board on one or
more »Problem/Change Evaluations. It requires a clear rationale for the criteria on which the decisi-
on is based. The change decision also includes a resolution as to how the decision will be imple-
mented.
Is generated by
Generates
Contract Addendum (see product dependency 4.28)
Depends on
Change Status List, Problem/Change Evaluation, Problem Report / Change Request, Project Plan
3.4.5.1 Decision Criteria

Criteria, e.g., costs arising, time delay and suitability of solution, will be presented and justified.

Decision criteria may include, e.g., the following:
● Costs arising
● Availability of funds (e.g. on side of the acquirer)
● Availability of personnel and other resources required

3 Products 5-61
● Time delay
● Technical suitability of the proposed solution
3.4.5.2 Decision and Rationale

The decisions regarding the current »Problem/Change Evaluations will be documented and justi-
fied. This includes a presentation of the possibilities for initiating and implementing the decision
within the course of the project. The effects, e.g., regarding time, budget and resources, will be do-
cumented in such a way that they can be integrated into the future planning by the project manage-
ment.

This subject may include the following:
● Description of the selected solution
● Rationale for the selection
● Affected system elements/products
● List of the activities and products to be repeated/to be modified
● Notes on the way as to how the change will be migrated into the current system
3.4.6 Change Status List

Change Management)
Activity: Maintaining Change Status List
Purpose
In accordance with the specifications of the Project Manual, the »Change Status List includes all in-
formation required for administering and tracking the received problem reports and change re-
quests, e.g., identification and state of the problem reports and change requests, person in charge of
changes and a reference to the »Problem/Change Evaluation and the »Change Decision.
Is generated by
Depends on
Project Status Report (see product dependency 5.28)
Change Decision, Problem/Change Evaluation, Problem Report / Change Request, Project Plan (see
3.5 Evaluation
This »Discipline includes all products and activities required for testing documents, system ele-
ments and processes. Evaluation specifications define the requirements posed on form and contents
of the evaluation object. They shall be prepared, taking into account the specifications of the »QA

Manual. Evaluation procedures include information and specifications for the sequence of tests and
evaluation cases for system elements. Evaluation reports document the results of a test and indicate
problem areas. They are the basis for »Quality Status Report. The »Qualification Record provides a
summary description of all qualifications.
3.5.1 Evaluation Specification Product Configuration

Responsible: Inspector (when using process module Configuration Management)
Activity: Preparing Evaluation Specification Product Configuration
Participating: CM Manager
Purpose
The Evaluation Specification Product Configuration provides the »Inspector with specifications and
guideliness for the execution of the evaluation defined by the project progress stage of the corre-
sponding decision gate. In accordance with the subject »Configuration Management - Organization
and Directives within the »Project Manual, a specific evaluation specification will be prepared for
every product configuration. Examples for evaluation criteria are the integrity and completeness of
the »Product Configuration.
Is generated by
Depends on
3.5.1.1 Evaluation Object

See Evaluation Object in product Evaluation Report Usability.
3.5.1.2 Evaluation Criteria

The evaluation criteria describe the evaluation method (e.g., review, inspection and interview), the
degree of coverage (e.g., sample evaluation or complete evaluation) and the criteria regarding form
and contents of the evaluation (e.g., correctness of contents, compliance with project standards, de-
sign, orthography). They also include the conditions for a successful or unseccussful completion of
the evaluation.
3.5.2 Evaluation Report Product Configuration

Responsible: Inspector (when using process module Configuration Management)
Activity: Evaluating Product Configuration

3 Products 5-63
Purpose
See Product Evaluation Report Usability.
Is generated by

3.5.2.2 Evaluation Results

See Evaluation Results in product Evaluation Report Usability.
3.5.2.3 Analysis of Results and Proposals for Corrective Actions

See Analysis of Results and Proposals for Corrective Actions in product Evaluation Report Usabili-
ty.
3.5.3 Evaluation Specification Document

Responsible: Inspector (when using process module Quality Assurance)
Activity: Preparing Evaluation Specification Document
Purpose
An evaluation specification provides the »Inspector with specifications and instructions for conduc-
ting the test. In accordance with the specifications of the »QA Manual, a specific evaluation specifi-
cation will normally be prepared for every product version and every process model to be tested.
Thus, a specific evaluation specification will be prepared for every test.
Is generated by
Depends on
Evaluation Report Delivery, Evaluation Specification Delivery, Evaluation Report Document, Eva-
luation Report Process, Evaluation Specification Process, Evaluation Report System Element, Eva-
luation Specification System Element (see product dependency 5.35)

»WiBe:Prüfspezifikation für Requirements Specification



See Evaluation Criteria in product Evaluation Specification Product Configuration.
3.5.4 Evaluation Report Document

Activity: Evaluating Document
Purpose
Is generated by
Depends on
Evaluation Report Delivery, Evaluation Report Process, Quality Status Report, Evaluation Report
System Element (see product dependency 5.34)
Evaluation Report Delivery, Evaluation Specification Delivery, Evaluation Report Process, Evalua-
tion Specification Document, Evaluation Specification Process, Evaluation Report System Element,

»WiBe:Prüfprotokoll für Requirements Specification



ty.

3 Products 5-65
3.5.5 Evaluation Specification Process

Activity: Preparing Evaluation Specification Process
Purpose
See Product Evaluation Specification Document.
Is generated by
Depends on
luation Report Process, Evaluation Specification Document, Evaluation Report System Element,


3.5.6 Evaluation Report Process

Activity: Evaluating Process
Purpose
Is generated by
Depends on
Evaluation Report Delivery, Evaluation Report Document, Quality Status Report, Evaluation Re-
port System Element (see product dependency 5.34)
luation Specification Document, Evaluation Specification Process, Evaluation Report System Ele-
ment, Evaluation Specification System Element (see product dependency 5.35)




ty.
3.5.7 Evaluation Specification Usability

Process module: Usability and Ergonomics
Responsible: Inspector (when using process module Usability and Ergonomics)
Activity: Preparing Evaluation Specification Usability
Participating: Ergonomics Manager
Purpose
The evaluation specification provides the »Inspector with specifications and instructions for con-
ducting the test. It defines evaluation cases (and test cases as special form of evaluation cases) and
the evaluation environment and allocates the evaluation cases to the requirements. A coverage ma-
trix may be used to allocate the requirements to evaluation cases. In addition, the specification will
describe protective measures to be observed during the test.
The evaluation specification is based on the corresponding implementation, integration and evalua-
tion concept.
The evaluation specification shall enable the inspector to decide whether the test was successful or
not.
Is generated by
Hardware Architecture, Hardware Implementation, Integration and Evaluation Concept (see product
dependency 4.6)
dependency 4.7)
System Implementation, Integration and Evaluation Concept, System Architecture (see product de-
pendency 4.4)
dependency 4.8)
Overall System Specification (see product dependency 4.26)

3 Products 5-67
Software Implementation, Integration and Evaluation Concept, Software Architecture (see product
dependency 4.18)
dependency 4.17)
dependency 4.19)
pendency 4.20)
pendency 4.4)
pendency 4.23)
pendency 4.15)
Enabling System Implementation, Integration, and Evaluation Concept, Enabling System Architec-
ture (see product dependency 4.21)
System Implementation, Integration and Evaluation Concept, Enabling System Architecture (see

3.5.7.2 Evaluation Strategy

The evaluation strategy describes how the requirements posed on the evaluation object can be tested
in the necessary and required test depth by a suitable evaluation case structure. It specifies the test
methods - e.g. functional test and stress test - and verification methods, e.g. test, verification and de-
monstrator.
The evaluation strategy to be applied is derived from the corresponding implementation, integration
and evaluation concept and will be refined as required.
3.5.7.3 Evaluation Cases

Based on the evaluation strategy concept, this subject describes the individual evaluation cases in-
cluding the required information, e.g., start state of the system, evaluation sequence and expected
end state of the system.

The degree of coverage of the evaluation cases and the end criteria shall be considered particularly.
The degree of coverage specifies how detailed the evaluation should be. The end criteria state con-
ditions for the successful completion of the evaluation.
3.5.7.4 Protective Measures

For every evaluation object with an inherent test hazard potential, which prevents a normal test, this
subject describes which precautions and measures must be taken in order to exclude any danger du-
ring the test.
3.5.7.5 Evaluation Environment

The general evaluation environment has already been described in the corresponding implementati-
on, integration and evaluation concepts. This subject describes the necessary shaping and extension
of the general evaluation environment or special evaluation environments required for the actual
evaluation object, e.g., a turntable with real-time image simulation for a missile or a car test route
with an appropriate test track.
3.5.7.6 Allocation of Evaluation Cases

The evaluation cases derived from the requirements are allocated to the requirements. This can be
achived by using a coverage matrix. This subject is intended to demonstrate whether the desired de-
gree of coverage and evaluation quality are ensured, particularly with respect to the previously spe-
cified evaluation strategy.
3.5.8 Evaluation Report Usability

Responsible: Inspector (when using process module Usability and Ergonomics)
Activity: Evaluating Usability
Participating: Ergonomics Manager
Purpose
The evaluation report includes the »Inspector 's recordings on the course of the test, the comparison
between actual and planned results, the analysis of the identfied planned/actual deviations, and the
appropriate suggested solutions. It should be ensured that the evaluation result is replicable.
Number and frequency of tests - and thus of the corresponding evaluation reports - depend on the
specifications in the »QA Manual and the applicable implementation, integration and evaluation
concepts.
Is generated by
dependency 4.6)
dependency 4.7)

3 Products 5-69
pendency 4.4)
dependency 4.8)
dependency 4.18)
dependency 4.17)
dependency 4.19)
pendency 4.20)
pendency 4.4)
pendency 4.23)
pendency 4.15)

This subject specifies an unambiguously defined identifiable version of the evaluation object to
which the evaluation specification or the evaluation report will be referred.

The results of the »Requirements Evaluation includes particularly the overall evaluation of user re-
quirements, which evaluates inhowfar it is possible to fulfill specified restrictions, posed either by
the budget or the schedule or the available resources, or if these restrictions will be exceeded. In ad-
dition all user requirements recorded will be reviewed, and their classification will be evaluated:
The user requirements postponed and the rationale for their postponement will be reviewed (e.g. can
the necessity not be demonstrated). The modified user requirements and the rationale for the modi-

fication will be reviewed (e.g. by the more economical use of off-the-shelf products). The necessity
of additional user requirements will be reviewed (e.g. have important non-functional user require-
ments not been recorded). The evaluation results also include the results of the consideration of eco-
nomic efficiency of user requirements, e.g., cost-benefit analyses, the identification of cost-driving
user requirements and the affordability of user requirements.

The analysis of results analyzes contents and cause of the observed deviations between actual re-
sults and planned results. If it is possible to identify the cause, any suggested correction which is re-
cognizable should be documented as well. If the evaluation results show a certain tendency regar-
ding the occurrence of similar deficiencies, this should be documented, and appropriate measures
should be suggested. These data will be integrated into the »Quality Status Report.
In accordance with the specifications of the Project Manual, an evaluation result or suggested cor-
rection could lead to a problem report or change request.
3.5.9 Evaluation Specification System Element

Process module: System Development
Responsible: Inspector (when using process module System Development)
Activity: Preparing Evaluation Specification System Element
Participating: System Integrator, Hardware Architect, System Architect, Software
Architect
Purpose
See Product Evaluation Specification Usability.
Is generated by
pendency 4.4)
dependency 4.6)
dependency 4.7)
dependency 4.8)
pendency 4.15)

3 Products 5-71
dependency 4.17)
dependency 4.18)
dependency 4.19)
pendency 4.20)
pendency 4.23)
Depends on
Qualification Record, Evaluation Report System Element (see product dependency 5.41)
luation Report Process, Evaluation Specification Document, Evaluation Specification Process, Eva-
luation Report System Element (see product dependency 5.35)


See Evaluation Strategy in product Evaluation Specification Usability.

See Evaluation Cases in product Evaluation Specification Usability.

See Protective Measures in product Evaluation Specification Usability.


See Evaluation Environment in product Evaluation Specification Usability.

See Allocation of Evaluation Cases in product Evaluation Specification Usability.
3.5.10 Evaluation Procedure System Element

Activity: Realizing Evaluation Procedure System Element
Purpose
The »Evaluation Procedure System Element is a regression-capable description of the execution of
evaluation cases in accordance with the evaluation specification. It is a working instruction which
includes accurate instructions for each evaluation case and defines individual test steps.
It may be a script which is elaborated manually or a machine-processable run chart which is execu-
ted automatically by an evaluation environment.
Is generated by
pendency 4.4)
dependency 4.6)
dependency 4.7)
dependency 4.8)
pendency 4.15)
dependency 4.17)
dependency 4.18)

3 Products 5-73
dependency 4.19)
pendency 4.20)
pendency 4.23)
Depends on
Evaluation Report System Element (see product dependency 5.40)
3.5.11 Evaluation Report System Element

Activity: Evaluating System Element
Participating: Software Developer, Hardware Developer, System Integrator
Purpose
Is generated by
pendency 4.4)
dependency 4.6)
dependency 4.7)
dependency 4.8)
pendency 4.15)

dependency 4.17)
dependency 4.18)
dependency 4.19)
pendency 4.20)
pendency 4.23)
Depends on
Evaluation Procedure System Element (see product dependency 5.40)
Qualification Record, Evaluation Specification System Element (see product dependency 5.41)
Evaluation Report Delivery, Evaluation Report Document, Evaluation Report Process, Quality Sta-
tus Report, (see product dependency 5.34)
luation Report Process, Evaluation Specification Document, Evaluation Specification Process, Eva-
luation Specification System Element (see product dependency 5.35)



ty.

3 Products 5-75
3.5.12 Evaluation Specification Delivery

Process module: Delivery and Acceptance (Acquirer)
Responsible: Inspector (when using process module Delivery and Acceptance (Ac-
quirer))
Activity: Preparing Evaluation Specification Delivery
Purpose
Every »Delivery must be subjected to an acceptance test. This test is based on the »Evaluation Spe-
cification Delivery, which defines all evaluation cases required for acceptance and - if the delivery
includes also documents - the required evaluation criteria.
It comprises the entry control specification including verification of the desired configuration. The
desired configuration will either be specified by the acquirer or included in the delivery, e.g. in the
release notes. In addition, the »Evaluation Specification Delivery includes all evaluation cases re-
quired for the acceptance test and the evaluation environment. It will be prepared based on the re-
quirements specified in the »Contract and the contract addenda - and only on these requirements. It
must be documented - e.g. by a coverage matrix - that the delivery requirements are covered by the
evaluation cases and evaluation criteria.
Is generated by
Contract, Contract Addendum (see product dependency 4.30)
Depends on
Evaluation Report Delivery, Evaluation Report Document, Evaluation Report Process, Evaluation
Specification Document, Evaluation Specification Process, Evaluation Report System Element,


See Evaluation Strategy in product Evaluation Specification Usability.

See Evaluation Cases in product Evaluation Specification Usability.



See Evaluation Environment in product Evaluation Specification Usability.

See Allocation of Evaluation Cases in product Evaluation Specification Usability.

See Protective Measures in product Evaluation Specification Usability.
3.5.13 Evaluation Report Delivery

Responsible: Inspector (when using process module Delivery and Acceptance (Ac-
quirer))
Activity: Evaluating Delivery
Participating: User, System Integrator
Purpose
Is generated by
Depends on
Evaluation Specification Delivery, Evaluation Report Document, Evaluation Report Process, Eva-
luation Specification Document, Evaluation Specification Process, Evaluation Report System Ele-
ment, Evaluation Specification System Element (see product dependency 5.35)
, Evaluation Report Document, Evaluation Report Process, Quality Status Report, Evaluation Re-
port System Element (see product dependency 5.34)



3 Products 5-77

ty.
3.5.14 Qualification Record

Activity: Keeping Qualification Record
Purpose
The »Qualification Record lists all qualifications to be made in the course of the project. It states
how and that the qualifications were made.
Qualifications of this type include, but are not limited to, the following: system tests in accordance
with a standard type, e.g., »DIN, »VDE and ES, qualifications of testing activities, e.g., TÜV and
DEKRA, and qualifications of authorizing agencies, e.g., Federal Office of Civil Aeronautics and
Federal Office for Motor Traffic. The qualification record will be prepared and updated in accor-
dance with the specifications of the »QA Manual.
Is generated by
Depends on
Evaluation Report System Element, Evaluation Specification System Element (see product depen-
dency 5.41)
3.5.14.1 Necessity and Allocation of Qualifications

In this subject, the necessary qualifications are derived from the requirements. The qualifications to
be made will be allocated to the qualifications in the »Qualification Record as far as possible.
3.5.14.2 Listing of Qualifications

This subject lists the qualifications made including the necessary information like identification,
qualification method, qualification provider and deviations.

The following information may be compiled for every qualification required in the survey:
● Number of qualification
● Number and name of requirement (this information is used for tracking the requirements
which change in the course of time and provides easy references to derived requirements)
● Reference document and section number of requirement (this information is used for finding
the requirement in the reference document)
● Identification as to whether the requirement was made by the acquirer, the supplier or both

parties
● Qualification method (e.g. test, analysis, review, simulation, demonstration, inspection)
● Reference to qualification made (evaluation specification, protocol)
● Date of qualification/protocol
● If required: deviations from the required qualification, indicating the reason for the deviation
3.6 Acquisition and Contracting

This »Discipline summarizes all products and activities prepared during the request for proposal
and contracting procedure. For the request for proposal, the following products must be prepared:
»RFP Concept, »Request for Proposal, »Criteria Catalog for Assessment of Offers and »Offer As-
sessment. For contracting, the following products are necessary: »Contract and »Contract Adden-
dum. The »Evaluation Specification Delivery, »Evaluation Report Delivery and »Statement of Ac-
ceptance are required for the acceptance. Finally, this discipline includes some »Interface Products,
which will be prepared by the contracter and provided to the acquirer, e.g., »Offer (Supplier), »Deli-
very (Supplier), »Project Status Report (Supplier) and »Final Project Report (Supplier).
3.6.1 RFP Concept

Responsible: RFP-Manager (when using process module Drafting and Conclusion
Activity: Determining RFP Concept
Participating: Purchaser, Controller
Purpose
Requests for proposals of public purchasers are subject to specific regulations, like »VgV, »GWB,
»VOL, »VOF , »VOB, »UfAB III and »WiBe 21. These define when which form of contract award
must be selected and which time plan is applied. The »RFP Concept specifies a legally correct and
reasonable procedure for the request for proposal.
Under certain circumstances, also private purchasers may be regarded as public purchasers in accor-
dance with the EU provisions on the award of public contracts (compare GWB, particularly § 98,
and the VgV).
If a private user invites »Offers without conducting an request for proposal, this product may be de-
leted. In this case, the »Request for Proposal corresponds to a request for an offer and is not subject
to any legally prescribed regimentations.
Is generated by
Project Manual, Make-or-Buy Decision (see product dependency 4.29)

3 Products 5-79
3.6.1.1 Overview and Evaluation of Alternatives

There are several possibilities for conducting an »Request for Proposal. This subject lists the possi-
bilities permitted by contract award law. Based on prespecified criteria, e.g., contract volume and
type of contract, the applicability of the award procedures will be assessed, and the results will be
documented.
3.6.1.2 Selection of a RFP Concept

In this subject, the results from the »Overview and Evaluation of Alternatives are summarized, and
an RFP concept will be selected. The selection shall be justified and documented.
3.6.1.3 Request for Proposal - Organization and Guidelines

In this subject, the »Request for Proposal will be planned in detail in accordance with the selected
RFP Concept. The central key figures, e.g. deadlines, blocking periods, and required documents,
must be concretized and planned appropriately. In the public sector, the sequence is normally speci-
fied by the selected »RFP Concept. However, also private users must specify the sequence accurate-
ly in this subject.
3.6.1.4 Distribution List

This subject specifies the distribution of the »Request for Proposal. Depending on the RFP procedu-
re, the request for proposal may be distributed by a participation application, which shall be docu-
mented here, the applicable publication channels or a list of potential suppliers. Data from the sup-
plier database of the »Purchaser should be taken into account when the distribution list is prepared.
In case of a public request for proposal (national procedure) or an advertising for tender (EU-wide
procedure), this listing of potential suppliers may be deleted.
3.6.2 Request for Proposal

Activity: Preparing Request for Proposal
Participating: Project Leader, Purchaser, Requirements Engineer (Acquirer), Con-
troller, Executive
Purpose
The »Request for Proposal includes all information required by the bidder for »Submitting an Offer.
The request for proposal is intended to invite potential bidders to submit an »Offer. Public purcha-
sers shall observe the applicable regulations for the preparation of RFP specifications, e.g., »VgV ,
»GWB, »VOL, »VOF, »VOB, »UfAB III and »WiBe 21, when preparing an request for proposal. If
a private purchaser, who will only award one contract, wants to invite offers without without con-
ducting an request for proposal, this »Request for Proposal corresponds to a request for an offer and
is not subject to any legally prescribed regimentations.

Is generated by
Depends on
Requirements Specification, Contract, Contract Addendum (see product dependency 5.50)
External Hardware Module Specification, External Software Module Specification, External Unit
Specification, Contract, Contract Addendum (see product dependency 5.53)
Project Manual, QA Manual (see product dependency 5.55)
3.6.2.1 General Remarks on the Request for Proposal

The general remarks on the »Request for Proposal include all information to be provided to the bid-
der about organization and contract award law, e.g. pencil draft of »Contract, »Criteria Catalog for
Assessment of Offers, contract award criteria, assessment methods, and time frame.
3.6.2.2 Annex 1: Requirements Regarding the (Sub-)System

See Annex 1: Requirements Regarding (Sub-)System in product Contract.
3.6.2.3 Annex 2: Directives for the Project Manual (Supplier)

In this annex the acquirer lists mandatory specifications for the Project Manual of the supplier, e.g.,
tailoring specifications and risk management specifications. The guideline for this annex is included
in the Project Manual of the acquirer in the subject »Directives for the Project Manual of the Sup-
plier. This specification will be adopted. Any required changes shall be made in the Project Manual
of the Acquirer.
3.6.2.4 Annex 3: Directives for the QA Manual (Supplier)

In this annex the acquirer lists mandatory specifications for the »QA Manual of the supplier, e.g.,
quality assurance measures to be conducted and standards to be used. The guideline for this annex
is included in the Project Manual of the acquirer in the subject »Directives for the QA Manual of the
Supplier. This specification will be adopted. Any required changes shall be made in the QA Manual
of the Acquirer.
3.6.3 Criteria Catalog for Assessment of Offers

Activity: Peparing Criteria Catalog for Assessment of Offers
Participating: Project Leader, Requirements Engineer (Acquirer), Controller, Execu-
tive, Purchaser

3 Products 5-81
Purpose
The offers must be assessed in order to select the best »Offer. The »Criteria Catalog for Assessment
of Offers lists the required criteria which may also include exclusion criteria. These criteria and the
corresponding weighting factors must be specified by public purchasers before the »Request for
Proposal is published. During the »Offer Assessment, the previously defined criteria shall only be
applied and must not be changed. Private purchasers have more freedom in this respect; they may
incorporate the information collected during the evaluation of offers into the assessment process.
Is generated by
3.6.4 Offer (Supplier)

Responsible: Purchaser (when using process module Drafting and Conclusion of
Contract (Acquirer))
Source Work Product: Offer
Purpose
The »Offer (Supplier) is a copy of the supplier's »Offer in the project of the acquirer. The received
»Offers will be assessed by the acquirer in the »Offer Assessment.
Depends on
Offer Assessment (see product dependency 5.52)
3.6.4.1 General Clauses and Conditions

See General Clauses and Conditions in product Offer.
3.6.4.2 Offer - Legal and Commercial Clauses and Conditions

See Offer - Legal and Commercial Clauses and Conditions in product Offer.
3.6.4.3 Annex 1: Specification of Services

See Annex 1: Specification of Services in product Offer.
3.6.4.4 Annex 2: Offer-Relevant Parts of the Project Manual (Supplier)

See Annex 2: Offer-Relevant Parts of the Project Manual (Supplier) in product Offer.
3.6.4.5 Annex 3: Offer-Relevant Parts of the QA Manual (Supplier)

See Annex 3: Offer-Relevant Parts of the QA Manual (Supplier) in product Offer.

3.6.5 Offer Assessment

Activity: Assessing and Selecting Offers
Participating: Purchaser, Project Leader, Requirements Engineer (Acquirer), Con-
troller, Executive
Purpose
The »Offer Assessment is the basis for the selection of a supplier. It includes a list of all »Offers re-
ceived. The result of the offer assessment is the selection of a provider to whom the contract will be
awarded. It is based on the assessment of offers which will document the evaluation of all offers in
accordance with the »Criteria Catalog for Assessment of Offers.
Since there are numerous different contract award procedures, we have decided not to consider spe-
cific aspects of individual procedures.
Is generated by
Depends on
Offer (Supplier) (see product dependency 5.52)
3.6.5.1 Offers Received

Together with the appropriate bidder, the »Offers received will be listed in tabular form. In addition,
the table may comprise a column for every evaluation level, which will include the result of the as-
sessment.
3.6.5.2 Assessment of Offers

The »Offers will be assessed in stages. For each offer, it must be clear which assessment result was
achieved at every stage. If an offer is eliminated, it must also be clear at which stage it was elimina-
ted.
The »Criteria Catalog for Assessment of Offers with the corresponding assessment matrix may be
regarded as evaluation specification, and the subject Assessment of Offers may be regarded as the
corresponding evaluation report.
3.6.5.3 Acceptance of an Offer

This subject is intended to document the contract award decision. The reasons for the contract
award decision and the reason for the elimination of the other offers must be justified and documen-
ted in detail.

3 Products 5-83
3.6.6 Contract
Activity: Awarding Contract (Acquirer)
Participating: Project Leader, Purchaser, Controller, Requirements Engineer (Acqui-
rer)
Purpose
The »Contract is the legal basis for the performance of services on the side of acquirer and supplier
and regulates their cooperation. For public acquirers, there are prespecified contract terms, e.g.,
»EVB-IT and »BVB, which must be used and developed as required. In case of a public »Request
for Proposal, is is sufficient to use the request for proposal and the selected »Offer as contract.
Is generated by
Generates
Depends on
Requirements Specification, Request for Proposal, Contract Addendum (see product dependency
5.50)
Specification, Request for Proposal, Contract Addendum (see product dependency 5.53)
Project Plan (see product dependency 5.54)
3.6.6.1 Contract - Legal and Commercial Clauses and Conditions

The legal and commercial contract portion includes the legal conditions, e.g., general terms and
conditions of business or - in case of a public acquirer - regulations as »EVB-IT, »BVB and »VOL,
terms of guarantee and warranty, licensing agreements, provisions for the passing of ownership,
warnings, cautions and notes, regulations in accordance with the law supervising prices and place of
jurisdiction.
In addition, this contract portion includes commercial provisions, e.g., specifications on the type
and level of prices, terms and dates of payment, and a price calculation.

3.6.6.2 Annex 1: Requirements Regarding (Sub-)System

This annex includes the requirements regarding the (sub-)system to be developed and the acceptan-
ce criteria. If the contract for the overall system is to be awarded, the »Annex includes the »Requi-
rements Specification; if a subcontract is to be awarded, the annex comprises the »External Unit
Specification, the External Hardware Module Specification or the External Software Module Speci-
fication.
3.6.6.3 Annex 2: Contract-Relevant Parts of the Project Manual (Supplier)

The supplier contributes parts of his Project Manual to the »Contract. These parts shall include at
least the implementation of the specifications in accordance with »Annex 2: Directives for the Pro-
ject Manual (Supplier), which were required of the supplier in the »Request for Proposal.
3.6.6.4 Annex 3: Contract-Relevant Parts of the QA Manual (Supplier)

The supplier contributes parts of his »QA Manual to the »Contract. These parts shall include at least
the implementation of the specifications in accordance with »Annex 3: Directives for the QA Manu-
al (Supplier), which were required of the supplier in the »Request for Proposal.
3.6.7 Contract Addendum

Activity: Awarding Contract Addendum (Acquirer)
Participating: Project Leader, Purchaser, Controller
Purpose
A »Contract Addendum is a contractually agreed change of the »Contract, e.g., regarding scope of
work, costs, deadlines. Contract addenda may be initiated by the supplier and the acquirer, e.g., by
using the »Problem and Change Management.
Is generated by
Change Decision (see product dependency 4.28)
Generates
Depends on
Requirements Specification, Request for Proposal, Contract (see product dependency 5.50)
Specification, Request for Proposal, Contract (see product dependency 5.53)

3 Products 5-85
3.6.8 Delivery (Supplier)

Source Work Product: Delivery
Purpose
The »Delivery (Supplier) is the physical »Delivery or partial delivery shipped by the supplier to the
acquirer's project. Scope and number of (partial) deliveries are specified in the »Contract. Unless
agreed otherwise, the acquirer shall prepare an »Statement of Acceptance for every delivery (sup-
plier).
3.6.9 Statement of Acceptance

Responsible: Executive (when using process module Delivery and Acceptance (Ac-
quirer))
Activity: Issuing Statement of Acceptance (Acquirer)
Participating: Purchaser, Project Leader, QA Manager, RFP-Manager
Purpose
In the »Statement of Acceptance, the acquirer states his acceptance or rejection of the (partial) »De-
livery (supplier). If a delivery requires an acceptance in accordance with the »Contract, the supplier
has a right to be issued a statement of acceptance. The statement of acceptance may entail legal con-
sequences, e.g., agreed payments may become due.
If the acceptance is rejected, the supplier is obliged to prove that the delivery item is in conformity
with the contract, or he must remove the determined defect within a specified period. The rejection
of acceptance may entail considerable consequences for both parties, e.g., contractual penalties.
Is generated by
3.6.9.1 Evaluation of Delivery

Type and scope of the delivery item shall be described. The results of the acceptance test will be
summarized and evaluated. Based on the evaluation results, it shall be decided whether the accep-
tance is granted, granted with reservations or rejected. If the acceptance is granted with reservati-
ons, the list of defects including the time limit for their removal will also be documented here.

3.6.9.2 Annex: Evaluation Report Delivery

The »Annex includes a copy of the »Evaluation Report Delivery, which is intended to document the
test to the supplier.
3.7 Requirements and Analyses

The »Discipline Requirements and Analyses comprises all »Work Products and »Activityies which
specifiy the user requirements based on a project proposal (prestudy) and the contract.
In addition, this discipline includes analyses of specific system aspects, e.g., a »Legacy System
Analysis as basis for the migration of a system, a market survey for the use of off-the-shelf pro-
ducts, or an »User Tasks Analysis for describing ergonomic aspects. The documentation of the con-
tract award decision (make-or-buy) for a system element and the market survey as basis for decisi-
on-making are also included in this discipline.
3.7.1 Proposal for the Introduction and Maintenance of an Organization-Specific Process

Model
Process module: Introduction and Maintenance of an Organization-Specific Process
Model
Responsible: Executive (when using process module Introduction and Maintenance
of an Organization-Specific Process Model)
Purpose
This product provides the management with a basis for making a decision on the approval of a pro-
ject within the scope of a »Project Progress Decision (project order). It is not prepared within the
framework of the V-Modell.
The product is intended to provide a systematic presentation of the information and data which
show that the execution of a project for introducing and maintaining an organization-specific pro-
cess model is necessary, profitable and useful.
Based on a project idea, the acquirer systematically describes the necessity of a project, taking into
account feasibility, affordability, market and economic criteria.
Depends on
Assessment of a Process Model, Process Model Improvement Concept (see product dependency
5.11)

3 Products 5-87
3.7.1.1 Initial Situation

The initial situation presents the assessment of the actual process situation of an organizational unit
or the entire organization of an agency or company. Thus, a need for action, which may lead to a
project idea, becomes recognizable.
The demonstration of capability gaps (i.e. the difference between the necessary planned capabilities
and the actually existing capabilities) in a company or agency may clearly show an urgent need for
action in order to increase the efficiency or reduce costs. This need for action is presented as project
idea, leading frequently to a concrete project proposal.
3.7.1.2 General Conditions and Constraints

This subject describes the framework conditions to be observed by all stakeholders during the im-
plementation of the project idea. Framework conditions, e.g., budget situation, existing know-how,
legal provisions, co-operations, commitment to partners and deadlines, may be turned into specifi-
cations for project execution.
Technical framework conditions, e.g., applicable standards and regulations, shall also be taken into
account.
3.7.1.3 Project Objectives, Opportunities and Risks

Project objectives and the resulting chances and risks of the new project are described on a high ab-
straction level. Project objectives may include, e.g., the introduction of new processes, the improve-
ment of the process or product quality, the development of a joint communication basis within the
organization, the implementation of standards or the achievement of a certain process maturity le-
vel.
3.7.1.4 Planning
The planning describes the organizational and commercial project execution aspects. The project or-
ganization, e.g., matrix organization and steering committees, and the responsibilities for the decisi-
on-making processes within the project will be specified.
The »Project Leader will be appointed, his tasks will be defined. Available resources, funds and spe-
cialist personnel will be determined. Start and end date for the project will be specified. The plan-
ning may be based on the statements developed in the project objectives, which make additional
statements on feasibility, funding and schedule.
3.7.1.5 Economic Efficiency

The subject Economic Efficiency includes parameters which indicate the profitability of the new
project. At an early stage, the »Estimations are still rather uncertain. The profitability can be indica-
ted by parameters like return on investment, increases in efficiency or cost savings by early fault de-
tection.
3.7.2 Project Proposal

Process module: Specification of Requirements

Responsible: Executive (when using process module Specification of Requirements)

Purpose
The management bases the decision to approve a project within the scope of a »Project Progress
Decision of the »Decision Gate »Project Approved on the project proposal, which is not prepared
within the framework of the V-Modell.
The project proposal is intended to systematically present information and data which show that the
execution of a project is necessary, profitable and useful.
Based on a project or system idea, the acquirer systematically describes the necessity of a project
based on feasibility, affordability, market, and economic efficiency criteria.
The project proposal processes subjects like the initial situation, existing framework conditions,
project objectives and system concepts, chances and risks, and the economic efficiency.
Generates
Market Survey for Off-the-Shelf Products (see product dependency 4.3)
Depends on
Requirements Specification, Requirements Specification Overall Project (see product dependency
5.4)
Requirements Specification, Requirements Specification Overall Project (see product dependency
5.27)

The initial situation presents the assessment of the actual situation of an organizational unit or the
entire organization of an agency or company. Thus a need for action, which may lead to a product
or system vision, is recognizable. The vision may be developed into a project idea. The need for ac-
tion may be initiated by several project or system ideas.
The demonstration of capability gaps (i.e. the difference between the necessary planned capabilities
and the actually existing capabilities) in a company or agency may clearly show an urgent need for
action in order to increase the efficiency or reduce costs. This need for action is presented as pro-
duct or system idea, leading frequently to a concrete project proposal. Corresponsingly, the determi-
nation of the requirement to renew or improve a "technically obsolete" system (so-called "system
regeneration") or the recognition of market chances for a new product or system may lead to a pro-
ject idea. The applicable data must be developed for the project proposal.
Research programs or studies may also be the basis for project ideas; they will be concretized in a
project proposal.

3 Products 5-89

In the subject Initial Situation, e.g., the following information and data of the organizational unit to
be examined will be described with a view to the project idea:
● The actual capabilities of the organization (what can we do?)
● The planned capabilities of the organization (what do we want to be able to do?)
● A planned/actual comparison (where are the deficiencies?)
● A capability comparison based on prespecified criteria
● An outline of the project idea
3.7.2.2 General Conditions and Constraints

This subject describes the framework conditions to be observed by all stakeholders when the project
idea is implemented into concrete measures for realizing the system. Framework conditions, e.g.,
budget situation, existing know-how, legal provisions, cooperations, commitment to partners and
deadlines, may be turned into specifications for project execution.
Technical framework conditions, e.g., development environments and platforms, IT infrastructure,
applicable standards and regulations, or specifications of off-the-shelf products, lead to additional
(non-functional) requirements for system development.
3.7.2.3 Project Objectives and System Concepts

In the Subject Project Objectives and System Concepts, the acquirer describes his vision of a new
project or system on a high abstraction level. Project objectives and system concepts may concern
several aspects, e.g., the introduction of innovations, the definition of objectives (quality, deadline
and cost objectives), the operation of the system in its operating environment and the use of new,
improved functionalities.
3.7.2.4 Opportunities and Risks

The Subject Opportunities and Risks comprises data which are normally prepared in industrial busi-
ness plans. Frequently, an anonymous market with potential acquirers, which could be interested in
the new product or system idea, will be analyzed at first. Therefore, the contents of this subject is
characterized by a certain uncertainty or fuzziness. The subjects examines the chances of achieving
profit on the market with a specific product or system. In addition to the chances, the risks of failing
on the market or sustaining losses with a product or system should be analyzed.

Chances on the market include, but are not limited to, the following:
● the acquirer structure is homogeneous (i.e., the product or system needs only a few variants),
the segmentation of the market is small,
● competitors do not have a comparable product,
● the market development is positive,
● the entrance into the market and opening up of new markets are easy,
● the company is holding a relatively dominant position on the market.
Product introduction risks include, but are not limited to, the following:
● the funding of the project is not ensured until market maturity is reached,
● the achievable prices are to low due to strong competition,

● the expected acquirer acceptance is small,

● there are well-established competitive products,
● the development of the product or system may lead to technical problems.
3.7.2.5 Planning
The planning specifies the organizational and commercial project execution and system develop-
ment aspects. The project organization, e.g., matrix organization and steering committees, and the
responsibilities for the decision-making processes within project will be specified.
The »Project Leader will be appointed, his tasks will be defined. Available resources, funds and spe-
cialist personnel will be determined. Start and end date for the project will be specified. The plan-
ning can be based on the statements developed in the subject Project Objectives and System Con-
cepts, which makes additional statements on feasibility, funding and schedules.
3.7.2.6 Economic Efficiency

The Subject Economic Effiency includes figures which indicate the profitability of the new project
or system. At an early stage, the »Estimations are still rather uncertain. The profitability can be indi-
cated by parameters like capital value, return on investment, sales estimates, cost savings or increa-
se in efficiency.
3.7.3 Requirements Specification Overall Project

Process module: Management of Multiple Projects
Responsible: Requirements Engineer (Acquirer) (when using process module Mana-
gement of Multiple Projects)
Activity: Determining Requirements Overall Project
Participating: User, Executive, Project Leader, Data Protection Manager, Security
Manager, Safety Manager
Purpose
The Product Requirements Specification Overall Project includes all mandatory requirements posed
on the system to be developed, which describe the overall project in a complete and consistent man-
ner. It is basis for the subdivision into sub-projects.
All relevant system requirements will be determined and documented by the supplier. The core of
the Requirements Specification Overall Project comprises the functional and non-functional system
requirements and an outline of the overall system design. The design considers the future environ-
ment and infrastructure for the system and provides guidelines for technological decisions. The out-
line of the overall system architecture is the decisive basis for subdividing the overall project into
sub-projects.
In addition, the system life cycle phases to be supported will be identified and incorporated as logi-
stic requirements. The delivery terms and acceptance criteria are also part of the requirements.

3 Products 5-91
The functional and non-functional requirements are not only intended as development specificati-
ons, but also as basis for the tracing of requirements and the change management. The requirements
should be prepared in such a way that traceability and a suitable change management are possible
for the entire system life cycle.
The acquirer alone is responsible for the preparation and quality of the Requirements Specification.
If required, he may task a third party with the preparation. Generally, the Requirements Specificati-
on should not specify technical solutions in order to ensure that architects and developers are not re-
stricted in their search for optimum technical solutions.
Depends on
Requirements Specification, Project Proposal (see product dependency 5.4)
Requirements Specification (see product dependency 5.5)
Evaluation of the Overall Project Requirements Specification (see product dependency 5.25)

See Initial Situation and Objectives in product Requirements Specification.
3.7.3.2 Functional Requirements

See Functional Requirements in product Requirements Specification.
3.7.3.3 Non-Functional Requirements

See Non-Functional Requirements in product Requirements Specification.
3.7.3.4 Outline of the Life Cycle and the Overall System Architecture
See Outline of the Life Cycle and the Overall System Architecture in product Requirements Specifi-
cation.
3.7.3.5 Safety and Security Relevant Requirements, Risk Acceptance and Safety and
Security Levels
See Safety and Security Relevant Requirements, Risk Acceptance and Safety and Security Levels in
product Requirements Specification.
3.7.3.6 Scope of Delivery Overall Project

See Scope of Delivery in product Requirements Specification.
3.7.3.7 Acceptance Criteria

See Acceptance Criteria in product Requirements Specification.

3.7.4 Evaluation of the Overall Project Requirements Specification

Process module: Management of Multiple Projects
Responsible: Requirements Engineer (Acquirer) (when using process module Mana-
gement of Multiple Projects)
Activity: Preparing Overall Project Requirements Evaluation
Participating: Executive, Project Leader, User
Purpose
The »Evaluation of the Overall Project Requirements Specification is intended to evaluate the col-
lection and preparation of user requirements and make the supplier's realization risk as transparent
and controllable as possible. Thus, the acquirer has - based on his evaluation capabilities - already
determined whether he regards the user requirements as technically feasible, affordable, economical
and important.
If the requirements are economically doubtful or expensive or cannot be assessed adequately, the
acquirer may take recourse to an optioning of capabilities, i.e., the requesting of capabilities or ca-
pability packages to be offered optionally, in order to base his assessment on real cost data.
The product Evaluation of the Overall Project Requirements Specification documents the evaluation
results for the user requirements collected until that time. The evaluation is hardly possible unless
the »Outline of the Life Cycle and the Overall System Architecture or a concrete system architec-
ture have been prepared, i.e., there are already possible approaches. An evaluation of off-the-shelf
products may make valuable contributions to this.
The Evaluation of the Overall Project Requirements Specification is based on prespecified evaluati-
on criteria. The results of the Evaluation of the Overall Project Requirements Specification are inte-
grated into the product Requirements Specification Overall Project.
Depends on
Requirements Specification Overall Project (see product dependency 5.25)
3.7.4.1 Evaluation Criteria Overall Project

See Evaluation Criteria in product Requirements Evaluation.
3.7.4.2 Evaluation Results Overall Project

See Evaluation Results in product Requirements Evaluation.
3.7.5 Requirements Specification

Responsible: Requirements Engineer (Acquirer) (when using process module Speci-
fication of Requirements)
Activity: Determining Requirements

3 Products 5-93
Participating: Executive, Project Leader, User, Safety Manager, Security Manager,

Data Protection Manager
Purpose
The Product Requirements Specification includes all mandatory requirements posed on the system
to be developed. It is basis for the »Request for Proposal and contracting and thus the most import-
ant specification for the preparation of an offer. The Requirements Specification is part of the »Con-
tract between acquirer and supplier. The Requirements specify the framework conditions for the de-
velopment, which will then be detailed by the supplier in the »Overall System Specification .
All relevant system requirements will be determined and documented by the supplier. They include
the information required by the supplier for the development of the required system. The core of the
Requirements Specification comprises the functional and non-functional system requirements and
an outline of the overall system design. The design considers the future environment and infrastruc-
ture for the system and provides guidelines for technological decisions. In addition, the system life
cycle phases to be supported will be identified and incorporated as logistic requirements. The deli-
very terms and acceptance criteria are also part of the requirements.
The functional and non-functional requirements are not only intended as development specificati-
ons, but also as basis for the tracing of requirements and the change management. The requirements
should be prepared in such a way that traceability and a suitable change management are possible
for the entire system life cycle.
The acquirer alone is responsible for the preparation and quality of the Requirements Specification.
If required, he may task a third party with the preparation. Generally, the Requirements Specificati-
on should not specify technical solutions in order to ensure that architects and developers are not re-
stricted in their search for optimum technical solutions.
Generates
Depends on
Requirements Evaluation, Market Survey for Off-the-Shelf Products (see product dependency 5.2)
Project Proposal, Requirements Specification Overall Project (see product dependency 5.4)
Requirements Specification Overall Project (see product dependency 5.5)
Life Cycle Cost Calculation, Project Plan, Risk List, Estimation, Overall System Specification (see
Project Proposal, Requirements Specification Overall Project (see product dependency 5.27)
Project Manual, Overall System Specification (see product dependency 5.45)
Request for Proposal, Contract, Contract Addendum (see product dependency 5.50)


This subject illustrates the initial situation and the reasons for executing the project. It describes
which deficiencies or problems of existing systems or the current situation have lead to the decision
to execute the project and which advantages are expected from the use of the new system.
In addition, all relevant stakeholders of the projects will be appointed and the technical and profes-
sional integration of the system to be developed will be outlined. Moreover, the first framework
conditions for the development will be identified and decribed. Framework conditions may include,
e.g., technical specifications or safety and security specifications.

Functional requirements describe the system capabilities required by a user for solving a functional
problem. The requirements will be derived from the supported business processes and the flow des-
cription for using the system.
The functional requirements are defined, e.g., by use cases. A use case describes a concrete, functio-
nally self-contained sub-process. The entirety of the use cases defines the system behavior. A use
case may be described in a simple text format. However, organization-specific patterns for the des-
cription are frequently available. In order to determine the functional requirements of data-centered
systems, a first functional »Data Model will be developed, which is the basis for the later »Database
Design. The functional data model of the system will be derived from the entities of the domain mo-
del.
The functional requirements are the central system development specifications. They will be inte-
grated into the »Overall System Specification and concretized as required.

Non-functional requirements are system requirements which are not of a functional nature, but con-
tribute decisively to the applicability of the system. They define, e.g., quality requirements, safety
and security requirements or performance requirements. If the project is critical related to security
(see Project characteristic »Security (Acquirer) or »Security (Supplier)) the requirements related to
security will be specified in a seperate Topic.
Non-functional requirements define fundamental characteristics of a system which must be taken
into account in the architecture design. They may be used for estimating the development costs and
should be described as measurably as possible.
In order to structurize the requirements as simply as possible, requirements which are not clearly
defined as functional requirements will be assigned to the non-functional requirements.
3.7.5.4 Outline of the Life Cycle and the Overall System Architecture
The specification of user requirements without consideration of possible solutions entails the great
risk of defining unrealistic user requirements. It is useful to specify a coordination frame for the in-
tegration, systematization, categorization and prioritization of user requirements, in order to facilita-
te their visualization.

3 Products 5-95
This may be achieved by an overall system architecture which represents the point of view of the
user and not the technical point of view of the system analyst or »System Architect. This means a
functional system architecture embedded in the functional flow of adjacent systems should be pre-
pared. At this early stage, it is hardly possible to develop a technical system architecture.
In case of an »Evaluation of Off-the-Shelf Products, the future system components should be identi-
fied and specified in the overall system architecture when the »Requirements Specification are revi-
sed.
In addition, the particular characteristics of the operational environment of the new system shall be
described in order to be able to consider primarily the »Safety and Security requirements. The de-
veloper of user requirements should prepare a concept showing which life cycle sections should be
covered by the project.
Security Levels
For safety- and security-critical systems, this subject specifies technical standards for safety and se-
curity. With regard to functional safety and security, it shows which risks exist during system opera-
tion, which damage or which class of damage may occur with which probability and inhowfar the
occurrence of damage may be tolerated or is no longer acceptable. With regard to information secu-
rity, information security requirements intended to protect the confidentiality, integrity, authenticity,
and availability of information and information security requirements intended to protect informati-
on processing and information transmission systems must be specified. With regard to data protecti-
on, data protection requirements for handling personal data must be identified.
Based on the requirements, including the safety and security requirements, and the outline of the
life cycle and the overall system architecture, the safety and security levels for all requirements
shall be specified.
3.7.5.6 Scope of Delivery

All items and services to be delivered by the supplier to the acquirer during the project or at its
completion shall be listed. Every »Delivery requires an acceptance evaluation. The scope of delive-
ry may include the system, system components, an »Enabling System, enabling system components,
documents, and agreed services.

Acceptance criteria specify the criteria to be fulfilled by the »Delivery in order to meet the require-
ments. They should be specified in a measurable way. From a contractual point of view, the accep-
tance criteria describe the conditions for the decision as to whether the final product fulfills the re-
quirements or not. Acceptance criteria refer to functional and non-functional requirements.
Until the contract is awarded, the acceptance criteria can only be indicated in a general form, e.g., as
KO criteria. These criteria define, e.g., that at least 90 % of all evaluation cases must be completed
successfully in order to achieve a successful acceptance. These general acceptance criteria should
also include the requirement that the supplier must prepare acceptance criteria, the structure and

number of which shall be outlined by the acquirer. The acceptance criteria should be structured in
accordance with their three decisive components - initial situation, action(s) and expected result. In
any case, the expected results of the acceptance must be specified for each acceptance criterion.
The acceptance test is based on the acceptance criteria which are included as requirements in the
»Evaluation Specification Delivery.
3.7.6 Requirements Evaluation

Responsible: Requirements Engineer (Acquirer) (when using process module Speci-
fication of Requirements)
Activity: Preparing Requirements Evaluation
Participating: User, Executive, Project Leader
Purpose
The »Requirements Evaluation is intended to evaluate the collection and preparation of user requi-
rements and make the supplier's realization risk as transparent and controllable as possible. When
the contract is awarded, the acquirer has - based on his evaluation capabilities - already determined
whether he regards the user requirements as technically feasible, affordable, economical and im-
portant.
If the requirements are economically doubtful or expensive or cannot be assessed adequately, the
acquirer may take recourse to an optioning of capabilities, i.e., the requesting of capabilities or ca-
pability packages to be offered optionally, in order to base his assessment on real cost data.
The product Requirements Evaluation documents the evaluation results for the user requirements
collected until that time. The evaluation is hardly possible unless the »Outline of the Life Cycle and
the Overall System Architecture or a concrete system architecture have been prepared, i.e., there are
already possible approaches. An evaluation of off-the-shelf products may make valuable contributi-
ons to this.
The Requirements Evaluation is based on prespecified evaluation criteria. The results of the Requi-
rements Evaluation are integrated into the product Requirements Specification.
Depends on
Requirements Specification, Market Survey for Off-the-Shelf Products (see product dependency
5.2)

This subject specifies the evaluation criteria to be applied during the »Requirements Evaluation or
»Evaluation of the Overall Project Requirements Specification. The evaluation criteria include, but
are not limtied to, the plausibulity of the defined requirements, particularly the information security
requirements, the possiblity of controlling the complexity and the evaulation of the possibility to
employ off-the-shelf products. Additional criteria include the existing IT infrastructure and the cost
estimate for the individual requirements.

3 Products 5-97

The evaluation results of the »Requirements Evaluation include particularly an overall evaluation of
user requirements. It will be evaluated how far prespecified restrictions, which are either due to the
budget, the schedule or available resources, can be complied with or will be exceeded. In addition,
all user requirements collected will be examined and classified as follows: The deferred user requi-
rements and the rationale for deferring them will be examined (e.g., is the necessity not demonstra-
ble). The modified user requirements and the rationale for the modification will be examined (e.g.,
by the more economical use of off-the-shelf products). The necessity of new user requirements will
be examined (e.g., have important non-functional user requirements not been recorded). In addition,
the evaluation results include results of the economic analysis, e.g. cost-benefit assessments, identi-
fication of cost-driving user requirements and affordability of user requirements.
3.7.7 User Tasks Analysis

Responsible: Ergonomics Manager (when using process module Usability and Ergo-
nomics)
Activity: Analyzing User Tasks
Participating: User, Logistics Developer, Technical Author, Requirements Engineer
(Supplier)
Purpose
The »User Tasks Analysis is intended to develop the basis for the design of an adequate system. For
this purpose the user tasks to be supported must be presented in their interaction with the working
environment.
The analysis of user tasks identifies and describes user profiles, tasks to be supported and system
and environmental conditions.
Is generated by
Depends on
3.7.7.1 User Profiles

The user profile describes characteristics and prior skills of the future users of the system to be de-
veloped. For the preparation of an »Application Profile, personal characteristics of the users - e.g.
age and gender - and their professional characteristics - e.g., experience, frequency and intensity of
use - will be considered.


A user profile may include the following information:
● Personal characteristics of the user, e.g., age, gender, goggles, right-/left-handedness, color
blindness,
● knowledge, skills and experiences of the user, e.g., computer skills, training, professional
experience,
● professional and working skills, e.g., frequency of use, system training, mandatory/voluntary
system use, professional category of user like manager, administrative or technical assistant,
job fluctuation, use of other tools, importance and complexity of task.
3.7.7.2 Physical Operation Environment

The working environment of a user working with a dialog system will be recorded and documented.
The results influence the design of the dialog system. Decisive factors include, but are not limited
to, location of the system, e.g., office, hangar, public place, influences caused by noise, light, dirt,
climatic conditions, vibrations or other external disturbances.
3.7.7.3 User Tasks

This subject describes the tasks to be performed by the users of the new system. All work processes
and their characteristics which are important for designing the user interface of the system will be
presented.

Sub-subjects of the user tasks include, but are not limited to, the following:
● Survey of the business and operational objectives of the new system,
● integration of the functional areas supported by the new system within the organizational
unit,
● description of the work flows to be supported by the new system,
● task descriptions, responsibilities, dependencies and hierarchies of the supported functional
area,
● any measures performed due to a workflow reengineering
3.7.8 Data Protection Concept

Process module: Safety and Security (Supplier)
Responsible: Data Protection Manager (when using process module Safety and Se-
curity (Supplier))
Activity: Preparing Data Protection Concept
Participating: Security Manager
Purpose
The data protection concept regulates the implementation of legal data protection standards for the
handling of personal data.

3 Products 5-99
It includes statements on the following:

● Legal foundations and their implementation.
● Purpose of processing personal data.
● Origin of personal data.
● System survey and protection requirements.
● Risks.
● Requirements and measures.
Is generated by
dependency 4.18)
dependency 4.7)
dependency 4.19)
dependency 4.17)
dependency 4.8)
dependency 4.6)
pendency 4.15)
pendency 4.23)
pendency 4.4)
pendency 4.20)

Depends on
Project Manual, Information Security Concept, Safety and Security Analysis (see product depen-
dency 5.46)
Project Manual, Overall System Specification, Information Security Concept (see product depen-
dency 5.47)
3.7.8.1 Legal Foundations and Their Implementation

The legal data protection provisions and regulations required for the handling of personal data shall
be identified.
3.7.8.2 Origin and Purpose of Processing Personal Data

Origin and purpose of processing personal data shall be presented.
3.7.8.3 System Survey and Protection Requirements

The system survey shall focus on system elements which process personal data. The protection re-
quirements for personal data will be specified.
3.7.8.4 Risks
Possible risks incurred when processing personal data shall be identified.
3.7.8.5 Requirements and Measures

The data protection concept shall fulfill all legal data protection requirements, e.g., legal, technical,
organizational, and material requirements. In addition, the requirements must be covered complete-
ly by appropriate measures. Aspects to be covered include, but are not limited to, the following:
● Administration and processing of personal data on data carriers and servers, e.g., storage
time, safekeeping, marking, re-use, destruction and deletion of programs and data no longer
required.
● Physical access control/user control, access control, transfer control, input control, request
control.
● Obligation to notification/consultation of the Data Protection Specialist, e.g., in case of un-
expected system behavior or extraordinary events which have effects on data loss or the loss
of data protection.
● Release procedures, e.g., for modified/new system elements and the transfer or personal
data.
● Processing of job data, e.g., in case of installation, maintenance, repair, software mainte-
nance and deletion/destruction of data carriers.

3 Products 5-101
3.7.9 Information Security Concept

Responsible: Security Manager (when using process module Safety and Security
(Supplier))
Activity: Preparing Information Security Concept
Purpose
The Information Security Concept shall be prepared for every IT project and every project with IT
elements.
The project-related Information Security Concept includes all information security requirements
mandatory for the system to be developed, the information security measures designed to protect
the information against loss of integrity, authenticity, confidentiality and availability, and informati-
on security requirements and information security measures designed to protect technical informati-
on processing and information transmission systems.
During the preparation and updating process, the contents of the Information Security Concept shall
be checked for correctness, consistency and completeness and adapted as required.
During service use, the Information Security Concept shall be updated in case of technical changes,
changes of regulations, changes of the hazard situation, extension of the functionality and construc-
tion measures.
The »Security Manager of the respective project is responsible for the preparation of the Informati-
on Security Concept.
Is generated by
dependency 4.18)
dependency 4.7)
dependency 4.19)
dependency 4.17)
dependency 4.8)
dependency 4.6)

pendency 4.15)
pendency 4.23)
pendency 4.4)
pendency 4.20)
Depends on
Project Manual, Data Protection Concept, Safety and Security Analysis (see product dependency
5.46)
Project Manual, Overall System Specification, Data Protection Concept (see product dependency
5.47)
3.7.9.1 Presentation of the Project and the Operational Environment

In addition to a general survey of the project, this subject shall roughly describe operational purpose
and operational environment.
3.7.9.2 Protection Requirements

The information processed or transmitted - including their classification regarding confidentiality
and their assessment with respect to integrity, authenticity and availability - shall be identified.
3.7.9.3 System Architecture from an IT Security Point of View

The system architecture shall be presented as seen from an information security point of view. The
necessary infrastructure and general organizational and personal conditions shall be identified.
3.7.9.4 Information Security Requirements

The information security requirements shall be identified, subdivided into technical, organizational,
personal and material information security requirements.

3 Products 5-103
3.7.9.5 Information Security Measures

The necessary information security measures shall be described, subdivided into technical, organi-
zational, personal and material information security measures. The products designed to implement
the information security measures shall be listed.
3.7.9.6 Risks Remaining

If information security requirements cannot be covered completely by information security measu-
res, the risks remaining shall be described.
3.7.9.7 Emergency Plan

The necessary emergency measures shall be developed. This includes particularly the detailed des-
cription of the approach for restoring system functionality after a partial or total failure of the sys-
tem.
3.7.9.8 Standards for Verifying the Effectiveness of the Measures

Standards for verifying the effectiveness of the measures for maintaining information security shall
be specified. This includes particularly also specifications for necessary training and sensitization
measures.
3.7.10 Safety and Security Analysis

Responsible: Safety Manager (when using process module Safety and Security
(Supplier))
Activity: Performing and Evaluating Safety and Security Analysis
Participating: QA Manager
Purpose
The safety and security analysis (frequently also called risk analysis) is intended to determine the
causes of hazards and to estimate the probability of ocurrence of this hazard with respect to functio-
nal safety.
The risks (probability of occurrence times damage level per hazard) will be determined, and risk
minimization measures will be selected. The selection must be justified.
The safety and security analysis shall be executed for every system element regarded as critical for
safety and security.
Is generated by
dependency 4.18)

dependency 4.7)
dependency 4.19)
dependency 4.17)
dependency 4.8)
dependency 4.6)
pendency 4.15)
pendency 4.23)
pendency 4.4)
pendency 4.20)
Depends on
Project Manual, Data Protection Concept, Information Security Concept (see product dependency
5.46)
3.7.10.1 Hazard Identification and Damage Classification

The subject »Hazard Identification and Damage Classification describes hazards which may lead to
the occurence of damage when the respective system is used. For every hazard, the potential dama-
ge level per damage category will be indicated. For every identified hazard, the respective damage
class per damage category will be indicated.

3 Products 5-105
Depending on the system type, the occurrence of damage may lead to different damage categories,
e.g., loss of life, injuries, illness, loss or damage of equipment or property and/or environmental da-
mage. It may also lead to purely economic losses, e.g., by production shortfalls or nonavailability of
an urgently needed system.
Possibly, an intangible damage may occur, e.g., in case of an infringement of legal regulations/para-
meters, a reduced image which may impair sales or if a recall action is initiated. Every occurrence
of damage, which may be caused by a hazard, has consequences of a different level. In order to faci-
litate the processing, the occurrence of damage will be subdivided into appropriate damage classes.
3.7.10.2 Post analysis and determination of relevance

For every hazard recognized during the hazard identification, the following results will be collected:
● cause of hazard,
● probability of occurence of hazard,
● risk determination (probability of occurrence of damage times damage level),
● assessment if the determined risk lies within the risk level accepted by the acquirer. If the
risk is above the acceptance value, risk-reduction measures shall be selected in the next step.
In case of the hazard "component failure", the probability of occurrence can be indicated ba-
sed on the component's lifetime or operating hours.
3.7.10.3 Safety and Security Measures

Risk-reduction measures will be determined for all risks regarded as inacceptable in the system sa-
fety and security analysis. The proposals for risk-reduction measures are described in the Project
Manual under the subject »Safety and Security - Organization and Directives.
Risk-reduction measures are required if a hazard occurs which is outside the prespecified tolerance
range or above the prespecified threshold value, thus becoming inacceptable. Therefore, suitable
measures must be determined, and it must be checked whether the present risk is reduced to an ac-
ceptable level if these measures are taken.
»Safety and Security Measures may include constructional procedures (regarding system develop-
ment and realization), analytical measures (test measures), additional functional or non-functional
system requirements and additional safety and security systems or organizational requirements.
Risk-reduction measures are intended to reduce the damage level (damage class) and/or the proba-
bility of occurrence of a hazard.
The effects of the measures - e.g. degree of reduction, effort required for implementation, effects on
initialization, operation, deactivation of the system or on the operating personnel - will be assessed
with respect to their technical and economical suitability.
The decision for the selection of the optimum measure will be justified.
If it is impossible to find a suitable measure, the safety and security specifications in the Project
Manual shall be followed. In cooperation with the acquirer, a solution shall be searched and introdu-
ced by a problem report/change request. The approach shall be documented.

3.7.11 Legacy System Analysis

Process module: Enhancement and Migration of Legacy Systems
Responsible: System Architect (when using process module Enhancement and Mi-
gration of Legacy Systems)
Activity: Analyzing Legacy System
Purpose
The »Legacy System Analysis is intended to describe the actual state of a system, to provide an un-
derstanding for the legacy system and to lay the basis for the further development or migration of
system components. The analysis describes functionality, objectives and rough architecture of the
legacy system and identifies interactions between the system and its environment. The current
»Data Model of the legacy system shall be determined and the data quality shall be assessed in or-
der to provide a basis for the migration.
The »System Architect is responsible for the execution of the legacy system analysis. He should be
supported by experts of the legacy system and persons responsible for adjacent systems.
Is generated by
Depends on
Overall System Specification, System Architecture (see product dependency 5.59)
3.7.11.1 System Outline

The »System Outline describes the rough architecture of the legacy system and its integration into
the environment. It indicates objectives and tasks of the system and the context in which the system
is used. The system components are described roughly, and the technologies employed are ident-
fied.
In addition, the outline indicates databases on which the system operates, platform and program-
ming language. Adjacent systems with which the system exchanges data and messages are identi-
fied, and the interfaces to the legacy system are analyzed and defined.
For a better understanding, the system outline may be complemented by a graphical presentation
showing the system in its environment and the system interfaces. The system summary is the basis
for the data and interface analysis.
3.7.11.2 Functional Overview

The summary of functions describes functionality and business processes supported by the legacy
system. If the legacy system is intended to be replaced, the summary of functions provides additio-
nal information for specifying the requirements. This ensures that the requirements posed on the
new system include all essential functionalities of the legacy system.

3 Products 5-107
3.7.11.3 Interface and Dependency Analysis

Legacy systems, particularly legacy information systems, frequently communicate in many ways
with a great number of adjacent systems. In the most simple case, the communication is file-based,
i.e., a file including data in a specified formart is transferred from the transmitting system to a speci-
fied location, where it is read by the receiving system.
An additional communication possibility is the asynchronous transmission and reception of messa-
ges by means of messaging systems. In case of a very close coupling of systems, data will be ex-
changed between the systems within the scope of synchronous calls.
For the above communication forms, a protocol shall be prepared which specifies in detail accor-
ding to which rules the communication shall be conducted. The protocols will be negotiated and do-
cumented with the person responsible for the respective adjacent system
The flow within the system determines the sequence in which the interfaces shall be served. Thus,
there are inherent dependencies between the interfaces. These dependencies shall also be identified
and documented.
3.7.11.4 Data Model

The »Data Model of the legacy system describes how data maintenance was realized in the legacy
system. It identifies the affected databases, determines the respective database schemes and docu-
ments the results within the scope of their environment. The documentation is prepared analogous
to the physical data model of the »Database Design for a new system.
In addition to the data structure, the data quality shall be determined. Based on samples and data co-
pies, it will be determined how many invalid data records exist in the databases of the legacy system
and how far these data records impair the workflow.
3.7.12 Market Survey for Off-the-Shelf Products

Process module: Evaluation of Off-the-Shelf Products
Responsible: Project Leader (when using process module Evaluation of Off-the-
Shelf Products)
Activity: Performing Market Survey for Off-the-Shelf Products
Participating: Purchaser, Logistics Manager, System Integrator, Requirements Engi-
neer (Acquirer), System Architect
Purpose
If a »Segment, a Software/Hardware Unit, a Software/Hardware Module or a Software/Hardware
Component of the system to be developed is intended to be realized by using an off-the-shelf pro-
duct, a suitable off-the-shelf product must be found based on the specifications available at the re-
spective time. In order to get an overview over the off-the-shelf product candidates available on the
market, a »Market Survey for Off-the-Shelf Products will be prepared. The result of the market sur-
vey is a list of possible off-the-shelf product candidates, which includes additional information on
every candidate, e.g., product sheets, product specifications, performance characteristics and prices.
Acquirer and Supplier may conduct market surveys at different times in the course of the project.

If the »Project Proposal shows or even prescribes that off-the-shelf products should be used where-
ver possible, the acquirer can conduct a rough market survey based on the »Project Proposal before
the »Requirements Specification is formally specified. The assessed results will then be integrated
into the »Requirements Specification.
The market survey can also (possibly again) be conducted at a later time based on the »Require-
ments Specification in order to examine if and to which extent developments are required or if the
system can be realized completely or partly by using off-the-shelf products. The results of the mar-
ket survey are important inputs for the »Offer Assessment, thus providing the basis for a decision on
the use of off-the-shelf products.
At an early stage of the system development process, the supplier prepares the »Overall System
Specification, which may give an impetus for a systematic market survey of suitable off-the-shelf
products. If »External Units have already been identified in the system architecture, the »External
Unit Specification provides the necessary information. If external elements at hardware or software
level have been identified as products of the type External Hardware Module or External Software
Module, they are identified in the External Hardware Module Specification or External Software
Module Specification. The examination and assessment of off-the-shelf products is based on the
»Overall System Specification, the »External Unit Specification, the External Hardware Module
Specification or the External Software Module Specification. The market survey is basis and decisi-
on-making aid for the »Make-or-Buy Decision. The results of the market survey are integrated di-
rectly into the decision-making process.
Is generated by
dependency 4.7)
dependency 4.18)
pendency 4.20)
Depends on
Make-or-Buy Decision (see product dependency 5.12)
Requirements Specification, Requirements Evaluation, (see product dependency 5.2)
3.7.13 Make-or-Buy Decision

Responsible: Project Leader (when using process module System Development)

3 Products 5-109
Activity: Performing Make-or-Buy Decision

Participating: System Architect, Controller, Purchaser, System Integrator, Hardware
Architect, Software Architect
Purpose
A »Make-or-Buy Decision documents the way to the decision as to whether an external unit, an ex-
ternal hardware module or an external software module will be bought as off-the-shelf product, de-
veloped by the supplier himself or awarded as sub-contract. Depending on the strategic specificati-
ons, a priority study as to whether the reuse of a self-developed component or the use of an open-
source component is possible, may be required.
Strategic and economic aspects will be examined. Potential off-the-shelf products may be evaluated.
The results of the analyses and the evaluation support the final decision. The result of the decision
will be documented in the system architecture or »Enabling System Architecture.
Is generated by
dependency 4.7)
dependency 4.18)
pendency 4.20)
Generates
Offer Assessment, Request for Proposal, RFP Concept, Criteria Catalog for Assessment of Offers,
Depends on
External Unit Specification (see product dependency 5.13)
External Hardware Module Specification (see product dependency 5.14)
External Software Module Specification (see product dependency 5.15)

3.7.13.1 Strategic Analysis

When determining the strategic orientation of his organization, the supplier shall examine if it is
possible to exploit the potential advantages of using off-the-shelf products, reusing self-developed
components, using open-source components or awarding a contract for his project. In this connecti-
on he must consider particularly whether availability and maturity of prefabricated components are
sufficient and suitable for the required functionalities.
For any type of procurement, it should be examined if - as compared to an in-house development -
costs can be saved during the procurement, utilization and maintenance phase and if the delivery ti-
mes between specification of requirements and implementation are expected to be reduced signifi-
cantly.
In case of open-source components, it should be noted that some open-source communities prescri-
be regulations for the use of the respective component.
The strategic analysis must take into account any specification to be observed in the entire compa-
ny. Applicable specifications may include, e.g., the following:
● Contracts which require the revealing of core competences must not be awarded.
● The use of specified off-the-shelf products is mandatory. In-house developments shall be ju-
stified particularly. Reasons may include an increase of the economic or technical risks if
off-the-shelf products are used.
● The use of off-the-shelf products is approved. The most economic solution shall be striven
for.
● Components of the own company shall be re-used, e.g., in connection with product line en-
gineering.
3.7.13.2 Economic Analysis

If possible, the economic efficiency of using work products of the type external unit, external hard-
ware module or external software module shall be demonstrated by a cost-benefit analysis in quanti-
tative form (monetary units). This is independent of the fact whether the analysis deals with the use
of a prefabricated product or with the result of a development order. If the benefits exceed the costs,
the use of an external unit can clearly be regarded as economical. Perhaps an additional cost saving
can be achieved by reducing the requirements posed on the »External Unit (e.g., with 20% of the
costs, 80% of the requirements may be fulfilled).
The measurable benefit of using a prefabricated product may lie, e.g., in its immediate availability.
In addition, the expected test and integration effort may be small since the products normally have
already undergone market or in-house tests.
However, the cost disadvantages must be considered as well as the cost advantages. For example,
the cost advantages may be neutralized if off-the-shelf products or open-source components require
extensive adaptations, or implementation faults, interface incompatibilities or platform incompatibi-
lities must be remedied.
If the benefit cannot be expressed in monetary units, qualitative benefits may also be considered (in
the public sector, the recommendation on the implementation of economic reviews regarding the
use of IT in the Federal Administration (IT-WiBe) may be used for this purpose). For example, the

3 Products 5-111
benefit of using standard components lies in a higher flexibility and easier extendability. Products
which have already been tested on the market or in the company are expected to have a lower failu-
re probability and, thus, a higher availability.
If the use of off-the-shelf products, open-source components or re-usable components is out of
question, a decision shall be made between out-of-house and in-house development. In this case,
aspects like time to market, availability of own resources and the cost factor are of importance.
3.7.13.3 Evaluation of Off-the-Shelf Products

The subject »Evaluation of Off-the-Shelf Products documents the evaluation of possible off-the-
shelf product candidates for products of the type »External Unit, »External Hardware Module or
»External Software Module. Thus, it provides the basis for a decision for or against an off-the-shelf
product in general or a specific off-the-shelf product. If strategic considerations allow open-source
components to be used, these will also be considered.
A criteria list will be prepared based on the interfaces and non-functional requirements of the »Ex-
ternal Unit Specification, the »External Hardware Module Specification or the »External Software
Module Specification. This list is intended to examine the suitablility of the off-the-shelf product
candidates. Frequently, decisions are made due to the failure to comply with marginal KO criteria,
which have not always been considered in the beginning. Therefore, it is necessary to assess the de-
gree of fulfillment of concrete and weighted requirements, i.e., to conduct a classical utility analysis
including KO criteria. An evaluation of off-the-shelf products, e.g. by means of rigid function cata-
logs, is useless and leads to wrong results. The individual off-the-shelf products will be evaluated
based on this criteria list.
It should be noted that off-the-shelf products frequently do not fulfill the special (e.g. military) re-
quirements reulting from environmental influences and special operating conditions. Therefore, it
will be necessary to adapt the off-the-shelf products to the specified operating conditions (by harde-
ning or wrapping technologies), i.e., if off-the-shelf products are used, the possible effort, costs and
integration risks for newly to be developed adaptation software and hardware must be considered.
The evaluation result is a priority list of off-the-shelf product candidates.
3.7.13.4 Assessment and Result

If the various analyses - and, if required, the evaluation of off-the-shelf products - have been com-
pleted, the results shall be used as a basis for making a decision on self-development, purchase, re-
use or outsourcing.
Additional assessment criteria for potential suppliers of off-the-shelf products or »Sub-Suppliers
will also be integrated into the decision, e.g., credit ratings, performance criteria and contract crite-
ria. Criteria like market position of a company, special experience, participation in standardizations,
contract policy, price policy and available maintenance, support and training offers are also relevant
for a make-or-buy decision.
If an evaluation of off-the-shelf products was conducted, the prioritized candidate list shall also be
used as basis for decision-making. In addition possible risks, e.g., integration risks, controllability
of new technologies or adaptability and modularity of the off-the-shelf product, shall be assessed.
Based on the above criteria and risks, the alternatives will be prioritized, the decision made, and the
result documented.


For the final decision on the relization of external units, at least the following aspects should be
taken into account:
● How high are the costs,
● time to market
● degree of fulfillment of requirements,
● how is the maturity of the product assessed,
● how good is the conformity to standards,
● how reliable is the product,
● which performance parameters are supported by the product,
● how expressive and complete is the documentation,
● how reliable is the support?
3.8 System Elements

The discipline System Elements comprises all elements to be realized during system development.
These include the target systems (system and enabling systems), segments used as units for structu-
ring sub-systems and hardware and software development elements (units, components and modu-
les). In addition, »External Units or products of the type »External Hardware Module or »External
Software Module are available for the integration of elements which were not developed within the
scope of the project.
The system elements represent the hierarchical structure of a system or »Enabling System Figure
13. For system development, the system elements, beginning with hardware and »Software Modu-
les, will be integrated in accordance with the hierarchical structure.
Figure 13: System Architecture Hierarchy

3 Products 5-113
3.8.1 System
Responsible: System Integrator (when using process module System Development)
Activity: Integrating into System
Purpose
The system is the product to be realized within the scope of a system development project. It imple-
ments the functional and non-functional requirements of the Overall System Specification. A system
may be composed of software and hardware elements (e.g. aircraft, ship, automobile, computer).
However, there are also pure software systems (e.g. information system), pure hardware systems
comprising electronic/electrical and mechanical elements (e.g. housing, power supply unit) or em-
bedded systems (e.g. free programmable gatter array (FPGA)).
Depending on the system type, the lowest system level is composed of »Hardware Units and/or
»Software Units. Embedded systems comprise hardware and software units. The units will be inte-
grated into »Segments and finally into the »System Integrated. Depending on the scope of delivery
and the acceptance criteria specified in the Overall System Specification, the system will be deli-
verd to the acquirer together with the appropriate »Enabling Systems and »Delivery documentation.
Is generated by
Depends on
Logistic Support Documentation, Enabling System (see product dependency 5.20)
External Hardware Module, Hardware Unit, Hardware Component, Hardware Module, Hardware
Implementation, Integration and Evaluation Concept, External Software Module, Software Imple-
mentation, Integration and Evaluation Concept, Software Unit, Software Component, Software Mo-
dule, External Unit, System Implementation, Integration and Evaluation Concept, Segment (see
3.8.2 Enabling System

Activity: Integrating into Enabling System
Purpose
A »Enabling System is an autonomous system required for supporting the system itself or another
enabling system. For every system, any number of enabling systems may be developed.
A enabling system is always a piece of hardware and/or software supporting the development or use
of the system, but not belonging to the system itself. Documents like user documentation or opera-
ting documentation are not regarded as enabling systems. They will be prepared within the scope of
the logistic concept. Normally, enabling systems will be developed in parallel to the system itself.

Like the system itself, a enabling system is structured hierarchically based on system elements and
will be developed by realizing and integrating the system elements. Depending on the requirements,
a enabling system may be part of the »Delivery.
Is generated by
Depends on
Logistic Support Documentation, System (see product dependency 5.20)
3.8.3 Segment
Activity: Integrating into Segment
Purpose
A »Segment is an important part of a system, presenting a hierarchy level below the system itself. It
is the realization of a part of the system. Segments may be subdivided hierarchically into additional
segments. In addition, segments may include hardware and/or software and/or »External Units.
Normally, a segment comprises hardware and »Software Units. However, pure software segments,
pure hardware segments, or segments comprising exclusively external units are also conceivable.
Is generated by
pendency 4.23)
Depends on
dule, External Unit, System Implementation, Integration and Evaluation Concept, System (see pro-
3.8.4 External Unit

Activity: Taking over External Unit
Participating: Purchaser

3 Products 5-115
Purpose
The Product »External Unit comprises system elements which are not developed within the scope of
the project. An external unit may be an off-the-shelf product, a unit furnished by the user, a re-usa-
ble system or segment developed in advance, an adjacent system or the result of a sub-contract. An
external unit may comprise hardware and software portions.
In case of a system integration project, the system will be integrated exclusively from external units.
Examples for external units include middleware technologies, database servers or bought proces-
sors.
Is generated by
pendency 4.20)
Depends on
dule, System Implementation, Integration and Evaluation Concept, Segment, System (see product
dependency 5.38)
3.8.5 Hardware Unit

Process module: Hardware Development
Responsible: Hardware Developer (when using process module Hardware Develop-
ment)
Activity: Integrating into Hardware Unit
Purpose
A »Hardware Unit is the top system element in the hierarchy which includes exclusively electric or
mechanic parts. Hardware units are composed hierarchically of »Hardware Components. Examples
for hardware units include multiprocessor systems, processor printed wiring boards or motors. The
»Hardware Developer is responsible for integrating the hardware components into a hardware unit.
Is generated by
pendency 4.4)

Depends on
External Hardware Module, Hardware Component, Hardware Module, Hardware Implementation,
Integration and Evaluation Concept, External Software Module, Software Implementation, Integra-
tion and Evaluation Concept, Software Unit, Software Component, Software Module, External
Unit, System Implementation, Integration and Evaluation Concept, Segment, System (see product
dependency 5.38)
3.8.6 Software Unit

Process module: Software Development
Responsible: Software Developer (when using process module Software Develop-
ment)
Activity: Integrating into Software Unit
Purpose
A »Software Unit is the top system element in the hierarchy which includes exclusively software.
Software units are composed hierarchically of »Software Components. Examples for software units
include the acquirer administration of an information system or the control process module of a ro-
boter. The »Software Developer is responsible for integrating the software components into a soft-
ware unit.
Is generated by
pendency 4.15)
Depends on
mentation, Integration and Evaluation Concept, Software Component, Software Module, External
Unit, System Implementation, Integration and Evaluation Concept, Segment, System (see product
dependency 5.38)
3.8.7 Hardware Component

ment)
Activity: Integrating into Hardware Component

3 Products 5-117
Purpose
A »Hardware Component is part of a »Hardware Unit. Hardware components may be subdivided
hierarchically into additional hardware components. »Hardware Modules are on the lowest level of
the component hierarchy. An example for a hardware component is the printed board assembly of
the unit processor printed wiring board. The »Hardware Developer is responsible for integrating the
hardware process modules into a hardware component and for integrating hardware components
into additional hardware components.
Is generated by
dependency 4.6)
Depends on
External Hardware Module, Hardware Unit, Hardware Module, Hardware Implementation, Integra-
tion and Evaluation Concept, External Software Module, Software Implementation, Integration and
Evaluation Concept, Software Unit, Software Component, Software Module, External Unit, System
Implementation, Integration and Evaluation Concept, Segment, System (see product dependency
5.38)
3.8.8 Software Component

ment)
Activity: Integrating into Software Component
Purpose
A »Software Component is part of a »Software Unit. Software components may be subdivided hier-
archically into additional software components. »Software Modules are on the lowest level of the
component hierarchy. An example for a software component is the private acquirer administration
of the unit acquirer management system. The »Software Developer is responsible for integrating the
software process modules into a software component and for integrating software components into
additional software components.
Is generated by
dependency 4.17)

Depends on
mentation, Integration and Evaluation Concept, Software Unit, Software Module, External Unit,
System Implementation, Integration and Evaluation Concept, Segment, System (see product depen-
dency 5.38)
3.8.9 External Hardware Module

ment)
Activity: Taking over External Hardware Module
Purpose
The product External Hardware Module comprises system elements (hardware modules, hardware
components) which are not developed within the scope of the project. An external hardware module
is a functional element which can be described autonomously. An external hardware module may be
an off-the-shelf product, a unit furnished by the supplier, a re-usable system or segment developed
in advance, an adjacent system or the result of a sub-contract.
Is generated by
dependency 4.7)
Depends on
Hardware Unit, Hardware Component, Hardware Module, Hardware Implementation, Integration
and Evaluation Concept, External Software Module, Software Implementation, Integration and Eva-
luation Concept, Software Unit, Software Component, Software Module, External Unit, System Im-
plementation, Integration and Evaluation Concept, Segment, System (see product dependency 5.38)
3.8.10 Hardware Module

ment)
Activity: Realizing Hardware Module

3 Products 5-119
Purpose
A »Hardware Module is on the lowest level of the system element hierarchy. In contrast to other
hardware elements, it is realized concretely. A hardware module is part of a »Hardware Component.
It is not subidivided further in a hierarchical manner. Examples for a hardware process include A/D
conversion functions, processing elements or interface elements of a component, e.g. of an unpro-
grammed printed board assembly. The »Hardware Developer is responsible for realizing a hardware
module.
Is generated by
dependency 4.8)
Depends on
External Hardware Module, Hardware Unit, Hardware Component, Hardware Implementation, In-
tegration and Evaluation Concept, External Software Module, Software Implementation, Integration
and Evaluation Concept, Software Unit, Software Component, Software Module, External Unit,
dency 5.38)
3.8.11 External Software Module

ment)
Activity: Preparing External Software Module Specification, Taking over Exter-
nal Software Module
Purpose
The product External Software Module comprises system elements (software modules, software
components) which are not developed within the scope of the project. An external software module
is a functional element which can be described autonomously. An external software module may be
an off-the-shelf product, a unit furnished by the supplier, a re-usable system or segment developed
in advance, an adjacent system or the result of a sub-contract.
Is generated by
dependency 4.18)

Depends on
Implementation, Integration and Evaluation Concept, Software Implementation, Integration and
Evaluation Concept, Software Unit, Software Component, Software Module, External Unit, System
Implementation, Integration and Evaluation Concept, Segment, System (see product dependency
5.38)
3.8.12 Software Module

ment)
Activity: Realizing Software Module
Purpose
A »Software Module is on the lowest level of the system element hierarchy. In contrast to other
software elements, it is realized concretely as a piece of program code without further understructu-
res. A software module is part of a »Software Component. It is not subdivided further. An example
for a software module is the class "private acquirer" of the component "acquirer adminstration". The
»Software Developer is responsible for realizing a software module.
Is generated by
dependency 4.19)
Depends on
mentation, Integration and Evaluation Concept, Software Unit, Software Component, External Unit,
dency 5.38)
3.9 System Specifications

The »Discipline »System Specification comprises »Work Products and »Activityies supporting the
entire specification process from the overall system to individual software and »Hardware Ele-
ments.
In addition to the central product »Overall System Specification, the product group includes four
specification types: the »System Specification for System Elements, the »External Unit Specificati-
on which specifies units which were not developed within the scope of the project and a Hardware
and »Software Specification as well as an »External Hardware Module Specification and an »Exter-
nal Software Module Specification for each system element.

3 Products 5-121
The specifications are closely connected with regard to contents. Proceeding from the Overall Sys-
tem Specification, functional and non-functional requirements of the acquirer will be described and
refined in the system specifications and finally, as interfaces, in the specifications of hardware and
»Software Element s. In this way, a continuous and repeatable development process and a suitable
tracking of requirements can be realized.
3.9.1 Overall System Specification

Responsible: Requirements Engineer (Supplier) (when using process module Sys-
tem Development)
Activity: Preparing Overall System Specification
Participating: System Architect, Ergonomics Manager, Logistics Manager, Inspector,
QA Manager, System Integrator, Safety Manager, Data Protection Manager,
Security Manager
Purpose
The »Overall System Specification ist the counterpart to the acquirer product Requirements Specifi-
cation on side of the supplier. It will be prepared by the supplier in cooperation with the acquirer
and is the basis for the system development process.
The Overall System Specification includes the functional and non-functional requirements posed on
the system to be developed, which will be derived from the Requirements Specification and prepa-
red adequately. A first preliminary architecture of the system will be developed and described in a
summary of interfaces. The system to be developed and additional »Enabling Systems to be develo-
ped will be identified and allocated to the requirements. Additional logistic requirements will be
prepared in cooperation with the Logistic Manager. Acceptance criteria and scope of delivery for
the finished overall system will be adopted from the Requirements Specification and concretized. In
order to ensure that all requirements are taken into account, the requirements will be tracked to the
Requirements Specification, the system and the enabling systems.
The preparation of the Overall System Specification requires knowledge of various disciplines, like
system development, safety and security, ergonomics and logistics, which normally cannot be provi-
ded by one person. Since the requirements are the central core of the specification, the »Require-
ments Engineer (Supplier) has the responsible role for preparing the Overall System Specification.
However, he needs the intensive support by experts of various specialities for the preparation of its
contents.
The required products, like specification and architecture, will be prepared for every system, enab-
ling system and »Segment identified in the Overall System Specification. Logistic requirements will
be integrated into the »Logistic Support Specification.
Generates
Logistic Calculations and Analyses, Logistic Support Concept, Logistic Support Specification (see

Training Documentation, In-Service Documentation (see product dependency 4.22)

User Tasks Analysis, Man-Machine Interface (Style Guide), Evaluation Report Usability, Evaluati-
on Specification Usability, Market Survey for Off-the-Shelf Products, Database Design, Enabling
System Implementation, Integration, and Evaluation Concept, Evaluation Report System Element,
Evaluation Procedure System Element, Evaluation Specification System Element, System Specifi-
cation, Enabling System, Enabling System Architecture, Data Protection Concept, Information Se-
curity Concept, Safety and Security Analysis, Legacy System Analysis, Migration Concept (see pro-
User Tasks Analysis, Man-Machine Interface (Style Guide), Evaluation Report Usability, Evaluati-
on Specification Usability, Market Survey for Off-the-Shelf Products, Database Design, System Im-
plementation, Integration and Evaluation Concept, Evaluation Report System Element, Evaluation
Procedure System Element, Evaluation Specification System Element, System, System Architec-
ture, System Specification, Data Protection Concept, Information Security Concept, Safety and Se-
curity Analysis, Legacy System Analysis, Migration Concept (see product dependency 4.26)
ling System Implementation, Integration, and Evaluation Concept, Safety and Security Analysis
Depends on
User Tasks Analysis (see product dependency 5.6)
Requirements Specification, Life Cycle Cost Calculation, Project Plan, Risk List, Estimation (see
Requirements Specification (see product dependency 5.44)
Requirements Specification, Project Manual (see product dependency 5.45)
Project Manual, Data Protection Concept, Information Security Concept (see product dependency
5.47)
System Architecture, Legacy System Analysis (see product dependency 5.59)

»FWD:Overall System Specification

See Initial Situation and Objectives in product Requirements Specification.

See Functional Requirements in product Requirements Specification.

3 Products 5-123

See Non-Functional Requirements in product Requirements Specification.
Security Levels
See Safety and Security Relevant Requirements, Risk Acceptance and Safety and Security Levels in
product Requirements Specification.
3.9.1.5 Life Cycle Analysis and Overall System Architecture

Based on the requirements, a preliminary design of the overall system will be prepared and the life
cycle phases to be supported (development, maintenance, deactivation) will be identified.
The overall system architecture identifies the core system and its »Enabling System and specifies
the systems for which a »Logistic Support Concept shall be prepared. This concept will be based on
the functional and non-functional requirements and the outline of the overall system architecture de-
scribed in the requirements. Furnishings of the user will be taken into account.
A »Market Survey for Off-the-Shelf Products will possibly already be executed based on the »Over-
all System Specification in order to be able to estimate the influence exerted by possible off-the-
shelf product candidates on the requirements and the »System Architecture.
3.9.1.6 Interface Overview

A Interface Overview will be prepared in order to describe the connections between the system and
its environment. The interfaces between the system and the user, »Enabling Systems, logistic sys-
tems and adjacent systems will be identified and documented in suitable form.
The interfaces will be described concretely in the specifications of system elements and the »Logi-
stic Support Specification.
3.9.1.7 Scope of Delivery

See Scope of Delivery in product Requirements Specification.

Acceptance criteria specify the criteria to be fulfilled by the »Delivery in order to meet the require-
ments. The description of the acceptance criteria will be derived from the Requirements Specificati-
on.
The acquirer checks the fulfillment of the acceptance criteria by means of a receipt inspection.
In order to ensure that the delivery fulfills the acceptance criteria, the criteria will be included as re-
quirements into the »Evaluation Specification System Element of the system or »Enabling System.
The acquirer may conduct an internal acceptance test based on the evaluation specification.

3.9.1.9 Requirements Tracing to Requirements Specification

The Requirements Tracing with Regard to the Requirements Specification presents the allocation of
the functional and non-functional requirements described in the Requirements Specification to the
requirements specified in the Requirements Specification. The bi-directional trackability must be
ensured. The data may be presented, e.g., in form of a matrix.
3.9.1.10 Requirements Tracing

The requirements tracing in the Requirements Specification summarizes the allocation of functional
and non-functional requirements to elements of the overall system architecture (system, »Enabling
System, »Segment or logistics). The bi-directional trackability must be ensured. The data may be
presented, e.g., in form of a matrix.
3.9.2 System Specification

Responsible: System Architect (when using process module System Development)
Activity: Preparing System Specification
Participating: Logistics Developer, System Integrator, Safety Manager, Ergonomics
Manager, Logistics Manager, Inspector
Purpose
The »System Specification describes the functional and non-functional requirements posed on a
system element (system, »Enabling System or segment). In order to prepare the System Specificati-
on, the requirements will be derived from the specifications of higher system elements or from the
Overall System Specification. The specification provides standards and tools for designing and de-
composing the architecture. If changes are required in the course of the development of the system
element, the System Specification shall be adapted at first. The »Evaluation Specification System
Element defines the evaluation cases required for demonstrating the requirements of interfaces and
specifications.
The System Specification mainly describes the requirements posed on the system element and spe-
cifies the connected interfaces. In addition, requirements and interfaces will be refined and allocated
to lower system elements.
The requirements tracing ensures that all requirements posed on the respective elements will be ta-
ken into account when the next hierarchy level is refined. The System Specification will be prepa-
red together with the architecture design of the system or a sub-system. The »System Architect is
responsible for the preparation of these products, thus ensuring the consistency between specificati-
on and architecture.
Requirements of the System Specification may influence the Logistic Support Specification, just as
logistic requirements may influence the System Specification.
Is generated by
pendency 4.23)

3 Products 5-125
Depends on
Man-Machine Interface (Style Guide), Hardware Specification, Software Specification (see product
dependency 5.7)
External Hardware Module Specification, Hardware Specification, Logistic Support Specification,
External Software Module Specification, Software Specification, External Unit Specification (see
3.9.2.1 System Element Overview

The summary of system elements provides a brief survey of the system element to be realized. It de-
scribes tasks and objectives of the system element and its role within the system or »Enabling Sys-
tem.
3.9.2.2 Interface Specification

An interface represents the boundary between a system element and its environment. It describes
the data exchanged at the system boundary and their logic dependencies. Thus, the interface defines
the services to be provided by the system element. One system element can support several interfa-
ces.
The interface description collects all functional requirements posed on the system element, specifies
all interfaces and presents them in their environment. Together with the non-functional require-
ments, the interface description defines the information required for developing the system element.
The interface description describes the interfaces to other system elements and the interfaces to the
environment, e.g. the man-machine interface or interfaces to »Enabling Systems.
The description of the functional interface is subdivided into the description of the static and dyna-
mic behavior. The static behavior specifies the structure of the interface, through which the functio-
nalities of the system element can be used. The dynamic behavior determines the sequence of use
and the logic dependencies of the transmitted data and signals.
Contents and description of the interfaces may vary, depending on the fact as to whether the inter-
face belongs to hardware or software components of the system element. Hardware components
will be specified by electrical and mechanical data, while software components will be specified by
the description of methods, parameters and information on the behavior.
Static elements of a hardware interface include, e.g., information on electrical performance parame-
ters (power, voltage, current, frequency, polarity), information on the mechanical design (type of
connector, connector assignment, type of cable), or information on the technical design (function
call and parameter list, transmission device, layout of a user interface). The description of the dyna-
mic behavior includes, e.g., the determination of communication protocols and their specification,
the description of synchronization mechanisms and references to the use and operation of the inter-
face.

The static behavior of a software interface determines the structure of the calls through which the
services of the software elements can be used. The description is mainly based on method signatu-
res and definitions of data types. The dynamic behavior determines the possible sequence of the
calls. The description of the dynamic behavior is frequently based on flowcharts (sequence charts,
message sequence charts) or state transition diagrams.
The interface description is based on the summary of interfaces in the architecture and on the inter-
face realizations of the »System Specifications of higher system elements.
The interface description should consider if a re-use of already existing system elements is possible.
In addtion, it should be ensured that the interface is stable, thus allowing a long use of the system
element.

In addition to the functional requirements, a system element must fulfill several non-functional re-
quirements. Frequently demanded non-functional requirements include quality characteristics like
performance, safety and security, availability and maintainability.
The non-functional requirements will be described in detail and specified by the actually required
values. The non-functional requirements relevant for the system element will be derived from the
specifications of higher system elements or the Overall System Specification.
3.9.2.4 Interface Realization

The interface realization refines the functional requirements of the interface description. Require-
ments and interfaces will be concretized, refined and allocated to the system elements of the lower
hierarchy levels.
The interface realization is based on the system architecture or a »Enabling System Architecture of
the higher system. The hierarchical structure will be identified in the architectures with in the scope
of the decomposition process.
3.9.2.5 Refining Non-Functional Requirements

Non-functional requirements are refined in parallel to functional requirements in the interface reali-
zation. The non-functional requirements will be concretized, refined and allocated to the system ele-
ments of the lower hierarchy level.
The refined requirements remain in existence as autonomous requirements or will be integrated into
the interface realization.

The requirements tracing summarizes the allocation of functional and non-functional requirements
posed on the system element to the refined requirements and lower system elements. It is based on
the results of the interface realization and the refinement of non-functional requirements. The bi-di-
rectional trackability (i.e. from higher to lower system elements and vice versa) must be ensured.
The data may be presented, e.g., in form of a matrix.

3 Products 5-127
3.9.3 External Unit Specification

Activity: Preparing External Unit Specification
Participating: System Integrator, Hardware Architect, Logistics Manager, Inspector,
Software Architect, Safety Manager, Ergonomics Manager, Logistics Devel-
oper
Purpose
An »External Unit Specification will be prepared for every potential »External Unit identified wi-
thin the scope of the architectural design. The specification is basis for the selection of an off-the-
shelf product, a system element available for re-use, or a furnished item. In case of a sub-contract,
the External Unit Specification is used as requirements document. In addition is is used as basis for
the test.
The External Unit Specification defines all functional and non-functional requirements posed on the
external unit. If the use of a off-the-shelf product may be possible, the specification will be used for
conducting a market survey and evaluating off-the-shelf products. If a sub-contract is awarded, the
specification will be the basis for the »Contract with the »Sub-Supplier.
The »System Architect is responsible for preparing the External Unit Specification. He will be sup-
ported by the »System Integrator, who ensures that the finally selected external unit fulfills all re-
quirements regarding the integration into the system.
Is generated by
pendency 4.20)
Depends on
External Software Module Specification, Software Specification, System Specification (see product
dependency 5.23)
External Hardware Module Specification, External Software Module Specification, Request for
Proposal, Contract, Contract Addendum (see product dependency 5.53)
3.9.3.1 System Element Overview

The summary of system elements provides a brief survey of the »External Unit. It briefly describes
tasks and objectives and the role within the system or »Enabling System.


An interface represents the boundary between an external unit and its environment. It describes the
data exchanged at the system boundary and their logic dependencies. Thus, the interface defines the
services to be provided by the external unit. One »External Unit can support several interfaces.
The interface description collects all functional requirements posed on the external unit, specifies all
interfaces and presents them in their environment. Together with the non-functional requirements,
the interface description defines the information required for selecting the external unit. The inter-
face description describes the interfaces to other system elements and the interfaces to the environ-
ment, e.g. the man-machine interface or interfaces to »Enabling Systems.
mic behavior. The static behavior specifies the structure of the interface, through which the functio-
nalities of the external unit can be used. The dynamic behavior determines the sequence of use.
Contents and description of the interfaces may vary, depending on the fact as to whether the inter-
face belongs to hardware or software components of the external unit. Hardware components will
be specified by electrical and mechanical data, while software components will be specified by the
description of methods, parameters and information on the behavior.
call and parameter list, transmission device, layout of a user interface). The description of the dyna-
mic behavior includes, e.g., the determination of communication protols and their specification, the
description of synchronization mechanisms and references to the use and operation of the interface.
The static behavior of a software interface determines the structure of the calls, through which the
services of the software elements can be used. The description is mainly based on method signatu-
res and definitions of data types. The dynamic behavior determines the possible sequence of the
calls. The description of the dynamic behavior is frequently based on flowcharts (sequence charts,
message sequence charts) or state transition diagrams.

In addition to the functional requirements, an »External Unit must fulfill several non-functional re-
quirements. The non-functional requirements posed on an external unit are similary to the non-func-
tional requirements posed on a system element.
values. The non-functional requirements relevant for the external unit will be derived from the spe-
cifications of higher system elements or the Overall System Specification.

3 Products 5-129
3.9.3.4 Acceptance Criteria and Receiving Evaluation Criteria

Acceptance criteria specify the criteria to be fulfilled by the »External Unit in order to meet the re-
quirements of the »External Unit Specification. They should be presented in measurable form. From
the contractual point of view, the acceptance criteria describe the conditions for the decision as to
whether the external unit fulfills the requirements or not. The acceptance criteria apply to functional
and non-functional requirements.
Layout and number of acceptance criteria shall be outlined by the acquirer. The acceptance criteria
should be structured in accordance with the three main elements - initial situation, action(s) and ex-
pected result. In any case, the expected results shall be specified for each acceptance criterion.
The on-receipt test determines whether the acceptance criteria are fulfilled. The acceptance criteria
are included as requirements into the »Evaluation Specification Delivery.
3.9.4 Hardware Specification

Responsible: Hardware Architect (when using process module Hardware Develop-
ment)
Activity: Preparing Hardware Specification
Participating: Hardware Developer, Logistics Developer, Ergonomics Manager, Sa-
fety Manager
Purpose
The »Hardware Specification describes all functional and non-functional requirements posed on a
hardware element (hardware unit, »Hardware Components or hardware process module). In order to
prepare the Hardware Specification, the requirements will be derived from the specifications of hig-
her system elements or hardware elements. The specification provides standards and tools for desi-
gning and decomposing the »Hardware Architecture. If changes are required in the course of the de-
velopment of the hardware element, the Hardware Specification shall be adapted at first. The »Eva-
luation Specification System Element defines the evaluation cases required for demonstrating the
requirements of interfaces and specifications.
The Hardware Specification mainly describes the requirements posed on the hardware element and
specifies the connected interfaces. In addition, requirements and interfaces will be refined and allo-
cated to lower hardware elements.
ken into account when the next hierarchy level will be refined. The Hardware Specification will be
prepared together with the architecture design of the »Hardware Units. The »Hardware Architect is
responsible for the preparation of these products, thus ensuring the consistency between specificati-
on and architecture.
Requirements of the Hardware Specification may influence the Logistic Support Specification, just
as logistic requirements may influence the Hardware Specification.

Is generated by
pendency 4.4)
dependency 4.6)
dependency 4.8)
Depends on
Man-Machine Interface (Style Guide), Software Specification, System Specification (see product
dependency 5.7)
External Hardware Module Specification, Logistic Support Specification, External Software Modu-
le Specification, Software Specification, External Unit Specification, System Specification (see pro-
3.9.4.1 Hardware Element Overview

The »Hardware Element Overview provides a brief survey of the hardware element to be realized. It
outlines tasks and objectives of the hardware element, e.g., by means of a block diagram with expla-
natory notes. For a better understanding, the role of the element within the system, a »Enabling Sys-
tem or a »Hardware Unit will be described.

An interface represents the boundary between a hardware element and its environment. It describes
the data exchanged at the system boundary and their logic dependencies. Thus, the interface defines
the services to be provided by the hardware element. One hardware element can support several in-
terfaces.
The interface description collects all functional requirements posed on the hardware element, speci-
fies all interfaces and presents them in their environment. Together with the non-functional require-
ments, the interface description defines the information required for developing the hardware ele-
ment. The interface description describes the interfaces to other hardware elements and the interfa-
ces to the environment, e.g. the man-machine interface or interfaces to »Enabling Systems.
The description of the functional interface is subdivided into the description of the static elements
and the description of the dynamic behavior. The static behavior specifies the structure of the inter-
face, through which the functionalities of the hardware element can be used. The dynamic behavior
determines the sequence of use and the logic dependencies of the transmitted data and signals.
call and parameter list, transmission device, layout of user interface). The description of the dyna-

3 Products 5-131
the description of synchronization mechanisms and references for the use and operation of the inter-
face. The description of functional sequences and data flows in normal, borderline and exceptional
cases is also part of the dynamic behavior. Frequent interfaces of hardware elements include the fol-
lowing:
● External communication interfaces for operations
● Test and diagnosis interfaces (e.g., JTAG, switches, LED's)
● Electrical, mechanical, hydraulic or pneumatic interfaces
Ideally, the description of the communication interfaces will be based on the layers of the OSI refe-
rence model.
face realizations of the »System Specifications of higher system elements. The interface description
should consider if a re-use of already existing system elements is possible. In addtion, it should be
ensured that the interface is stable, thus allowing a long use of the hardware element.

In addition to the functional requirements, a hardware element must fulfill several non-functional
requirements. Non-functional requirements are particularly important for hardware elements. They
include at least the following requirements:
● Computational capability as referred to computer architecture,
● memory requirements (VM, NVM),
● reliability (operation and storage, e.g. avoidance of metastability of programmable logic or
data retention time in case of PROMS),
● safety and security,
● »Logistic Requirements (reliability, availability, maintainability, replaceability, repairability,
usability, operability, disposal),
● efficiency (power consumption, voltages, power supply units),
● EMC (electromagnetic compatibility),
● CE, »VDE,
● environmental conditions,
● legal requirements (safety and security, hazardous substances, etc.)
● technologies to be used,
● specifications for component selection,
● materials, screening, marking, interfaces, heat management,
● confidentiality and security (e.g., no user interface, encryption for ensuring the confidentiali-
ty of fixedly coded secret system parameters).
values. The non-functional requirements relevant for the hardware element will be derived from the
specifications of higher system elements or hardware elements.


ments and interfaces will be concretized, refined and allocated to the hardware elements of the
lower hierarchy levels.
The interface realization is based on the »Hardware Architecture of the higher »Hardware Unit.
»Hardware Components and »Hardware Modules of the different hierarchy levels will be identified
within the scope of the decomposition process.
3.9.4.5 Refinement of Non-Functional Requirements

Non-functional requirements are refined in parallel to functional requirements during the interface
realization. The non-functional requirements will be concretized, refined and allocated to the hard-
ware elements of the lower hierarchy level. For example, a testability requirement may be reflected
in a a JTAG test interface and the definition of a precise requirement posed on the boundary scan
test coverage. The refined requirements remain in existence as autonomous requirements or will be
integrated into the interface realization.

posed on the hardware element to the refined requirements and lower hardware elements. It is based
on the results of the interface realization and the refinement of non-functional requirements. The bi-
directional trackability (i.e. from higher to lower hardware elements and vice versa) must be ensu-
red. The data may be presented, e.g., in form of a matrix.
3.9.5 Software Specification

Responsible: Software Architect (when using process module Software Develop-
ment)
Activity: Preparing Software Specification
Participating: Software Developer, Logistics Developer, Ergonomics Manager, In-
spector, Safety Manager
Purpose
The »Software Specification describes all functional and non-functional requirements posed on a
software element (software unit, »Software Component or software process module). In order to
prepare the Software Specification, the requirements will be derived from the specifications of hig-
her system elements or software elements. The specification provides standards and tools for desi-
gning and decomposing the »Software Architecture. If changes are required in the course of the de-
velopment of the software element, the Software Specification shall be adapted at first. The »Eva-
luation Specification System Element defines the evaluation cases required for demonstrating the
requirements of interfaces and specifications.

3 Products 5-133
The Software Specification mainly describes the requirements posed on the software element and
specifies the connected interfaces. In addition, requirements and interfaces will be refined and allo-
cated to lower software elements.
ken into account when the next hierarchy level will be refined. The Software Specification will be
prepared together with the architecture design of the »Software Unit. The »Software Architect is re-
sponsible for the preparation of these products, thus ensuring the consistency between specification
and architecture.
Requirements of the Software Specification may influence the Logistic Support Specification, just
as logistic requirements may influence the Software Specification.
Is generated by
pendency 4.15)
dependency 4.17)
dependency 4.19)
Depends on
Man-Machine Interface (Style Guide), Hardware Specification, System Specification (see product
dependency 5.7)
External Software Module Specification, External Unit Specification, System Specification (see
3.9.5.1 Software Element Overview

The »Software Element Overview provides a brief survey of the software element to be realized. It
outlines tasks and objectives of the software element. For a better understanding, the role of the ele-
ment within the system, a »Enabling System or a »Software Unit will be described.

An interface represents the boundary between a software element and its environment. It describes
the data exchanged at the element boundary and their logic dependencies. Thus, the interface defi-
nes the services to be provided by the software element. One software element can have several in-
terfaces.

The interface description collects all functional requirements posed on the software element, speci-
fies all interfaces and presents them in their environment. Together with the non-functional require-
ments, the interface description defines the information required for developing the software ele-
ment. The interface description describes the interfaces to other software elements and the interfa-
ces to the environment, e.g. the graphical user interface or interfaces to »Enabling Systems.
mic behavior. The static behavior determines the structure of the calls, through which the services
of the software elements can be used. The description is mainly based on method signatures and de-
finitions of data types. The dynamic behavior determines the sequence of calls and the logic depen-
dencies of the transmitted data. The description of the dynamic behavior is frequently based on
flowcharts (sequence charts, message sequence charts) or state transition diagrams.
should consider if a re-use of already existing software elements is possible. In addtion, it should be
ensured that the interface is stable, thus allowing a long use of the software element.

In addition to the functional requirements, a software element must fulfill several non-functional re-
quirements. Frequently demanded non-functional requirements - especially for software elements -
include, e.g., usability, response time, transaction rate, confidentiality, or data integrity.
values. The non-functional requirements relevant for the software element will be derived from the
specifications of higher system elements or software elements.

ments and interfaces will be concretized, refined and allocated to the software elements of the lower
hierarchy levels.
The interface realization is based on the »Hardware Architecture of the higher »Hardware Unit.
»Hardware Components and »Hardware Modules of the different hierarchy levels will be identified
within the scope of the decomposition process.
The interface realization is based on the »Software Architecture of the higher »Software Unit.
»Software Components and »Software Modules of the different hierarchy levels will be identified
within the scope of the decompositoin process.
3.9.5.5 Refinement of Non-Functional Requirements

Non-functional requirements are refined in parallel to functional requirements during the interface
realization. The non-functional requirements will be concretized, refined and allocated to the soft-
ware elements of the lower hierarchy level.
For example, a maximum rsponse time of 0.5 seconds, which was required in the interface descrip-
tion, may be refined by dividing it onto two software elements, each with a required maximum re-
sponse time of 0.25 seconds.

3 Products 5-135
The refined requirements remain in existence as autonomous requirements or will be integrated into
the interface realization.

posed on the software element to the refined requirements and lower software elements. It is based
on the results of the interface realization and the refinement of non-functional requirements. The bi-
directional trackability (i.e. from higher to lower software elements and vice versa) must be ensu-
red. The data may be presented, e.g., in form of a matrix.
3.9.6 External Hardware Module Specification

ment)
Activity: Preparing External Hardware Module Specification
Participating: Hardware Developer, Logistics Developer, Ergonomics Manager, In-
spector, Safety Manager
Purpose
The »External Hardware Module Specification describes all functional and non-functional require-
ments posed on an »External Hardware Module. In order to prepare the specification, the require-
ments will be derived from the specifications of higher system elements. If changes are required in
the course of the following development, the applicable specification shall be adapted at first. The
»Evaluation Specification System Element defines the evaluation cases required for demonstrating
the requirements of interfaces and specifications.
The External Hardware Module Specification mainly describes the requirements posed on the work
product External Hardware Module and specifies the connected interfaces.
ken into account. The External Hardware Module Specification will be prepared together with the
architecture design of the »Hardware Units. The »Hardware Architect is responsible for the prepara-
tion of these products, thus ensuring the consistency between specification and architecture.
Requirements of the External Hardware Module Specification may influence the Logistic Support
Specification, just as logistic requirements may influence the External Hardware Module Specifica-
tion.
Is generated by
dependency 4.7)
Depends on

Hardware Specification, Logistic Support Specification, External Software Module Specification,

Software Specification, External Unit Specification, System Specification (see product dependency
5.23)
External Software Module Specification, External Unit Specification, Request for Proposal, Con-
tract, Contract Addendum (see product dependency 5.53)
3.9.6.1 External Hardware Module Overview

The »External Hardware Module Overview provides a brief survey of the work product External
Hardware Module, which is to be realized. It outlines tasks and objectives of the work product Ex-
ternal Hardware Module, e.g., by means of a block diagram with explanatory notes. For a better un-
derstanding, the role of the element within a »Hardware Unit will be described.

An interface represents the boundary between a a work product of the type External Hardware Mo-
dule and its environment. It describes the data exchanged at the system boundary and their logic de-
pendencies. Thus, the interface defines the services to be provided by the work product External
Hardware Module. One External Hardware Module can support several interfaces.
The interface description collects all functional requirements posed on the work product External
Hardware Module, specifies all interfaces and presents them in their environment. Together with the
non-functional requirements, the interface description defines the information required for develo-
ping the work product External Hardware Module. The interface description describes the interfaces
to other hardware elements and the interfaces to the environment, e.g. the man-machine interface or
interfaces to »Enabling Systems.
The description of the functional interface is subdivided into the description of the static elements
and the description of the dynamic behavior. The static behavior specifies the structure of the inter-
face, through which the functionalities of the work product External Hardware Module can be used.
The dynamic behavior determines the sequence of use and the logic dependencies of the transmitted
data and signals.
call and parameter list, transmission device, layout of user interface). The description of the dyna-
the description of synchronization mechanisms and references for the use and operation of the inter-
face. The description of functional sequences and data flows in normal, borderline and exceptional
cases is also part of the dynamic behavior. Frequent interfaces of hardware elements include the fol-
lowing:
● External communication interfaces for operations
● Test and diagnosis interfaces (e.g., JTAG, switches, LED's)
● Electrical, mechanical, hydraulic or pneumatic interfaces
Ideally, the description of the communication interfaces will be based on the layers of the OSI refe-
rence model.

3 Products 5-137
The interface description should consider if a re-use of already existing system elements is possible.
In addtion, it should be ensured that the interface is stable, thus allowing a long use of the hardware
element.

In addition to the functional requirements, an external hardware module must fulfill several non-
functional requirements. Non-functional requirements are particularly important for hardware ele-
ments. They include at least the following requirements:
● Computational capability as referred to computer architecture,
● memory requirements (VM, NVM),
● reliability (operation and storage, e.g. avoidance of metastability of programmable logic or
data retention time in case of PROMS),
● safety and security,
● »Logistic Requirements (reliability, availability, maintainability, replaceability, repairability,
usability, operability, disposal),
● efficiency (power consumption, voltages, power supply units),
● EMC (electromagnetic compatibility),
● CE, »VDE,
● environmental conditions,
● legal requirements (safety and security, hazardous substances, etc.)
● technologies to be used,
● specifications for component selection,
● materials, screening, marking, interfaces, heat management,
● confidentiality and security (e.g., no user interface, encryption for ensuring the confidentiali-
ty of fixedly coded secret system parameters).
values. The non-functional requirements relevant for the work product External Hardware Module
will be derived from the specifications of higher system elements or hardware elements.

Acceptance criteria specify which criteria must be fulfilled in order to ensure that the delivered
work product of the type External Hardware Module fulfills the requirements of the External Hard-
ware Module Specification. The acceptance criteria shall be presented in a measurable way. From a
contractual point of view, the acceptance criteria describe the conditions for the decision as to whe-
ther the work product of the type External Hardware Module fulfills the applicable requirements or
not. Acceptance criteria refer to functional and non-functional requirements.

The acquirer shall outline structure and number of acceptance criteria. The acceptance criteria
should be structured in accordance with their significant components: initial situation, action(s) and
expected result. In any case, the expected acceptance results must be specified for each acceptance
criterion.
The receiving evaluation determines if the acceptance criteria are fulfilled. Thus the acceptance cri-
teria are included as requirements into the Evaluation Specification Delivery.
3.9.7 External Software Module Specification

ment)
Participating: Software Developer, Logistics Developer, Ergonomics Manager, Safe-
ty Manager, Inspector
Purpose
The »External Software Module Specification describes all functional and non-functional require-
ments posed on an »External Software Module. In order to prepare the Software Specification, the
requirements will be derived from the specifications of higher system elements. If changes are re-
quired in the course of the following development, the applicable specification shall be adapted at
first. The »Evaluation Specification System Element defines the evaluation cases required for de-
monstrating the requirements of interfaces and specifications.
The External Software Module Specification mainly describes the requirements posed on the exter-
nal software and specifies the connected interfaces.
ken into account. The External Software Module Specification will be prepared together with the
architecture design of the »Software Units. The »Software Architect is responsible for the preparati-
on of these products, thus ensuring the consistency between specification and architecture.
Requirements of the External Software Module Specification may influence the Logistic Support
Specification, just as logistic requirements may influence the External Software Module Specificati-
on.
Is generated by
dependency 4.18)
Depends on
Software Specification, External Unit Specification, System Specification (see product dependency
5.23)
External Hardware Module Specification, External Unit Specification, Request for Proposal, Con-
tract, Contract Addendum (see product dependency 5.53)

3 Products 5-139
3.9.7.1 External Software Module Overview

The »External Software Module Overview provides a brief survey of the work product External
Software Module, which is to be realized. It outlines tasks and objectives of the work product Exter-
nal Software Module. For a better understanding, the role of the element within a »Software Unit
will be described.

An interface represents the boundary between an external software module and its environment. It
describes the data exchanged at the element boundary and their logic dependencies. Thus, the inter-
face defines the services to be provided by the external software module. One software module can
have several interfaces.
The interface description collects all functional requirements posed on the work product External
Software Module, specifies all interfaces and presents them in their environment. Together with the
non-functional requirements, the interface description defines the information required for develo-
ping the work product External Software Module. The interface description describes the interfaces
to other software elements and the interfaces to the environment, e.g. the graphical user interface or
interfaces to »Enabling Systems.
mic behavior. The static behavior determines the structure of the calls, through which the services
of the work product External Software Module can be used. The description is mainly based on me-
thod signatures and definitions of data types. The dynamic behavior determines the sequence of
calls and the logic dependencies of the transmitted data. The description of the dynamic behavior is
frequently based on flowcharts (sequence charts, message sequence charts) or state transition dia-
grams.
should consider if a re-use of already existing software elements is possible. In addtion, it should be
ensured that the interface is stable, thus allowing a long use of the work product External Software
Module.

In addition to the functional requirements, an external software module must fulfill several non-
functional requirements. Frequently demanded non-functional requirements - especially for softwa-
re elements - include, e.g., usability, response time, transaction rate, confidentiality, or data integri-
ty.
values. The non-functional requirements relevant for the work product of the type External Softwa-
re Module will be derived from the specifications of higher system elements or software elements.

Acceptance criteria specify which criteria must be fulfilled in order to ensure that the delivered
work product of the type External Software Module fulfills the requirements of the External Soft-
ware Module Specification. The acceptance criteria shall be presented in a measurable way. From a

contractual point of view, the acceptance criteria describe the conditions for the decision as to whe-
ther the work product of the type External Software Module fulfills the applicable requirements or
not. Acceptance criteria refer to functional and non-functional requirements.
The acquirer shall outline structure and number of acceptance criteria. The acceptance criteria
should be structured in accordance with their significant components: initial situation, action(s) and
expected result. In any case, the expected acceptance results must be specified for each acceptance
criterion.
The receiving evaluation determines if the acceptance criteria are fulfilled. Thus the acceptance cri-
teria are included as requirements into the Evaluation Specification Delivery.
3.10 System Design

The »Discipline System Design includes »Work Products and »Activityies supporting the architec-
tural design and defining a suitable development process.
In the V-Modell, the architectural design is developed at two hierarchy levels - the level of the sys-
tem or »Enabling System and the unit level. The preliminary design and the design decisions are
documented in specific architectural documents. The development process and the integration and
evaluation process are specified in the appropriate implementation, integration and evaluation con-
cepts.
Architectural documents and implementation, integration and evaluation concepts are closely
connected. It must be possible to develop all system, hardware and »Software Elements identified in
the architecture by using the respective implementation, integration and evaluation concept. In addi-
tion, system architecture and integration architecture must be consistent in order to ensure the cor-
rect implementation of architectural decisions.
The discipline System Design includes an additional product especially for migration projects - the
so-called »Migration Concept. This concept specifies the mapping of the legacy system and the new
system and the execution of the migration.
3.10.1 System Architecture

Activity: Preparing System Architecture
Participating: Software Architect, Hardware Architect, Logistics Manager
Purpose
The System Architect is tasked with designing a suitable system architecture based on the functional
and non-functional system requirements. The architectural products will be used as guideline and
for documenting the design decisions.
In the first step, significant architectural principles will be specified, and possible design alternati-
ves will be examined. In accordance with the selected design alternative, the system will be decom-
posed into »Segments, hardware, software, and »External Unit. Relations and interfaces between

3 Products 5-141
the elements and to the environment will be identified and summarized. In addition, joint system
charactistics like safety and security concept, transaction concept and logging concept, will be spe-
cified.
The suitability of the selected architecture for the system to be developed will be assessed. Open
questions may be answered, e.g., within the scope of a prototype development.
The main responsibility for the architectural design is vested in the »System Architect, who will be
supported by various specialists, e.g. for hardware development, software development, logistics,
safety and security or ergonomics.
The architecture is the central document for the preparation of additional products. It specifies all
segements, hardware, software and external units for the system. Based on the overall architecture,
an architecture will be developed for every hardware or »Software Unit, and specifications will be
prepared for the respective elements.
Is generated by
Generates
Evaluation Report Usability, Evaluation Specification Usability, Evaluation Report Usability, Eva-
luation Specification Usability, Hardware Architecture, Hardware Unit, Hardware Specification,
Hardware Implementation, Integration and Evaluation Concept, Evaluation Report System Element,
Evaluation Procedure System Element, Evaluation Specification System Element, Data Protection
Concept, Information Security Concept, Safety and Security Analysis (see product dependency 4.4)
Evaluation Report Usability, Evaluation Specification Usability, Software Implementation, Integra-
tion and Evaluation Concept, Software Architecture, Software Unit, Software Specification, Evalua-
tion Report System Element, Evaluation Procedure System Element, Evaluation Specification Sys-
tem Element, Data Protection Concept, Information Security Concept, Safety and Security Analysis
Evaluation Report Usability, Evaluation Specification Usability, Market Survey for Off-the-Shelf
Products, External Unit, External Unit Specification, Make-or-Buy Decision, Evaluation Report
System Element, Evaluation Procedure System Element, Evaluation Specification System Element,
dependency 4.20)
Evaluation Report Usability, Evaluation Specification Usability, Evaluation Report System Ele-
ment, Evaluation Procedure System Element, Evaluation Specification System Element, Segment,
System Specification, Data Protection Concept, Information Security Concept, Safety and Security
Analysis (see product dependency 4.23)
Depends on
Logistic Calculations and Analyses, Enabling System Architecture (see product dependency 5.22)
Overall System Specification, Legacy System Analysis (see product dependency 5.59)


»FWD:System Architecture
3.10.1.1 Architectural Principles and Design Alternatives

Normally, there are several architectural solutions for every system or »Enabling System, each of
which has advantages and disadvantages. The description of the underlying architectural principles
and possible design alternatives document the decision process for the finally selected architecture
and provide the basis for its assessment.
Architectural principles are standards which are decisive for the the architectural design, e.g., due to
the system type or other system characteristics. At system level, these principles may include, e.g.,
the application domain (embedded system, information system) or the decision for a distributed sys-
tem.
Design alternatives describe the different possibilities for the »System Decomposition into »Seg-
ments, hardware, software and »External Units. For every alternative, the advantages and disadvan-
tages will be identified, and the solution will be assessed based on a criteria list to be defined. At
system level, e.g., model architectures may be used for searching possible design alternatives.
Conditions for architectural principles and restrictions for possible design alternatives are particu-
larly due to the requirements of the »System Specification or the Overall System Specification.
3.10.1.2 System Decomposition

The decomposition specifies the static structure of the system or »Enabling System. The static
structure describes the dissection into »Segments and units. The design result will be documented as
graph depicting the segment types and unit types to be realized and their interrelations.
Every unit identified during the decomposition will be defined as hardware, software or »External
Unit.
The decomposition is based on the requirements posed in the »System Specification. The frame-
work conditions for the decomposition will be specified by the architectural principles defined in
the system architecture or »Enabling System Architecture and the design decisions.
3.10.1.3 Overall System Characteristics

The characteristics of a system or »Enabling System may be subdivided into specific system ele-
ment characteristics and common system characteristics. Solutions for specific system element cha-
racteristics will be described in the specification for the respective system element. Solutions for
common system characteristics will be described in this subject.
Typical common characteristics of software systems include, e.g., transaction requirements, persis-
tence of data or logging and tracing requirements. For hardware systems, joint characteristics may
include, e.g., uniform connector assignments or common safety and security requirements. The
overall system characteristics to be taken into account will be determined in this subject.

3 Products 5-143

The summary of interfaces of the system architecture or »Enabling System Architecture provides a
survey of the system interfaces and the interfaces of the system elements. For the summary of inter-
faces, only the communication at one level will be described :
● At the level of the system or »Enabling System, the interfaces between the systems and the
interfaces to the environment will be described.
● At »Segment level, the interfaces between the segments within the system or enabling sys-
tem will be described.
● At unit level, the interfaces between the units within a segment will be described.
Interfaces to the environment may exist between a system or enabling system and the user (user in-
terface), logistic systems (documentation) or various enabling systems (measuring and test equip-
ment, spare parts). The interfaces are described in detail in the specification of the respective system
element.
3.10.1.5 Overall Data Catalog

Systems and system elements communicate by exchanging data. At hardware level, data are ex-
changed as signals, at software level, they are exchanged as serializable data transport objects. The
Joint »Data Catalog of a system or »Enabling System describes all data structures and signals ex-
changed at the interfaces and any possibly assigned values.
Data and signals of the system are used as preset values for the data catalog for »Software Units and
for the »Data and Signal Catalog of the »Hardware Units.
3.10.1.6 Design Evaluation

If an architectural design has been selected and developed down to unit level, it must be ensured
that the selected design implements the requirements in a suitable manner. This will be tested and
documented by a design verification.
The Subject Design Evaluation specifies the methods to be used for design verification and the cri-
tieria for testing whether the design fulfills the requirements. The development of prototypes is a
method which is frequently used for verifying the design. If this method is employed in a prelimina-
ry project, the user can also use the prototype in order to check the requirements for completeness.
The design verification will be based on the functional and non-functional requirements of the
»System Specification and the identfied architectural principles. Execution and results of the verifi-
cation will be documented. They may lead to a re-evaluation of the design decisions and a review of
the architecture.
3.10.1.7 System Elements to be Specified

The preparation of a specification for a system element is expensive and not always required. In or-
der to adapt the specification effort to the requirements of individual projects, the »System Architect
can - based on the specifications in the Project Manual and the requirements - determine which sys-
tem elements need a »System Specification.

Critiera for the necessity of a specification may include the following: safety and security of the
system elment, complexity of the requirements posed on the system element, test requirements spe-
cified in the »QA Manual and the respective implementation, integration and evaluation concept. In
any case, a system specification shall be prepared for system elements to be tested since this specifi-
cation will be the basis for the »Evaluation Specification System Element .
If system elements are classified as not to be specified, a rationale shall be included.
3.10.2 Enabling System Architecture

Activity: Preparing Enabling System Architecture
Participating: Software Architect, Hardware Architect, Logistics Manager
Purpose
The System Architect is tasked with designing a suitable »Enabling System Architecture based on
the functional and non-functional »Enabling System requirements. The architectural products will
be used as guideline and for documenting the design decisions.
In the first step, significant architectural principles will be specified, and possible design alternati-
ves will be examined. In accordance with the selected design alternative, the system will be decom-
posed into »Segments, hardware, software, and »External Units. Relations and interfaces between
the elements and to the environment will be identified and summarized. In addition, joint system
charactistics like safety and security concept, transaction concept and logging concept, will be spe-
cified. The suitability of the selected architecture for the system to be developed will be assessed.
Open questions may be answered, e.g., within the scope of a prototype development.
The main responsibility for the architectural design is vested in the »System Architect, who will be
supported by various specialists, e.g. for hardware development, software development, logistics,
safety and security or ergonomics.
The architecture is the central document for the preparation of additional products. It specifies all
segements, hardware, software and external units for the enabling system. Based on the overall ar-
chitecture, an architecture will be developed for every hardware or »Software Unit, and specificati-
ons will be prepared for the respective elements.
Is generated by
Generates
Evaluation Report Usability, Evaluation Specification Usability, Hardware Architecture, Hardware
Unit, Hardware Specification, Hardware Implementation, Integration and Evaluation Concept, Eva-
luation Report System Element, Evaluation Procedure System Element, Evaluation Specification
System Element, Data Protection Concept, Information Security Concept, Safety and Security Ana-
lysis (see product dependency 4.5)

3 Products 5-145

dependency 4.21)
Depends on
Logistic Calculations and Analyses, System Architecture (see product dependency 5.22)

See Architectural Principles and Design Alternatives in product System Architecture.
3.10.2.2 Enabling System Decomposition

See System Decomposition in product System Architecture.
3.10.2.3 Overall System Characteristics

See Overall System Characteristics in product System Architecture.

See Interface Overview in product System Architecture.
3.10.2.5 Overall Data Catalog

See Overall Data Catalog in product System Architecture.

See Design Evaluation in product System Architecture.
3.10.2.7 System Elements to be Specified

See System Elements to be Specified in product System Architecture.

3.10.3 Man-Machine Interface (Style Guide)

Responsible: Ergonomics Manager (when using process module Usability and Ergo-
nomics)
Activity: Preparing Style Guide for Man-Machine Interface
Purpose
Mandatory specifications are necessary in order to ensure a uniform design of a (graphical) user in-
terface or to hamonize the interface with a prespecified layout. The Product Man-Machine Interface,
frequently also referred to as styleguide if used within the scope of software development, defines
regulations and criteria for the design of the man-machine interface.
The regulations include, e.g., design rules for interface elements - e.g. haptic and optical characteri-
stics - design rules for the graphical user interface and design rules for the hardware interface.
The »Ergonomics Manager is responsible for the styleguide. He is tasked with deriving the rules
from the requirements and the »User Tasks Analysis or with developing them in cooperation with
the acquirer. All designs developed within the scope of the system, hardware and »Software Specifi-
cation shall implement the specifications of the styleguide.
Is generated by
Depends on
Hardware Specification, Software Specification, System Specification (see product dependency 5.7)
3.10.3.1 Design Principles and Alternatives

Design principles specify general guidelines for designing the man-machine interface. They will be
derived from the »User Tasks Analysis and identfied based on generally acknowledged standards.
Mandatory principles for the design of ergonomic user interfaces are defined by standard EN ISO
9241 as follows:
● Task adequacy
● Self-descriptiveness
● Controllabilty
● Expectation conformity
● Fault tolerance
● Individualisability
● Learning suitability.

3 Products 5-147
3.10.3.2 Identification and Structure of Operation Elements

The identification of all operation elements integrated into the structure of the interface is the first
step for determining the design regulations for a user interface.
The list of operation elements will be derived from the requirements and complemented and com-
pleted when the user interface is designed. The structure of compound operation elements will be
described.
3.10.3.3 Design Rules for Operation Elements

Design regulations define the "Look and Feel" of operation elements. They are allocated to each
identified modular or compound operation element. For a graphical user interface, e.g., the look of a
text field, the design of a table or the color of the background may be determined. These require-
ments shall be implemented in the specifications of system elements.
3.10.4 Hardware Architecture

ment)
Activity: Preparing Hardware Architecture
Participating: Hardware Developer, System Architect, System Integrator
Purpose
Based on the functional and non-functional requirements posed on a »Hardware Unit, the »Hardwa-
re Architect is tasked with designing a suitable »Hardware Architecture. The Product Hardware Ar-
chitecture will be used as design guide and for documenting the design decisions.
As in the system architecture development, significant architectural principles will be specified, and
possible design alternatives will be examined. In accordance with the selected design alternative,
the hardware unit will be decomposed into »Hardware Component, »Hardware Modules and Exter-
nal Hardware Modules. Relations and interfaces between the elements and to the environment will
be identified and summarized. A »Data and Signal Catalog of the signals exchanged at the interfaces
will be prepared. The suitability of the selected architecture for the system to be developed will be
assessed. Open questions may be answered, e.g., within the scope of a prototype development.
The result of the architectural design will be documented in a set of drawings for the hardware unit,
which includes all documents required for production, e.g., outline of structure, drawings, assembly
instructions, list of parts, circuit and connection diagrams, layout and delivery instructions.
The hardware architecture design may lead to changes in the system architecture. Depending on the
specifications in the Project Manual, the »System Architect will examine the change and integrate it
immediately, if required. In individual cases, an explicit change request may be necessary.
The main responsibility for the design of the hardware architecture will be vested in the Hardware
Architect who will be supported by the »Hardware Developer and various specialists for individual
subjects, e.g., logistics, safety and security, and ergonomics.

The hardware architecture is the central document for the preparation of additional products. It spe-
cifies all hardware components and hardware modules of the hardware unit. The individual ele-
ments and their specifications will be devleoped in accordance with these architectural require-
ments.
Is generated by
pendency 4.4)
Generates
Evaluation Report Usability, Evaluation Specification Usability, Hardware Component, Hardware
Specification, Evaluation Report System Element, Evaluation Procedure System Element, Evaluati-
on Specification System Element, Data Protection Concept, Information Security Concept, Safety
and Security Analysis (see product dependency 4.6)
Products, External Hardware Module, External Hardware Module Specification, Make-or-Buy De-
cision, Evaluation Report System Element, Evaluation Procedure System Element, Evaluation Spe-
cification System Element, Data Protection Concept, Information Security Concept, Safety and Se-
curity Analysis (see product dependency 4.7)
Evaluation Report Usability, Evaluation Specification Usability, Hardware Module, Hardware Spe-
cification, Evaluation Report System Element, Evaluation Procedure System Element, Evaluation
Specification System Element, Data Protection Concept, Information Security Concept, Safety and
Security Analysis (see product dependency 4.8)

The description of the Subject Architectural Principles and Design Alternatives is similar to the
Subject Architectural Principles and Design Alternatives of the system architecture. The architectu-
ral principles at hardware level include, e.g., specifications for standards and guidelines which must
be observed. Design alternatives at hardware level describe various possibilities for the »Hardware
Unit Decomposition into »Hardware Components and »Hardware Modules.
3.10.4.2 Hardware Unit Decomposition

The decomposition specifies the static structure of the »Hardware Unit. The static structure descri-
bes the dissection of the hardware unit into »Hardware Components and »Hardware Modules. The
design result will be documented as graph depicting the hardware elements to be realized and their
interrelations. All hardware components and hardware process modules will be listed with their
identificators and a long name.
The decomposition is based on the requirements posed in the »Hardware Specification for the hard-
ware unit or a higher system element. The framework conditions will be specified by the architectu-
ral principles defined in the »Hardware Architecture and the design decisions.

3 Products 5-149
The results of the final decomposition step are the production data, e.g., drawings, circuit diagrams,
lists of parts and connection diagrams. This includes a detailed description of programmable logic
with function, call, parameter list, transmission device and resources employed.

The summary of interfaces of the »Hardware Architecture provides a survey of the interfaces of the
»Hardware Unit and the interfaces of the corresponding elements. For the summary of interfaces,
only the communication at one level will be described :
● At the level of the hardware unit, the interfaces to other units and to the environment will be
described.
● At the level ot the »Hardware Components, the interfaces between the component within the
unit will be described.
● At the level of the »Hardware Modules, the interfaces between the process modules within
the component will be described.
Interfaces to the environment may exist between a hardware element and the user, logistic systems
or various »Enabling Systems. The interfaces are described in detail in the specification of the re-
spective hardware element.
3.10.4.4 Data and Signal Catalog

The Data and Signal Catalog of the »Hardware Architecture describes all signals and variables ex-
changed at the interfaces of and within the »Hardware Unit, including designator, data type, data
format, function and allocation of values.

If an architectural design for the »Hardware Unit has been selected and developed down to unit le-
vel, it must be ensured that the selected design implements the requirements in a suitable manner.
The design security of the »Hardware Architecture specifies the analysis and assessment methods to
be employed for the selected design. Frequently used procedures include, but are not limited to, the
following:
● Reliability analyses for operation and storage based on prespecified standards
● Tolerance analyses, taking into account production tolerances
● Vibration and thermal analyses
● Board level simulation for ensuring the integrity of the signal
● Simulation and assessment of the emitted and received electromagnetic waves
● Analysis of the fulfillment of the confidentiality requirements
● Rapid prototyping of critical portions of programmable logic in order to ensure the feasibili-
ty for a prespecified number of gates and tractates.
Execution and results of the verification will be documented. They may lead to a re-evaluation of
the design decisions and a review of the architecture.

3.10.4.6 Hardware Elements to be Specified

The preparation of a specification for a hardware element is expensive and not always required. In
order to adapt the specification effort to the requirements of individual projects, the »Hardware Ar-
chitect can - based on the specifications in the Project Manual and the requirements - determine
which hardware elements need a »Hardware Specification.
Critiera for the necessity of a specification may include the following: criticality of the hardware el-
ment, complexity of the requirements posed on the hardware element, test requirements specified in
the »Hardware Implementation, Integration and Evaluation Concept. In any case, a hardware speci-
fication shall be prepared for hardware elements to be tested, since this specification will be the ba-
sis for the »Evaluation Specification System Element. If hardware elements are classified as not to
be specified, a rationale shall be included.
3.10.5 Software Architecture

ment)
Activity: Preparing Software Architecture
Participating: Software Developer, System Architect, System Integrator
Purpose
For every software unit identified in the system architecture, a »Software Architecture will be deve-
loped. Based on the functional and non-functional requirements posed on a »Software Unit, the
»Software Architect is tasked with designing a suitable »Software Architecture. The Product Soft-
ware Architecture will be used as design guide and for documenting the design decisions.
As in the system architecture development, significant architectural principles will be specified, and
possible design alternatives will be examined. In accordance with the selected design alternative,
the software unit will be decomposed into »Software Component, »Software Modules and products
of the type External Software Module. Relations and interfaces between the elements and to the en-
vironment will be identified and summarized. A »Data Catalog of the data structures exchanged at
the interfaces will be prepared.
The suitability of the selected architecture for the system to be developed will be assessed. Open
questions may be answered, e.g., within the scope of a prototype development.
The software architecture design may lead to changes in the system architecture. Depending on the
specifications in the Project Manual, the »System Architect will examine the change and integrate it
immediately, if required. In individual cases, an explicit change request may be necessary.
The main responsibility for the design of the software architecture will be vested in the Software
Architect who will be supported by the »Software Developer and various specialists for individual
subjects, e.g., logistics, safety and security, and ergonomics.
The software architecture is the central document for the preparation of additional products. It spe-
cifies all software components and software modules of the software unit. The individual elements
and their specifications will be developed in accordance with these architectural requirements.

3 Products 5-151
Is generated by
pendency 4.15)
Generates
Evaluation Report Usability, Evaluation Specification Usability, Software Component, Software
Products, External Software Module, External Software Module Specification, Make-or-Buy Deci-
sion, Evaluation Report System Element, Evaluation Procedure System Element, Evaluation Speci-
fication System Element, Data Protection Concept, Information Security Concept, Safety and Secu-
rity Analysis (see product dependency 4.18)
Evaluation Report Usability, Evaluation Specification Usability, Software Module, Software Speci-
fication, Evaluation Report System Element, Evaluation Procedure System Element, Evaluation

»FWD:Software Architecture ECU-SW

The description of the Subject Architectural Principles and Design Alternatives is similar to the
Subject Architectural Principles and Design Alternatives of the system architecture.
The architectural principles at software level include, e.g., the decision for a programming paradigm
(object-oriented, procedureal), the decision fo a technology (CORBA, EJB) or specifications for a
special system type (distributed internet application, desktop application). Design alternatives for
software development are supported, e.g., by design patterns, sample designs and design heuristics.
3.10.5.2 Software Unit Decomposition

The decomposition specifies the static structure of the »Software Unit. The static structure describes
the dissection of the software unit into »Software Components and »Software Modules. The design
result will be documented as graph depicting the software elements to be realized and their interre-
lations. It may also be presented by component and/or class diagrams.
The decomposition is based on the requirements posed in the »Software Specification for the soft-
ware unit or a higher system element. The framework conditions will be specified by the architectu-
ral principles defined in the »Software Architecture and the design decisions.


The summary of interfaces of the »Software Architecture provides a survey of the interfaces of the
»Software Unit and the interfaces of the corresponding elements. For the summary of interfaces,
only the communication at one level will be described :
● At the level of the software unit, the interfaces to other units and to the environment will be
described.
● At the level ot the»Software Components, the interfaces between the component within the
unit will be described.
● At the level of the»Software Modules, the interfaces between the process modules within the
component will be described.
Interfaces to the environment may exist between a software element and the user, logistic systems
or various »Enabling Systems. The interfaces are described in detail in the specification of the re-
spective software element.
3.10.5.4 Data Catalog

The »Data Catalog of the »Software Architecture decribes the data structures exchanged at the inter-
faces of the »Software Unit, including attributes, data types and range of values. Every program-
ming language and platform has its own solutions which must be taken into account during the defi-
nition phase.

If an architectural design for the »Software Unit has been selected and developed down to unit le-
vel, it must be ensured that the selected design implements the requirements in a suitable manner.
Various methods are available for securing the design of the »Software Architecture. Two frequently
used methods are the architecture evaluation by scenario-based methods and the prototype develop-
ment of system parts. Execution and results of the design securing process will be documented.
They may lead to a re-evaluation of the design decisions and a review of the architecture.
3.10.5.6 Software Elements to be Specified

The preparation of a specification for a software element is expensive and not always required. In
order to adapt the specification effort to the requirements of individual projects, the »Software Ar-
chitect can - based on the specifications in the Project Manual and the requirements - determine
which software elements need a »Software Specification.
Critiera for the necessity of a specification may include the following: criticality of the software ele-
ment, complexity of the requirements posed on the software element, test requirements specified in
the software implementation, integration and evaluation concept. In any case, a software specificati-
on shall be prepared for software elements to be tested, since this specification will be the basis for
the »Evaluation Specification System Element. If software elements are classified as not to be spe-
cified, a rationale shall be included.
3.10.6 Database Design


3 Products 5-153

ment)
Activity: Preparing Database Design
Participating: Software Developer
Purpose
Data-centered software systems, e.g. information systems, need a persistent memory for data main-
tenance. Normally, one or more databases are used for this purpose. In this case, the system design
must include an additional »Database Design. The database design supports the »Software Architect
when he derives the technical »Data Model from the requirements and designs a physical database
scheme.
The database design is based on the system entities to be saved in a persistent manner. The entities
(relational data model) or classes (object-oriented data model) in their entirety represent the functio-
nal data model of the system. For the database design, all entities or classes of the system will be
identified and summarized in the logical data model. Technical and physical data models are refine-
ments and concretizations of the functional data model on the way to the database scheme. The
Software Architect is responsible for the database design.
Is generated by
3.10.6.1 Logical Data Model

The logical »Data Model describes the entities or classes of the business model in their context. The
relevant characteristics (attributes) and the interrelations of the entities or classes will be identified
and described.
The logical data model can be presented as entity relationship diagram, class diagram or table. It is
the basis for the design of the physical data model.
3.10.6.2 Physical Data Model

The physical »Data Model describes the concrete »Database Design. It is derived from the logical
data model and will be used as specification for the database scheme in the database.
The physical data model allocates concrete data types to the attributes of the entities or classes. Pri-
mary and external keys will be specified, and relations will be defined. The model defines consis-
tency conditions for changing the data. In case of relational databases, entities and attributes will be
allocated to concrete tables and fields within the scheme.
Normaly, physical data models are designed by means of entity relationship diagrams or class dia-
grams. If suitable tools are used, the database scheme can be generated directly from the diagram.
3.10.7 System Implementation, Integration and Evaluation Concept



Activity: Preparing System Implementation, Integration and Evaluation Concept
Participating: System Integrator, Hardware Developer, Software Architect, Safety
Manager
Purpose
The »System Implementation, Integration and Evaluation Concept defines the realization and com-
pletion process for a system. It provides particularly the »System Integrator and the »Inspector with
guidelines for their tasks.
The concept describes procedures, tools and environment for installation, integration and tests of
system elements and systems in detail. At system level, the integration is based on the units develo-
ped within the scope of hardware and software development and the implementation of external
units identified in the architecture. Depending on the complexity of the realization process or the
heterogenity of the system to be developed, the concept may cover the entire system development
or deal exclusively with the higher hierarchy levels down to unit level. In the latter case, an indivi-
dual concept will be prepared for the development of Hardware and »Software Units.
The contents of the system implementation, integration and evaluation concept shall be consistent
with the corresponding architecture. The design decisions made shall be implemented in a suitable
manner. With respect to organization and framework conditions, the concept is determined by speci-
fications in the Project Manual. For the scheduling of the integration and test process, the concept
shall be coordinated with the »Integration and Evaluation Plan System Elements in the »Project
Plan.
The »System Architect is responsible for the preparation of the concept. He will be supported by the
System Integrator, who is finally reponsible for the completed system.
Integration and testing require a balanced strategy with regard to acquirer specifications, available
integration and demonstration assets and the minimization of redundancies regarding the necessary
compliance demonstration activities.
Normally, the environment to be used will be described in this concept. However, if an environment
is required for the long-term support of the system life cycle, the environment shall be realized as
independent »Enabling System.
Depending on the evaluation specifications, the test products for the individual system elements will
be prepared.
Is generated by

3 Products 5-155
Generates
Evaluation Report Usability, Evaluation Specification Usability, Evaluation Report Usability, Eva-
luation Specification Usability, Hardware Architecture, Hardware Unit, Hardware Specification,
Hardware Implementation, Integration and Evaluation Concept, Evaluation Report System Element,
Evaluation Procedure System Element, Evaluation Specification System Element, Data Protection
Concept, Information Security Concept, Safety and Security Analysis (see product dependency 4.4)
dependency 4.20)
Depends on
dule, External Unit, Segment, System (see product dependency 5.38)
tion and Evaluation Concept, Project Plan (see product dependency 5.39)
tion and Evaluation Concept, QA Manual, Enabling System Implementation, Integration, and Eva-
luation Concept (see product dependency 5.43)
3.10.7.1 Realization Procedures and Environment

A system element should be realized within the scope of a suitable environment and a defined reali-
zation process. At system level, however, this aspect is of subordinate importance. Realization pro-
cedures are mainly executed at hardware and software level.

3.10.7.2 Integration Procedures and Integration Plan

Integration procedures specify the integration environment and the integration tools. The integration
plan defines the integration architecture and the sequence of the integration steps. It specifies the
system element instances to be realized for the system element types defined in the architectures
and determines the integration sequence.
For every Hardware or »Software Unit specified in the integration architecture, it will be determi-
ned if an independent implementation, integration and evaluation concept must be prepared or if the
concept of the higher system specifies the development process down to process module level.
3.10.7.3 Installation Procedures and Target Environment

The development process also includes the identification of the required target environment and the
description of the installation process. All target environments which may be used by the system in
the different development phases shall be identified, and the installation procedures shall be speci-
fied. The Project Manual specifies conditions for the target environments to be supported. Frequent-
ly specified target environments include, but are not limited to, the development environment, a se-
parate evaluation environment and an integration environment for simulating the final target plat-
form.
The installation procedure and the required tools will be described for every identified target envi-
ronment. The description of the procedure for installing the system on the target platform is based
on the contents of this subject. It will be prepared within the scope of the logisitc »In-Service Docu-
mentation and delivered to the acquirer.
3.10.7.4 Evaluation Procedures and Strategy

A general evaluation strategy and a concrete test process shall be specified for all system elements.
In this connection, economic efficiency, availability of evaluation environments, testability or test
duration are important factors.
The test process specifies algorithms, test tools and test methods to be used for executing the tests.
The concrete test procesure will be developed in the respective system element evaluation specifica-
tions.
The evaluation strategy will be derived from the specifications in the Project Manual and the »QA
Manual. It specifies general rules and criteria for the execution of system element tests. Particularly
the demonstrations and framework conditions required by the acquirer shall be taken into account
for the evaluation strategy.
The evaluation strategy should be examined especially with regard to redundancy and risk reduction
and with regard to the availability of existing tools.
3.10.7.5 System Elements to be Evaluated

The test of a system element is expensive and not always required. In order to adapt the effort to the
requirements of individual projects, the »System Architect shall - based on the specifications in the
Project Manual and the specified evaluation strategy - determine which system elements are to be
tested.

3 Products 5-157
Critiera for the necessity of a test may include the following: safety and security issues and comple-
xity of the system element and its central role within the system. If system elements are classified as
not to be tested, a rationale shall be included.
3.10.7.6 Safety and Security Relevant System Elements and Safety and Security
Measures
See Safety and Security Relevant System Elements and Safety and Security Measures in product
Enabling System Implementation, Integration, and Evaluation Concept.
3.10.8 Enabling System Implementation, Integration, and Evaluation Concept

Activity: Preparing Enabling System Implementation, Integration and Evaluati-
on Concept
Participating: System Integrator, Hardware Developer, Logistics Manager, Software
Architect, Safety Manager
Purpose
The »Enabling System Implementation, Integration, and Evaluation Concept defines the realization
and completion process for an enabling system. It provides particularly the »System Integrator and
the »Inspector with guidelines for their tasks.
The concept describes procedures, tools and environments for installation, integration and tests of
system elements and enabling systems in detail. At system level, the integration is based on the
units developed within the scope of hardware and software development and the implementation of
external units identified in the architecture. Depending on the complexity of the realization process
or the heterogenity of the enabling system to be developed, the concept may cover the entire system
development or deal exclusively with the higher hierarchy levels down to unit level. In the latter
case, an individual concept will be prepared for the development of Hardware and »Software Units.
The contents of the enabling system implementation, integration and evaluation concept shall be
consistent with the corresponding architecture. The design decisions made shall be implemented in
a suitable manner. With respect to organization and framework conditions, the concept is determi-
ned by specifications in the Project Manual. For the scheduling of the integration and evaluation
process, the concept shall be coordinated with the »Integration and Evaluation Plan System Ele-
ments in the »Project Plan.
The »System Architect is responsible for the preparation of the concept. He will be supported by the
system integrator, who is finally reponsible for the completed system.
Integration and evaluation require a balanced strategy with regard to acquirer specifications, availa-
ble integration and demonstration assets and the minimization of redundancies regarding the ne-
cessary compliance demonstration activities.
Normally, the environment to be used will be described in this concept. However, if an environment
is required for the long-term support of the system life cycle, the environment shall be realized as
independent »Enabling System.

Depending on the evaluation specifications, the test products for the individual system elements will
be prepared.
Is generated by
Generates
Evaluation Report Usability, Evaluation Specification Usability, Hardware Architecture, Hardware
Unit, Hardware Specification, Hardware Implementation, Integration and Evaluation Concept, Eva-
luation Report System Element, Evaluation Procedure System Element, Evaluation Specification
System Element, Data Protection Concept, Information Security Concept, Safety and Security Ana-
lysis (see product dependency 4.5)
dependency 4.21)
Depends on
tion and Evaluation Concept, QA Manual, System Implementation, Integration and Evaluation Con-
cept (see product dependency 5.43)
3.10.8.1 Realization Procedures and Environment

See Realization Procedures and Environment in product System Implementation, Integration and
Evaluation Concept.

See Integration Procedures and Integration Plan in product System Implementation, Integration and
Evaluation Concept.
3.10.8.3 Installation Procedures and Target Environments

See Installation Procedures and Target Environment in product System Implementation, Integration
and Evaluation Concept.

3 Products 5-159

See Evaluation Procedures and Strategy in product System Implementation, Integration and Evalua-
tion Concept.
3.10.8.5 System Elements to be Evaluated

See System Elements to be Evaluated in product System Implementation, Integration and Evaluati-
on Concept.
3.10.8.6 Safety and Security Relevant System Elements and Safety and Security
Measures
For every system element (the system itself or the system elements that will emerge during the de-
composition), it shall be determined if it has a risk potential, how high is this risk potenital with re-
gard to functional safety and security, to which safety and security level (sometimes also called cri-
ticality level, assurance level or evaluation assessment level) it belongs and whether the execution
of a »Safety and Security Analysis is required. The safety and security requirements to be fulfilled
will be derived from the specification of the system element.
System elements critical for system safety and security are elements which are of critical importan-
ce for fulfilling the safety and security requirements, i.e., the risk assessment/danger potential of
which exceeds a prespecified threshold level.
3.10.9 Hardware Implementation, Integration and Evaluation Concept

ment)
Activity: Preparing Hardware Implementation, Integration and Evaluation Con-
cept
Participating: Hardware Developer, Safety Manager
Purpose
The »Hardware Implementation, Integration and Evaluation Concept defines the developoment and
completion process for the »Hardware Unit of the system. It provides particularly the »Hardware
Developer and the »Inspector with guidelines for their tasks.
The concept describes design guidelines, documentation specifications, procedures, tools and envi-
ronments for the implementation, installation, integration and testing of hardware elements in detail.
This includes the description of the generation and compilaiton of source files (e.g. VHDL Code)
and loading and installation procedures for programmable logic.
The contents of the hardware implementation, integration and evaluation concept shall be consistent
with the »Hardware Architecture. The design decisions made shall be implemented in a suitable
fications in the Project Manual.

The »Hardware Architect is responsible for the preparation of the system. He will be supported by
the Hardware Developer who is finally responsible for the completed system. Depending on the
quality assurance specifications, the test products for the individual hardware elements will be pre-
pared.
Is generated by
pendency 4.4)
Generates
Evaluation Report Usability, Evaluation Specification Usability, Hardware Component, Hardware
Products, External Hardware Module, External Hardware Module Specification, Make-or-Buy De-
cision, Evaluation Report System Element, Evaluation Procedure System Element, Evaluation Spe-
cification System Element, Data Protection Concept, Information Security Concept, Safety and Se-
curity Analysis (see product dependency 4.7)
Evaluation Report Usability, Evaluation Specification Usability, Hardware Module, Hardware Spe-
cification, Evaluation Report System Element, Evaluation Procedure System Element, Evaluation
Depends on
External Hardware Module, Hardware Unit, Hardware Component, Hardware Module, External
Software Module, Software Implementation, Integration and Evaluation Concept, Software Unit,
Software Component, Software Module, External Unit, System Implementation, Integration and
Evaluation Concept, Segment, System (see product dependency 5.38)
, Software Implementation, Integration and Evaluation Concept, Project Plan, System Implementa-
tion, Integration and Evaluation Concept (see product dependency 5.39)
, Software Implementation, Integration and Evaluation Concept, QA Manual, System Implementati-
on, Integration and Evaluation Concept, Enabling System Implementation, Integration, and Evalua-
tion Concept (see product dependency 5.43)
3.10.9.1 Realization Procedures and Environments

The programmable logic of a »Hardware Unit should be realized in a suitable environment within
the scope of a defined development process.

3 Products 5-161
Tools, like cutting machines or CAE synthesis tools, and command procedures for compiling and
binding programmable logic shall be defined.
The realization process and realization environment do not describe the production of »Hardware
Modules.

The architecture of a »Hardware Unit specifies the required hardware element types and the struc-
ture of the hardware unit. For integration planning, the concrete hardware elements to be developed
and the integration sequence shall be derived from the »Hardware Architecture, and a suitable inte-
gration process shall be defined.
Integration procedures specify the integration environment and the integration tools. This includes,
but is not limited to, the description of the soldering process, assembly and activation. In addition
informal, functional, environmental and EMC tests will be described, and test tools will be speci-
fied.
The integration plan defines the integration architecture and the sequence of the integration steps. It
specifies the hardware elements to be realized for the hardware element types defined in the hard-
ware architecture and determines the integration sequence.

description of the installation process. All target environments for the programmable logic of a
»Hardware Unit shall be identified, and the installation procedures shall be specified. The Project
Manual specifies conditions for the target environments to be supported.
In hardware development, target environments are hardware elements, like storage or logic process
modules. Target environments may include the development environment, a separate evaluation en-
vironment and an integration environment for simulating the final target platform. The installation
procedure and the required tools will be described for every identified target environment. The des-
cription of the procedure for installing the system on the target platform is based on the contents of
this subject. It will be prepared within the scope of the logisitc »In-Service Documentation and deli-
vered to the acquirer.

A general evaluation strategy and a concrete test process shall be specified for all hardware ele-
ments. In this connection, economic efficiency, availability of test facilities, testability or test durati-
on are important factors.
The concrete evaluation procedure will be developed in the respective hardware element evaluation
specifications.
The evaluation strategy will be derived from the evaluation strategy in the higher implementation,
integration and evaluation concept and the specifications in the Project Manual and the »QA Manu-
al. It specifies general rules and criteria for the execution of hardware element tests. Particularly the
demonstrations and framework conditions required explicitly by the acquirer shall be taken into ac-
count in the evaluation strategy.

3.10.9.5 Hardware Elements to be Evaluated

The evaluation of a hardware element is expensive and not always required. In order to adapt the ef-
fort to the requirements of individual projects, the »Hardware Architect has - based on the specifica-
tions in the Project Manual and the specified evaluation strategy - the possibility to determine which
hardware elements of the »Hardware Unit shall be evaluated. Critiera for the necessity of an evalua-
tion may include the following: criticality and complexity of the hardware element and its central
role within the hardware unit. If hardware elements are classified as not to be evaluated, a rationale
shall be included.
3.10.9.6 Safety and Security Relevant Hardware Elements and Safety and Security
Measures
For every hardware element, it shall be determined if it has a risk potential, how high is this risk po-
tenital, to which safety and security level it belongs and whether the execution of a hazard and safe-
ty analysis is required. The safety and security requirements to be fulfilled will be derived from the
»Hardware Specification of the hardware element.
Hardware elements critical for safety and security are elements which are of critical importance for
fulfilling the safety and security requirements, i.e., the risk assessment/danger potential of which
exceeds a prespecified threshold level.
3.10.10 Software Implementation, Integration and Evaluation Concept

ment)
Activity: Preparing Software Implementation, Integration and Evaluation Con-
cept
Participating: Software Developer, Safety Manager
Purpose
The »Software Implementation, Integration and Evaluation Concept defines the developoment and
completion process for the »Software Unit of the system. It provides particularly the »Software De-
veloper and the »Inspector with guidelines for their tasks.
The concept describes programming conventions, documentation specifications, procedures, tools
and environments for the implementation, installation, integration and testing of software elements
in detail. This includes the description of the developoment environment, tools (compiler, linker)
and programming language.
The contents of the software implementation, integration and evaluation concept shall be consistent
with the »Software Architecture. The design decisions made shall be implemented in a suitable
fications in the Project Manual.

3 Products 5-163
The »Software Architect is responsible for the preparation of the concept. He will be supported by
the Software Developer who is finally responsible for the completed system. Depending on the qua-
lity assurance specifications, the test products for the individual software elements will be prepared.
Is generated by
pendency 4.15)
Generates
Evaluation Report Usability, Evaluation Specification Usability, Software Component, Software
Products, External Software Module, External Software Module Specification, Make-or-Buy Deci-
sion, Evaluation Report System Element, Evaluation Procedure System Element, Evaluation Speci-
fication System Element, Data Protection Concept, Information Security Concept, Safety and Secu-
rity Analysis (see product dependency 4.18)
Evaluation Report Usability, Evaluation Specification Usability, Software Module, Software Speci-
fication, Evaluation Report System Element, Evaluation Procedure System Element, Evaluation
Depends on
Implementation, Integration and Evaluation Concept, External Software Module, Software Unit,
Software Component, Software Module, External Unit, System Implementation, Integration and
Evaluation Concept, Segment, System (see product dependency 5.38)
Hardware Implementation, Integration and Evaluation Concept, , Project Plan, System Implementa-
tion, Integration and Evaluation Concept (see product dependency 5.39)
Hardware Implementation, Integration and Evaluation Concept, , QA Manual, System Implementa-
tion, Integration and Evaluation Concept, Enabling System Implementation, Integration, and Eva-
luation Concept (see product dependency 5.43)

3.10.10.1 Realization Procedures and Environments

A »Software Unit should be realized in a suitable environment within the scope of a defined deve-
lopment process. Development environment and tools like compiler or linker shall be specified. The
realization procedure will be defined by means of compiler procedures, link procedures and compi-
lation orders. The data will be made automatizable and thus repeatable by tools like Make or Ant.
All code references relevant for compiling and link procedures will be identified.
If a development environment is required in the long term for supporting the system in its life cycle
phases, an independent »Enabling System will be developed.

The architecture of a»Software Unit specifies the required software element types and the structure
of the software unit. For integration planning, the concrete software elements to be developed and
the integration sequence shall be derived from the »Software Architecture, and a suitable integration
process shall be defined.
Integration procedures specify the integration environment and the integration tools. In this connec-
tion, it must be ensured that the tools of the realization and integration environment harmonize with
each other and complement each other properly. The integration plan defines the integration archi-
tecture and the sequence of the integration steps. It specifies the software elements to be realized for
the software element types defined in the software architecture and determines the integration se-
quence.

description of the installation process. All target environments to be used by the system in various
development phases shall be identified, and the installation procedures shall be specified. The Pro-
ject Manual specifies conditions for the target environments to be supported. In addition to the de-
velopment environment, an evaluation environment and an integration environment for simulating
the final target platform will frequently be specified as target environments.
The installation procedure and the required tools will be described for every identified target envi-
ronment. The description of the procedure for installing the system on the target platform is based
on the contents of this subject. It will be prepared within the scope of the logisitc »In-Service Docu-
mentation and delivered to the acquirer.

A general evaluation strategy and a concrete test process shall be specified for all software ele-
ments. In this connection, economic efficiency, availability of evaluation environments, testability
or test duration are important factors.
The concrete evaluation procedure will be developed in the respective software element evaluation
specifications.

3 Products 5-165
The evaluation strategy will be derived from the evaluation strategy in the higher implementation,
integration and evaluation concept and the specifications in the Project Manual and the »QA Manu-
al. It specifies general rules and criteria for the execution of software element tests. Particularly the
demonstrations and framework conditions required explicitly by the acquirer shall be taken into ac-
count for the evaluation strategy.
3.10.10.5 Software Elements to be Evaluated

The evaluation of a software element is expensive and not always required. In order to adapt the ef-
fort to the requirements of individual projects, the »Software Architect has - based on the specifica-
tions in the Project Manual and the specified evaluation strategy - the possibility to determine which
software elements of the »Software Unit are to be evaluated. Critiera for the necessity of an evalua-
tion may include the following: criticality and complexity of the software element and its central
role within the software unit. If software elements are classified as not to be evaluated, a rationale
shall be included.
3.10.10.6 Safety and Security Relevant Software Elements and Safety and Security
Measures
For every software element, it shall be determined if it has a risk potential, how high is this risk po-
tenital, to which safety and security level it belongs and whether the execution of a hazard and safe-
ty analysis is required. The safety and security requirements to be fulfilled will be derived from the
»Software Specification of the software element.
Software elements critical for safety and security are elements which are of critical importance for
fulfilling the safety and security requirements, i.e., the risk assessment/danger potential of which
exceeds a prespecified threshold level.
3.10.11 Migration Concept

Process module: Enhancement and Migration of Legacy Systems
Responsible: System Architect (when using process module Enhancement and Mi-
gration of Legacy Systems)
Activity: Developing Migration Concept
Purpose
The »Migration Concept is basis and procedural manual for migrating system divisions from a lega-
cy system to a new system. It describes tasks, responsibilities and procedures for transferring rele-
vant system divisions of the legacy system to the new target environment.

The migration concept describes in detail which divisions of the legacy system are concerned,
which changes shall be executed for the migration and where the migrated system divisions are to
be integrated into the new system. Depending on safety and security aspects of the legacy system, a
migration and a »Rollback Strategy will be selected for business processes, and a detailed migration
plan will be specified.
The »System Architect, as person in charge for the design of the new system, is also responsible for
the migration concept. This ensures that the system divisions to be migrated are considered properly
in the architectural design. The System Architect will be supported by the »System Integrator, who
is responsible for the new system to be developed
Data on the legacy system, which are relevant for the new system, will be derived from the »Legacy
System Analysis. Information on the new system will be derived from the Overall System Specifi-
cation, the system architecture and the »Database Design.
Is generated by
3.10.11.1 Migration Overview

The »Migration Overview supports the »System Architect during migration planning and preparati-
on. It describes which systems are included in the migration, which targets are intended to be achie-
ved by the migration and which framework conditions must be observed.
A typical framework condition for a migration is the temporal restriction to a specified period. Fre-
quently, applications to be migrated are subject to high availability requirements, which must be ful-
filled.
3.10.11.2 Migration Strategy

The »Migration Strategy specifies the strategy for executing the migration. Basically, there are two
strategies for replacining a legacy system: the step-by-step introduction of a new system or the big-
bang strategy, i.e., the introduction in one step. It must be examined and determined in detail which
strategy is suitable for the individual case.
If the big-bang strategy is applied, the legacy system will be switched off, the new system will be
installed, and system divisions and data will be migrated during a specified period - frequently du-
ring one weekend.
In case of a step-by-step migration, the legacy system will be migrated in several steps. Generally,
this step-by-step migration is less critical than the big-bang strategy. The users can familiarize them-
selves more slowly with the new functionalities. If the new system is not yet stable, it is possible to
take recourse to the legacy system in case of emergency. The step-by-step migration may be subdi-
vided in two types:
● The new system provides the complete functionality, but is only available to a limited user
group. New and legacy systems run in parallel. With each step, the user circle will be exten-
ded. However, the parallel use of legacy and new system, and thus particularly the mainte-
nance of data consistency, pose a problem.

3 Products 5-167
● In another type of step-by-step introduction, a partial functionality will be provided for all
users. The users work in parallel on new and legacy systems. With each step, the functionali-
ty of the new system will be extended until the legacy system is replaced completely.
3.10.11.3 Rollback Strategy

A »Rollback Strategy shall be determined for every level specified in the migration planning. This
strategy describes all activities to be executed in order to reset modifications in time if the migration
fails. For each migration level, it will be specified individually
● according to which criteria the decision for a reset of the modifications, and thus for an abort
of the migration, will be made,
● which tasks must be executed in order to prepare the abort,
● which activities must be executed to conduct the abort, particularly how the original data
stock can be reconstructed and
● which activities are necessary after the execution of the abort. Particularly an evaluation
strategy ensuring that the legacy system will again be available with its complete functiona-
lity shall be developed.
3.10.11.4 Data Migration

Data are the central element of the migration. Perhaps, data from the legacy system must be trans-
formed into a new format and loaded into the database(s) of the new system. The »Data Migration
shall be planned in detail. The data flow from the source databases to the target databases will be
specified. In addition all necessary data transformations will be defined.
The degree of detailing goes down to the fields in a database table. The planning of the data migra-
tion is based on the »Data Model of the »Legacy System Analysis as source of the data flow and on
the »Database Design of the new system as target.
3.10.11.5 Migration Plan

Depending on the selected »Migration Strategy, the schedule for the execution of the migration will
be planned. Within the defined migration levels, additional levels - each provided with a »Rollback
Strategy - will be specified. The activities to be executed will be planned and the responsibilities as-
signed. For each level and for the entire migration planning, the point of no return, i.e., the point
when an abort or rollback is impossible, will be specified.
3.11 Logistic Elements

This discipline summarizes all »Work Product s and »Activityies prepared for implementing the lo-
gistic support of a system. It includes primarily the system documentation, which consists of »Trai-
ning Documentation and »In-Service Documentation . These two logistic elements are mandatory
for every system and thus included in the »System Development. The additional »Logistic Elements
- »Maintenance Documentation, »Repair Documentation and »Spare Parts Catalog - complement
the work products of the type »Logistic Support Documentation if the process module »Integrated
Logistic Support was selected (see »Structural Product Dependencies ).

Figure 14: Logistic Support Hierarchy
3.11.1 Training Documentation

Responsible: Technical Author (when using process module System Development)
Activity: Preparing Training Documentation
Participating: Hardware Architect, Hardware Developer, QA Manager, Software Ar-
chitect, Software Developer, System Architect
Purpose
The training for a system is subdivided into different training activities, which require a variety of
documents, e.g., »Curriculum and »Participants Dokumentation. The training may be based on dif-
ferent media, e.g, print media or computer-aided training (CAT).
Normally, the training is oriented toward specified job profiles, e.g., operator, maintenance, repair
and servicing training. A special safety and security training will be provided for safety- and securi-
ty-critical systems.
Is generated by
Depends on
Logistic Support Concept, In-Service Documentation (see product dependency 5.24)
3.11.1.1 Curriculum
The »Curriculum provides a survey of contents, objectives and shaping of the training. It includes
the necessary information, e.g, timetable, minimum and maximum number of students and educa-
tional background of the students, which is required for executing the training.

3 Products 5-169

The curriculum may include, e.g., the following information:
● Number (serial number) of training activity
● Designation of training activity
● Duration of training activity
● Minimum and maximum number of students
● Training documents, equipment and tools
● Objective of training activity
● Necessary educational background of the students
● Planning of the training activity (timetable)
3.11.1.2 Instructor Documentation

The »Instructor Documentation provides the instructor with guidelines and material for the training.
It includes all tools, comments and notes required for teaching as well as the didactic explanations
to the documents. The instructor documents can be provided in different forms, e.g., as presentati-
ons, information charts, video and audio material or computer-aided training (CAT).

Instructor documents may include the following:
● Presentations (slides and in electronic form)
● Diagrams, maps
● Video and audio material
● Computer-aided training (CAT)
● Instructions for exercises and private studies
● Examination documents (test sheets, correction notes)
3.11.1.3 Participants Dokumentation

The »Participants Dokumentation is the documentation for the students. It is used for the individual
preparation and reinforcement of training activities. It describes the complete subject material and
provides additional tasks for self-tests. The Participants Documentation can be provided in different
forms, e.g., presentations, training manual, video and audio material or computer-aided training
(CAT).

Documents for participants may include, e.g., the following:
● Presentation (slides and in electronic form) from the instructor documents
● Training manual with additional presentation contents
● Video material, audio material, computer- aided training and tasks for self tests
● Tools (templates, gages, pocket cards)
● Specialized literature

3.11.1.4 Execution Record

There are two types of »Execution Records. One type certifies, e.g. by a certificate of training, that
the student has participated in a training activity with a certain success. The other justifies the pay-
ment for the instructor by certifying that the training has been completed successfully and to the
agreed extent, e.g., by an attendance list with the signatures of all participants.

The following documents may be used as execution records:
● Certificates of attendance
● Certificates of training
● Attendance list, perhaps with signatures
● Certificate on the conduct of training for the instructor
3.11.2 In-Service Documentation

Activity: Defining In-Service Documentation
chitect, Software Developer, System Architect, Ergonomics Manager
Purpose
The »In-Service Documentation includes all data required by a user in order to operate the system
properly and to respond adequately to problems. Type and number of in-service documents to be
prepared correspond to the specifications of the Overall System Specification.
Is generated by
Depends on
Logistic Support Concept, Training Documentation (see product dependency 5.24)
3.11.2.1 Warning Statements and Notes of Caution

The »Warning Statements and Notes of Caution describe the system features relevant for the safety
of the user. They must be observed during the entire system life cycle from the activation to the
»Disposal of the system. Warning statements and notes of caution shall be positioned at a prominent
place - if possible at the beginning of the documentation - where they cannot be overlooked.

Warning statements and notes of caution may include, e.g., the following:
● (in-) admissible environmental conditions,
● (in-) admissible operating parameters,

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● (in-) admissible in-service variants,

● protective measures before activation/shutdown/deactivation,
● behavior in case of system malfunctions,
● medical advice in case of personal injuries.
3.11.2.2 System Scope and Functionality

This subject describes the user-relevant features of the system. The user learns the relevant com-
ponents and functions of the system by reading the description. The description includes, but is not
limited to, the overall view of the system, a technical description and the technical data.

The description of scope and function of the system includes, e.g., the following:
● Overall view
● Designations, markings
● Survey, architecture of the system
● Technical description of system and system elements (purpose, principles of operation)
● Technical data of system and system elements
● Equipment, auxiliary equipment and interfaces
3.11.2.3 Installation and Operation

The instruction manual describes the proper use of the system. It describes the operations to be exe-
cuted by the user.
Depending on the type of use, the instruction manual may include various aspects, like activation,
administration, operation and error control. Depth and detailling of the description of operations de-
pend on the knowledge of the expected user.

Depending on the type of use, the instruction manual may include the following subjects:
● Installation, initial activation and reactivation
● Hardware and software configuration
● Administration and operation
● Error control
● Deactivation, preservation, packaging, transport and storage
3.11.2.4 Preventive Maintenance Instructions

Servicing includes all simple maintenance procedures which can be executed by the user without
auxiliary tools, e.g., cleaning of the system, replacement of wear-and-tear parts and operating fluids,
and monitoring of operational parameters.
3.11.3 Maintenance Documentation

Process module: Integrated Logistic Support
Responsible: Technical Author (when using process module Integrated Logistic
Support)

Activity: Preparing Maintenance Documentation

Purpose
The »Maintenance Documentation describes all measures required in order to ensure and maintain
the functional capability of the system. Maintenance is scheduled and executed at certain intervals,
in case of a vehicle, for example, annually or every 15,000 km. The maintenance documentation is
intended for persons planning and executing the maintenance procedures.
Is generated by
Logistic Support Concept (see product dependency 4.11)
3.11.3.1 Maintenance Plan

The »Maintenance Plan describes the individual maintenance measures and their schedule. The
maintenance measures may be summarized in maintenance levels. Maintenance procedures may be
executed during operation or if the operation is interrupted.
The maintenance plan may also include the equipment maintenance record if an individual mainte-
nance plan exists for every system. If this is not the case, the equipment maintenance record shall be
conducted in suitable form, e.g., as service manual, maintenance manual or material history report.

A maintenance plan may include the following:
● Warning statements and notes of caution
● Serial number
● System element or test location of the measure, possibly with item number of the spare parts
catalog
● Standard/special tools, measuring and test equipment
● Procedure to be executed
● Statement on admissible wear-and-tear parts, operating fluids and tolerances
● Work schedule, depending on operating parameters (e.g., hours, time, number and type of
use)
3.11.3.2 Maintenance Instructions

The »Maintenance Instructions describes the execution of the different maintenance measures in re-
peatable procedural steps. The maintenance instruction will only be prepared for measures which
require additional explanations not included in the »Maintenance Plan. The disposal of wear-and-
tear parts and operating fluids must be considered. The use of measuring and test equipment and ne-
cessary tools will be explained.

The maintenance instruction may include, but not be limited to, the following:

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● Cleaning of the system

● Replacement of wear-and-tear parts and operating fluids
● Monitoring of operating parameters
3.11.4 Repair Documentation

Support)
Activity: Preparing Repair Documentation
Purpose
The »Repair Documentation describes all measures required for re-establishing the functional capa-
bility of the system. The repair documentation specifies how the cause for a system failure can be
discovered and how the discovered malfunction can be repaired afterwards.
Is generated by
3.11.4.1 Diagnosis Instructions

The »Diagnosis Instructions describes how the reasons for a system failure can be determined and
analyzed. The use of the measuring and test equipment required for the diagnosis will be explained.
In the most simple case, the diagnosis instruction is a list with error messages and the corresponding
potential reasons. For complex systems, a diagnosis instruction can be supported by fault trees, de-
cision trees and expert systems.

The diagnosis instruction may include, e.g., the following:
● Diagnostic routines
● Standard/special tools to be used, measuring and test equipment
3.11.4.2 Repair Instructions

The »Repair Instructions describes the execution of individual repair procedures in repeatable steps.
The use of the measuring and test equipment and required tools will be explained

The repair instruction may include, e.g., the following:
● Standard/special tools to be used, measuring and test equipment

● Diagnostic procedures which were not described in the diagnosis instruction

● Repair procedures, i.e., replacement of defect parts or correction of damage
● Check as to whether the repair was successful (e.g. by a test run).
3.11.5 Spare Parts Catalog

Support)
Activity: Defining Spare Parts Catalog
Purpose
The Spare Parts Catalog is the basis for identifying and ordering a spare part required for mainte-
nance and repair. It consists of a »List Section and an »Illustrated Section. The structure of Spare
Parts Catalogs may by specified by applicable standards, e.g., »B007, »ASD Spec 2000M and
»ASD Spec 1000D.
Spare Parts Catalogues may be availably as hardcopy, as database, on microfiches or as interactive
electronic technical publication.
Is generated by
3.11.5.1 List Section

The »List Section includes a list of all spare parts with the required data. These shall include at least
the designation of the spare part and its part number (identification number, ordering number), in
order to identify the part for the manufacturer.

Data on a spare part may include, e.g., the following:
● Part number to identify the spare part for the manufacturer,
● item number of spare part in figures,
● price,
● minimum order quantity of spare parts,
● dimensions and weight or storage requirements.
3.11.5.2 Illustrated Section

The »Illustrated Section shows the spare parts specified in the »List Section illustrated in figures.
The spare parts shall be depicted in sufficient size and provided with an item number. The illustra-
ted section may include two- and three-dimensional drawings and three-dimensional exploded
views.
3.11.6 Logistic Support Documentation


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Activity: Integrating into Logistic Support Documentation
Purpose
The logistic support documentation comprises a set of necessary system documentation elements,
which belong together with regard to contents (see »Structural Product Dependencies). It includes
»In-Service Documentation,»Training Documentation and - depending on the required logistic ef-
fort - »Maintenance Documentation, »Repair Documentation and »Spare Parts Catalogs.
For reasons of product liability, all documentations shall include complete and binding statements
on the proper use of the system. An improper use which may be foreseen shall also be taken into ac-
count. The documentation should include the appropriate warnings, cautions and notes, indicating
the hazards and risks. Notes on use, maintenance, repair and disposal shall be prepared with consi-
deration to the probable user.
Operating instructions and a hardcopy of safety- and security-relevant information shall be attached
to every item of equipment. Exclusively electronic operating instructions are insufficient even if the
product has a display capability.
Depends on
System, Enabling System (see product dependency 5.20)
3.12 Logistic Conception

Up to 80 percent of the system life cycle costs may be influenced by the logistic concept, which is a
significant basis for optimizing life cycle costs, thus being decisive for acceptance and success of
the in-service use.
The discipline Logistic Concept comprises products and activities required for planning and develo-
ping the logistic support. It includes the »Logistic Support Specification, a »Logistic Support Con-
cept and »Logistic Calculations and Analyses.
3.12.1 Logistic Support Specification

Responsible: Logistics Manager (when using process module Integrated Logistic
Support)
Activity: Preparing Logistic Support Specification
Participating: Requirements Engineer (Supplier)
Purpose
The »Logistic Support Specification describes and refines the requirements posed on logistic sup-
port. The requirements specified in the »Overall System Specification will be analyzed and refined
from a logistic point of view. In addition, operational environment, maintenance and repair activi-
ties will be recorded and examined.

Is generated by
Depends on
Logistic Calculations and Analyses, Logistic Support Concept (see product dependency 5.21)
External Hardware Module Specification, Hardware Specification, External Software Module Spe-
cification, Software Specification, External Unit Specification, System Specification (see product
dependency 5.23)

Proceeding from the »Overall System Specification, the actual logistic situation will be recorded
and analyzed in the initial situation. This includes, e.g., the presentation of the integration of logi-
stics into the organizational procedures, existing devices, equipment and tools, and weak points of
the current logistic support.
The operational environment and the physical loads exerted on the system during use will be descri-
bed, and the requirements posed on the logistic support to be developed will be derived.
3.12.1.2 Logistic Requirements

This subject documents the requirements posed on logistic support. The overall picture of the requi-
rements can be derived from the logistic requirements specified in the »Overall System Specificati-
on and the requirements derived from the subject »Initial Situation.
The required availability of the system will be specified concretely. On this basis, parameters like
reliability, repairability and testability will be specified at system, segment, hardware unit and soft-
ware unit level.
Type and expected frequency of the required system maintenance activities and the resulting requi-
rements will be described. The methods for determining the activities will be presented.
General requirements posed on logistic support, which are not specific for individual resources, will
be indicated, e.g., warranty policy and quality provisions.
3.12.1.3 Refinement of the Logistic Requirements

The requirements of the »Overall System Specification shall be allocated to »Logistic Elements and
other logistic resources (e.g., special tools, measuring and test equipment). In addition, the docu-
mentation required for maintenance, repair and other support measures and the corresponding re-
sponsibilities will be allocated to logistic elements. The logistically relevant requirements shall be
refined.

Logistically relevant requirements include the following:
● Documentations required for operation, maintenance/repair and other support measures
(description, presentation, identification, development documents)
● Responsibilities for operation, maintenance/repair and other support measures (personnel

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strength and qualification/training requirements)

● Training infrastructure, systems, equipment and tools, e.g., defective components
● Special/standard tools, measuring and test equipment
● Spare/exchange parts, material and expendables
● Infrastructure and utilities
● Scope of storage and storage requirements (e.g., storage space, storage conditions, storage
location)
● Scope of transport and transport requirements (e.g., transport volume, transport conditions)

The requirements tracing allocates the logistic requirements to the refined logistic requirements, to
the logistic elements and to the system and system support elements (see also Subject »Require-
ments Tracing in the »System Specification). The bidirectional trackability must be ensured. The al-
location can be presented, e.g., by means of a matrix.
3.12.2 Logistic Support Concept

Responsible: Logistics Manager (when using process module Integrated Logistic
Support)
Activity: Preparing Logistic Support Concept
Participating: System Architect
Purpose
The work product Logistic Support Concept describes the scheme for logistic support, which is de-
rived from the »Logistic Support Specification. The concept is the basis for planning and executing
the logistic support as well as for activation, use, maintenance/repair and »Disposal of the system. It
describes the required logistic resources.
Is generated by
Generates
Spare Parts Catalog, Maintenance Documentation, Repair Documentation (see product dependency
4.11)
Depends on
Logistic Calculations and Analyses, Logistic Support Specification (see product dependency 5.21)
Training Documentation, In-Service Documentation (see product dependency 5.24)

3.12.2.1 Directives and General Conditions

This subject presents a summary of the standards and framework conditions derived from the »Lo-
gistic Support Specification.
It describes the general logistic outline concept to be applied to the system. This includes, e.g.,
work-sharing logistics, operator model, leasing model or cooperative logistics. The specific conditi-
ons and configurations of the selected logistic outline concept, e.g. duration of contract, warranty
conditions, guaranteed support, legal or other restrictions, will be described.
3.12.2.2 System Architecture

This subject provides a summary of the system architecture as seen from a logistic point of view. It
specifies the designation and part number (identification number), the number of elements within
the system and the planned total number for every element of the »System Architecture. Indicators,
like reliability (Mean Time Between Failure) and maintainability (Mean Time To Repair) shall be
provided (see also »Logistic Calculations and Analyses ). It should be ensured that the presented
system architecture corresponds to the system architecture presented in the work product »System
Architecture.

The following data elements should be provided for every element of the system architecture:
● Designation
● Part number (unambiguous identification number, not serial number)
● Manufacturer/supplier or person in charge of logistic support
● Number of the respective element per system or per higher component
● Total number of systems, segments, hardware/software units to be delivered
● Reliability (MTBF)
● Maintainability (MTTR)
3.12.2.3 Logistic Support Alternatives and Comparative Evaluation

This subject develops and evaluates several logistic support alternatives. The required logistic re-
sources, organizational provisions, infrastructure measures and logistic indicators, like availability,
will be described for every alternative. The decisive results of the alternatives - fulfillment of the re-
quirements with maximum availability and minimum life cycle costs - shall be compared.

In order to fulfill the requirements, particularly with regard to availability, logistic support
alternatives shall be developed. For every alternative, the following characteristics shall be
presented in detail:
● Maintenance (definition of easily replaceable units, servicing, maintenance, repair)
● Technical availability (reliability, maintainability, repairability, testability)
● Logistic resources (standard/special tools, measuring and test equipment, alternate
equipment and spare parts, documentation, training, personnel and qualification, service
organization, transport logistics and storage, disposal and waste management)
● Infrastructure measures
● Organizational provisions

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● External logistic support interfaces (integration of logistic resources into the system, e.g.,
IETD into system software, interfaces to logistic information systems)
3.12.2.4 Logistic Support Design

One of the developed alternatives will be selected, and the selection will be justified. This subject
develops and describes the selected solution in detail.
This subject specifies particularly type, number and structuring of the required logistic support do-
cumentation. In case of complex systems, the structuring depends on the »System Decomposition.
Elements of the logistic support documentation will be allocated to system elements.
This subject also lists additional support to be provided by the supplier, e.g., delivery of spare parts,
instructions, local support or technical logistic support.

In case of complex systems, the structuring of resources depends on the decomposition (structure)
of the system. The additional structuring of logistic support may be based on the following elements
:
● Documentation
● Training
● Spare parts
Depending on the use of the system during its life cycle and the employed personnel, the elements
may be structured further as follows:
● Control,
● administration,
● operation,
● maintenance,
● repair and
● supply.
The logistic support for selected resources could - for example - be structured as follows:
In-service use, maintenance and repair documentation:
1. level: "manual series" (e.g. description, operation and diagnosis)
2. level: "manual" (e.g. diagnostic manual)
3. level: "volume" (e.g. service level I or service level II)
4. level: "chapter" or "data process module" (e.g. fault finding or corrective action)
Training documents:
1. level: training document, "system training" (e.g. communication system)
2. level: training document, "equipment training" (e.g. communication equipment)
3. level: training document, "training activity" (e.g. operation)
4. level: training document, "training hour or training day" (e.g. activation)
Standard/special tools, measuring and test equipment:
1. level: "test bench" (e.g. radar system)
2. level: "test function" (e.g. check for emission control)
3. level: "test equipment" (e.g. protective clothing, measuring device)
4. level: "test unit" (e.g. antenna, sensor)
Infrastructure:
1. level: "site" (e.g. consumer goods)

2. level: "hangar" (e.g. production hangar)

3. level: "hangar area or room" (e.g. production of product A)
4. level: furnishings (e.g. furniture or utility connections)
The allocation of logistic resources to different life cycle phases shall be indicated, with individual
resources possibly being allocated to several phases.
3.12.2.5 Logistic Resources Cooperation

This subject describes the cooperation of system, »Enabling Systems and logistic elements. It pres-
ents, e.g, the deployment of resources, process chains, sequences of operations and procedures
(Supply Chain Management).
The subject also describes organizational features, e.g., points of contact, liaison, responsibilities
and integration into existing or newly to be developed organizational and IT structures.
It must be possible to implement the logistic support by using this description.
3.12.2.6 Establishment of Logistic Supportability and Introduction into Service

The establishment of logistic supportability and introduction into service shall be described in de-
tail. The establishment of logistic supportability includes all measures required for providing and in-
tegrating the logistic support for the system. Logistic supportability is ensured when all necessary
»Enabling Systems, spare parts and additional logistic resources are available.
The introduction into service includes the installation and activation of the system. Test or parallel
operations shall be provided as required. For this purpose, the required logistic support and the trai-
ning of the acquirer shall be ensured.

The logistic supportability of a system is ensured when
● all facilities, standard and special tools for in-service use, maintenance and repair are
available,
● spare parts requirements are fulfilled,
● the follow-on spare parts supply is ensured,
● the personnel required for operation, maintenance and repair, and spare parts supply is
available and trained adequately,
● the documentation for in-service use, maintenance and repair has been delivered to the
acquirer, and
● in-service support, maintenance and repair are ensured.
These subjects shall be taken into account for the establishment of logistic supportability.
3.12.2.7 Disposal
This subject describes all measures required for the »Disposal of a system. The disposal comprises
the deactivation and waste management.
The deactivation is a temporary storage of a system. It is intended to remove a system which is no
longer in use from its operational environment. Depending on the further use, the system will be
preserved and maintained before or during the deactivation in order to permit a reactivation at a la-
ter date.

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Waste management deals with the final removal of a system, which can no longer be reactivated.
Waste management is intended to recycle the system in an eco-friendly manner. System elements
which cannot be recycled shall be transferred in an eco-friendly manner to a waste treatment plant
or - in the worst case - to a final storage.

The deactivation shall take into account the following technical conditions which must be described
in the Subject Disposal:
● Condition of the system
● Packaging
● Preservation
● Archiving of data
● Scheduled maintenance
● Reactivation
The description of waste management shall take into account the following issues:
● Condition of the system
● Company neutralization (demilitarization)
● Dismantling (including deletion of sensitive data)
● Rendering safe
● Disposal possibilities (scrappage, sale)
● Recycling
● Special waste
● Final storage
3.12.3 Logistic Calculations and Analyses

Responsible: Logistics Developer (when using process module Integrated Logistic
Support)
Activity: Performing Logistic Calculations and Analyses
Participating: Logistics Manager, Hardware Architect, Hardware Developer, Softwa-
re Architect, Software Developer, Ergonomics Manager, System Architect
Purpose
The logistic calculations and analyses are basis and prerequisite for the development of the logistic
support concept and, thus, for the »Logistic Support Design. Within the scope of this product, the
characteristics of the system and its environment will be evaluated and analyzed with regard to the
logistic objective - maximum availability with minimum life cycle costs. The execution of logistic
analyses and calculation is intended to provide logistic parameters, which will be used to properly
develop and optimize the logistic concept.
Examples for calculations and analyses include reliability analyses and calculations, testability ana-
lyses, maintainability and repairability analyses, spare parts definition and spare parts calculations,
availability calculations and analyses, and analyses of the life cycle costs.

The availability of the system is determined by the avialability calculation/analysis; it is directly

connected with the reliability (mean time between failure) and the period required for reactivating
the system after a failure (mean down time).
The mean time between failure is determined by the quality of the system elements and the applied
design measures. The mean down time is determined by the type of the fault (fault analysis), testa-
bility (mean time to test), maintainability (mean time to repair), availability of spare parts (calculati-
on of spare parts) and the repair personnel.
The costs incurred during the service life of a system are designated as life cycle costs (through-life
costs). Particularly the operating costs, which are included in the life cycle costs, shall be optimized.
The operating costs include, but are not limited to, the following: personnel costs for operation,
maintenance and repair, and costs for spare parts and their storage. Thus, the reliability determines
the life cycle costs: the lower the reliability of spare parts, the higher the costs for spare parts and
repair measures. In addition, the costs for the »Disposal (deactivation and waste management) in-
cluding the costs for the separation of components must be taken into account.
Is generated by
Depends on
Logistic Support Concept, Logistic Support Specification (see product dependency 5.21)
System Architecture, Enabling System Architecture (see product dependency 5.22)
3.13 Process Improvement

The discipline »Process Improvement includes all products and activities prepared and maintained
within the scope of the introduction and maintenance of an organization-specific process model.
This includes the »Assessment of a Process Model, the development of an »Process Model Impro-
vement Concept and finally the description of an improved organization-specific process model.
3.13.1 Assessment of a Process Model

Model
Responsible: Assessor (when using process module Introduction and Maintenance
of an Organization-Specific Process Model)
Activity: Performing a Process Model Assessment
Purpose
The »Assessment of a Process Model documents the current proccess maturity of an organization or
organizational unit. It will be executed by an independent »Assessor. In addition to the »Strengths
and Weaknesses Profile of the processes, it includes proposals for measures to ensure a continuous
process improvement and the corresponding action plans, e.g. prioritized action foci and a matrix
showing the need for action.

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The proposed measures are the basis for the »Process Model Improvement Concept. If an external
report on process maturity has already been submitted, it may be used as initial evaluation of a pro-
cess model.
Is generated by
Generates
Organization-Specific Process Model, Process Model Improvement Concept (see product depen-
dency 4.2)
Depends on
Process Model Improvement Concept, Proposal for the Introduction and Maintenance of an Organi-
zation-Specific Process Model (see product dependency 5.11)
3.13.1.1 Objectives and Management Support

The »Assessment of a Process Model is the initial point and the basis for process improvement. The
Subject Objectives and Management Support is intende to document the goals of the evaluation, the
management support and the selection of the projects to be evaluated.
For example, the evaluation may be intended to recognize weak points of the processes, to demons-
trate a specific process maturity or to provide a certification in accordance with a specified standard.
Goal planning and management support influence the selection of the projects to be evaluated. The
management supports demonstrates the priority of the evaluation for the projects to be examined,
and thus influences the execution of the projects significantly.
3.13.1.2 Strengths and Weaknesses Profile

»Strengths and Weaknesses Profile list the strengths and weaknesses of all examined processes of a
process model. This documents the process maturity and identifies improvement potential.
3.13.1.3 Improvement Measures

The activity plan lists the measures recommended by the »Assessor in order to remedy the weak-
nesses of the process model and increase the process maturity. The Assessor shall prioritize the pro-
posed activities. Thus, the activity plan provides the basis for determining the requirements posed
on the improvment of the organization-specific process model.
3.13.2 Process Model Improvement Concept

Model
Responsible: Process Engineer (when using process module Introduction and Main-
tenance of an Organization-Specific Process Model)
Activity: Specifying Process Improvement

Participating: Quality Manager
Purpose
The »Process Model Improvement Concept specifies the framework conditions for process impro-
vement. It describes which activities specified in the work product »Assessment of a Process Model
are intended to be implemented. In addition, it includes concepts for the piloting and large-scale in-
troduction of an organization-specific process model, thus providing the basis for the introduction
and maintenance of the model.
Is generated by
Depends on
Organization-Specific Process Model, Project Plan (see product dependency 5.10)
Assessment of a Process Model, Proposal for the Introduction and Maintenance of an Organization-
Specific Process Model (see product dependency 5.11)
3.13.2.1 Objectives and Management Support

This subject documents the goal planning for the intended improvement and the management sup-
port to be provided during the development and implementation of the improvement. The goal plan-
ning is derived from the »Assessment of a Process Model. It may include, e.g., the introduction of
new processes, the development of a basis for the understanding between all stakeholders, the im-
plementation of standards and the achievement of a specified process maturity.
The management support must always be recognizable by all stakeholders and at all levels. This in-
cludes not least a public affirmation of the management that the improvement project will be execu-
ted, a presentation of the commercial relevance of the process measures and the provisioning of the
resources required for executing the improvement.

Examples for the description of management support include the following:
● Presentation of the commercial relevance of the process measures
● Integration of the process measures into the business strategy of the organization
● Which business goals are intended to be achieved or supported by the improvement
● Open discussion of the results of a process measurement
● Active tracking of the process definition, implementation and improvement as seen from
point of view of the management (e.g. participation in execution decisions)
● Open affirmation to process definition, maintenance and improvement in front of all
stakeholders and active tracking of the established priorities
● Provisioning of sufficient resources for the execution of the activities, e.g., budget,
personnel, training, infrastructure (offices, tools, mail etc.).
● Selection, support and promotion of pilot projects which implement the process
improvement for the first time
● Implementation of the standard process

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The following activities, among others, can provide additional support:

● Transparency of management reporting (e.g. balanced score cards and metrics)
● Provisioning of incentives
● Goal agreements at all hierarchy levels.
3.13.2.2 Requirements
The requirements list the prioritized activities actually to be implemented in the respective process
improvement project.
These activities are a subset of the measures listed in the »Assessment of a Process Model. This
subset will be determined by the priorization made in the »Assessment of a Process Model and by
higher business goals.
3.13.2.3 Realization Concept

The »Realization Concept describes the procedure for implementing the measures specified in the
Subject »Requirements in detail. It may describe, e.g., which parts of the process will be revised,
how these process parts will be prepared and which interfaces and dependencies to other processes
must be considered. The training requirements for the stakeholders are derived from the concept of
realization. In addition, the realization concept describes the procedure for a large-scale introduction
of the organization-specific process model.
3.13.2.4 Piloting Concept

The »Piloting Concept is a »Realization Concept adapted to one or more pilot pojects. Perhaps, a pi-
lot project will implement the realization concept only partially. The parts to be implemented will
be developed in more detail in the piloting concept. The piloting concept will be coordinated with
the management. It includes all information required to test improvements within the scope of the
pilot project, e.g., designation of coaches for accompanying the pilot project, specification of the
communication between pilot project and process improvement project and planning of measures
required additionally in the pilot project, e.g. instructions and reporting.
3.13.3 Organization-Specific Process Model

Model
Responsible: Process Engineer (when using process module Introduction and Main-
tenance of an Organization-Specific Process Model)
Activity: Preparing, Introducing and Maintaining an Organization-Specific Pro-
cess Model
Participating: Quality Manager, Coach

Purpose
The Product »Organization-Specific Process Model is the information source for all process-rele-
vant aspects. It includes, e.g., process descriptions and »Training Documentation, supporting the
use of processes within an organization. The Product »Organization-Specific Process Model may al-
ready be filled with contents by previous process improvements. After a revision, it will again be
available for subsequent improvement projects.
The contents must be easily and simply accessible for all current and future projects. This can be
realized, e.g., by an information turntable in the organization's intranet. This offers additional possi-
bilities of providing further information, e.g. sample documents of projects or tips and tricks, to
every process user and to establish discussion fora.
Is generated by
Depends on
Process Model Improvement Concept, Project Plan (see product dependency 5.10)
3.13.3.1 Process Descriptions

The »Process Descriptions include the information required for applying the necessary processes in
the project. The layout of a process description shall be designed in accordance with the V-Modell.
For a detailed description, refer to Section 1 »Fundamentals of the V-Modell.
The process description shall take into account any relevant national, international or organization-
specific product and process standards. In addition, a styleguide should ensure a uniform terminolo-
gy for all process descriptions. For additional specifications regarding process descriptions, refer to
the »Realization Concept.

A process description may include the following elements:
● Participating roles
● Applied standards
● Initial and end criteria
● Initial and end products
● Decision Gates
● Products to be submitted to quality control measures
● Process interfaces, e.g. between process elements and with external processes
3.13.3.2 Metrics Catalog

The metrics catalog is intended to provide an organization-specific basis for the uniform use of
»Metric, thus allowing a cross-project use of the results. It provides support in order to answer re-
peated project questions by tested and useful metrics.
Thus, the »Metrics Catalog provides a pool of metrics which could or should be used in all projects
of an organization. A metrics describes a quantitative measure for a characteristic to be determined,
e.g., time, cost and quality aspects of projects, products and processes.

3 Products 5-187
For each metrics, the metrics catalog includes all data required for »Calculating and Analyzing Me-
trics. This comprises particularly the following:
● Measurement targets and the derived questions,
● definition of the metrics contributing to answering the questions and, thus, to achieving the
measurement objectives,
● »Measurement Data Types and the required filing structures and procedures which provide
the basis for calculating the metrics.

A metrics catalog may be structured and presented as follows:
List of Measurement Objectives and Derived Questions
The definition of objectives ensures that the metrics are defined in a target and target group oriented
manner. The targets covered by metrics in the metric plan and the derived questions will be
documented.
Metrics Description
The metrics are subdivided into chapters in accordance with their targets and aspects. A possible
breakdown is shown in the following:
● Project metrics
○ Effort/cost metrics, e.g.
■ Cost trend plan as compared to actual state
■ Distribution of effort to each phase
○ Time metrics
■ Milestone trend PLAN as compared to ACTUAL state
● Product metrics
○ Quality metrics
■ Fault finding
■ Fault cycle time
■ Requirements stability
■ Review efficiency
■ Evaluation efficiency
■ Fault statistics
■ Code metrics
○ Performance
○ Acquirer satisfaction
● Process metrics
○ Review culture
○ Requirements stability
○ Review efficiency
○ Evaluation efficiency
Every metrics may be described, e.g., as follows:
● Title/name of metrics as identifier
● Target/aspect: which project target or aspect is covered by the metrics, which question is
answered
● Explanation (if required): e.g., orientation (project, project phase, comparison between
different projects, etc.), statements which may be derived from the metrics.
● Target group: recipients and users of the metrics.

○ This group comprises persons using the metrics for decision making. The users request
the metrics evaluations or receive them within the scope of reports.
● Definition: calculation formula and textual description as to how the metrics will be
generated from the measurement data types.
● Masurement data types: listing of the measurement data types which are used as basis for
calculating the metrics.
● Evaluation: how often will the metrics be updated/prepared (e.g., monthly, every quarter,
after every system test)
● Persons in charge:
○ of preparing the metrics: this person is responsible for preparing the metrics based on the
defined data and on the specified date, e.g., for reporting purposes.
○ of providing data: this person is responsible for filing the measurement data in the
specified filing structure
● Use: type of report or conference indicated in the metrics evaluation
● Presentation: Data on the presentation of the metrics in the metrics evaluation, e.g., diagram,
table
● Experiences (optional): Remarks on suitability and limits of the metrics; how simple can the
required data be provided/determined, what cannot be answered by the metrics
Description of Measurement DataTypes
Measurement data types are the input data required for calculating the metrics. They will be defined
separately since there is an n:m relation between metrics and measurement data. The data measured
actually are designated as measurement data, while the definition is designated as measurement data
type.
The description of measurement data types includes, e.g., the following aspects:
● Title/name
● Textual description
● Measurement times
● Data source, e.g., evaluation reports, time recording tools, etc.
● Filing structure for measurement data, e.g., EXCEL table, fault database, time recording
system
● Person in charge of recording and filing
3.13.3.3 Experience Base

The lessons learned reports of pilot projects, broadly introduced projects and all other projects will
be prepared within the scope of a »Project Diary and collected in the »Experience Base. For reasons
of data protection, it must be ensured that project data collected in the experience base are protected
against unauthorized access.
The experience database shall include, but not be limited to, project and product data, design experi-
ences, problems, faults, interactions, training state of the employees, feedback and proposals for im-
proving processes and instructions as well as results and evaluations of the »Metric.
3.13.3.4 Training Concept

The Training Concept is intended to specify which training measures will be conducted in the entire
organiization, and which training measures will be provided within the framework of individual
projects. It is based on the training requirements of the individual projects. Organization-wide trai-

3 Products 5-189
ning measures meet the common demands of all projects. Additional training requirements are due
to the strategic business objectives and activities within the framework of the introduction and
maintenance of an organization-specific process model.
The »Training Concept describes the training requirements and the resulting training contents. In
addition to the training contents, the required capability profiles of the instructors are defined. Mo-
reover, the training concept specifies training methods, quality standards for training material and
evaluation sheets for the courses, a training plan and the required resources, roles and responsibili-
ties, taking into account the »Experience Base collected during the last process improvement cycle.
The result is coordinated with all persons responsible for the implementation of the plan. After-
wards the training measures offered will be published in the organization. This applies to the trai-
ning of the process team and to instructions within the scope of pilot projects and large-scale intro-
duction.
3.13.3.5 Training Documentation

»Training Documentation are intended to provide the stakeholders during instructions with the ne-
cessary knowledge on the process employed in the project.
The training documents should be structured in such a way that they can first be used for instructing
the stakeholders in a project for introducing and maintaining an organization-specific process model
and inthe respective pilot project and can afterwards be integrated as standard training into the orga-
nization-wide training program.
The training documents are based on the stakholders' profiles describing the necessary knowledge
of process subjects. The training requirements for individual subjects may be derived from these
profiles. The »Training Concept will be developed accordingly. Process-relevant subjects for stake-
holders participating in a project for introducing and maintaining an organization-specific process
model include the following:
● Profound knowledge of the respective prozess areas, e.g., CM, QA, and of the project mana-
gement for IT projects
● Profound knowledge of the basic process model
● Contents and structure of references and standards, e.g., CMMI®, ISO 900x
● Planning and control of development processes
● Development of a tailorable standard process
● Process management techniques, e.g., cause-effect diagrams and Pareto diagrams
● Development of instructions and training documents
● Execution of process instructions
● Definition, collection and evaluation of metrics
● Psychology of communicating the contents of processes
● Establishment of Process Teams
● Technology change within the organization
● Process modification procedures in the organization
● Coaching and knowledge of operational projects

● Moderator training.
The training activities are either prepared and executed internally or conducted by means of external
instructors and courses.
3.13.3.6 Organization-specific Directives and Informations

»Organization-specific Directives and Informations include organization-wide specifications and re-
quirements which shall be observed accordingly. Examples include joint quality management requi-
rements, requirements posed on methods and standards to be applied, guidelines for the execution
of formal decisions and specifications of the tools and technologies to be used.
3.13.3.7 Product Templates

Detailed product templates and sample products, e.g. document and programming templates, must
be provided for all products to be developed within the scope of the process defined in the »Process
Descriptions.

4 Generative Product Dependencies 5-191
4 Generative Product Dependencies
4.1 Assessment of a Process Model

Generative Work Products: Project Manual, Project Plan
Generated Products Assessment of a Process Model
The »Project Manual and the »Project Plan will be starting point and basis as regards content for the
improvement project that will start with process evaluation (»Assessment of a Process Model ). In
the project manual the object and the framework conditions of the improvement project will be defi-
ned. In the project plan (including its sub-plans) the activities and resources of the improvement
project will be planned, directed and controlled. The evaluation of the organization-specific process
model will be the starting point for the improvement project, because there measures and thus the
basis for future process improvement requirements will be defined.
4.2 Product Set for the Improvement of an Organization-Specific Process

Model
Generative Work Products: Assessment of a Process Model
Generated Products Process Model Improvement Concept, Organization-Specific
Process Model
The »Assessment of a Process Model will be firstly the basis of the »Process Model Improvement
Concept and secondly of the organization-specific process model itself.
Starting with the measures suggested in the process evaluation, the requirements that will be part of
the process improvement concept will be determined. Subsequently the measures will be implemen-
ted in the process improvement project and prepared in the organization-specific process model.
4.3 Conducting a Market Survey for Off-the-Shelf Products

Generative Work Products: Requirements Specification, Project Proposal
Generated Products Market Survey for Off-the-Shelf Products
If the »Project Proposal or the »Requirements Specification show that it may be possible to procure
or use off-the-shelf products, a »Market Survey for Off-the-Shelf Products will be conducted. The
results of the »Market Survey for Off-the-Shelf Products will be integrated into the »Requirements
Specification.
4.4 Product Set of a Hardware Unit within the System

Generative Work Products: System Architecture, System Implementation, Integration and
Evaluation Concept

Generated Products Evaluation Report Usability, Evaluation Specification Usability,

Evaluation Report Usability, Evaluation Specification Usability,
Hardware Specification, Hardware Unit, Evaluation Specification
System Element, Evaluation Procedure System Element,
Evaluation Report System Element, Hardware Architecture,
Hardware Implementation, Integration and Evaluation Concept,
Safety and Security Analysis, Data Protection Concept,
This »Product Dependency will describe the transition from system development to hardware deve-
lopment.
For each »Hardware Unit identified in the system architecture a »Hardware Architecture and a
»Hardware Specification will be required. Starting with the hardware unit, the decomposition of the
hardware elements will be carried out when the »Hardware Architecture will be developed. The de-
composition of the hardware elements will be accompanied by an assignment and refinement of the
interfaces and the requirements of the hardware specification.
For each hardware unit an evaluation specification and an evaluation procedure will be prepared in
accordance with the specifications of the hardware implementation, integration and evaluation con-
cept. The evaluation specification will be derived from the hardware specification. The evaluation
procedure will be a detailed translation of the evaluation specification into concrete work instructi-
ons for the testing process of each individual evaluation case. The evaluation results will be docu-
mented in the evaluation report.
The integration of the tested hardware unit into the system will be described in the »System Imple-
mentation, Integration and Evaluation Concept.
4.5 Product Set of a Hardware Unit within an Enabling System

Generative Work Products: Enabling System Architecture, Enabling System Implementation,
Integration, and Evaluation Concept
Hardware Specification, Hardware Unit, Evaluation Specification
Evaluation Report System Element, Hardware Architecture,
This »Product Dependency describes the transition from the system development of the »Enabling
System to the hardware development.
The description of this dependency corresponds to the product dependency »Product Set of a Hard-
ware Unit within the System.
4.6 Product Set of a Hardware Component

Generative Work Products: Hardware Architecture, Hardware Implementation, Integration
and Evaluation Concept


Hardware Specification, Hardware Component, Evaluation
Specification System Element, Evaluation Procedure System
Element, Evaluation Report System Element, Safety and Security
Analysis, Data Protection Concept, Information Security Concept
This »Product Dependency will describe the transition from the hierarchy level »Hardware Unit to
the level »Hardware Component of the hardware development.
For each hardware unit identified in the hardware architecture, a »Hardware Specification will be
required.
Starting with the hardware component, the decomposition in further detailed hardware elements
will be carried out when the »Hardware Architecture will be developed. The decomposition of these
hardware elements will be accompanied by an assignment and refinement of the interfaces and re-
quirements of the hardware specification similar to the product dependency »Product Set of a Hard-
ware Unit within the System.
In accordance with the specifications of the hardware implementation, integration and evaluation
concept, an evaluation specification and an evaluation procedure will be prepared for each hardware
component. The evaluation specification will be derived from the hardware specification. The
connection between hardware component, hardware implementation, integration and evaluation
concept, evaluation procedure, evaluation specification and evaluation report may be obtained from
the »Product Set of a Hardware Unit within the System.
The integration of the tested hardware component into the hardware unit or hardware component
will be described in the »Hardware Implementation, Integration and Evaluation Concept.
4.7 Product Set of an External Hardware Module

Market Survey for Off-the-Shelf Products, External Hardware
Module Specification, External Hardware Module, Make-or-Buy
Decision, Evaluation Specification System Element, Evaluation
Procedure System Element, Evaluation Report System Element,
The »Hardware Architecture defines all »Products of the type »External Hardware Module . A
»Make-or-Buy Decision documents the way to the decision as to whether an »External Hardware
Module will be procured as off-the-shelf product or awarded as sub-contract. The product »External
Hardware Module is described in detail in the »External Hardware Module Specification.
The »Hardware Implementation, Integration and Evaluation Concept describes the integration of
products of the type »External Hardware Module into »Hardware Units or into the product »Exter-
nal Hardware Module . The evaluation outlined in the »Hardware Implementation, Integration and
Evaluation Concept for every product »External Hardware Module will be specified in detail for
every »External Hardware Module in an »Evaluation Specification System Element, which speci-
fies evaluation cases. These cases will be conducted in accordance with an »Evaluation Procedure
System Element and documented in an »Evaluation Report System Element.

4.8 Product Set of a Hardware Module

Hardware Specification, Hardware Module, Evaluation
This »Product Dependency will describe the transition from the hierarchy level »Hardware Compo-
nent to the level »Hardware Module.
The description of this dependency corresponds to the product dependency »Product Set of a Hard-
ware Component.
4.9 Product scope for the acceptance of a delivery (without contract)

Generative Work Products: Project Manual
Generated Products Statement of Acceptance, Evaluation Report Delivery, Evaluation
Specification Delivery
The products Statement of Acceptance, Evaluation Specification Delivery and Evaluation Report
Delivery shall be prepared for every development objective specified in the project definition, un-
less these products are already included in the contract.
The contents of the Evaluation Specificaiton Delivery will be derived from the requirements. The
acceptance test will be executed based on the Evaluation Specification Delivery and documented in
the Evaluation Report Delivery, which will be attached to the Statement of Acceptance as evidence
for the completed acceptance test.
4.10 Product scope for the compilation of a delivery (without contract)

Generative Work Products: Project Manual
Generated Products Delivery, Evaluation Report System Element, Evaluation
Specification System Element, Evaluation Report Document,
Evaluation Specification Document
Every development objective specified in the project definition will be included in the delivery un-
less the composition of the delivery is specified in a contract between acquirer and supplier. This
delivery may include several partial deliveries, with each partial delivery being regarded as separate
delivery.
4.11 Product Set of Logistic Elements

Generative Work Products: Logistic Support Concept
Generated Products Spare Parts Catalog, Maintenance Documentation, Repair
Documentation

The Overall System Specification specifies the »Training Documentation and the »In-Service Docu-
mentation in detail and determines the volume of the required documentation in form of Mainte-
nance Documentation, Repair Documentation and Spare Parts Catalogs.
4.12 Product Set of Logistic Support Documentation

Generative Work Products: Overall System Specification
Generated Products Logistic Support Specification, Logistic Calculations and
Analyses, Logistic Support Concept
In accordance with the requirements in the »Overall System Specification, the following products
will be prepared for the system and the appropriate »Enabling Systems: specifications for the re-
spective logistic support, the corresponding »Logistic Calculations and Analyses and for each sys-
tem a »Logistic Support Concept.
4.13 Product Set for the Project Management

Generative Work Products: Project Manual, Project Plan
Generated Products Life Cycle Cost Calculation, Commercial Project Status Report,
Product Configuration, Measurement Data, Metrics Analysis,
Problem Report / Change Request, Problem/Change Evaluation,
Change Decision, Change Status List, Meeting Document, Project
Status Report, Final Project Report, Project Management
Infrastructure, Risk List, Estimation, Project Diary, Project
Progress Decision, Work Order
This »Product Dependency will regulate the generation of products from the area of project mana-
gement of the V-Modell. Those products will be derived from the »Project Manual and the »Project
Plan.
For example, the number of the »Project Status Reports to be prepared in the project will be derived
from the subject »Reporting and Communication Channels of the »Project Manual and the subject
»Project Execution Plan in the »Project Plan.
A project progress decision must be prepared for every decision gate achieved in the project. In case
of important decisions, it may be necessary to make also unscheduled project progress decisions.
4.14 Product Set for Quality Assurance

Generative Work Products: QA Manual, Project Plan
Generated Products Evaluation Specification Product Configuration, Evaluation
Report Product Configuration, Qualification Record, Evaluation
Report Document, Evaluation Report Process, Evaluation
Specification Document, Evaluation Specification Process,
Quality Status Report
The QA Manual will define the processes that shall be subjected to process testing. In case of the
occurrence of special events or problems in the project (for example if a measurable quantity devia-
tes from a specified value or if there are deviations from planning) that will be recorded in the »Pro-

ject Status Report, an unscheduled process test will be performed. The »QA Manual defines criteria
from which the circumstances under which scheduled and unscheduled »Quality Status Report shall
be prepared can be derived.
The planning included in the »Project Plan shall take into account the requirements from the »QA
Manual »Evaluation Specification Document and the »Evaluation Report Document. Starting with
the products planned in integrated planning and taking into account the requirements from the QA
Manual, the documents to be tested will be selected.
For the evaluation, a (document/system element/process/delivery) evaluation specification and a
(document/system element/process/delivery) evaluation report will be prepared. The »Qualification
Record will determine which qualifications will be needed and will refer to the appropriate evaluati-
on reports.
4.15 Product Set of one Software Unit in the System

Evaluation Concept
Software Specification, Software Unit, Evaluation Specification
Evaluation Report System Element, Software Architecture,
Software Implementation, Integration and Evaluation Concept,
The implementation of requirements by the »Software Unit is defined in the »System Architecture.
The design of the »Software Unit is documented in each case in the »Software Architecture. The ap-
propriate »Software Specification describes accurately the interface of the »Software Unit and its
realization.
Starting with the »Software Specification, the contents of the »Evaluation Specification System Ele-
ment are worked out. For each specified evaluation case a »Evaluation Procedure System Element
is prepared. The results of the execution of this »Evaluation Procedure System Element, i. e. the
realization of the evaluation cases, are documented in a »Evaluation Report System Element.
In the corresponding »Software Implementation, Integration and Evaluation Concept the required
approaches for the preparation of the software unit are defined.
4.16 Product Set of one Software Unit in the Enabling System

Generative Work Products: Enabling System Architecture, System Implementation,
Integration and Evaluation Concept
Software Specification, Software Unit, Evaluation Specification
Evaluation Report System Element, Software Architecture,

The implementation of requirements by the »Software Unit is defined in the »Enabling System Ar-
chitecture. The design of the each »Software Unit is documented in the »Software Architecture. The
appropriate »Software Specification describes accurately the interface of the »Software Unit and its
realization.
Starting with the software specification, the contents of the »Evaluation Specification System Ele-
approaches for the preparation of the software unit are defined.
4.17 Product Set of one Software Component

Generative Work Products: Software Architecture, Software Implementation, Integration and
Evaluation Concept
Software Specification, Software Component, Evaluation
The implementation of the requirements by a »Software Component will be defined in the »Softwa-
re Architecture. The appropriate »Software Specification will describe accurately the interface of
the »Software Component and its realization.
ment will be worked out. For each specified evaluation case a »Evaluation Procedure System Ele-
ment will be prepared. The results of the execution of this »Evaluation Procedure System Element,
i. e. the realization of the evaluation cases, will be documented in a »Evaluation Report System Ele-
ment.
approaches for the preparation of the software component will be defined.
4.18 Product Set of one External Software Module

Evaluation Concept
Market Survey for Off-the-Shelf Products, External Software
Module Specification, External Software Module, Make-or-Buy
Decision, Evaluation Specification System Element, Evaluation
Procedure System Element, Evaluation Report System Element,

The »Software Architecture defines all »Products of the type »External Software Module . A
»Make-or-Buy Decision documents the way to the decision as to whether an »External Software
Module will be procured as off-the-shelf product or awarded as sub-contract. The product »External
Software Module is described in detail in the »External Software Module Specification.
The »Software Implementation, Integration and Evaluation Concept describes the integration of
products of the type »External Software Module into »Software Units or into the product »External
Software Module . The evaluation outlined in the »Software Implementation, Integration and Eva-
luation Concept for every product »External Software Module will be specified in detail for every
»External Software Module in an »Evaluation Specification System Element , which specifies eva-
luation cases. These cases will be conducted in accordance with an »Evaluation Procedure System
Element and documented in an »Evaluation Report System Element.
4.19 Product Set of one Software Module

Evaluation Concept
Software Specification, Software Module, Evaluation
In the »Software Architecture the implementation of the requirements is defined by a »Software
Module. The appropriate »Software Specification describes accurately the interface of the »Softwa-
re Module and its realization.
realization of the evaluation cases, are documented by a »Evaluation Report System Element.
approaches for the preparation of the software process module are defined.
4.20 Product Set of External Units in the System

Evaluation Concept
Market Survey for Off-the-Shelf Products, External Unit
Specification, External Unit, Make-or-Buy Decision, Evaluation
All products of the type »External Units of the »System are defined in the »System Architecture.
The path to the decision as to whether an »External Unit is purchased as an off-the-shelf product or
subcontracted is documented in a »Make-or-Buy Decision. A detailed description of the »External
Unit is included in the »External Unit Specification .

The »System Implementation, Integration and Evaluation Concept describes the assembly of the
products of the type »External Unit to »Segments or to the »System. The tests of each »External
Unit for which a rough outline is given in the »System Implementation, Integration and Evaluation
Concept are specified in detail for each »External Unit with the help of evaluation cases described
in an »Evaluation Specification System Element. These evaluation cases are conducted in accor-
dance with an »Evaluation Procedure System Element and documented in a »Evaluation Report
System Element.
4.21 Product Set of External Units in an Enabling System

Market Survey for Off-the-Shelf Products, External Unit
Specification, External Unit, Make-or-Buy Decision, Evaluation
All »External Units of the »Enabling System are defined in the »Enabling System Architecture. The
path to the decision as to whether an »External Unit is purchased as an off-the-shelf product or sub-
contracted is documented in a »Make-or-Buy Decision. A detailed description of the »External Unit
is included in the »External Unit Specification .
The »Enabling System Implementation, Integration, and Evaluation Concept describes the assembly
of the »External Units to »Segments or to the »Enabling System. The tests of each »External Unit
for which a rough outline is given in the »Enabling System Implementation, Integration, and Eva-
luation Concept are specified in detail for each »External Unit with the help of evaluation cases des-
cribed in an »Evaluation Specification System Element. These tests are conducted in accordance
with an »Evaluation Procedure System Element and documented in an »Evaluation Report System
Element.
4.22 Product Set of Logistic Elements

Generated Products Training Documentation, In-Service Documentation
The »Overall System Specification shall specify the scope of the required documentation in form of
»Training Documentation and »In-Service Documentation. These »Logistic Elements will be inte-
grated into the work product »Logistic Support Documentation and extended, as required, by addi-
tional work products and subjects in the module »Integrated Logistic Support.
4.23 Product Set of Segments in the System

Evaluation Concept


System Specification, Segment, Evaluation Specification System
Element, Evaluation Procedure System Element, Evaluation
Report System Element, Safety and Security Analysis, Data
Protection Concept, Information Security Concept
In the »System Architecture all »Segments of the »System are defined. A detailed description of the
segments is included in the »System Specification.In the »System Implementation, Integration and
Evaluation Concept the assembly of the »Segments, respectively of the »System consisting of
»Hardware Units, »Software Units, »External Units or »Segments, is described.
The tests of each »Segment of which a rough outline is given in the »System Implementation, Inte-
gration and Evaluation Concept are specified in detail for each »Segment with the help of evaluati-
on cases in a »Evaluation Specification System Element. Those tests are performed by a »Evaluati-
on Procedure System Element and documented in a »Evaluation Report System Element.
4.24 Product Set of Segments in an Enabling System

System Specification, Segment, Evaluation Specification System
Report System Element, Safety and Security Analysis, Data
Protection Concept, Information Security Concept
All »Segments of the »Enabling System are defined in the »Enabling System Architecture. They are
described in detail in the »System Specification.
The »Enabling System Implementation, Integration, and Evaluation Concept describes the assembly
of the »Segments or the »Enabling System from »Hardware Units, »Software Units, »External
Units or »Segments.
The tests of each »Segment of which a rough outline is given in the »Enabling System Implementa-
tion, Integration, and Evaluation Concept are specified in detail for each »Segment with the help of
evaluation cases in a »Evaluation Specification System Element. Those tests are performed by a
»Evaluation Procedure System Element and documented in a »Evaluation Report System Element.
4.25 Product Set of Enabling Systems


Generated Products User Tasks Analysis, Man-Machine Interface (Style Guide),

Market Survey for Off-the-Shelf Products, Database Design,
System Specification, Enabling System, Evaluation Specification
Evaluation Report System Element, Enabling System
Architecture, Enabling System Implementation, Integration, and
Evaluation Concept, Safety and Security Analysis, Data Protection
Concept, Information Security Concept, Legacy System Analysis,
Migration Concept
In the »Overall System Specification the implementation of the requirements by the »System and
the »Enabling Systems is defined. The design of the »System and the »Enabling Systems is docu-
mented in the »System Architecture or the »Enabling System Architecture. An appropriate »System
Specification accurately describes the interface of the »System and the »Enabling Systems and its
realization.
Starting with the »System Specification, the contents of the »Evaluation Specification System Ele-
is prepared. The results of the execution of this»Evaluation Procedure System Element, i. e. the rea-
lization of the evaluation cases, are documented in a »Evaluation Report System Element.
The necessary approaches to the preparation of the »System or »Enabling System are defined in the
corresponding »System Implementation, Integration and Evaluation Concept or »Enabling System
Implementation, Integration, and Evaluation Concept.
4.26 Product Set of the System

Generated Products User Tasks Analysis, Man-Machine Interface (Style Guide),
Market Survey for Off-the-Shelf Products, Database Design,
System Specification, System, Evaluation Specification System
Report System Element, System Architecture, System
Implementation, Integration and Evaluation Concept, Safety and
Security Analysis, Data Protection Concept, Information Security
Concept, Legacy System Analysis, Migration Concept
In the »Overall System Specification the implementation of the requirements by the »System and
the »Enabling Systems is defined. The design of the»System and the »Enabling Systems is docu-
mented in the »System Architecture and the »Enabling System Architecture. An appropriate »Sys-
tem Specification accurately describes the interface of the »System and the »Enabling Systems and
its realization.
Starting with the »System Specification, the contents of the »Evaluation Specification System Ele-

The necessary approaches to the preparation of the »System or »Enabling System are defined in the
corresponding »System Implementation, Integration and Evaluation Concept or »Enabling System
Implementation, Integration, and Evaluation Concept.
4.27 Product Scope for Safety

Generative Work Products: Project Manual, Overall System Specification
Generated Products System Implementation, Integration and Evaluation Concept,
Enabling System Implementation, Integration, and Evaluation
Concept, Safety and Security Analysis
The Project Manual and the Overall System Specification show if functional safety aspects must be
taken into account in the project. If this is a case, a safety and security analysis and the respective
implementation, integration and evaluation concepts shall be prepared.
4.28 Preparation of a Contract Addendum

Generative Work Products: Change Decision
Generated Products Contract Addendum
If contractual provisions, such as scope of work, deadlines or costs, shall be changed due to a
»Change Decision, a »Contract Addendum that includes the agreements that were changed will be
prepared.
4.29 Product Set for Contract Award

Generative Work Products: Make-or-Buy Decision, Project Manual
Generated Products RFP Concept, Request for Proposal, Criteria Catalog for
Assessment of Offers, Contract, Offer Assessment
If it will be decided in the »Make-or-Buy Decision to award a contract for the development of a
whole system or a subsystem, »Product Instances for the products »RFP Concept, »Request for Pro-
posal, »Criteria Catalog for Assessment of Offers, »Offer Assessment and »Contract shall be prepa-
red.
The request for proposal will be prepared and sent off, respectively published, in accordance with
the procedure selected in the RFP Concept. Incoming »Offers will be assessed on the basis of the
criteria defined in the »Criteria Catalog for Assessment of Offers. The results of this assessment will
be documented in the Offer Assessment. The contract will be negotiated with the supplier selected
in the Offer Assessment.
4.30 Product Set for the Supplies and Services to be Received According to
Contract
Generative Work Products: Contract, Contract Addendum

Generated Products Statement of Acceptance, Evaluation Report Delivery, Evaluation

Specification Delivery
Unless agreed otherwise in the »Contract or a »Contract Addendum, product instances for the pro-
ducts »Statement of Acceptance, »Evaluation Specification Delivery and »Evaluation Report Deli-
very shall be prepared for each contractually agreed delivery unit.
Starting with the performance agreed in »Annex 1: Requirements Regarding (Sub-)System of the
contract or the contract addenda (see »Contract Addendum ), the contents of the »Evaluation Speci-
fication Delivery will be prepared. Acceptance testing will be performed on the basis of this »Eva-
luation Specification Delivery and documented in the »Evaluation Report Delivery. This will be at-
tached to the statement of acceptance as proof of the completion of the acceptance test.
4.31 Preparing an Offer

Generative Work Products: Request for Proposal (Acquirer), Assessment of Request for
Proposal
Generated Products Offer
If - based on the »Request for Proposal (Acquirer) and the resulting »Assessment of Request for
Proposal - a decision is made that the preparation of an offer will make sense, then the product »Of-
fer will be prepared.
4.32 Product Set to be Delivered According to Contract

Generative Work Products: Contract (Acquirer), Contract Addendum (Acquirer)
Generated Products Delivery, Project Status Report, Final Project Report, Evaluation
Report System Element, Evaluation Specification System
Element, Evaluation Specification Document, Evaluation Report
Document
Based on the delivery items agreed in the »Contract or the »Contract Addendum, the »Delivery,
which may consist of several partial deliveries, will be generated. Each partial delivery shall be con-
sidered a separate delivery and shall be described in the subject Project Results of the appropriate
»Project Status Report.
The delivery also includes a final inspection. If the delivery consists of system elements, this in-
spection will be conducted based on the »Evaluation Specification System Element, and an »Eva-
luation Report System Element will be prepared. However, if the delivery consists of documents,
the inspection will be conducted based on the »Evaluation Specification Document, and an »Eva-
luation Report Document will be prepared.
The delivery or the partial deliveries will be documented in the »Final Project Report.

5 Content-Related Product Dependencies
5.1 Consideration of the Project Proposal

Content-dependent Work Products: Project Proposal, Project Manual, Project Plan
The information about »Initial Situation, existing framework conditions, project targets, system
conception and »Economic Efficiency contained in the »Project Proposal have to be considered in
the »Project Manual and in the »Project Plan.
5.2 Requirements Evaluation

Content-dependent Work Products: Requirements Evaluation, Requirements Specification,
Market Survey for Off-the-Shelf Products
The »Requirements Evaluation is performed on the basis of the requirements (see »Requirements
Specification) and is reincorporated in an updated version of the requirements. During the evaluati-
on of requirements all requirements are checked for their affordability, cost-effectiveness and also
for their necessity.
5.3 Preparing the first Project Progress Decision

Content-dependent Work Products: Project Progress Decision, Project Proposal
The project ideas and realization proposals presented in the »Project Proposal have to be weighted
in a decision process that is outside of the V-Modell. The decision that is made has to be laid down
in a »Project Progress Decision.
5.4 Project Proposal and Requirements Specification

Content-dependent Work Products: Requirements Specification, Project Proposal,
Requirements Specification Overall Project
In the product »Requirements Specification or Requirements Specification Overall Project, the in-
formation from the »Project Proposal concerning framework conditions, system idea and realization
plan have to be taken into account.
5.5 Consistency between Sub-Project Requirements and the Requirements

Specification Overall Project
Content-dependent Work Products: Requirements Specification, Requirements Specification
Overall Project
The Requirements Specifications of sub-projects shall be consistent with the requirements of the
Requirements Specification Overall Project.

5 Content-Related Product Dependencies 5-205
5.6 Consistency of User Task Analysis and Overall System Specification

Content-dependent Work Products: Overall System Specification, User Tasks Analysis
The »User Tasks, user profiles and physical use environment identified »User Tasks Analysis have
to be considered as input for the topic »Functional Requirements in the »Overall System Specifica-
tion.
5.7 Directives for the User Interface

Content-dependent Work Products: Man-Machine Interface (Style Guide), System
Specification, Software Specification, Hardware
Specification
The design of the user interface described in the »System Specification, the »Software Specification
and the »Hardware Specification has to be based on the requirements from the »Man-Machine In-
terface (Style Guide).
5.8 Consideration of the Proposal for Introducing and Maintaining an

Content-dependent Work Products: Proposal for the Introduction and Maintenance of an
Organization-Specific Process Model, Project Manual,
Project Plan
The information contained in the »Proposal for the Introduction and Maintenance of an Organizati-
on-Specific Process Model must be considered in the »Project Manual and the »Project Plan.
5.9 Preparation of the First Project Progress Decision

Organization-Specific Process Model, Project Progress
Decision
The project ideas and realization proposals presented in the »Proposal for the Introduction and
Maintenance of an Organization-Specific Process Model have to be weighted in a decision process
that is outside of the V-Modell. The decision that is made has to be laid down in a »Project Progress
Decision.
5.10 Consistency of the Products of the Organization-specific Process

Model
Content-dependent Work Products: Process Model Improvement Concept, Project Plan,
The »Process Model Improvement Concept, which describes, among other things, the »Require-
ments for the improvement project and the »Realization Concept, is the basis for the product »Orga-
nization-Specific Process Model that is used to support the improvement process. The implementa-
tion of the »Requirements is described in the »Realization Concept. The contents of the »Realizati-
on Concept are incorporated into the »Process Descriptions.

The »Process Model Improvement Concept provides also input for the »Training Plan in the »Pro-
ject Plan. For the selected processes that are to be dealt with in the improvement project and that are
described in the »Realization Concept, the necessary training courses are included in the »Training
Plan of the »Project Plan.
5.11 Proposal for Introducing and Maintaining an Organization-Specific

Process Model
Organization-Specific Process Model, Assessment of a
Process Model, Process Model Improvement Concept
The framework conditions and plans specified in the products »Assessment of a Process Model and
»Process Model Improvement Concept have to consider the information cointained in the »Proposal
for the Introduction and Maintenance of an Organization-Specific Process Model.
5.12 Consideration of the Market Survey

Content-dependent Work Products: Market Survey for Off-the-Shelf Products, Make-or-Buy
Decision
In the »Market Survey for Off-the-Shelf Products candidates for off-the-shelf products for an »Ex-
ternal Unit, an External Hardware Module or an External Software Module are identified. Within
the framework of the »Make-or-Buy Decision these candidates have to be evaluated (see »Evaluati-
on of Off-the-Shelf Products).
5.13 Influence of an Off-the-Shelf Product on the External Unit

Specification
Content-dependent Work Products: External Unit Specification, Make-or-Buy Decision
The »External Unit Specification provides the basis for the »Evaluation of Off-the-Shelf Products
within the framework of the »Make-or-Buy Decision.
If the result of a Make-or-Buy Decision is that an off-the-shelf product is to be used, this usually has
repercussions on the »External Unit Specification, because the off-the-shelf product usually meets
only part of the requirements. The remainder will have to be met by other or new components of the
system or the requirements will have to be adapted or reduced. This in turn may have repercussions
on the »System Architecture, the »System Specification , the »Overall System Specification or even
the »Requirements Specification.
Off-the-shelf products often do not meet the special requirements resulting from environmental in-
fluences and special operational environments (e. g. in the military). Therefore it will be necessary
to adapt off-the-shelf products to the specified operational conditions (e. g. by hardening). When
using off-the-shelf products, this has to be taken into consideration with regard to the costs and the
integration risk.
The decision as to whether this additional work is possibly contracted is made within the framework
of a further »Make-or-Buy Decision.

5.14 Influence of an Off-the-Shelf Product on the External Hardware

Module Specification
Content-dependent Work Products: External Hardware Module Specification, Make-or-Buy
Decision
At hardware level, the »External Hardware Module Specification provides the basis for the »Eva-
luation of Off-the-Shelf Products within the framework of the »Make-or-Buy Decision.
repercussions on the »External Hardware Module Specification because the off-the-shelf product
usually meets only part of the requirements. The remainder will have to be met by other or new
components of the system, or the requirements will have to be adapted or reduced. This in turn may
have repercussions on the hardware architecture and the hardware specification and - consequently -
on the »System Architecture , the »System Specification , the »Overall System Specification or
even the »Requirements Specification.
integration risk.
5.15 Influence of an Off-the-Shelf Product on the External Software

Module Specification
Content-dependent Work Products: External Software Module Specification, Make-or-Buy
Decision
At software level, the »External Software Module Specification provides the basis for the »Evalua-
tion of Off-the-Shelf Products within the framework of the »Make-or-Buy Decision.
repercussions on the »External Software Module Specification, because the off-the-shelf product
usually meets only part of the requirements. The remainder will have to be met by other or new
components of the system, or the requirements will have to be adapted or reduced. This in turn may
have repercussions on the software architecture and the software specification and - consequently -
on the »System Architecture , the »System Specification , the »Overall System Specification or
even the »Requirements Specification.
integration risk.

5.16 Directives of the QA Manual Regarding Off-the-Shelf Products

Content-dependent Work Products: QA Manual, Evaluation Specification System Element
In each »Evaluation Specification System Element that refers to a system element which is realized
by an off-the-shelf product, the »Directives for Evaluation Specification for Off-the-Shelf Products
in the »QA Manual have to be taken into account.
5.17 Preparing the Life Cycle Cost Calculation

Content-dependent Work Products: Life Cycle Cost Calculation, Project Plan, Risk List,
Estimation, Overall System Specification, Requirements
Specification
The preparation of the product »Life Cycle Cost Calculation is based on the Requirements Specifi-
cation, the Overall System Specification, the planned »Work Packages in the »Project Plan, the re-
sults of »Estimations and the risk considerations in the »Risk List.
The products Requirements Specification and Overall System Specification specify life cycle stan-
dards, which are integrated as target values into the Life Cycle Cost Calculation.
The »Account Structure usually provides a more sketchy outline of the planned work packages, re-
spectively the planned preparation of system elements in the »Project Plan. If possible, the »Ac-
count Structure should be derived directly from the structure of the work packages in the »Project
Plan so that consistency with the product »Life Cycle Cost Calculation can be easily restored when
the planning is revised.
The estimated expenditure is the input variable for the calculation of the planned cost of the product
»Life Cycle Cost Calculation, »Project Costs.
If risks are accepted and if deliberately no preventive measures are taken, it has to be checked whe-
ther it is necessary to set aside money reserves, for example for contractual penalties.
5.18 Preparing the Life Cycle Cost Calculation

Content-dependent Work Products: Life Cycle Cost Calculation, Commercial Project Status
Report, Project Status Report, Final Project Report,
Project Diary
Deviations of the planned costs from the actually accumulated costs (subjects Deviations of the Pro-
jected Costs of Planning Stage, »Deviations of Project Costs, »Deviations of Manufacturing Costs,
and Deviations from the Projected Costs of Use) are included in the »Project Diary, »Project Status
Report and »Final Project Report .
5.19 Consistency between CM Requirements specified in the Project

Manual and the Evaluation Specification Product Configuration
Content-dependent Work Products: Evaluation Specification Product Configuration, Project
Manual
In each »Evaluation Specification Product Configuration the subject »Configuration Management -
Organization and Directives in the »Project Manual is to be taken into consideration.

5.20 Description of System and Enabling Systems by Logistic Elements

Content-dependent Work Products: Logistic Support Documentation, System, Enabling
System
The »Logistic Support Documentation consists of the logistic elements. Depending on the require-
ments specified in the Overall System Specification, it describes the use, maintenance, repair and
interaction of »Enabling System (e.g. special tooling, measuring and test equipment and training
tools) and the »System for the users.
5.21 Logistic Calculations and Analyses as Prerequisites for the Logistic

Conception
Content-dependent Work Products: Logistic Support Specification, Logistic Calculations
and Analyses, Logistic Support Concept
The result of »Logistic Calculations and Analyses are logistics parameters, such as expected reliabi-
lity and maintainability of the system and possibly suggestions concerning spare parts. Based on the
analyses and calculations, the requirements are refined in the product »Logistic Support Specificati-
on. A »Logistic Support Concept is used to develop alternatives for logistic support. One of these al-
ternatives is worked out in detail.
5.22 Logistic Calculations and Analyses based on (Enabling) System

Architecture
Content-dependent Work Products: Logistic Calculations and Analyses, Enabling System
Architecture, System Architecture
»Logistic Calculations and Analyses use information from the »System Architecture and the »Enab-
ling System Architectures to determine logistics parameters such as reliability or maintainability.
5.23 Influence of Logistic Conception on Hardware and Software

Specifications
Content-dependent Work Products: Logistic Support Specification, System Specification,
Software Specification, Hardware Specification,
External Unit Specification, External Hardware Module
Specification, External Software Module Specification
»Logistic Requirements such as availability or maintainability are met by the interaction of »Sys-
tem, »Enabling System and logistic support. The removability of a »Hardware Module in the sys-
tem, the functionality of the enabling system "measuring equipment" and the quality of the »Main-
tenance Instructions, for example, determine the time needed to repair the system and thus its
availability. The logistic concept examines this interaction, which may lead to new requirements for
hardware or software components and external elements, like External Units and work products of
the type External Hardware Module and External Software Module.

5.24 Influence of Logistic Conception on In-Service and Training

Documentation
Content-dependent Work Products: Logistic Support Concept, In-Service Documentation,
Training Documentation
The »Training Documentation and »In-Service Documentation specified as standard in the »Overall
System Specification will be augmented by additional subjects depending on the »Logistic Support
Concept . These subjects ensure the consistency with »Maintenance Documentation, »Repair Docu-
mentation and »Spare Parts Catalog.
5.25 Evaulation of the Overall Project Requirements Specification

Content-dependent Work Products: Requirements Specification Overall Project, Evaluation
of the Overall Project Requirements Specification
The Assessment of the Overall Project Requirements Specification will be based on the require-
ments (see Overall Project Requirements Specification). Its result will be integrated into an updated
version of the requirements. The Assessment of the Overall Project Requirements Specification ex-
amines the affordability, economic efficiency and necessity of all requirements.
5.26 Aggregation of project status reports to the overall project

Content-dependent Work Products: Project Status Report, Project Progress Decision
The Project Status Reports of the overall project include relevant data of the Project Status Reports
of sub-projects in condensed and aggregated form.
5.27 Project proposal and requirements

Content-dependent Work Products: Requirements Specification, Project Proposal,
Requirements Specification Overall Project
The product Requirements Specification or Requirements Specification Overall Project shall take
into account the information on general conditions, system idea and realization plan, which is inclu-
ded in the Project Proposal.
5.28 Change Status List within Project Status Report

Content-dependent Work Products: Change Status List, Project Status Report
»Project Status Reports include the relevant contents of the »Change Status List in condensed form.
5.29 Consistency of Problem and Change Management Products

Content-dependent Work Products: Problem Report / Change Request, Change Status List,
Problem/Change Evaluation, Change Decision, Project
Plan
Consistency with regard to evaluating, deciding, planning and tracing problem reports and change
requests has to be maintained.

Each »Problem Report / Change Request is registered in the »Change Status List. For each »Pro-
blem Report / Change Request there is exactly one »Problem/Change Evaluation and one »Change
Decision. Major »Change Decisions are schedulded in the »Project Plan.
5.30 Consideration of Project Progress Decisions

Content-dependent Work Products: Project Manual, Project Plan, Project Progress Decision
Consistency of the »Project Manual and the »Project Plan with the requirements from the »Project
Progress Decisions has to be maintained.
5.31 Consistency of Work Orders and Project Plan

Content-dependent Work Products: Work Order, Project Plan
Task description, deadlines and funding for a »Work Order may be taken from the »Project Plan, i.
e. work orders are also scheduled in the »Project Plan.
If during the basic ordering agreement the »Project Leader and the team members come to the con-
clusion that the deadlines, expenditures and resources contained in the »Project Plan cannot be rea-
lized, the »Project Plan has to be revised.
5.32 Planning of Risk Management Measures

Content-dependent Work Products: Project Plan, Risk List, Project Manual, Project Status
Report
The planned risk management measures (see the »Risk Mitigation Measures) are documented in the
action plan of the »Risk List. The measures that are initiated are determined according to the speci-
fications of the topic »Risk Management - Organization and Directives in the »Project Manual. All
initiated measures have to be included in the project plan. In addition, the »Project Status Report in-
cludes a summary of the measures intended to reduce the identified risks
5.33 Preparing Regular Quality Status Reports

Content-dependent Work Products: Quality Status Report, Project Manual
The reporting system for the project is defined in the topic »Reporting and Communication Chan-
nels in the »Project Manual. In this topic also the frequency of regular »Quality Status Reports is
stipulated.
5.34 Evaluation Reports in the Quality Status Report

Content-dependent Work Products: Evaluation Report Delivery, Quality Status Report,
Evaluation Report Document, Evaluation Report
Process, Evaluation Report System Element
The »Quality Status Report summarizes important results of the different test reports.

5.35 Evaluation Specification and Evaluation Report

Content-dependent Work Products: Evaluation Report Delivery, Evaluation Specification
Delivery, Evaluation Specification Document,
Evaluation Report Document, Evaluation Specification
Process, Evaluation Report Process, Evaluation Report
System Element, Evaluation Specification System
Element
The results of each test with regard to the evaluation specification and the object to be tested are de-
scribed in a test report.
5.36 Quality Status Reports in Project Status Report and Project Diary
Content-dependent Work Products: Project Status Report, Quality Status Report, Project
Diary
»Project Status Reports and »Project Diary include relevant contents of the »Quality Status Reports
in condensed form.
5.37 Directives Regarding Products to be Evaluated

Content-dependent Work Products: Project Manual, QA Manual
In the »QA Manual, the products contained in the »Decision Gates have to be agreed as the products
to be tested. At least those products have to be tested in the project.
5.38 Integration of the System Elements

Content-dependent Work Products: Hardware Implementation, Integration and Evaluation
Concept, Hardware Module, Hardware Unit, Hardware
Component, External Hardware Module, Software Unit,
Software Component, Software Module, Software
Implementation, Integration and Evaluation Concept,
External Software Module, System Implementation,
Integration and Evaluation Concept, Segment, System,
External Unit
The »System Elements have to be integrated in accordance with the implementation, test and inte-
gration concepts.
5.39 Planning of Evaluation and Integration

Concept, Software Implementation, Integration and
Evaluation Concept, System Implementation, Integration
and Evaluation Concept, Project Plan
Deadlines and resources for the approach indicated in the »System Implementation, Integration and
Evaluation Concept have to be planned in the »Integration and Evaluation Plan System Elements of
the »Project Plan.

5.40 Evaluation Procedure and Evaluation Report

Content-dependent Work Products: Evaluation Report System Element, Evaluation
Procedure System Element
The result of a test is documented in a »Evaluation Report System Element based on the steps that
are specified in a »Evaluation Procedure System Element and that have to be performed during tes-
ting.
5.41 Evaluation Specifications and Reports in the Qualification Record

Content-dependent Work Products: Qualification Record, Evaluation Report System
Element, Evaluation Specification System Element
The »Qualification Record contains references to system element evaluation specifications and pro-
tocols.
The »Evaluation Specification System Element indicates how a qualification is to be or was de-
monstrated. A qualification is documented by a positive »Evaluation Report System Element.
5.42 Directives in the Overall System Specification regarding Off-the-Shelf

Products
Content-dependent Work Products: Make-or-Buy Decision, Overall System Specification
If concrete requirements for the use of off-the-shelf products are established in the »Overall System
Specification , these requirements have to be taken into account in the »Make-or-Buy Decision.
This may include for example the following requirements:
● Use of a concrete product or a concrete product family
● Tasking of a clearly defined sub-supplier
● Realization criteria that admit only specific products or product families.
5.43 Directives Regarding Evaluation of System Elements

Concept, Software Implementation, Integration and
Evaluation Concept, QA Manual, System
Implementation, Integration and Evaluation Concept,
Enabling System Implementation, Integration, and
Evaluation Concept
The »QA Manual contains System Element Testing Specifications that must be taken into account
in the implementation, integration and evaluation concepts.
5.44 Consistency between the Requirements Specification and the Overall

System Specification (without contract)
Content-dependent Work Products: Requirements Specification, Overall System
Specification

If there is no contract, the specified requirements (Requirements Specification) shall be covered

completely by the Overall System Specification. The System Developer shall ensure that all func-
tional and non-functional requirements of the Overall System Specification will be fulfilled by the
first preliminary architecture of the system (including interface overview). The requirements shall
be refined as required.
5.45 Product Scope for Safety and Security

Content-dependent Work Products: Project Manual, Requirements Specification, Overall
The Project Manual indicates if information security and/or functional safety features must be con-
sidered in the project and how these features should be integrated in the requirements specified in
the Requirements Specification and the Overall System Specification.
5.46 Directives Regarding Safety and Security in the Project Manual

Content-dependent Work Products: Project Manual, Safety and Security Analysis,
Information Security Concept, Data Protection Concept
In the topic »Safety and Security - Organization and Directives in the »Project Manual, constructio-
nal and analytical specifications for safety and security are defined that will be applicable to the
project.
Based on these specifications, risk reduction measures have to be determined for each system ele-
ment that exceeds the accepted risk threshold. These risk-reduction measures lead to a reduction of
the probability that a risk occurs or to a reduction of the damage level.
5.47 Information Security Specifications

Content-dependent Work Products: Project Manual, Overall System Specification,
Information Security Concept, Data Protection Concept
The Project Manual and the Overall System Specification indicate if information security require-
ments must be considered in the respective project. If this is the case, an Information Security Con-
cept and a Data Protection Concept shall be prepared. The system architecture data in the Informati-
on Security Concept must be consistent to the work product »System Architecture.
5.48 Acceptance of the Directives Specified for the Supplier in the Project
Manual
Content-dependent Work Products: Request for Proposal, Project Manual
The request for proposal will take over the subject Directives for the Project Manual of the Supplier
from the Project Manual.
5.49 Acceptance of the Directives Specified for the Supplier in the QA

Manual
Content-dependent Work Products: Request for Proposal, QA Manual

The request for proposal will take over the subject Directives for the QA Manual of the Supplier
from the QA Manual.
5.50 Requirements as Part of Request for Proposal and Contracts

Content-dependent Work Products: Request for Proposal, Requirements Specification,
Contract, Contract Addendum
When a complete system is put up for bidding, the state of the »Requirements Specification beco-
mes a component of the »Request for Proposal.
Depending on the award procedure, it may be possible to renegotiate changes in the »Requirements
Specification that emerged after the mailing of the »Request for Proposal. If this happens before the
»Offers are submitted, public purchasers may have to grant an extension of the closing date and in-
form all possible »Sub-Suppliers.
The state of the »Requirements Specification that is valid at the time of the contract is part of the
»Contract. After the conclusion of the contract the contract is no longer updated, i. e. possible future
changes of the »Requirements Specification do not have any impact on the contract and are settled
by way of contract addenda (see »Contract Addendum).
5.51 Supplier Reports

Content-dependent Work Products: Project Status Report (Supplier), Final Project Report
(Supplier), Final Project Report, Project Status Report
Important contents of the product »Project Status Report (Supplier), respectively the product »Final
Project Report (Supplier), are included in the »Project Status Report, respectively the »Final Project
Report, of the acquirer project.
5.52 Assessment of Offers

Content-dependent Work Products: Offer (Supplier), Offer Assessment
The Assessment of Offers is based on the products »Offer (Supplier) of various potential suppliers.
In the »Offer Assessment a statement, which is based on the product »Criteria Catalog for Assess-
ment of Offers, must be made for each »Offer (Supplier).
5.53 External Unit Specification as Part of Request for Proposal and

Contract
Content-dependent Work Products: Request for Proposal, Contract, External Unit
Specification, Contract Addendum, External Hardware
Module Specification, External Software Module
Specification
When a subsystem is awarded, the current state of the »External Unit Specification, »External Hard-
ware Module Specification or »External Software Module Specification becomes part of the »Re-
quest for Proposal.

Depending on the award procedure, it may be possible to renegotiate changes in these specifications
that emerged after the mailing of the »Request for Proposal. Between public purchasers and sup-
pliers, contract negotiations are possible only with limitations. If this happens before the »Offers are
submitted, public purchasers may have to grant an extension of the closing date and inform all pos-
sible »Sub-Suppliers.
The state of the »External Unit Specification , »External Hardware Module Specification or »Exter-
nal Software Module Specification that is valid at the time of the contract is part of the »Contract.
After the conclusion of the contract, the contract is no longer updated, i. e. possible future changes
of these specifications no longer have an impact on the contract and are settled by way of contract
addenda (see »Contract Addendum).
5.54 Planning of the Cooperation in Activities of the Supplier

Content-dependent Work Products: Contract, Project Plan
The contractually agreed cooperation of the acquirer in supplier activities has to be defined in the
»Project Plan.
5.55 Directives for the Supplier

Content-dependent Work Products: Project Manual, QA Manual, Request for Proposal
The »Project Manual and the »QA Manual of the acquirer include standards for the supplier. Those
will be included in the »Request for Proposal (see »Annex 2: Directives for the Project Manual
(Supplier) and »Annex 3: Directives for the QA Manual (Supplier)).
5.56 Consistency of Request for Proposal and Offer

Content-dependent Work Products: Offer, Request for Proposal (Acquirer)
In the »Offer, the contents of all requirements established in the »Request for Proposal shall be revi-
sed by the supplier.
5.57 Contract-Relevant Parts of Project and QA Manual in the Contract

Content-dependent Work Products: Contract (Acquirer), Contract Addendum (Acquirer),
Project Manual, QA Manual
If the acquirer requires that a complete or partial »Project Manual or »QA Manual is prepared alrea-
dy when the »Contract (Acquirer) is concluded, the supplier has to prepare the required documenta-
tion already for this purpose.
5.58 Consistency of Requirements Specification and Overall System

Specification
Content-dependent Work Products: Overall System Specification, Contract (Acquirer),
Contract Addendum (Acquirer)

The requirements specification of the supplier has to cover completely the requirements defined in
the »Contract (Acquirer) and »Contract Addendum (Acquirer). The supplier takes care that all func-
tional and non-functional requirements of the Requirements Specification and the contract or con-
tract addendum are met in the initial outline of the system architecture (including the interface list)
prepared by him. The requirements may have to be refined by the supplier.
5.59 Influence of Legacy System Analysis on System Development

Content-dependent Work Products: Legacy System Analysis, Overall System Specification,
System Architecture
The functionality of the system to be replaced, which is determined in the »Legacy System Analy-
sis, has to be taken into account in the further development and thus in the »Overall System Specifi-
cation. In the »System Architecture the interfaces between the system to be replaced and neighbo-
ring systems, which are described in the »Legacy System Analysis, must be taken into account.

6 Product Index (According to Disciplines)
Supply and Contracting................................................................................................................5-17

Request for Proposal (Acquirer).........................................................................................5-17
General Remarks on the Request for Proposal............................................................5-80
Annex 1: Requirements Regarding the (Sub-)System.................................................5-80
Annex 2: Directives for the Project Manual (Supplier)...............................................5-80
Annex 3: Directives for the QA Manual (Supplier).....................................................5-80
Assessment of Request for Proposal...................................................................................5-18
Requirements Analysis................................................................................................5-18
Suggested Technical Solution......................................................................................5-18
Consideration of Economic Efficiency........................................................................5-18
Success Strategy..........................................................................................................5-19
Offer Preparation - Organization and Guidelines........................................................5-19
Evaluation Result.........................................................................................................5-19
Offer....................................................................................................................................5-19
General Clauses and Conditions..................................................................................5-20
Offer - Legal and Commercial Clauses and Conditions..............................................5-20
Annex 1: Specification of Services..............................................................................5-20
Annex 2: Offer-Relevant Parts of the Project Manual (Supplier)................................5-20
Annex 3: Offer-Relevant Parts of the QA Manual (Supplier).....................................5-21
Contract (Acquirer).............................................................................................................5-21
Contract - Legal and Commercial Clauses and Conditions.........................................5-83
Annex 1: Requirements Regarding (Sub-)System.......................................................5-84
Annex 2: Contract-Relevant Parts of the Project Manual (Supplier)..........................5-84
Annex 3: Contract-Relevant Parts of the QA Manual (Supplier)................................5-84
Contract Addendum (Acquirer)..........................................................................................5-21
Delivery...............................................................................................................................5-22
Statement of Acceptance (Acquirer)...................................................................................5-23
Evaluation of Delivery.................................................................................................5-85
Annex: Evaluation Report Delivery............................................................................5-86
Planning and Control....................................................................................................................5-23
Project Progress Decision...................................................................................................5-23
Project Evaluation........................................................................................................5-24
Decision Submittal.......................................................................................................5-24
Planning and Scheduling.............................................................................................5-25
Resource Planning.......................................................................................................5-25
Directives and General Conditions..............................................................................5-25
Project Manual....................................................................................................................5-25
Project Overview, Project Targets and Success Factors..............................................5-27
Sub-Projects.................................................................................................................5-27
Project-Specific V-Modell...........................................................................................5-27
Deviations from the V-Modell.....................................................................................5-28
Project Execution Plan.................................................................................................5-28
Cooperation and Provisions of the Acquirer................................................................5-28
Project Management - Organization and Directives....................................................5-28

6 Product Index (According to Disciplines) 5-219
Risk Management - Organization and Directives........................................................5-29

Problem and Change Management - Organization and Directives..............................5-29
Configuration Management - Organization and Directives.........................................5-30
Measurements and Analyses - Organization and Directives........................................5-30
Controlling - Organization and Directives...................................................................5-30
Requirements Management - Organization and Directives.........................................5-31
System Development - Organization and Directives...................................................5-31
Safety and Security - Organization and Directives......................................................5-31
Directives for the Project Manual of the Supplier.......................................................5-32
Reporting and Communication Channels....................................................................5-32
QA Manual..........................................................................................................................5-33
Quality Targets and Requirements...............................................................................5-34
Products to Be Evaluated.............................................................................................5-34
Processes to Be Evaluated...........................................................................................5-34
Quality Assurance - Organization and Directives........................................................5-34
Quality Assurance of Delivery - Organization and Directives....................................5-35
Directives for Evaluation Specification for Off-the-Shelf Products............................5-35
Directives for the QA Manual of the Supplier.............................................................5-35
Project Management Infrastructure.....................................................................................5-35
Estimation...........................................................................................................................5-36
Estimation of the Scope...............................................................................................5-37
Estimation of Effort.....................................................................................................5-37
Risk List..............................................................................................................................5-37
Identified Risks............................................................................................................5-38
Risk Mitigation Measures............................................................................................5-38
Project Plan.........................................................................................................................5-39
Project Execution Plan.................................................................................................5-40
Integrated Planning......................................................................................................5-40
Evaluation Plan Documents.........................................................................................5-41
Integration and Evaluation Plan System Elements......................................................5-41
Evaluation Plan Processes...........................................................................................5-41
Training Plan................................................................................................................5-42
Work Order..........................................................................................................................5-42
Life Cycle Cost Calculation................................................................................................5-42
Costs of Planning Stage...............................................................................................5-43
Project Costs................................................................................................................5-43
Manufacturing Costs....................................................................................................5-43
Costs of Use.................................................................................................................5-44
Account Structure........................................................................................................5-44
Analysis of Cost-Effectiveness....................................................................................5-44
Reporting.......................................................................................................................................5-44
Meeting Document..............................................................................................................5-44
Invitation......................................................................................................................5-45
Protocol........................................................................................................................5-45
Project Status Report (Supplier).........................................................................................5-45
Management Summary................................................................................................5-52
Project Results.............................................................................................................5-52
Problem and Change Statistics....................................................................................5-53

Quality Assessment......................................................................................................5-53
Current Risks and Related Risk Mitigation Measures.................................................5-53
Deviations from the Project Plan.................................................................................5-53
Planning for the next Reporting Period.......................................................................5-53
Overall Project Progress..............................................................................................5-53
Final Project Report (Supplier)...........................................................................................5-47
Initial Situation and Objectives....................................................................................5-56
Project Results.............................................................................................................5-56
Project Progress...........................................................................................................5-56
Project Diary.......................................................................................................................5-47
Lessons Learned..........................................................................................................5-48
Experiences with the Acquirer.....................................................................................5-49
Experience with Suppliers...........................................................................................5-49
Experiences with Off-the-Shelf Products....................................................................5-49
Measurement Data..............................................................................................................5-49
Metrics Analysis..................................................................................................................5-49
Commercial Project Status Report......................................................................................5-50
Deviation from Projected Costs of Planning Stage.....................................................5-50
Deviations of Project Costs..........................................................................................5-51
Deviations of Manufacturing Costs.............................................................................5-51
Deviations from Projected Costs of Use......................................................................5-51
Deviations from Projected Cost-Effectiveness............................................................5-51
Project Status Report...........................................................................................................5-51
Project Results.............................................................................................................5-52
Problem and Change Statistics....................................................................................5-53
Current Risks and Related Risk Mitigation Measures.................................................5-53
Deviations from the Project Plan.................................................................................5-53
Planning for the next Reporting Period.......................................................................5-53
Overall Project Progress..............................................................................................5-53
Quality Status Report..........................................................................................................5-54
Scope of Evaluations...................................................................................................5-54
Status of Processes.......................................................................................................5-54
Quality Problems.........................................................................................................5-54
Corrective Actions.......................................................................................................5-55
Final Project Report............................................................................................................5-55
Project Results.............................................................................................................5-56
Project Progress...........................................................................................................5-56
Configuration and Change Management....................................................................................5-56
Product Library...................................................................................................................5-56
Product Configuration.........................................................................................................5-57
Problem Report / Change Request......................................................................................5-58

Identification and Classification..................................................................................5-58

Opportunity/Problem Description................................................................................5-59
Suggested Solution......................................................................................................5-59
Problem/Change Evaluation...............................................................................................5-59
Opportunity/Problem Analysis....................................................................................5-59
Suggested Solutions and Consequences......................................................................5-60
Recommendation.........................................................................................................5-60
Change Decision.................................................................................................................5-60
Decision Criteria..........................................................................................................5-60
Decision and Rationale................................................................................................5-61
Change Status List..............................................................................................................5-61
Evaluation......................................................................................................................................5-61
Evaluation Specification Product Configuration................................................................5-62
Evaluation Object........................................................................................................5-62
Evaluation Criteria.......................................................................................................5-62
Evaluation Report Product Configuration...........................................................................5-62
Evaluation Results.......................................................................................................5-63
Analysis of Results and Proposals for Corrective Actions..........................................5-63
Evaluation Specification Document....................................................................................5-63
Evaluation Report Document..............................................................................................5-64
Evaluation Specification Process........................................................................................5-65
Evaluation Report Process..................................................................................................5-65
Evaluation Specification Usability......................................................................................5-66
Evaluation Strategy......................................................................................................5-67
Evaluation Cases..........................................................................................................5-67
Protective Measures.....................................................................................................5-68
Evaluation Environment..............................................................................................5-68
Allocation of Evaluation Cases....................................................................................5-68
Evaluation Report Usability................................................................................................5-68
Evaluation Specification System Element..........................................................................5-70

Evaluation Procedure System Element...............................................................................5-72
Evaluation Report System Element....................................................................................5-73
Evaluation Specification Delivery......................................................................................5-75
Evaluation Report Delivery................................................................................................5-76
Qualification Record...........................................................................................................5-77
Necessity and Allocation of Qualifications.................................................................5-77
Listing of Qualifications..............................................................................................5-77
Acquisition and Contracting........................................................................................................5-78
RFP Concept.......................................................................................................................5-78
Overview and Evaluation of Alternatives....................................................................5-79
Selection of a RFP Concept.........................................................................................5-79
Request for Proposal - Organization and Guidelines...................................................5-79
Distribution List...........................................................................................................5-79
Request for Proposal...........................................................................................................5-79
General Remarks on the Request for Proposal............................................................5-80
Annex 1: Requirements Regarding the (Sub-)System.................................................5-80
Annex 2: Directives for the Project Manual (Supplier)...............................................5-80
Annex 3: Directives for the QA Manual (Supplier).....................................................5-80
Criteria Catalog for Assessment of Offers..........................................................................5-80
Offer (Supplier)...................................................................................................................5-81
General Clauses and Conditions..................................................................................5-20
Offer - Legal and Commercial Clauses and Conditions..............................................5-20
Annex 1: Specification of Services..............................................................................5-20
Annex 2: Offer-Relevant Parts of the Project Manual (Supplier)................................5-20
Annex 3: Offer-Relevant Parts of the QA Manual (Supplier).....................................5-21
Offer Assessment................................................................................................................5-82
Offers Received...........................................................................................................5-82
Assessment of Offers...................................................................................................5-82
Acceptance of an Offer................................................................................................5-82
Contract...............................................................................................................................5-83
Contract - Legal and Commercial Clauses and Conditions.........................................5-83
Annex 1: Requirements Regarding (Sub-)System.......................................................5-84

Annex 2: Contract-Relevant Parts of the Project Manual (Supplier)..........................5-84

Annex 3: Contract-Relevant Parts of the QA Manual (Supplier)................................5-84
Contract Addendum............................................................................................................5-84
Delivery (Supplier).............................................................................................................5-85
Statement of Acceptance.....................................................................................................5-85
Evaluation of Delivery.................................................................................................5-85
Annex: Evaluation Report Delivery............................................................................5-86
Requirements and Analyses..........................................................................................................5-86
.............................................................................................................................................5-86
Initial Situation............................................................................................................5-87
General Conditions and Constraints............................................................................5-87
Project Objectives, Opportunities and Risks...............................................................5-87
Planning.......................................................................................................................5-87
Economic Efficiency....................................................................................................5-87
Project Proposal..................................................................................................................5-87
Initial Situation............................................................................................................5-88
General Conditions and Constraints............................................................................5-89
Project Objectives and System Concepts.....................................................................5-89
Opportunities and Risks...............................................................................................5-89
Planning.......................................................................................................................5-90
Economic Efficiency....................................................................................................5-90
Requirements Specification Overall Project.......................................................................5-90
Functional Requirements.............................................................................................5-91
Non-Functional Requirements.....................................................................................5-91
Outline of the Life Cycle and the Overall System Architecture..................................5-91
Levels...........................................................................................................................5-91
Scope of Delivery Overall Project...............................................................................5-91
Acceptance Criteria......................................................................................................5-91
Evaluation of the Overall Project Requirements Specification..........................................5-92
Evaluation Criteria Overall Project..............................................................................5-92
Evaluation Results Overall Project..............................................................................5-92
Requirements Specification................................................................................................5-92
Functional Requirements.............................................................................................5-94
Non-Functional Requirements.....................................................................................5-94
Outline of the Life Cycle and the Overall System Architecture..................................5-94
Levels...........................................................................................................................5-95
Scope of Delivery........................................................................................................5-95
Acceptance Criteria......................................................................................................5-95
Requirements Evaluation....................................................................................................5-96
User Tasks Analysis............................................................................................................5-97
User Profiles................................................................................................................5-97

Physical Operation Environment.................................................................................5-98

User Tasks....................................................................................................................5-98
Data Protection Concept.....................................................................................................5-98
Legal Foundations and Their Implementation...........................................................5-100
Origin and Purpose of Processing Personal Data......................................................5-100
System Survey and Protection Requirements............................................................5-100
Risks...........................................................................................................................5-100
Requirements and Measures......................................................................................5-100
Information Security Concept...........................................................................................5-101
Presentation of the Project and the Operational Environment...................................5-102
Protection Requirements............................................................................................5-102
System Architecture from an IT Security Point of View...........................................5-102
Information Security Requirements...........................................................................5-102
Information Security Measures..................................................................................5-103
Risks Remaining........................................................................................................5-103
Emergency Plan.........................................................................................................5-103
Standards for Verifying the Effectiveness of the Measures.......................................5-103
Safety and Security Analysis.............................................................................................5-103
Hazard Identification and Damage Classification.....................................................5-104
Post analysis and determination of relevance............................................................5-105
Safety and Security Measures....................................................................................5-105
Legacy System Analysis...................................................................................................5-106
System Outline...........................................................................................................5-106
Functional Overview..................................................................................................5-106
Interface and Dependency Analysis...........................................................................5-107
Data Model................................................................................................................5-107
Market Survey for Off-the-Shelf Products........................................................................5-107
Make-or-Buy Decision......................................................................................................5-108
Strategic Analysis.......................................................................................................5-110
Economic Analysis.....................................................................................................5-110
Evaluation of Off-the-Shelf Products.........................................................................5-111
Assessment and Result...............................................................................................5-111
System Elements..........................................................................................................................5-112
System...............................................................................................................................5-113
Enabling System................................................................................................................5-113
Segment.............................................................................................................................5-114
External Unit.....................................................................................................................5-114
Hardware Unit...................................................................................................................5-115
Software Unit....................................................................................................................5-116
Hardware Component.......................................................................................................5-116
Software Component.........................................................................................................5-117
External Hardware Module...............................................................................................5-118
Hardware Module..............................................................................................................5-118
External Software Module................................................................................................5-119
Software Module...............................................................................................................5-120
System Specifications..................................................................................................................5-120
Overall System Specification............................................................................................5-121
Initial Situation and Objectives..................................................................................5-122

Functional Requirements...........................................................................................5-122
Non-Functional Requirements...................................................................................5-123
Levels.........................................................................................................................5-123
Life Cycle Analysis and Overall System Architecture..............................................5-123
Interface Overview....................................................................................................5-123
Scope of Delivery......................................................................................................5-123
Acceptance Criteria....................................................................................................5-123
Requirements Tracing to Requirements Specification...............................................5-124
Requirements Tracing................................................................................................5-124
System Specification.........................................................................................................5-124
System Element Overview.........................................................................................5-125
Interface Specification...............................................................................................5-125
Interface Realization..................................................................................................5-126
Refining Non-Functional Requirements....................................................................5-126
External Unit Specification...............................................................................................5-127
System Element Overview.........................................................................................5-127
Acceptance Criteria and Receiving Evaluation Criteria............................................5-129
Hardware Specification.....................................................................................................5-129
Hardware Element Overview.....................................................................................5-130
Refinement of Non-Functional Requirements...........................................................5-132
Software Specification......................................................................................................5-132
Software Element Overview......................................................................................5-133
Refinement of Non-Functional Requirements...........................................................5-134
External Hardware Module Specification.........................................................................5-135
External Hardware Module Overview.......................................................................5-136
External Software Module Specification..........................................................................5-138
External Software Module Overview........................................................................5-139
System Design..............................................................................................................................5-140
System Architecture..........................................................................................................5-140

Architectural Principles and Design Alternatives......................................................5-142

System Decomposition..............................................................................................5-142
Overall System Characteristics..................................................................................5-142
Overall Data Catalog.................................................................................................5-143
Design Evaluation......................................................................................................5-143
System Elements to be Specified...............................................................................5-143
Enabling System Architecture...........................................................................................5-144
Enabling System Decomposition...............................................................................5-145
Overall System Characteristics..................................................................................5-145
Overall Data Catalog.................................................................................................5-145
System Elements to be Specified...............................................................................5-145
Man-Machine Interface (Style Guide)..............................................................................5-146
Design Principles and Alternatives............................................................................5-146
Identification and Structure of Operation Elements..................................................5-147
Design Rules for Operation Elements.......................................................................5-147
Hardware Architecture......................................................................................................5-147
Hardware Unit Decomposition..................................................................................5-148
Data and Signal Catalog............................................................................................5-149
Hardware Elements to be Specified...........................................................................5-150
Software Architecture.......................................................................................................5-150
Software Unit Decomposition...................................................................................5-151
Data Catalog..............................................................................................................5-152
Software Elements to be Specified............................................................................5-152
Database Design................................................................................................................5-152
Logical Data Model...................................................................................................5-153
Physical Data Model..................................................................................................5-153
System Implementation, Integration and Evaluation Concept..........................................5-153
Realization Procedures and Environment..................................................................5-155
Integration Procedures and Integration Plan..............................................................5-156
Installation Procedures and Target Environment.......................................................5-156
Evaluation Procedures and Strategy..........................................................................5-156
System Elements to be Evaluated..............................................................................5-156
Safety and Security Relevant System Elements and Safety and Security Measures.5-157
Enabling System Implementation, Integration, and Evaluation Concept.........................5-157
Realization Procedures and Environment..................................................................5-158
Installation Procedures and Target Environments.....................................................5-158

System Elements to be Evaluated..............................................................................5-159

Safety and Security Relevant System Elements and Safety and Security Measures.5-159
Hardware Implementation, Integration and Evaluation Concept......................................5-159
Realization Procedures and Environments................................................................5-160
Hardware Elements to be Evaluated..........................................................................5-162
Safety and Security Relevant Hardware Elements and Safety and Security Measures
...................................................................................................................................5-162
Software Implementation, Integration and Evaluation Concept.......................................5-162
Realization Procedures and Environments................................................................5-164
Software Elements to be Evaluated...........................................................................5-165
Safety and Security Relevant Software Elements and Safety and Security Measures
...................................................................................................................................5-165
Migration Concept............................................................................................................5-165
Migration Overview...................................................................................................5-166
Migration Strategy.....................................................................................................5-166
Rollback Strategy.......................................................................................................5-167
Data Migration...........................................................................................................5-167
Migration Plan...........................................................................................................5-167
Logistic Elements........................................................................................................................5-167
Training Documentation...................................................................................................5-168
Curriculum.................................................................................................................5-168
Instructor Documentation..........................................................................................5-169
Participants Dokumentation.......................................................................................5-169
Execution Record.......................................................................................................5-170
In-Service Documentation................................................................................................5-170
Warning Statements and Notes of Caution................................................................5-170
System Scope and Functionality................................................................................5-171
Installation and Operation..........................................................................................5-171
Preventive Maintenance Instructions.........................................................................5-171
Maintenance Documentation............................................................................................5-171
Maintenance Plan.......................................................................................................5-172
Maintenance Instructions...........................................................................................5-172
Repair Documentation......................................................................................................5-173
Diagnosis Instructions................................................................................................5-173
Repair Instructions.....................................................................................................5-173
Spare Parts Catalog...........................................................................................................5-174
List Section................................................................................................................5-174
Illustrated Section......................................................................................................5-174
Logistic Support Documentation......................................................................................5-174
Logistic Conception.....................................................................................................................5-175
Logistic Support Specification..........................................................................................5-175
Initial Situation..........................................................................................................5-176

Logistic Requirements...............................................................................................5-176
Refinement of the Logistic Requirements.................................................................5-176
Logistic Support Concept..................................................................................................5-177
Directives and General Conditions............................................................................5-178
System Architecture...................................................................................................5-178
Logistic Support Alternatives and Comparative Evaluation......................................5-178
Logistic Support Design............................................................................................5-179
Logistic Resources Cooperation................................................................................5-180
Establishment of Logistic Supportability and Introduction into Service...................5-180
Disposal.....................................................................................................................5-180
Logistic Calculations and Analyses..................................................................................5-181
Process Improvement..................................................................................................................5-182
Assessment of a Process Model........................................................................................5-182
Objectives and Management Support........................................................................5-183
Strengths and Weaknesses Profile.............................................................................5-183
Improvement Measures..............................................................................................5-183
Process Model Improvement Concept..............................................................................5-183
Objectives and Management Support........................................................................5-184
Requirements.............................................................................................................5-185
Realization Concept...................................................................................................5-185
Piloting Concept........................................................................................................5-185
Organization-Specific Process Model...............................................................................5-185
Process Descriptions..................................................................................................5-186
Metrics Catalog..........................................................................................................5-186
Experience Base.........................................................................................................5-188
Training Concept.......................................................................................................5-188
Training Documentation............................................................................................5-189
Organization-specific Directives and Informations...................................................5-190
Product Templates......................................................................................................5-190

7 Product Index (alphabetically) 5-229
7 Product Index (alphabetically)
Assessment of a Process Model..................................................................................................5-182

Assessment of Request for Proposal............................................................................................5-18
Change Decision............................................................................................................................5-60
Change Status List........................................................................................................................5-61
Commercial Project Status Report..............................................................................................5-50
Contract.........................................................................................................................................5-83
Contract (Acquirer)......................................................................................................................5-21
Contract Addendum......................................................................................................................5-84
Contract Addendum (Acquirer)..................................................................................................5-21
Criteria Catalog for Assessment of Offers..................................................................................5-80
Database Design..........................................................................................................................5-152
Data Protection Concept...............................................................................................................5-98
Delivery..........................................................................................................................................5-22
Delivery (Supplier)........................................................................................................................5-85
Enabling System..........................................................................................................................5-113
Enabling System Architecture....................................................................................................5-144
Enabling System Implementation, Integration, and Evaluation Concept.............................5-157
Estimation......................................................................................................................................5-36
Evaluation of the Overall Project Requirements Specification................................................5-92
Evaluation Procedure System Element.......................................................................................5-72
Evaluation Report Delivery..........................................................................................................5-76
Evaluation Report Document.......................................................................................................5-64
Evaluation Report Process...........................................................................................................5-65
Evaluation Report Product Configuration.................................................................................5-62
Evaluation Report System Element.............................................................................................5-73
Evaluation Report Usability.........................................................................................................5-68
Evaluation Specification Delivery................................................................................................5-75
Evaluation Specification Document.............................................................................................5-63
Evaluation Specification Process.................................................................................................5-65
Evaluation Specification Product Configuration.......................................................................5-62
Evaluation Specification System Element...................................................................................5-70
Evaluation Specification Usability...............................................................................................5-66
External Hardware Module........................................................................................................5-118
External Hardware Module Specification................................................................................5-135
External Software Module..........................................................................................................5-119
External Software Module Specification...................................................................................5-138
External Unit................................................................................................................................5-114
External Unit Specification........................................................................................................5-127
Final Project Report......................................................................................................................5-55
Final Project Report (Supplier)...................................................................................................5-47
Hardware Architecture...............................................................................................................5-147
Hardware Component.................................................................................................................5-116
Hardware Implementation, Integration and Evaluation Concept.........................................5-159
Hardware Module.......................................................................................................................5-118

Hardware Specification..............................................................................................................5-129
Hardware Unit.............................................................................................................................5-115
Information Security Concept...................................................................................................5-101
In-Service Documentation..........................................................................................................5-170
Legacy System Analysis..............................................................................................................5-106
Life Cycle Cost Calculation..........................................................................................................5-42
Logistic Calculations and Analyses............................................................................................5-181
Logistic Support Concept...........................................................................................................5-177
Logistic Support Documentation...............................................................................................5-174
Logistic Support Specification...................................................................................................5-175
Maintenance Documentation.....................................................................................................5-171
Make-or-Buy Decision................................................................................................................5-108
Man-Machine Interface (Style Guide)......................................................................................5-146
Market Survey for Off-the-Shelf Products...............................................................................5-107
Measurement Data........................................................................................................................5-49
Meeting Document........................................................................................................................5-44
Metrics Analysis............................................................................................................................5-49
Migration Concept......................................................................................................................5-165
Offer...............................................................................................................................................5-19
Offer (Supplier).............................................................................................................................5-81
Offer Assessment...........................................................................................................................5-82
Organization-Specific Process Model........................................................................................5-185
Overall System Specification......................................................................................................5-121
Problem/Change Evaluation........................................................................................................5-59
Problem Report / Change Request..............................................................................................5-58
Process Model Improvement Concept.......................................................................................5-183
Product Configuration..................................................................................................................5-57
Product Library.............................................................................................................................5-56
Project Diary..................................................................................................................................5-47
Project Management Infrastructure...........................................................................................5-35
Project Manual..............................................................................................................................5-25
Project Plan....................................................................................................................................5-39
Project Progress Decision.............................................................................................................5-23
Project Proposal............................................................................................................................5-87
Project Status Report....................................................................................................................5-51
Project Status Report (Supplier).................................................................................................5-45
....................................................................................................................................................5-86
QA Manual.....................................................................................................................................5-33
Qualification Record.....................................................................................................................5-77
Quality Status Report...................................................................................................................5-54
Repair Documentation................................................................................................................5-173
Request for Proposal.....................................................................................................................5-79
Request for Proposal (Acquirer)..................................................................................................5-17
Requirements Evaluation.............................................................................................................5-96
Requirements Specification..........................................................................................................5-92
Requirements Specification Overall Project...............................................................................5-90
RFP Concept..................................................................................................................................5-78

7 Product Index (alphabetically) 5-231
Risk List.........................................................................................................................................5-37
Safety and Security Analysis......................................................................................................5-103
Segment........................................................................................................................................5-114
Software Architecture.................................................................................................................5-150
Software Component...................................................................................................................5-117
Software Implementation, Integration and Evaluation Concept............................................5-162
Software Module.........................................................................................................................5-120
Software Specification.................................................................................................................5-132
Software Unit...............................................................................................................................5-116
Spare Parts Catalog....................................................................................................................5-174
Statement of Acceptance...............................................................................................................5-85
Statement of Acceptance (Acquirer)............................................................................................5-23
System...........................................................................................................................................5-113
System Architecture....................................................................................................................5-140
System Implementation, Integration and Evaluation Concept...............................................5-153
System Specification....................................................................................................................5-124
Training Documentation.............................................................................................................5-168
User Tasks Analysis.......................................................................................................................5-97
Work Order...................................................................................................................................5-42

8 List of Figures
Abbildung 1: Legend for the Display of Structural Product Dependencies......................................5-7

Abbildung 2: Legend for the Display of Generative Product Dependencies....................................5-7
Figure 3: Project Disciplines ............................................................................................................5-8
Figure 4: Development Disciplines ..................................................................................................5-9
Figure 5: Organization Disciplines.................................................................................................5-10
Figure 6: Overview of Structural Product Dependencies ...............................................................5-11
Figure 7: Overview of the Generative »Product Dependency of Management Products ..............5-12
Figure 8: Overview of the Generative Product Dependencies at the Acquirer/Supplier Interface 5-13
Figure 9: Generating Product Dependencies for the Delivery/Acceptance in »System Development
Project (Acquirer/Supplier)........................................................................................................5-13
Figure 10: Overview of the System Development Product Dependencies ....................................5-15
Figure 11: Generative Product Dependencies for the Specification of Requirements....................5-16
Figure 12: Overview of the Generative Product Dependencies of the Organization-Specific Process
Model .........................................................................................................................................5-16
Figure 13: System Architecture Hierarchy ...................................................................................5-112
Figure 14: Logistic Support Hierarchy ........................................................................................5-168

Part 6: V-Modell Reference Activities
V-Modell® XT


Part 6: V-Modell Reference Activities 6-3
Table of Contents
1 Introduction..................................................................................................................................6-4
1.2 Audience.................................................................................................................................6-4
1.4 Notes Concerning the Display in the V-Modell Reference....................................................6-4
2 Overview of the Activity Model of the V-Modell.......................................................................6-6
3 Activities........................................................................................................................................6-9
3.1 Supply and Contracting..........................................................................................................6-9
3.2 Planning and Control............................................................................................................6-11
3.3 Reporting..............................................................................................................................6-32
3.4 Configuration and Change Management..............................................................................6-37
3.5 Evaluation.............................................................................................................................6-48
3.6 Acquisition and Contracting.................................................................................................6-62
3.7 Requirements and Analyses..................................................................................................6-66
3.8 System Elements................................................................................................................6-103
3.9 System Specifications.........................................................................................................6-108
3.10 System Design..................................................................................................................6-119
3.11 Logistic Elements.............................................................................................................6-146
3.12 Logistic Conception..........................................................................................................6-153
3.13 Process Improvement.......................................................................................................6-159
4 Activity Index (According to Disciplines)..............................................................................6-171
5 Activity Index (alphabetically)................................................................................................6-178
6 List of Figures...........................................................................................................................6-181

6-4 Part 6: V-Modell Reference Activities
1 Introduction

The »V-Modell Reference Activities will include - corresponding to the hierarchical activity model -
all activities and work steps of the »Discipline of the V-Modell. Within the framework of an activi-
ty, in particular the course of events of the individual work steps will be described. Thus, this V-Mo-
dell reference will contain a detailed instruction for the work on and preparation of the »Work Pro-
duct that are to be generated.
1.2 Audience
This V-Modell reference is intended in particular for all project staff members who participate in or
are responsible for the preparation of the V-Modell.

The V-Modell Reference will consist of the following chapters:
»Overview of the Activity Model of the V-Modell
This chapter will give a general account of the activities included in the V-Modell based on the
»Discipline.
»Activities
In this chapter the »Discipline and the included activities with their work steps will be described in
detail. The products on which work is done will be determined. For complex activities, finally, a
graphic description of the sequence of their realisation by means of »Work Steps will be provided.
»Activity Index (According to Disciplines)
This chapter will include a complete hierarchical listing of all disciplines, activities and work steps.
»Activity Index (alphabetically)
This chapter will include a complete alphabetic listing of all activities in the V-Modell.
»List of Figures
Here once more a clearly arranged listing of all figures included in the »V-Modell Reference Activi-
ties will be provided.
1.4 Notes Concerning the Display in the V-Modell Reference

The course of events of activities will be depicted in a graphical display in the form of an activity
diagram, if the execution of their work steps is connected in a more complex way or if it is not se-
quential. The structure of the activity diagrams will be shown in Figure 1. Work steps of activities
whose sequence of events is not depicted are intended to be executed sequentially in the order of
their definition..

1 Introduction 6-5
Figure 1: Representation of Activity Diagrams

2 Overview of the Activity Model of the V-Modell

In the V-Modell, activities will be hierarchically structured. The top level of the activity model will
be formed by the »Disciplines. Disciplines will classify the activities by content aspects and will
help to gain an overview of the activities of the V-Modell. In the V-Modell 13 disciplines will be de-
fined. The disciplines may be subdivided into the three areas project (management), development
and organisation. This classification is only used for the presentation within this chapter. The gra-
phic notation for activities and disciplines used in the following figures will be explained in the part
»Fundamentals of the V-Modell in the chapter »Process Modules.
In the V-Modell there will be a direct connection between activities and products, because each acti-
vity works on and finishes products. The grouping of products and activities, which is content-ori-
ented, will be provided by disciplines, which include the products and the associated activities.
Figure 2: Project Disciplines

Figure 2 shows the disciplines from the area Project. The discipline »Planning and Control includes
activities concerning the central project management functions. In this discipline, in particular the
central project management control loop will be defined and described. Supporting activities for the
generation of project reports and similar products will be combined in the discipline »Reporting.
The functions belonging to the management disciplines configuration and change management and

2 Overview of the Activity Model of the V-Modell 6-7
quality assurance will be described in the disciplines » Configuration and Change Management and
» Evaluation. Activities concerning in particular the implementation of acquirer projects will be in-
cluded in the discipline » Aquisition and Contracting. The same will be true for specific supplier ac-
tivities in the discipline »Supply and Contracting.
Figure 3: Development Disciplines

Figure 3 shows the developement disciplines. Activities used to define requirements and to analyse
various aspects of specific development disciplines will be brought together in the discipline » Re-
quirements and Analyses. The discipline »System Specifications includes the procedure for the de-
velopment of the technical requirements for and specifications of the system and its components.
Activities that describe the implementation of the specifications to technical solutions and concepts,
such as the preparation of the various architecture documents, will be brought together in the disci-
pline »System Design. The activities for the integration and realisation of the system components
will be included in the discipline » System Elements. Logistic support activities for the system will
be listed in the disciplines »Logistic Conception on the concept side and »Logistic Elements for the
realization and integration of logistic elements.

Figure 4: Organization Discipline

Figure 4 shows the organization discipline. The discipline »Process Improvement. The products of
the various disciplines will be described in detail in chapter »Products . The following sections will
provide a detailed summary of the activity structure of the V-Modell. In this context the activities
will describe the methodical procedure for the generation of the products.

3 Activities 6-9
3 Activities
3.1 Supply and Contracting

The »Discipline Supply and Contracting includes the work products and activities from the »Re-
quest for Proposal (Acquirer) to »Offer, »Contract (Acquirer), »Delivery and »Statement of Accep-
tance (Acquirer) . Supplier products frequently have counterparts on the side of the acquirer and
vice versa. Thus the work products »Request for Proposal (Acquirer), Contract (Acquirer), »Con-
tract Addendum (Acquirer) and »Statement of Acceptance (Acquirer) are duplicates of the acqui-
rer's originals. Conversely, this applies to the offer which is provided to the acquirer as duplicate of
the supplier's original.
The »Assessment of Request for Proposal is unique since it is conducted by the respective organiza-
tion before the V-Modell is applied and since it is used as basis for the decision to submitt a propo-
sal in the »Decision Gate »Project Approved.
3.1.1 Submitting an Offer

Work Product: Offer
Purpose
The aim of the activity »Submitting an Offer is to prepare the offer and to submit the »Offer to the
acquirer.
When the offer will be prepared, the solicitor will charge the team that prepares the offer with the
work required for the offer and track the performance of the work.
The topic »Suggested Technical Solution in the »Assessment of Request for Proposal will be app-
lied to specify and evaluate the performance characteristics both technically and with regard to the
expenditures, and to improve them in an iterative process. For this purpose, it may be necessary to
prepare a first preliminary draft of the system architecture. If External Units, External Hardware
Modules or External Software Modules are identified during this process, it may be necessary to
consider a make-or-buy decision for the first time. The resulting technical solution will be used as a
basis for the generation of the topics »Annex 1: Specification of Services and »Offer - Legal and
Commercial Clauses and Conditions.
After defining the delivery units and services and the »Annex 2: Offer-Relevant Parts of the Project
Manual (Supplier) and »Annex 3: Offer-Relevant Parts of the QA Manual (Supplier) a calculatory
evaluation of the offer can be performed.
At the same time the documents for the topic »General Clauses and Conditions will be compiled.
3.1.2 Concluding a Contract (Supplier)

Work Product: Contract (Acquirer)

Purpose
The aim of the activity »Concluding a Contract (Supplier) will be to obtain an attractive order when
the contract negotiations are finished.
In the contract negotiations, the Requirements Specification will be coordinated in order to achieve
a joint understanding, dissolve any discrepancies and proactively recognize gaps in the require-
ments. As a result, the contents of the »Offer may be modified. Therefore the »Contract (Acquirer)
that is entered will be checked for consistency with the »Offer and, if required, staffed in accor-
dance with the signature rules of the organization.
3.1.3 Concluding a Contract Addendum (Supplier)

Work Product: Contract Addendum (Acquirer)
Purpose
The aim of the activity »Concluding a Contract Addendum (Supplier) will be to adapt the »Contract
(Acquirer) to changing conditions, e. g. additional or changed requirements or new technical know-
ledge emerging in the course of the project.
These will require a »Contract Addendum (Acquirer) that is negotiated between user and supplier.
The procedure is analogous to the approach when »Concluding a Contract (Supplier).
3.1.4 Preparing and Making a Delivery

Work Product: Delivery
Purpose
The (partial) »Delivery will be compiled in accordance with the desired configuration of the delive-
ry items determined in the »Contract (Acquirer).
Transportation will be planned. If necessary, a transportation insurance will be effected and required
approvals are obtained. The relevant shipping documents will be prepared. It must be possible to
gather the configuration of the delivery items from the shipping documents so that the acquirer can
ascertain the completeness of the shipment. In addition a delivery or pickup date will be agreed with
the acquirer.
After the packaging of the delivery items together with the shipping documents, the transport of the
(partial) »Delivery will be arranged.
3.1.5 Obtaining the Statement of Acceptance (Supplier)

Work Product: Statement of Acceptance (Acquirer)
Purpose
When the acquirer has declared in the »Statement of Acceptance (Acquirer) that he approved the
(partial) »Delivery made by the supplier, the supplier also obtains a signed copy of the »Statement
of Acceptance (Acquirer).

3 Activities 6-11
If the acquirer rejects acceptance due to deficiencies, the supplier shall either prove the contractual
creation of the delivery items or eliminate the detected deficiencies within a fixed period.
The rejection of the acceptance may entail considerable consequences for both sides, such as agreed
contractual penalties.
3.2 Planning and Control

The »Work Products and »Activityies of the »Discipline »Planning and Control provide the funda-
ment for an ordered and repeatable project management. The discipline includes products for the
development of a project concept and for the project definition, like »Project Manual and »QA Ma-
nual, products for project planning, like »Project Plan and »Estimation, and products and activities
for controlling the project, like »Project Progress Decision and »Meeting Document .
3.2.1 Coming to a Project Progress Decision

Work Product: Project Progress Decision
Purpose
The project-specific decision gates agreed in the »Project Execution Plan in the »Project Manual
will define quality gates where a decision has to be made on the further execution of the project ba-
sed on the quality of the respective products that shall be submitted.
By submitting the respective products the project leader shall bring about a decision on the progress
of the project. In the V-Modell the minimum number of the products that have to be submitted shall
be explicitly defined by the number of decision gates. Deviations with regard to the products to be
submitted shall be agreed in the »Project Execution Plan in the »Project Manual.
The responsibility for the decision on the progress of the project lies with the management above
project level (»Executive or »Steering Committee ) and should be made in coordination with the
project. This is usually done in a meeting.
Prior to this meeting at first the products of the decision gate to be discussed shall be submitted to
the decision-makers. For the meeting, an agenda shall be drawn up, and the decision-makers shall
be invited. In the course of the meeting, the already achieved project results and - if required - deci-
sion submittals shall be presented, a decision on the progress of the project has to be made, and the
project progress shall be recorded. In the follow-up to this meeting the recorded project decision
shall be sent once again to the decision makers for reasons of documentation (see Figure 5)].
The decision shall be documented in the product »Project Progress Decision. At this point frame-
work conditions for the project may be formulated that will be adopted at the next project stage.
Should the project progress decision be negative, it shall be determined in the individual case, whe-
ther the product models of the decision gate have to be resubmitted or if the project has to be funda-
mentally re-established or even completely abandoned.

Activity Flow
Figure 5: Activity Diagram "Coming to a Project Progress Decision"
3.2.2 Preparing the Project Manual

Work Product: Project Manual
Purpose
The »Project Manual will be used to determine the organizational framework conditions for all par-
ticipants in the project. In particular for new team members the project manual will serve as lead-in
document and information source. An important part of the project manual will be determining the
manner in which the V-Modell is used in the project.

3 Activities 6-13
The preparation of the »Project Manual will be part of the initialization of the project. However, if
the framework conditions change in the course of the project, then the »Project Manual will have to
be updated.
When the Project Manual is prepared, first the application profile shall be determined and analyzed.
Project-Specific adaptations shall be made to thus determine a suitable project execution strategy.
Then the project execution has to be planned and coordinated with all stakeholders in the project.
This approach may be repeated until the coordination is accomplished. Then the project kick-off
will be initiated (see Figure 6).

Activity Flow
Figure 6: Activity Diagram "Preparing the Project Manual"

3 Activities 6-15
3.2.2.1 Preparing and Analyzing an Application Profile

Subject: Project Manual: Project-Specific V-Modell
The project-specific adaptation of the V-Modell, the so-called »Tailoring, will be limited to selec-
ting the »Project Type and - based on this - a suitable »Project Type Variant. This selection leads to
the specification of mandatory »Process Modules and possible approaches for the development of a
»Project Execution Strategy. In addition, there are project characteristics, which enable the selection
of optional process modules. When the project manual will be prepared, it usually will not be ne-
cessary to select or cancel individual activities and products. The project-specific » Product Instan-
ces and the »Activity Instance will be determined when drawing up the »Project Plan (see activity
»Planning Project ).
The first step in determining the mandatory number of process modules to be used for the project or
the suitable project execution strategy will be to prepare an »Application Profile: The application
profile will characterize the project with regard to the »Project Characteristic specified by the V-
Modell. For each of these project characteristics fixed values will be specified from which a selecti-
on has to be made. An example of an application profile can be found in the Part »Fundamentals of
the V-Modell in the Chapter »Tailoring. The complete listing of the project characteristics and their
possible values for the characterization of »V-Modell Projects are found in the »V-Modell Refe-
rence Tailoring.
The second step will consist of the analysis of the application profile. The »Project Execution Strat-
egy follows from the Tailoring process. The selection of a project type and - afterwards - the selecti-
on of a project type variant specify a framework sequence for the project. Project characteristics
may provide additional variations for the sequence, e.g., within the scope of a sub-contract award.
Thus the concrete project execution strategy is determined after project type and project type variant
have been selected and a value has been assigned to all project characteristics.
3.2.2.2 Realizing Project-Specific Adaptation

The project-specific »Project Execution Strategy may also consist of a combination of the se-
quences determined within the framework of the application profile. A system may be developed,
for example, in accordance with the »Incremental System Development, while an integration pro-
ject may be simultaneously executed with prefabricated components in accordance with »Compo-
nent-Based System Development.
Furthermore, additional process modules will have to be added to those »Process Modules whose
use is mandatory as far as this is considered appropriate. For this purpose the »V-Modell Reference
Tailoring will include a list of the process modules of the V-Modell. In this reference, also the pur-
pose of the individual process modules will be explained.

If process modules are added, then the dependencies of the process modules will have to be consi-
dered. If a process module is selected, then also additional process modules in the topic »Project-
Specific V-Modell may have to be considered. Possible dependencies are shown in the »Process
Module Map in the »V-Modell Reference Tailoring.
Certain process modules will require the selection of further process process modules. This will be
described using the relations "Muss gewählt werden" ("Has to be selected") or "Mindestens einer
muss gewählt werden" ("At least one has to be selected"). Contrary to this, there will be also pro-
cess modules that are used alternatively: They will never be used together in a project.
If for example the process module "System Security" is to be additionally included in the project-
specific V-Modell, then either the process module "Specification of Requirements" or at least one of
the process modules "System Realization", "SW Development" or "HW Development" will also
have to be included. If for example the decision is made to include "SW Development", then in any
case also "System Realization" will have to be used in the project.
3.2.2.3 Planning Project Execution

Subject: Project Manual: Project Execution Plan
The project-specific »Decision Gates will emerge in the context of a V-Modell-project from the se-
lected »Project Execution Strategy. Depending on the project, decision gates will be scheduled in
the form of milestones. This will be exemplarily shown in the Part »Fundamentals of the V-Modell,
and there in Chapter »Project Planning. Depending on the selected project execution strategy, cer-
tain decision gates may be project specifically passed through several times.
All decision gates described in the V-Modell shall be scheduled. When making each »Project Pro-
gress Decision, the products assigned to a decision gate shall be submitted to the »Steering Commit-
tee (see activity »Coming to a Project Progress Decision). It will not be necessary to fix target dates
for all decision gates as soon as the project starts. Detailed planning may be done in the »Project
Plan while the project is under way. However, the sequential order of the decision gates according
to the selected project execution strategy shall be observed. In this process it should be attempted to
distribute the target dates for the decision gates evenly over the duration of the project.
It must always be possible to verify decision gates using objective criteria, and they will therefore
be linked to the completion of products. The decision gates of the V-Modell will specify in each
case the number of V-Modell products that willhave to be submitted. When defining the project-
specific decision gates, the »Work Products of the V-Modell shall be listed in the project execution
plan, since it is often impossible to provide a detailed definition of the concrete »Product Instances
at the start of the project. For planning the product specimens related to the decision gates the »Pro-
ject Plan shall be used.
When planning the products of the decision gates, deviations from the specifications laid down in
the V-Modell may occur. It may be agreed upon that at the individual decision gates instead of all
products required in the V-Modell only part of them has to be submitted. »Project Status Reports,
however, shall be submitted for each decision gate.

3 Activities 6-17
3.2.2.4 Coordinating the Project Manual with all Stakeholders

The »Project Manual will be prepared specifically for each project, taking into account the frame-
work conditions applicable to the project. Special attention will be directed to the coordination with
all internal and external parties involved in the project (stakeholders). In case of a supplier project,
participation of the acquirer shall be clarified. All project members shall be informed as openly as
possible about the contents of the project manual.
3.2.2.5 Preparing and Performing Project Kick-Off

Within the framework of the project kick-off, the »Project Leader will call a constituent meeting
with all stakeholders and inform them about the task, type, scope and target date situation of the
planned project.
Kick-off events will be used for informing and motivating the project team and for internal project
marketing. Included in a kick-off event may be the presentation of background information and al-
ready performed work and the introduction of future tasks. It may also be used to jointly find a stra-
tegy.
3.2.2.6 Performing Project-Specific Adaption during Project Execution

In the course of the project it may turn out that the project-specific V-Modell developed at the start
of the project will have to be adapted to different framework conditions or new findings in order to
guarantee an effective and efficient execution of the project. This adaptation may be achieved with
the help of dynamic »Tailoring.
If, for example, hardware components are identified that must be developed within the framework
of system design, the topic »Project-Specific V-Modell will have to be complemented by the »Pro-
cess Modules »Hardware Development or »Delivery and Acceptance (Acquirer).
These relations concerning the number of process modules that will have to be used and thus the
»Tailoring will be explicitly described by the V-Modell in the form of tailoring-related product de-
pendencies. Tailoring-related product dependencies will always refer from the product that influ-
ences the »Tailoring (e. g. the "system architecture"), to the »Project Manual. The »V-Modell Refe-
rence Tailoring will include in Chapter »Tailoring-Related Product Dependencies a summary of the-
se relations.
Changes of the originally realized »Application Profile - i. e. adding or removing process modules -
or changes concerning the originally agreed process modules whose use is mandatory, shall be coor-
dinated with the »Steering Committee.

Changes in the topic »Project-Specific V-Modell may entail changes of the product templates of the
V-Modell. This option is available, because process modules may add topics to the products of other
process modules. Thus in rare cases the topic structure of an already finished »Product Instance may
change. Whether in this case the product model will have to be completely revised, will have to be
decided in the individual case.
3.2.3 Preparing the QA Manual

Work Product: QA Manual
Purpose
Starting from the existing quality-relevant specifications the quality targets to be pursued, the QA
measures and the test items will be determined. The documents, processes and system elements that
will be subjected to formal testing are called test items. It also will be defined how the receiving in-
spection and the final inspection of products will have to be performed.
Specifications for these definitions may be described in the project task or in the user requirements.
To be able to list and formulate all definitions in the project manual completely and accurately,
coordination between the person in charge of quality assurance and the project management will be
required. Furthermore, the feasibility of the QA measures under the given project conditions shall
be coordinated with project management.
3.2.3.1 Determining Quality Goals and Requirements

For all quality requirements of the acquirer, which can be implemented in the project task and
which are defined in other documents (such as the project specification), binding quality targets for
the project that can be implemented shall be determined and formulated. Subsequently measures
shall be defined that make it possible to use measurements to verify when the quality targets have
been achieved. The measures taken to improve quality may be both engineering and analytical mea-
sures. Engineering measures will include all activities that improve the creation process. Analytical
measures will determine the appropriate test measures for achieving the quality targets.
3.2.3.2 Determining the Scope of Evaluations

Subjects: QA Manual: Products to Be Evaluated, QA Manual: Processes to Be
Evaluated
When determining the scope of evaluation, both the »Products to be evaluated and the processes to
be evaluated shall be identified.
The products to be evaluated are a selection of all products to be created in the project, which shall
be subjected to formal evaluation. This may be for example »Segments, »Software Units or »Soft-
ware Architectures. Even if products are not designated for formal evaluations, the originator him-
self is required to perform an evaluation.

3 Activities 6-19
Compared to the above described procedures, the in-process evaluation of of a project shall evaluate
those products that guarantee conformity with the processes, methods or standards described in the
topic »Processes to Be Evaluated. The criteria required for evaluating the conformity with the V-
Modell are described in »V-Modell XT Compliance Test. To ensure conformity with AQAP,
CMMI®, ISO 15288, »ISO 9001:2000 and the V-Modell 97, the products to be tested were already
described under »Mapping to Standards.
3.2.3.3 Determining Organization and Directives

The specifications with regard to organization and quality assurance approach shall be determined
in this subactivity in the »QA Manual. In this context for example the powers of quality assurance
with regard to pursuing and enforcing quality assurance targets shall be defined. For project control,
measures to correct or solve »Quality Problems in the course of the project shall be determined.
These measures and their state in the course of the project shall be documented in the »Quality Sta-
tus Reports.
If products are to be delivered to the acquirer, then criteria for the final inspection have to be deter-
mined. This may involve for example the following aspects:
● Completeness: Are all components specified in the contract included or does a delivery note
exist?
● Sufficient documentation: Are all documents and descriptions included or are all required la-
bels (barcodes) of data carriers available?
● Completion of the inspection measures: Have all agreed inspection measures been success-
fully completed?
As far as off-the-shelf products will be used, it has to be ensured that the quality of these products
will satisfy the operational requirements and that an integration into the system that is to be realized
will be possible. For this purpose appropriate inspection measures shall be defined.
In the case that a »Sub-Supplier is to be hired, the quality specifications that apply to him will have
to be determined. The subcontractor shall comply with and document these specifications when
creating his products.
3.2.4 Establishing and Maintaining a Project Management Infrastructure

Work Product: Project Management Infrastructure
Purpose
Within the framework of project initialization the »Project Management Infrastructure shall be esta-
blished. The establishment and maintenance of the »Project Management Infrastructure is the pre-
condition for the start and performance of the actual project work.

3.2.5 Performing an Estimation

Work Product: Estimation
Method Reference: Estimation Models
Tool reference: Project Planning
Purpose
At the start of a project a rough estimate shall be made. The aim of the rough estimate is to determi-
ne expenditure data for the initial planning that are required for example to prepare a competitive
»Offer. In the course of the project then several detailed estimates will be made, for example at each
decision gate Iteration Scheduled, where the following iteration is planned in detail. The aim of this
detailed estimates is to obtain more detailed expenditure data for the planning process. In this case
the size of the estimate objects will be smaller and the objects will be described in more detail than
in the rough estimate.
If in the course of the project marked deviations from the determined estimates emerge, then a new
estimate of the remaining expenditures will be made to be able to adapt the plan.
At the end of the project a planned/actual comparison shall be made to examine how much the
»Estimations deviated from the actual expenditures. These results will be be used to improve the
methodology for the estimates and as empirical values for follow-on projects.
3.2.5.1 Determining Estimation Methodology and Objects

At the start of the »Estimation a suitable estimation method for the Estimation of the Scope and the
Estimation of Effort shall be selected.
In literature a large number of estimation methods is described. The most suitable depends on the
time of the estimation and the type of the estimation objects. Detailed information about the me-
thods can be found in literature.
It may be practical to combine the different estimation methods. For example one option will be a
mixture of the following three estimation methods:
● determine the estimations for most of the estimation objects in a closed estimation meeting,
● derive the remaining estimation objects with the help of the percentage method,
● use COCOMO to perform a plausibility check.
Irrespective of the selected methodology, the estimation objects will have to be determined before
the estimation and characterized as accurately as possible. By providing empirical values from pre-
vious comparable projects, the accuracy of the estimation will be markedly improved.

3 Activities 6-21
3.2.5.2 Determining Estimations

Practical experience shows that Estimations of Effort are significantly better, if the scope of the esti-
mation object is known in detail. Therefore, first an »Estimation of the Scope and then, on this ba-
sis, an Estimation of Effort has to be made.
The approach for determining the estimates and the group of persons involved in the »Estimation
depend on the estimation method.
3.2.5.3 Consolidating Estimation Results

All results of the estimate shall be documented in the product »Estimation. Converting the expendi-
tures into costs will be the task of the commercial project management.
If required, a plausibility check shall performed with a different estimation method, e. g. by using
»Estimation Models.
After the »Estimation of Effort has been completed, the estimates shall be compared to the frame-
work schedule and the framework budget. In case of deviations usually the number or the extent of
the requirements will have to be reduced and the estimate will have to be adjusted until the feasibili-
ty can be guaranteed. In this process will not be permitted, however, to reduce expenditures whole-
sale and/or to cut quality assurance measures.
3.2.6 Managing Risks

Work Product: Risk List
Purpose
Risk management should be performed prophylactically and periodically in regular time intervals
which should be as short as possible. The results shall be documented in the »Risk List. Risk mana-
gement will include the following steps:
● Identifying and assessing risks and planning measures,
● Monitoring risks and keeping track of the effectiveness of the measures.
3.2.6.1 Identifying Risks and Measures

Subjects: Risk List: Identified Risks, Risk List: Risk Mitigation Measures
Within the scope of risk management risks will be identified and assessed and actions will be plan-
ned that can be used to react on already identified risks. These activities will be subsequently des-
cribed.

Identifying Risks
Possible new project risks will have to be identified continuously, i. e. periodically and/or depen-
dent on events, during the duration of the project, e. g. at the project start, at milestones or when a
new phase is entered. For identifying risks at a specific time, risk workshops have proven their va-
lue. In these workshops use should be made of the know-how of experts and of the lessons learned
from earlier projects. To cover the whole spectrum of potential risks in these workshops, ques-
tionnaires will be used. Those are subdivided into different ranges of topics and problems, such as:
● System / Technology to be Developed.
○ Are the requirements to be met by the system stable, clear and feasible?
○ Does the system have precise interfaces?
○ Is the system testable?
○ Is a new technology used?
● Processes / Activities / Documents
○ Is the development process defined and appropriate?
○ Are the participants in the process appropriately trained for their activities?
○ Do all participants in the project know the sequences, the activities and the expected re-
sults?
○ Are the planned target dates realistic?
● Organization / Work Environment
○ Is the staff large enough to handle the project?
○ Is the required budget available?
○ Are there dependencies on »Sub-Suppliers?
○ Are the required development environments available?
Identified risks shall be documented in the »Risk List.

3 Activities 6-23
If the scope of risk management also includes considering the chances (see the »Project Manual), in
addition to the risks also the chances may be identified and documented in the »Risk List. In this
context chances may be treated analogous to risks. In the following we will therefore just talk of
risks.
Assessing Risks
For each identified risk the probability that it will arise (»Risk Probability) and in case the risk ari-
ses the amount of damage (»Risk Damage) will have to be assessed, and from that the »Degree of
Risk shall be calculated. It will then be sufficient to provide orders of magnitude for the risk proba-
bility and the effects of the risk. Based on the risk measure and on experience, the risk will be assi-
gned to a »Risk Class. The results should be included in the »Risk List.
Planning Actions
To be able to react on the identified risks before they become a problem for the project, it will be
necessary to define countermeasures and determine persons in charge and also to plan resources and
target dates for the implementation of these actions. Depending on the risk class, one round of the
planning process shall be used for making the following decisions and for planning the correspon-
ding actions:
● Risk avoidance: It will be necessary to plan and immediately initiate preventive measures,
such as technology changes.
● Risk mitigation or reduction of the risk to a minimum: Situation-dependent actions, such as

alternate plans, will have to be defined. For this purpose »Triggers, such as schedule slippa-
ge or additional costs, shall to be determined. When they occur, the implementation of these
actions shall be started.
● Risk transferral or sharing: Here the risk will have to be shared among different partners or
completely transferred to others. For the transferral of the liability for a risk usually a premi-
um will have to be paid to the organization that assumes the liability. Another option will be
money reserves, e. g. for contract penalties. However, actions should be planned only for the
remaining residual risk.
● Risk acceptance: In this case deliberately no measures should be planned, and in case the
risk occurs, its consequences should be taken. This makes sense for example if the resources
required for the countermeasures exceed the remaining level of damage. Therefore the »Re-
sidual Risk remaining after an action will have to be determined with the help of »Risk Pro-
bability, »Risk Damage, »Degree of Risk and »Risk Class data. The resources required for
the implementation of the action should not exceed the difference between the amount of
risk and the amount of the remaining risk. In case countermeasures will be dispensed with, it
shall be checked whether money reserves, e. g. for contract penalties, shall be set aside.

Planning data for agreed countermeasures shall be documented in the »Risk List and included in the
»Project Plan and the cost estimate.
3.2.6.2 Monitoring Risks and Measures

Subjects: Risk List: Identified Risks, Risk List: Risk Mitigation Measures
The state of the risks and the success of the actions that will be initiated to eliminate the risks shall
be assessed regularly with regard to their success and, if necessary, corrected. In this process chan-
ges in risk probability and risk damage shall be estimated for all risks. This may lead to a change in
»Risk Class. Risks that are no longer relevant shall be removed from consideration. Planned coun-
termeasures, in particular for risks for which the risk class has been reduced, shall be reviewed.
The »Triggers for initiating the actions shall be monitored and, if necessary, actions triggered.
In critical situations risks shall be reported in time to the management. Reporting on the current risk
state will be an integral component of the »Project Status Report.
In case a risk occurs, usually crisis management will be required. For predictable risks it will be
possible to fall back on preplanned actions. If the risk has not been identified yet, the damage will
have to be limited. With regard to documentation, reporting and monitoring, these risks shall be
handled just like risks that were identified early.
3.2.7 Planning Project

Work Product: Project Plan
Method Reference: Project Planning and Control
Purpose
Planning is the preparation of future actions. Planning means to decide in advance how an objective
is to be reached - i. e. what is to be done when and by whom. The aim of this activity is to plan the
products, the necessary activities, the resources and the target dates for the project.
In this activity the approach initially will require planning the project execution. This will be follo-
wed by planning the decision gates and, in the next step, the product and activity structure. On the
basis of this finally the work packages will have to be defined and also integrated into the plan. Par-
allel to this sequence process testing shall be planned, and finally the project plan shall be coordina-
ted with the stakeholders (see Figure 7).
Since the future course of the project can be predicted only with some uncertainty, and since the ac-
tual sequence can adjust itself only to a limited degree to the planned sequence, a repeated revision
of the project planning will be rather the norm than the exception. The activity »Planning Project is
an ongoing activity that extends from project initialization to the end of the project. Project planning
will have to be initialized at the start of the project and updated iteratively in the further course of
the project. Each revision of the »Project Plan shall be completed at least when the project-specific
decision gates are reached. The revisions shall also be included in the »Project Plan.

3 Activities 6-25
Product structure, project structure, target dates, expenditures and resources will all be included in
the topic Integrated Planning of the »Project Plan.
Activity Flow
Figure 7: Improvement Measures "Planning a Project"
3.2.7.1 Planning Project Execution

Subject: Project Plan: Project Execution Plan

The already prepared contents of the topic »Project Execution Plan from the »Project Manual shall
be adopted and specified. While the »Project Manual will still not provide target dates for all »Deci-
sion Gates, at this point target dates for the further course of the project will have to be determined
as far as possible. Also the respective »Product Instances to be submitted for the individual decision
gates will have to be provided in full.
The schedule for the decision gates shall oriented according to the order of the decision gates in ac-
cordance with the selected »Project Execution Strategy. Plans shall be made at least for the next cy-
cle of the project execution strategy. In case of the project execution strategy »Project (Acquirer) In-
cluding Development, Enhancement or Migration for example at least one cycle from the decision
gate »System Specified to the decision gate »Acceptance Completed shall be planned. In case of in-
cremental development also the overall horizon of the planning must be determined, i. e. a schedule
must be established also for the additional decision gates »Acceptance Completed (there may be se-
veral of these points) and finally for the decision gate »Project Completed.
The »Project Execution Plan will be used as a management-oriented point of view of the Integrated
Planning. When using a computer-aided planning tool, an obvious solution will be to maintain the
Integrated Planning inside the tool and to generate the »Project Execution Plan as the quantity of all
decision gates from integrated planning.
3.2.7.2 Planning Products and Activities of the Decision Gates

Subject: Project Plan: Project Execution Plan
In the context of a V-Modell project the »Product Instances to be planned will be derived from the
»Product Types described in the V-Modell. In order to plan a »Decision Gate, all product specimens
to be submitted at the respective decision gates shall be scheduled in the »Project Execution Plan
depending on the project:
Certain products, such as the »Final Project Report, shall to be scheduled in the project so that they
are prepared once, other products, such as quality assurance products, shall to be scheduled several
times depending on the project. Rules for the project-specific elaboration of the products will be
provided by the product dependencies of the category »Generative Product Dependency of the V-
Modell.
Some Products, such as the »Project Plan itself, will be included in several decision gates. Their re-
vision and submission within the framework of the decision gates shall be scheduled several times.
Once the product specimens are determined, the activities that shall be executed and that lead to
their creation are derived from them on the basis of the V-Modell. They will be scheduled in the
»Project Execution Plan and in the topic Integrated Planning in a way that they will be completed
with the target date of the respective decision gate.
3.2.7.3 Planning Work Breakdown Structure


3 Activities 6-27
Within the scope of this activity also those activities will be planned in detail that are not used for
the creation of the »Product Instances that will have to be submitted in the project-specific »Decisi-
on Gates. In the planning process all activities will be taken into account that will be included in the
»Process Modules to be used in the project. The V-Modell therefore lives up to its character as a
checklist for the completeness of the planning process.
The detailed planning of the activities shall be made each time at least to the next decision gate. Wi-
thin the scope of the project not all product models that have to be created can be scheduled from
the beginning, since the existence of certain product models can be derived only from other product
specimens.
In development projects the structure of the system to be developed will have a decisive influence
on the »Project Plan . Certain activities, such as the realization of a software unit shall be scheduled
specially for each planned »Software Unit. The hierarchical arrangement of all components of a
system in a product work breakdown structure plan can be a methodical tool for the preparation of
the »Project Plan. In the product work breakdown structure plan the structure of the whole system
to be developed shall be included. The V-Modell, however, does not require a special topic for the
product work breakdown structure plan.
In the topic Integrated Planning not only the component of the system to be developed, but also ma-
nagement products shall be considered. For example, »Project Status Reports can be identified only
after the contents of the topic »Reporting and Communication Channels were determined for the
specific project in the »Project Manual. The »Project Manual itself may be scheduled and prepared
already at the start of the project and will be therefore listed from the beginning. In the V-Modell
these relations - when the existence of a product is specified by another product - will be described
explicitly by a product dependency of the category of Generative Product Dependencies.
When the product models were determined, they shall be allocated to the decision gates. If required,
product models may be allocated to several decision gates, and thus also several models may have
to be completed.
The V-Modell may be used to derive from the product models directly the activities to be scheduled,
because for each V-Modell product there is exactly one activity that completes it. In the topic Inte-
grated Planing the activities shall be scheduled in a way that they will be completed at the latest
with the target date of the decision gate. The following shall apply to the target date for the start of
each activity: An activity that will process a created product model must not start earlier than the ac-
tivity that will create the product model for the first time. In network planning terminology this is
thus a start-start action sequence.
If required, sub-activities also shall be included in the Integrated Planning process.
3.2.7.4 Planning Work Packages


The established product and »Activity Structure of the topic Integrated Planning will be used as a
basis for the »Estimation of Effort, sequencing and time scheduling, the assignment of tasks and re-
sponsibilities, cost planning and the tracking of costs parallel to the project.
This planning will be performed on the basis of »Work Packages. Since the individual activities of
the V-Modell, although they are important to the checklist, are too small for planning tasks, work
packages may be formed that combine several activities. Target dates or resources will then be allo-
cated in the topic »Integrated Planning on the basis of work packages. The work packages defined
in the topic »Integrated Planning will furthermore be an important basis for the communication in
the project.
To define the project-specific work packages, different structure types are conceivable, for example
based on
● the organizational units performing the work,
● the time sequence, i. e. based on »Project Section, or
● the logic according to which the activities match, i. e. for example corresponding to the dis-
ciplines of the V-Modell, such as system design, system realization and testing.
The following points will have to be considered when formulating the work packages:
● There must be only one responsible person for each work package.
● An unambiguous task description must be formulated for each work package, and it must
also be possible to check whether it was executed.
● Work packages should be self-contained work units with clear interfaces to other work
packages.
● The scheduled time required for the work should not be too long relative to the duration of
the project, because otherwise it is very difficult to control.
● How work packages are put together depends on the risks incurred. High-risk tasks have to
be broken down into smaller work packages than routine tasks.
3.2.7.5 Coordinating Project Plan with Stakeholders


3 Activities 6-29
Planning activities shall be coordinated with all external and internal participants, the so-called sta-
keholders. In addition to the involvement of the acquirer, it will be essential to coordinate target da-
tes and resources with the fields quality assurance, configuration management, system development,
and other projects concerned. In case of particularly critical target dates the approval of as many sta-
keholders as possible will have to be explicitly obtained and documented.
3.2.7.6 Planning Process Evaluations

Subject: Project Plan: Evaluation Plan Processes
All process testing shall planned. The planning should include both determining the tasks and the
responsibilities and identifying and determining the resources for the processes that will be formally
tested. In this context the specifications provided in the »QA Manual shall be considered. Planning
of the test shallbe coordinated with the project management and scheduled so that it is harmonized
with project progress. The approach to planning process testing should be as follows:
● Subsequently to the preparation of the QA manual, the resources for the processes to be tes-
ted should be listed and the tasks and responsibilities for the test should be defined.
● All process tests planned for formal testing in the QA manual shall tbe considered in the
planning from the beginning of the project. If further process tests are required in the course
of the project, planning should be extended accordingly.
3.2.8 Assigning a Work Order

Work Product: Work Order
Purpose
When placing work orders, different approaches are conceivable. A project-specific approach will
be determined in the »Project Plan in the topic »Project Management - Organization and Directives.
For placing work orders in large projects an obvious approach will be as follows:
»Work Packages defined in the project plan shall be placed as work orders. A »Work Order will in-
clude all necessary information required by internal or external staff members to fulfill their tasks.
The »Work Order shall be prepared at the start of a project and updated in the course of the project
each time when an internal or external team member will be newly charged. The work order shall
be placed in writing.
In smaller projects work orders shall be collected and managed exclusively in an action list. In these
projects meetings shall be used to agree and to place work orders and to check whether work is
done on them. Work orders in the form of action lists are mostly work orders where the expenditure
is a small number of man-days.
3.2.9 Performing Life Cycle Cost Calculation

Work Product: Life Cycle Cost Calculation
Method Reference: Cost-Benefit Analysis, Estimation Models

Purpose
The aim of this activity is to calculate all expected costs of planning stage, the planned project
costs, the expected »Manufacturing Costs and the projected costs of use and to derive the commer-
cial result.
Firstly, the expected development costs will have to be determined on the basis of the project struc-
ture and be combined to accounts that make sense from a managerial point of view.
Secondly, the expected manufacturing costs will have to be estimated on the basis of the »Product
Structure, evaluating the elements of the overall system on the basis of empirical knowledge with
regard to the manufacturing costs.
In addition, the costs of planning stage and the costs of use will have to be determined bysed on the
life cycle specifications.
Beyond that, the risks and chances regarding the above-mentioned topics will have to be assessed
with regard to costs
With the help of this information the monetary result will have to be planned, i. e. the cost-effec-
tiveness of the project will have to be evaluated. In addition, from this information target costs for
the overall system and its elements will have to be determined.
3.2.9.1 Estimating Costs of Planning Stage

The costs at planning stage will be calculated for the requirements specification phase until the
award of contract. They include costs for the requirements specification, project defintion, request
for proposals and contract award.
3.2.9.2 Estimating Project Costs

Based on what was defined in the integrated planning of the »Project Plan, the overall costs of the
completion of the project shall be determined on the basis of the »Estimation of Effort with regard
to personnel, material and expenditure on material.
They shall be valued at the hourly rates or the commercial surcharge and be regulated by way of the
project duration. In addition, risks and chances shall be assessed with regard to costs and with the
help of the »Risk List.
The aim is to determine all costs that are to be expected for the development of the overall system
in the project.
3.2.9.3 Establishing Accounts


3 Activities 6-31
The accounts shall be derived mainly from the project structure plan. The expenditures determined
shall be used to value the costs of each individual »Work Package and to integrate them into ac-
counts that make sense from the managerial point of view.
In this process the »Account Structure may be established in accordance with the product structure
plan so that it will be possible to show how the costs are allocated to the individual elements of the
overall system. However, also other principles of order, such as a breakdown according to develop-
ment disciplines or the products to be delivered, will be possible.
Expenditures on material and non-cash contributions, such as travel or contracted services, will be
mostly recorded on separate accounts or allocated to the individual elements of the »Product Struc-
ture or broken down according to the above-mentioned principles.
3.2.9.4 Estimating Manufacturing Costs

As a basis for an estimate of the »Manufacturing Costs of the hardware the »Product Structure, re-
spectively the architecture of the overall system shall be used (see also the product structure plan of
the »Project Plan).
The assembly and manufacturing technology for the individual hardware elements of the overall
system shall be determined in detail down to unit level. Characteristic parameters in this context
will be for example size, weight, assembly technique, printed circuit type and component comple-
ment.
The manufacturing costs shall be determined in analogy to similar system elements or units develo-
ped earlier, additional determining factors being the manufacturing location and the available know-
how and - in case of new technologies - possible learning curves.
In the course of the project the data and assumptions used shall be recorded and occassionally re-
viewed (see »Commercial Project Status Report).
3.2.9.5 Estimating Costs of Use

The costs of use will first be calculated at the beginning of the project in the Outline of the Life Cy-
cle and the Overall System Architecture, when the the life cycle is considered during the preparation
of the Requirements Specification.
Afterwards, the product Overall System Specification is the basis for the calculation, which may be
refinded in the course of the project development

3.2.9.6 Planning of the Overall Project Result

The cost-effectiveness of the project should be planned with the help of the expected costs of plan-
ning stage and project costs as well as the planned »Manufacturing Costs and the deviations of the
costs of use.
The project costs spread over the business years shall be included each time in turnover and result,
taking into account payment milestones, etc.
Using the manufacturing costs that were determined and the expected annual quantity, the turnover
and the result from the sales of the overall system shall be calculated and spread over the correspon-
ding business years.
In order to determine the total utility, the costs of planning stage and the expected deviations of the
costs of use shall also be included into the economic analysis.
3.3 Reporting
The »Discipline »Reporting includes all »Work Products and »Activityies which are distributed to
the stakeholders in accordance with the project-accompanying reporting system specified in the
Project Manual. This discipline includes all state reports, e.g., »Project Status Report , »Quality Sta-
tus Report and »Final Project Report , and current internal project daybooks, e.g. »Project Diary and
»Metrics Analysis.
3.3.1 Holding a Meeting

Work Product: Meeting Document
Purpose
Meetings may be held for various purposes and at various occasions not explicitly listed by the V-
Modell. They may be held both periodically, e. g. as a weekly "jour fixe", or dependent on an event,
e. g. before a milestone is reached, and they may be held both internally and together with the ac-
quirer. Important meetings should already be included in the project plan. Meetings should include
the following steps (see Figure 8):
● Each meeting will be scheduled, and an »Invitation willbe sent to the participants.
● The meetings will be chaired by the person who sent the invitations or a person in charge in
accordance with the point listed in the »Invitation. He should guide the discussion in the di-
rection of the specified aim of the meeting. For a meeting a rigid time management should
be planned.
● At the start of the meeting the inviting person will explain the necessity, the distribution, the
scheduling and the form of the minutes and determines the recorder.
● Decisions shall be included explicitly in the minutes.

3 Activities 6-33
● For agreed tasks an obvious approach will be to formulate work orders in the form of an ac-
tion list (see activity »Assigning a Work Order).
Activity Flow
Figure 8: Activity Diagram "Holding a Meeting"
3.3.2 Keeping a Project Diary

Work Product: Project Diary
Purpose
Only if the experience gained in the course of the project is continuously safeguarded, will it be
possible to learn from it - for future projects, but also for the current project.
For keeping a »Project Diary the »Project Leader will be responsible. This should be done
● in documented form,
● periodically, i. e. daily or at least weekly, and
● according to a fixed structure with regard to features that are typical of project success (for
example the features included in the topic »Lessons Learned).

3.3.3 Collecting Measurement Data

Work Product: Measurement Data
Purpose
For all »Metrics defined in the project the »Measurement Data shallbe collected and placed in the
specified filing structure (see »Project Management Infrastructure). In this process measurement ti-
mes, measurement units, persons taking part in data collection and possible support with tools will
depend on the »Measurement Data Types. They are defined in the »Project Manual and in the »Me-
trics Catalog.
The »Project Leader will be responsible that each person concerned provides the relevant measure-
ment data. He will make spot plausibility checks to ensure the authenticity of the measurement data.
3.3.4 Calculating and Analyzing Metrics

Work Product: Metrics Analysis
Purpose
The »Metrics shall be calculated in accordance with the specifications in the »Metrics Catalog or
the »Project Manual and subsequently analyzed. They will be calculated by applying formulas, such
as cyclomatic complexity, error per lines of code, error per logic element, and planned and current
expenditures for an activity at the time x.
The results shall be prepared as follows:
● The metrics shall be presented in a clear arrangement, e. g. in diagrams or tables.
● The metrics shall be interpreted.
● The decision documentation shall be prepared, including suggestions for actions to be initia-
ted or suggested solutions.
These results shall be documented, presented to the target groups, discussed with them and subse-
quently communicated within the framework of the accompanying reports. Then the target groups
shall decide whether and how appropriate measures are to be initiated. In case of schedule pro-
blems, for example the »Project Leader may determine jointly with the »Steering Committee that in
consultation with the acquirer the system will be realized in two increments.
When metrics will be analyzed, compliance with the data protection directives will be required.
This will be in particular true for metrics that will be used organization-wide: The »Measurement
Data and the associated analyses and interpretations will then also frequently be made available to
other project staffs so that they may use the lessons derived from them, e. g. for their project plan-
ning. One example of this are empirical values for estimates of project scope and »Estimation of Ef-
fort.
3.3.5 Preparing Commercial Project Status Report

Work Product: Commercial Project Status Report
Method Reference: Project Planning and Control

3 Activities 6-35
Purpose
The the costs of planning stage, project costs (actual costs), the expected »Manufacturing Costs and
the costs of use will be tracked in regular intervals, which shall be defined in each case, and the de-
viations from the planned values (should-cost) shall be determined.
Based on the actual project costs and the »Estimation of the state of manufacture, the costs that will
have been accumulated until the end of the project (Cost to Complete) shall be estimated and used
to determine the expected cost state at the end of the project (Cost at Completion).
Together with the expected future risk costs, these estimates shall be used to check the planned pro-
ject result and the target costs in regular intervals. In case of possible deviations, the project mana-
gement shall be informed, who may initiate appropriate correcting measures.
At the end of the project, the commercial result of the project should be presented in the final
»Commercial Project Status Report.
3.3.6 Preparing Project Status Report

Work Product: Project Status Report
Purpose
The preparation of a »Project Status Report will be a project monitoring instrument that will make it
possible to identify deviations from the plan at an early date and to respond to them in time. Project
status reports will be used either internally to provide information to the own management and/or,
in case of a supplier project, to provide information to the acquirer.
In the project status report the current progress of the project, deviations from the planned set tar-
gets and the risks that were determined mainly by way of risk analysis will be presented. In additi-
on, the report will outline the status and any problems of individual partial processes.
The project status report will be prepared in accordance with the specifications of the project manu-
al at fixed target dates, periodically or after the occurrence of special events, and it will be distribu-
ted to the designated recipients.
For this purpose, the so-called actual data will be collected. They include firstly the state of the
work, for example when the specified target was reached and the requirements were met, and se-
condly the resources used and the expenditures. Then these actual data will be compared with the
set values from the project plan and the estimated expenses that still will have to be incurred. In this
process it will also be necessary to check and document whether all stakeholders in the project per-
formed the tasks that they accepted and will be able to fulfil their commitments in future.
In case of an actual or foreseeable exceedance of the set targets, control measures will be initiated
that are intended to make it possible to reach project targets that are at risk. This includes
● changing milestones,
● changing priorities,
● providing special treatment of critical products,
● changing the distribution of resources and personnel,
● adaptating contracts,
● adding personnel or

● outsourcing of subprojects that were set up as separate units.

In the project status report the »Project Leader will suggest control measures that are to be initiated
and thus prepare a »Project Progress Decision.
The project status report will always be prepared in a standardized form and distributed as defined
in the project manual.
3.3.6.1 Determining Overall Project Progress

Subject: Project Status Report: Overall Project Progress
The Project Leader shall concentrate the most important project progress values of the individual
sub-projects, thus determining the appropriate values for the overall project. For this purpose, he
shall establish joint reporting dates for all sub-projects in such a way that a representative conglo-
meration for the project progress of the overall project can be determined. In addition, he shall se-
lect those project progress values which are important for controlling the overall project. The Pro-
ject Leader shall determine the critical path of the overall project, which is based on the aggregation
of the project progress values of all sub-projects.
3.3.7 Preparing Quality Status Report

Work Product: Quality Status Report
Purpose
Within the framework of the preparation of the »Quality Status Report, the quality state of the pro-
ject shall be documented. For this purpose a summary of the progress of the project with regard to
the quality situation of the processes and sub-processes, the documents and system elements in the
reporting period shall be prepared. Also suggestions for improvements in the project sequence shall
be determined and described.
The Quality Status Report will based on the analysis of the test logs and will in particular be used to
provide information to the »Project Leader and probably to the »Steering Committee.
3.3.8 Concluding Project

Work Product: Final Project Report
Purpose
The aim of an orderly conclusion of a project will be the preparation of the »Final Project Report
for the acquirer, respectively the in-house management.
In a final meeting the results of the project shall be presented. In this meeting the initial situation
and the project aims shall be compared to the results of the project. The progress of the project shall
be shown and in a discussion in the group the potential for the improvement of future projects shall
be identified.

3 Activities 6-37
3.4 Configuration and Change Management

The »Discipline »Configuration and Change Management includes the »Work Products and »Acti-
vityies »Product Library and »Product Configuration, which are the central products and activities
of »Configuration Management. The »Problem and Change Management is also represented in this
discipline by the respective products, from the product »Problem Report / Change Request to the
product »Change Decision.
3.4.1 Preparing Problem Report/Change Request

Work Product: Problem Report / Change Request
Tool reference: Change Request Management
Purpose
Each V-Modell role may prepare for various reasons a problem report or a change request. The aim
will be, always the same, however, i. e. to effect a change of the product or a deviation from speci-
fied requirements. Reasons for this may be for example development problems, problems with re-
gard to schedule and cost, changes in legal provisions or the improvement of the chances on the
market. Change requests may be motivated "directly", for example if a concrete problem arises in
the development or during service use by the developer/user, or "indirectly", e. g. caused by the de-
sire to improve the product and to use for this purpose a user poll conducted by the marketing de-
partment.
When generating a problem report, the problem identified by the applicant will have to be described
when the solution will be still lacking. Compared to this, in the change request both the problem
and possible solutions shall to be presented. The form of a problem report or a change request will
depend on the specifications in the change management of the project manual. The report or the re-
quest will be submitted to the competent person in charge of changes.
The problem report/change request should always include the following information:
● Information regarding identification, such as applicant, project, the configuration concerned
● Description of the problem or the desired change
● Reasons why the change is desired, i. e. explanation of the benefit or damage that results if
the change is not implemented
● Possibly a suggested solution from the point of view of the applicant.
3.4.2 Assessing Problem Report/Change Request

Work Product: Problem/Change Evaluation
Purpose
Topical processing and assessment of problem reports and change requests will be required. For the
assessment the competent person in charge of changes should identify the roles who are assigned to
the products or topics affected by the change and who have the necessary technical and system- and
project-relevant knowledge.

To assess the problem report/change request, at first an analysis of the effects shall be made. In this
analysis it will be examined what possible consequences the implementation of the change request
may have for the development project or the system in the in-service phase. In this context not only
technical aspects, but also financial and organizational aspects shall be considered. Also possible
risks connected with the implementation of a change for the project shall be included in the analy-
sis.
In a next step suggested solutions shall be worked out how the request for change may be imple-
mented. The suggested solutions shall be presented in sufficient detail so that they can be recon-
structed by the competent change steering group.
Finally it shall be decided which suggested solution would be the most suitable. For this recommen-
dation appropriate reasons shall be given. This must include a statement on the priority of the im-
plementation, and also estimates concerning the expenditure and the effects on the project/system
shall be provided.
3.4.2.1 Analyzing Problem

The problem described in the problem report or the change request will have to be analyzed. When
doing this, it shall be checked whether the problem requires a solution or whether it can be neglec-
ted. If it turns out that the problem will have to be solved, the cause of the problem will have to be
determined. If it is a system error, it will have to be determined whether the error lies in the require-
ments, the design or in the realization, i. e. in the code, respectively the hardware. The analysis of
the cause will be made easier if during system development existing relations are documented (tool-
based) in a relation or an impact model.
If the change request includes a change of requirements, such as a new or improved functionality, it
will have to be examined how this functionality can be integrated without conflict into the existing
requirements specification. If the desired change - in case of an existing product - refers to an im-
provement of the system, it will have to be examined whether the described improvements can be
implemented as outlined in the change request.
If the change request comes from the acquirer and if it refers to a change of an already agreed or the
integration of a new requirement, a corresponding amendment of the contract will have to be prepa-
red, harmonized and signed. Without an amendment to the contract will not be possible to imple-
ment a solution to the problem.
3.4.2.2 Proposing Solutions

Based on the description of the problem in the problem report or the change request, it will have to
be determined how a desired change can be implemented. In this context it also will have to be out-
lined whether the problem can be solved completely or only in parts. Each suggested solution
should include at least the following information:

3 Activities 6-39
● those parts of the system that are affected by the change (such as business processes, system
elements or requirements);
● that phase of the development process in which the change incurs (i. e. design, coding or in-
tegration);
● the description of the solution to the problem;
● the description of the required expenditures and
● the impact of the required changes on the project (for example on time, costs, personnel or
resources).
When considering the suggested solutions, it should also be taken into account whether it is possible
to maintain the required security level when they are implemented.
3.4.2.3 Making a Recommendation

To be able to make a recommendation when assessing a problem report or a change request, the
suggested alternative solutions will have to be evaluated based on their impact. Based on the scores,
a decision shall be made, which also shall be substantiated. For the evaluation in particular technical
criteria should be used.
3.4.3 Deciding on Changes

Work Product: Change Decision
Purpose
The change steering group will meet at regular intervals or in urgent cases as required and deal with
all change requests on which a decision is due. For each change request a decision shall be made
about how to further proceed with it. Each decision of the change steering group shall be binding.
Should those decisions involve conflicts, escalation of these conflicts should be according to the
specifications in the project manual. As a basis for making a decision the products »Problem Report
/ Change Request and »Problem/Change Evaluation will be used.
When making a decision, the following steps shall be taken (see Figure 9):
● Preparing the decision, this means collecting change requests and related assessments and
arranging them in groups, preparing and distributing the agenda for the meeting and mailing
invitations.
● Presenting change requests and assessments and determining decision criteria. Examples of
decision criteria are:
○ Costs incurred

○ Availability of acquirer funding, if the change request is made by the acquirer and the
changes are no longer covered by the existing contract
○ Availability of personnel and other required resources
○ Project delay
○ Technical suitability of the suggested solution
● Adopting change decision and laying down its implementation
● Determining the impact of the change
● Recording the change decision in the change decree
● Distributing and communicating the change decision.
If the change decision should require a contractual measure, such as changing the requirements, this
will be noted down accordingly.

3 Activities 6-41
Activity Flow
Figure 9: Activity Diagram "Deciding on Changes"
3.4.4 Maintaining Change Status List

Work Product: Change Status List

Purpose
The aim of maintaining the »Change Status List is to centrally document and to update all relevant
information about requirements for a development project or a system in the in-service phase. The
Change Status List shall be updated whenever new information becomes available. In this case the
process for a new change request will be for each change request identical.
Each receipt of a change request shall be registered with all necessary data. It shall be checked whe-
ther these data are complete and comprehensible so that they are suitable for further processing.
Then all required changes for the realization of the change requests shall to be derived and their fea-
sibility checked. Also responsibilities for their implementation shall be determined and target dates
for monitoring purposes defined. In addition, all measures required for realization shall be identi-
fied, described and updated in the Change Status List. If this is an existing change request, this acti-
vity will be limited exclusively to updating the Change Status List by documenting the current state
of the implementation of a change request (see Figure 10 ).
Each state that may be assigned to a request shallbe determined in the project manual.
Activity Flow
Figure 10: Activity Diagram "Maintaining a Change Status List"
3.4.4.1 Recording Change Requests

The change request shall be received and the appropriate values - applicant, date of receipt, refe-
rence to the change request - shall be entered from the request into the »Change Status List.

3 Activities 6-43
3.4.4.2 Evaluating Change Requests

When checking the change requests, it shall be examined whether all necessary information in the
application is complete and consistent. If this is not the case, the missing information shall be obtai-
ned from the applicant or the request shall be returned to the applicant with a statement in which
this is noted.
3.4.4.3 Updating Change Status List

When updating the »Change Status List a distinction shall be made whether these are already exis-
ting or new change requests. New requests shall be added, existing requests shall be updated. The
update will be required as soon as either a new problem report/a new change request will be submit-
ted or the processing state of a change request will change. The information affected by the update
will be:
● The change state, for example "requested", "intended", "rejected", "postponed", "commis-
sioned" and "accomplished";
● Assessment, decision or implementation target dates;
● References to the change assessment or the »Change Decision.
3.4.5 Managing Product Library

Work Product: Product Library
Tool reference: CM Tool
Purpose
The establishment and maintenance of the product library will include the initial storage of the pro-
ducts to be configured and the storage of new versions of these products (subactivity »Initializing
and Administering Products). This activity will also include the compilation of product releases, i. e.
product quantities of products with the same version.
The products shall be secured and archived in accordance with the specifications of the »Project
Manual (subactivity »Saving and Archiving Products ).
For the decision gates or for the information of the project management the library shall be exploi-
ted and configuration management reports shall be prepared (subactivity »Preparing CM Evaluati-
ons) (see Figure 11).

Activity Flow
Figure 11: Activity Diagram "Managing the Product Library"
3.4.5.1 Establishing CM
To establish configuration management, the following steps will be necessary:
● Establishing the project for initialization and administration of the associated products in the
»Product Library using CM tools such as databases;
● Establishing the defined conventions of the identifiers in accordance with the »Project Ma-
nual in the product library.

3 Activities 6-45
When establishing the product library, the IT security objectives and measures from the security
concept, such as access privileges, control mechanisms and personal data protection generally shall
to be considered with regard to the CM tool. Also when storing the products during the project, the
IT security rules as laid down in the »Project Manual shall be observed.
3.4.5.2 Establishing and Administering Access Rights

The access privileges of the stakeholders in the project to products of the »Product Library shall be
established and administered accordingly.Access privileges shall be established in a way that their
allocation will be as much as possible related to product state and role. Access privileges of the pro-
ject staff shall to be administered depending on the requirements of the project, e. g. granting access
privileges to new members of the project staff or additional deputies. After work on the project will
be finished, access rights may have to be withdrawn if required.
3.4.5.3 Initializing and Administering Products

The product - document, hardware, firmware, software or possible combinations -, which fulfills a
function and has to be determined and administered for configuration management purposes shall
be registered with identifiers, such as designation, »Product State, version, action officer and date,
in the »Product Library and initialized in accordance with the conventions of the identifiers (see
»Project Manual).
An already existing product ID shall be updated for example by generating different versions. If the
product is an off-the-shelf product, e.g., an »External Unit, an External Hardware Module or an Ex-
ternal Software Module, which is developed or procured externally, rules analoguous to those for
the initialization and administration of the product library according to the »Project Manual will ap-
ply.
Configuration management will administer the products as a function of their identifiers. The pro-
duct administration shall be used to make sure that the tracking of and a fallback on previous versi-
ons of the product will be possible.
To "administer" a product means that a product is initialized and administered physically in the li-
brary with identifiers, which are also called metadata. Examples of metadata are document number,
version, date, author and product state. The originals - also called »Measurement Data Types - may
be stored in a different tool and archived depending on the requirements (see subactivity »Saving
and Archiving Products). An example of primary data is the software code. There must be a one-to-
one correlation between the metadata set and the measurement data types.
3.4.5.4 Saving and Archiving Products


Securing and archiving products will be performed in each case to the required extent, which will
be based on project requirements and specifications in the »Project Manual:
● continuous securing of results: in regular intervals that will be determined by the projects all
results available to configuration management shall be secured;
● securing of results before the completion of a project: before a project will be completed, all
project-relevant results will have to be secured reliably and in accordance with the require-
ments, for example using long-term archiving for five, ten or thirty years, so that they can be
reproduced at any time. Individual products or the whole project may then be reused at a la-
ter date.
3.4.5.5 Preparing CM Evaluations

For the preparation of decision gates or to inform the project management about the monitoring of
the progress of the products the product library shall be used. In this process all products shall be
identified that determine a product configuration of the pending decision gate (see also Figure 12).

3 Activities 6-47
Figure 12: Decision Gates and Product Configurations
The use or the project library will be based on the specifications described in the »Project Manual.
Within the framework of this subactivity, the CM evaluations, such as determining the state of pro-
ducts, the state of a decision gate or the state of a project, shall be prepared, documented and made
available to a defined group of people. To illustrate the current product state and the associated
change actions, for example evaluations in the form of state lists from the product library shall be
generated, such as:
● Status list with statements concerning the identification of the configurations,
● Status list of the products.
3.4.6 Managing Product Configuration

Work Product: Product Configuration
Tool reference: CM Tool
Purpose
»Product Configurations are used for the identification of products which "belong together" with re-
gard to contents and which are in a specific version and product state. The product dependencies de-
scribed in the V-Modell provide a certain clue for the establishment of product configurations. A
product configuration is generated at least at every decision gate. Methodical notes for handling
product configurations may be found in the subactivity »Initializing and Updating Configuration.
In addition, the task of configuration management will be to prepare products for delivery in accor-
dance with the contractual conditions. The so-called release management, which is described in the
subactivity »Document Delivery Data, is intended to distribute and coordinate all deliveries in a
controlled manner.
3.4.6.1 Initializing and Updating Configuration

The »Product Configuration shall be initialized in the »Product Library in accordance with the con-
ventions defined in the »Project Manual, using identifiers such as name, »Product State or version.
For products that belong together, unambiguous relationships - such as referencing or establishment
of hierarchies - shall be established by way of the product dependencies described in the V-Modell
(for example: »Segments include several elements). If a product is part of a configuration, at least
all product versions with product dependencies shall be integrated into this configuration.
A product configuration is generated at least at every decision gate. It will include at least the pro-
ducts to be submitted at the respective decision gate. This documents the project progress and ensu-
res a repeatable quality assurance. The project-specific rules according to which the product confi-
guration has to be updated shall be defined in the »Project Manual , such as version update, update
of the product states and name conventions.

The product configurations shall ensure that a quantity of products which belong together can be
configured at any time. For this purpose, procedures that automate the required configuration steps
can be developed. All relationships and correlations that exist between the individual products shall
be evident from the product configurations. Also the possibility or necessity of different configurati-
on variants, such as country-specific variants, shall be taken into account.
3.4.6.2 Document Delivery Data

Within the scope of the documentation of delivery information, product configurations shall be pre-
pared and documented in a way that complies with the agreed conditions for delivery and the speci-
fications in the Project Manual. This is also called release management.
If for example software is delivered, it shall be described how a data carrier shall be prepared. In ac-
cordance with this delivery procedure for the preparation of a data carrier, an installation procedure
shall also be prepared if required. At this point, configuration management may act as the central
delivery authority.
Moreover, this subactivity will be used for controlled distribution and coordination, thus establis-
hing the prerequisites for a controlled overview over all deliveries.
Typical questions include:
● What configuration was delivered?
● When and to whom was the delivery made?
● What storage or transmission medium was used?
● For what purpose was the delivery made?
3.5 Evaluation
This »Discipline includes all products and activities required for testing documents, system ele-
ments and processes. Evaluation specifications define the requirements posed on form and contents
of the evaluation object. They shall be prepared, taking into account the specifications of the »QA
Manual. Evaluation procedures include information and specifications for the sequence of tests and
evaluation cases for system elements. Evaluation reports document the results of a test and indicate
problem areas. They are the basis for »Quality Status Report. The »Qualification Record provides a
summary description of all qualifications.
3.5.1 Preparing Evaluation Specification Product Configuration

Work Product: Evaluation Specification Product Configuration

3 Activities 6-49
Purpose
When the Evaluation Specification Product Configuration is prepared, the document to be evaluated
shall be designated and referenced, and the evaluation criteria shall be described. The criteria are
listed in the subject Evaluation Criteria. The evaluation criteria shall be determined so accurately
and comprehensively that a successful and adequate evaluation is possible.
3.5.2 Evaluating Product Configuration

Work Product: Evaluation Report Product Configuration
Purpose
The evaluation is intended to deterimine whether the product configuration is faultless. The result
and any problems encountered shall be documented.
Within the scope of the evaluation, the following questions shall be analyzed and assessed:
● Are all configuration units provided with correct identifiers?
● Are all configuration units filed as specified?
● Is the product configuration complete?
● Was the configuration developed in accordance with the specified procedure?
● Are all configuration units in a consistent condition?
● Can products that belong together be configured at any time?
3.5.3 Preparing Evaluation Specification Document

Work Product: Evaluation Specification Document
Method Reference: Review
Purpose
When preparing the »Evaluation Specification Document the document to be tested shall be named
and referenced and the criteria used for the test shall be described. The criteria will be listed in the
topic »Evaluation Criteria. The definition of the evaluation criteria shall be so concrete and compre-
hensive that a successful and adequate test will be possible.
3.5.4 Evaluating Document

Work Product: Evaluation Report Document
Purpose
When testing a document, the quality of its contents and the consistency in relation to other depen-
dent documents shall be assured. Testing will be based on the evaluation plan, the evaluation criteria
and the »QA Manual and must not be performed by the creator himself.

During testing the document shall be analyzed and evaluated. This may be done for example on the
basis of the following criteria:
● Is the document intelligible, easily surveyed, well structured and complete?
● Are the products, from which the document to be tested originated, available?
● Are the requirements against which the document is to be tested all documented, clear and
intelligible?
● Was there compliance with the guidelines, standards, templates and processes to be used?
If the document is a specification, it also may be validated, if required, when screening the contents.
In this case the receiver/user of the allocated system element will check, whether his expectations
have been taken into account in the specification. An example of this is the testing of the interface
specification by the »System Integrator.
The results of the test steps shall be described in the evaluation report so that they can be traced and
provided with a summary and evaluation. The results of the the test may be incorporated for exam-
ple in review statistics - e. g. in the degree of coverage, the number of annotations per page, the ra-
tio of conducted to planned reviews or the number of errors found as a function of error class.
In case of a successful test, the state of the document shall be changed from "submitted" to "com-
pleted". Otherwise the state of the document to be tested and of all documents with contents depen-
ding on this document shall be specified "in preparation". This does not depend on whether the do-
cuments had already been submitted or completed. After rejection of the evaluation object, it shall
be revised and resubmitted. In each case the project management shall be informed about the eva-
luation result.
3.5.5 Preparing Evaluation Specification Process

Work Product: Evaluation Specification Process
Method Reference: Process Analysis
Purpose
In the activity »Evaluation Specification Process the processes to be tested shall be designated and
the evaluation criteria shall be specified. The criteria will be listed under the topic »Evaluation Cri-
teria. The criteria shall be worked out so precisely and comprehensively that successful and adequa-
te testing will be possible.
3.5.6 Evaluating Process

Work Product: Evaluation Report Process

3 Activities 6-51
Purpose
Process testing, also called process audit, means testing individual steps of an overall process. In
process testing not the result of a process step, such as a document, but the execution of the step
itself, which is characteristic of the process, has to be tested on the basis of agreed process descripti-
ons. The aim is to determine whether the processes listed in the »QA Manual fulfill their allocated
specifications (»Evaluation Specification Process).
By way of process testing it can also be determined that the actually executed process is better than
the process depicted in the process description. Should it turn out that it is possible to optimize the
process description, it has to be adapted to the real process.
In process testing possibly all processes in the project may have to be tested, with the planning pro-
cesses and the project management having higher priority. Process testing may be arranged on the
basis of the experience or »Metrics of earlier projects. In some processes testing may also be initia-
ted by an event in the project, such as the deviation of a measurable quantity from a specified value.
Testing will often also be initiated when problems occur, if there are for example serious deviations
of planning from the actual state. In this case process testing is to reveal the cause of the problems.
When testing the process, it shall be examined at first whether the formal requirements for the
»Evaluating Process have been met. The process shallbe analyzed and evaluated. This may be done
on the basis of the following criteria list:
● Is the process intelligible, clear, well structured and complete?
● Have all subprocesses and steps that make up the process that is to be tested been executed?
● Are all evaluation criteria against which the process is to be tested documented, precise and
intelligible?
● Have all applicable guidelines, standards and templates been complied ?
After testing the contents it has to be determined whether the individual steps of the actual process
are executed in accordance with the requirements contained in the »QA Manual and the »Evaluation
Specification Process.
During the test the results shall be laid down in the test log. Additionally, process deviations shall be
documented so that they can be traced, and a summary and an assessment shall be provided.
Beyond that, the test may be used for the classification of suppliers by auditing their processes. This
may be done for example in the form of supplier audits.
When testing QA activities themselves, generally a suitable allocation of roles shall be provided to
avoid role conflicts. Furthermore, the project management shall always be informed about the eva-
luation result.
3.5.7 Preparing Evaluation Specification Usability

Work Product: Evaluation Specification Usability
Purpose
The preparation of the »Evaluation Specification Usability will start during the »System Specificati-
on with the definition of scenarios. In this definition a complex task setting of a user in a defined
user role shall be described. It will consist of a number of associated use cases or test items that des-
cribe the overall scenario.

Such a use case is defined by

● an Identifier characterizing the use case,
● the description of a use situation, in which the user is in his role defined by the scenario at
the dialog workstation during the operation of the application system;
● the description of a work task the user is to perform in the described use situation at the dia-
log workstation;
● the description of a test target that specifies what has to be achieved or tested with the use
case and
● the description of discussion points between supplier and user.
Thus the possibility that typical work tasks can be realized by the prototypes developed within the
framework of the accompanying human factors engineering will be traceable and can be tested. The
prototypes have to be iteratively evaluated and tested with representatives of the users. The results
of prototype development should be taken into account in the specification and, if possible, as early
as in the requirements specification.
In the following one use case will be outlined as an example.
● Identifier: Prepare new order from the archive.
● Use situation: A new order is transmitted to the user by the central office. He remembers
that a similar order exists already in the centrally available archives that contain the orders.
● Work task:
1. Loading the appropriate order for the user from the central archives.
2. Making changes/amendments based on the transmitted parameters of the loaded order
from the archives.
3. Starting the new order.
● Test target: Analyze the dialogue order-archive, analyze the navigation in categories, exe-
cute activities for amending the order, start the function Order from the dialogue "Order Ar-
chives".
● Discussion points between supplier and user: Is the structuring of the archives in catego-
ries sufficient, is it necessary to have for each order an explicit name that can be freely spe-
cified by the user or is a search function required?
In addition to the user cases, usability tests shall be established and analyzed. The aim of early usa-
bility tests is to familiarize the user with the prototypes and to give them an initial realistic impressi-
on of the dialogues of the workstation. The usability tests shall be designed in a way that they can
be performed at the workstation that will be set up as a prototype under working conditions that will
be as realistic as possible. For all tests the test evaluation procedures shall be described.
The usability tests should be specified in a way that the documented evaluation results can be used
in the further course of interface implementation.
3.5.7.1 Specifying Evaluation Strategy

Subject: Evaluation Specification Usability: Evaluation Strategy

3 Activities 6-53
The evaluation strategy shall be derived from and refined based on the »User Tasks Analysis and
the specified general conditions. Afterwards, it shall be documented in the »Evaluation Specificati-
on Usability.
Evaluation requirements shall be prepared for every evaluation object listed in the evaluation plan.
If relevant, the connection between the evaluation requirements and requirements documents shall
be demonstrated.
The evaluation case structure, i.e., the fundamental structure of each evaluation case, shall be speci-
fied.
Depending on the case, also safety and security shall be taken into account. Thus, the evaluation
method will be based on the safety and security level/action matrix specified in the »Project Manual
and the criticalities specified for the respective functional unit.
3.5.7.2 Deriving Evaluation Cases

Subjects: Evaluation Specification Usability: Evaluation Cases, Evaluation
Specification Usability: Evaluation Strategy
The evaluation cases of the individual evaluation objects shall be established on the basis of the
evaluation requirements in the evaluation specification. For each evaluation case the coverage ma-
trix of the evaluation specification shall describe what architectural elements and interfaces and
what requirements are verified.
The structure of the evaluation case should be based on the evaluation strategy in accordance with
the definitions of the evaluation case structure. For each input value the expected specified reaction
shall be described.
When establishing a system, the evaluation cases generated in the self-check shall be considered. As
far as this is required, these evaluation cases shall be supplemented or modified.
3.5.7.3 Allocating Evaluation Cases to Requirements

Subject: Evaluation Specification Usability: Allocation of Evaluation Cases
Each specified evaluation case shall be allocated to the requirement from which it was derived. This
shall be documented in the coverage matrix of the evaluation specification. Frequently several eva-
luation cases, e. g. good behavior or various exceptional behaviors, will be specified and allocated
to one requirement. It may also be quite possible that one evaluation case tests several requirements
at the same time.

3.5.7.4 Identifying and Determining Protective Measures

Subject: Evaluation Specification Usability: Protective Measures
See Identifying and Determining Protective Measures in activity Preparing Evaluation Specification
Delivery.
3.5.7.5 Determining Evaluation Environment

Subject: Evaluation Specification Usability: Evaluation Environment
All requirements concerning the evaluation environment shall be defined. This will include both
functional and non-functional requirements, depending on the test requirements, methods and crite-
ria. On top of that all additional required resources shall be determined, for example integration en-
vironment, line issues or special operating personnel, such as crane operators, or personnel with a
safety qualification.
If there are several evaluation environments, the individual evaluation cases shall be allocated to
them.
It must be possible to unambiguously identify each evaluation environment by its configuration

identifier so that an allocation to the system elements to be tested for reasons of replicability will
become possible.
In case the complexity of the evaluation environment is high, the latter should be generated in a spe-
cial subproject.
3.5.8 Evaluating Usability

Work Product: Evaluation Report Usability
Purpose
Within the framework of usability testing it shall be determined whether an application will be fit
for use. For example it shall be ensured that all required information is displayed, that the order of
the fields is correct, that the dialog sequences are clear and that all terms are precisely formulated
and comprehensible for the user.
Testing will start with the performance of the usability tests. In these tests application cases, each
consisting of the description of an application situation and a work task, shall be displayed to the
user on a separate screen, such as a notebook, and read out to him in a loud voice. Then the user
will deal with the respective task, instructed and supported by a person responsible for human engi-
neering matters and sitting next to the test subject. Alternatively, a notebook with tasks may be spe-
cified that will have to be worked off in the course of the test. In each case problems, open issues,
wishes, impressions and errors shall be directly addressed and recorded.

3 Activities 6-55
It has proved to be worthwhile to seek expert opinions and expert reviews concerning the dialog
concept prior to conducting the user test and to take them into account in the validation.
During the test for example the method of thinking out loud in which everything the user thinks and
feels while working on the task will be expressed in a loud voice.
During testing it has proved to be successful to start working on individual interface components,
such as input fields, lists and menus, and then to check whether these elements are appropriate for
use. This will apply also to overarching aspects, such as the nesting of windows, the arrangement of
information and the distribution of functions among buttons and menus.
In the follow-up of the tests a small group of people (»Ergonomics Manager and developers) should
once more review all records with regard to critical scenarios. Problems, open issues, but also de-
sign decisions that proved to be good, should be documented.
In the evaluation report the results of the evaluation cases with regard to usability shall be laid
down. The documented results may be used again in the further course of interface implementation
as a checklist for design decisions that still will have to be made or that have already been made.
If it turns out that errors occurred during the test, those errors shall be evaluated and prioritized be-
fore changes in the development process will be implemented.
3.5.8.1 Verifying Usability
The evaluation object has to be verified based on its evaluation specification. In this context evalua-
tion objects may be either arbitrary system elements or even (partial) deliveries. During the verifica-
tion all evaluation cases defined in the evaluation specification have to be realized. For the system
elements system, »Segment, SW unit/HW unit, SW component/HW component and SW process
module/HW process module the corresponding evaluation procedure has to be completed. During
the evaluation the associated evaluation report has to be prepared. In this record the result achieved
for each evaluation case has to be documented such that it can be replicated. The result has to be
compared with the expected result. Deviations from the expected result have to be marked as errors.
For each evaluation case a summary evaluation has to be provided.
If the test was passed, a state change from "submitted" to "accepted" has to be arranged, otherwise a
change from "submitted" back to "in preparation".
3.5.8.2 Validating Usability
During the validation the recipient of the evaluation object, i. e. the acquirer or the »System Integra-
tor, shall check whether the evaluation object meets his expectations and has the properties required
for the planned use. Evaluation objects may be in this case either (partial) deliveries or any system
element.

During the validation the »Inspector of the evaluation object may conduct tests in any sequence and
depth, and the evaluation object should always provide an acceptable evaluation result. Depending
on the state of manufacture of the evaluation object, a validation may be conducted
● in the form of a simulation based on intermediate results;
● in the form of an evaluation of the planned properties of a system element based on a proto-
type;
● as an evaluation step within the framework of an execution decision, for example at the end
of a development step during incremental system development;
● in the form of an evaluation of the completed evaluation object.
The results of the validation shall be written down in the evaluation report.
If the result of the validation is negative, the acceptance of the evaluation object will be reduced.
One reason for this may be that between project start and the time of the evaluation the expectations
of the acquirer with regard to the functionality of the product have changed. This may be discovered
early if validations are performed during the whole system development process.
3.5.9 Preparing Evaluation Specification System Element

Work Product: Evaluation Specification System Element
Method Reference: Test
Purpose
The »Evaluation Specification System Element will be based on the requirements and the interfaces
in the »System Specification and the »External Unit specification and the »System Implementation,
Integration and Evaluation Concept, respectively the »Enabling System.
From the System or enabling system Implementation, Integration and Evaluation Concept the eva-
luation strategy for the concrete system element shall be derived so that no unnecessary redundant
tests will be performed and that the tests will be well-balanced. The evaluation strategy of the sys-
tem element will then determine the nature and degree of detailing of the evaluation cases to be de-
fined for the system element. These evaluation cases will be derived from the requirements and in-
terfaces of the System Specification, Hardware Specification, Software Specification, External Unit
Specification, External Hardware Module Specification or External Software Module Specification.
They will be used to verify that the evaluation object meets the above-mentioned specifications.
For a consistency check the allocation of the evaluation cases to the requirements shall be descri-
bed, for example in a coverage matrix.
As far as tests are concerned that present an environmental hazard or pose a danger to the persons
performing these tests, protective measures shall be defined and considered. This may be for exam-
ple protective shelters for destructive testing or breathing protection or sound insulation.

3 Activities 6-57
A major influence on evaluation strategy and evaluation cases will have the evaluation environment,
which shall be explicitly determined at this point.
Activity Flow
Figure 13: Activity Diagram "Preparing Evaluation Specification System Element"

Subject: Evaluation Specification System Element: Evaluation Strategy
See Specifying Evaluation Strategy in activity Preparing Evaluation Specification Delivery.

Subjects: Evaluation Specification System Element: Evaluation Cases, Evaluation
Specification System Element: Evaluation Strategy
See Deriving Evaluation Cases in activity Preparing Evaluation Specification Usability.


Subject: Evaluation Specification System Element: Allocation of Evaluation Cases
See Allocating Evaluation Cases to Requirements in activity Preparing Evaluation Specification

Usability.

Subject: Evaluation Specification System Element: Protective Measures
See Identifying and Determining Protective Measures in activity Preparing Evaluation Specification
Delivery.

Subject: Evaluation Specification System Element: Evaluation Environment
See Determining Evaluation Environment in activity Preparing Evaluation Specification Usability.
3.5.10 Realizing Evaluation Procedure System Element

Work Product: Evaluation Procedure System Element
Purpose
This activity will describe the realization of the »Evaluation Procedure System Element that may be
for example a System, »Segment, Unit, Component and Process Module Evaluation or Review. The
input used by the evaluation procedure will be the »Evaluation Specification System Element. The
evaluation cases described in this specification will be implemented as means for verification. The
»Evaluation Procedure System Element will mainly be used to stimulate the input for the »System
Elements and to check the output.
During the realization emphasis should be placed on the use of known and established test methods
and test assets and on the reuse of evaluation procedures. As far as possible, it should be planned to
automate the testing to provide a regression capability.
Based on the definition of the evaluation cases, exact work instructions shall be prepared for the
»Inspector. If required, actions related to the preparation and the follow-up of the test as well as the
individual test steps shall be described together with the interactions of inspector and test facility
during the test in a kind of "script".
3.5.11 Evaluating System Element

Work Product: Evaluation Report System Element
Method Reference: Simulation, Test

3 Activities 6-59
Purpose
Testing of a system element will consist of several steps. Prior to the actual testing it shall be
checked whether the formal requirements have been met so that the contents of the system element
can be tested.
While inspecting the system element, it will be necessary to work through the following testability
checklist:
● Is the system element to be tested easy to understand, is it designed in a way that it is clear
and is it complete?
● Are all products available from which the system element that is to be tested originated?
● Are all requirements for which the system element has to be checked documented, precise
and comprehensible?
● Were the applicable guidelines, standards, templates and processes observed?
In case the formal requirements were met, the system element that is to be tested still will have to be
verified and validated. The results of these tests will be recorded in the evaluation report.
3.5.11.1 Verifying System Element
See Verifying Usability in activity Evaluating Usability.
3.5.11.2 Validating System Element
See Validating Usability in activity Evaluating Usability.
3.5.12 Preparing Evaluation Specification Delivery

Work Product: Evaluation Specification Delivery
Purpose
Based on the specifications in the »QA Manual, the necessary steps for the receiving inspection
shall be specified. If acceptance testing is performed at the manufacturer's location, a receiving in-
spection will not be required. It will be necessary, however, to determine the desired configuration
of the evaluation object.
The evaluation cases shall be derived from the requirements included in the »Contract, and each re-
quirement shall be covered by at least one evaluation case.

For each system element the evaluation strategy shall be derived from the System Implementation,
Evaluation and Integration Concept or from the »Enabling System Implementation, Integration and
Evaluation Concept and refined. Subsequently it shall be documented in the »Evaluation Specifica-
tion System Element.
For each evaluation object listed in the evaluation plan testing requirements shall be established.
Provided it is relevant, the connection between test requirements and the requirement documents
shall be described.
The evaluation case structure, i. e. the principal setup of each evaluation case, shall be defined.
Furthermore, depending on the defined evaluation strategy, the test method with regard to test types
and verification methods shall be described for each evaluation object.
If safety and security must be considered, the test method will be determined on the basis of the sa-
fety and security level/method matrix in the »Project Manual and the criticalities defined for the re-
spective functional unit.
See Deriving Evaluation Cases in activity Preparing Evaluation Specification Usability.
See Allocating Evaluation Cases to Requirements in activity Preparing Evaluation Specification

Usability.

Subject: Evaluation Specification Delivery: Protective Measures
For each test of a system element it shall be determined whether a hazard may result from this test.
Depending on the hazard, such as danger to persons, objects or property, and on the risks to be ex-
pected, protective measures shall be determined, defined and documented. When the protective
measures are specified, it shall also be considered which safety-critical and security-critical functi-
ons will not be tested but simulated due to the potential hazard.

3 Activities 6-61
See Determining Evaluation Environment in activity Preparing Evaluation Specification Usability.
3.5.13 Evaluating Delivery

Work Product: Evaluation Report Delivery
Purpose
The »Delivery is accepted. On the basis of the »Evaluation Specification Delivery it shall be subjec-
ted to the receiving inspection and the acceptance test.
In the receiving inspection the delivery will be checked for completeness. In the acceptance test the
acquirer shall be involved in the testing of the system or the subsystem. In the acceptance test a ve-
rification, i. e. the evaluation cases specified in the »Evaluation Specification Delivery, shall be per-
formed. Afterwards the system may be further validated in accordance with the expectations of the
users. The deficiencies that occur in this process may be reworked by the supplier on the basis of a
courtesy arrangement or they may be negotiated, which may involve a »Change Decision and a
»Contract Addendum. The results of the validation, however, will not influence the issuance of the
»Statement of Acceptance, as far as this is not governed by special contractual arrangements.
The results of the receiving inspection and of the acceptance test shall be recorded in the »Evaluati-
on Report Delivery. In case the acceptance was not successful, the acceptance test will be perfor-
med again after the rework was completed, and the evaluation report will be updated.
3.5.13.1 Verifying (Partial) Delivery
See Verifying Usability in activity Evaluating Usability.
3.5.13.2 Validating (Partial) Delivery
See Validating Usability in activity Evaluating Usability.
3.5.14 Keeping Qualification Record

Work Product: Qualification Record
Purpose
In the »Qualification Record all required qualification data of the products that are part of the over-
all system shall be collected. The record shall be set up, and all required qualifications shall be na-
med. Finally, in the course of the project all required qualifications shall be obtained.
3.5.14.1 Setting up Qualification Record


The »Qualification Record will be set up within the framework of this activity, using a chart for re-
cording and depicting the required qualifications from the user requirements. All qualifications lis-
ted in this chart shall be obtained in the course of the project.
3.5.14.2 Obtaining Qualifications

All qualifications required in the chart shall be obtained in the course of the project and documented
in the form of references to the evaluation reports. In case of qualifications that have to be obtained
externally, e. g. by authorizing authorities such as the German Technical Control Association (TÜV)
or DEKRA, is shall be taken into account when the schedule is set up that the time required for the
test, which - depending on the individual case - may be longer.
3.6 Acquisition and Contracting

This »Discipline summarizes all products and activities prepared during the request for proposal
and contracting procedure. For the request for proposal, the following products must be prepared:
»RFP Concept, »Request for Proposal, »Criteria Catalog for Assessment of Offers and »Offer As-
sessment. For contracting, the following products are necessary: »Contract and »Contract Adden-
dum. The »Evaluation Specification Delivery, »Evaluation Report Delivery and »Statement of Ac-
ceptance are required for the acceptance. Finally, this discipline includes some »Interface Products,
which will be prepared by the contracter and provided to the acquirer, e.g., »Offer (Supplier), »Deli-
very (Supplier), »Project Status Report (Supplier) and »Final Project Report (Supplier).
3.6.1 Determining RFP Concept

Work Product: RFP Concept
Method Reference: RFP Support
Purpose
Since there are many ways to award a contract, a concept shall be selected based on a list of criteria.
In this process the following rules will apply to public acquirers and to private enterprises:
Public Acquirers
Applicable rules for awarding contracts, such as »VOL (Conditions Concerning Contracts for Sup-
plies and Services), »VOB (Conditions Concerning Contracts for Public Works), »VOF (Conditions
Concerning Contracts for Freelance Services) or »GWB (Act against Restraints of Competition),
shall be observed. These will include decision criteria that are already definitely specified. As an ex-
ample of this approach, the approach from the »UfAB III (a group developing the technical basis
for the tendering and evaluation of IT services) may be used. The award procedure will also depend
on whether explicit suggested solutions are already available or whether the »Request for Proposal
shall be made on the basis of requirements.
Private Enterprises

3 Activities 6-63
First a decision shall be made whether there shall be a competitive tender process or whether an in-
ternal preselection of potential suppliers shall be made. The criteria for this shall be defined, and
there may be possibly guidelines that apply to the entire organization. Possible criteria will be the
nature of the procurement ( i. e. IT, buildings, services, follow-on order) and the budget.
On the basis of the criteria it shall be substantiated why a particular bidding concept was selected.
The criteria, the evaluation and the decision will be recorded in the product »RFP Concept.
The RFP Concept may include a »Distribution List. This will be based on, among other things, a
supplier list that will be maintained by the procurer and that will include suppliers that so far have
been found satisfactory. This list will be requested by the »Purchaser. For suppliers not included in
this list it may be necessary to perform a supplier evaluation.
3.6.2 Preparing Request for Proposal

Work Product: Request for Proposal
Purpose
The purpose of this activity is to prepare the »Request for Proposal and to send it to potential sup-
pliers.
The role »RFP-Manager shall plan this task jointly with the »Project Leader so that information
with regard to schedule, cost and quality can be included in the request for proposal. At this point, it
will thus be absolutely necessary to review the budget that is available for the planned order. In case
of public acquirers, the estimated budget will affect the way the contract is awarded. In the public
sector the budget that may be stated in an request for proposal will be binding. It will be not possi-
ble to withdraw an already published request for proposal due to lack of funding. An example of
how an request for proposal will be prepared and what contents will have to be included can be
found in the »UfAB III.
The RFP Manager will use the »Requirements Specification - e.g. the »External Unit Specification,
the »External Hardware Module Specification or the »External Software Module Specification - and
the draft contract to prepare the »Request for Proposal. In this process, all necessary guidelines re-
sulting from the »RFP Concept will have to be observed. In the private sector, company regulations
will frequently exist, which specify the contents of request for proposal and contracts. When prepa-
ring an request for proposal, the following aspects will have to be considered:
● Requirements on the system to be developed
● Specifications concerning the process, the development environment and the CM and QA
measures
● Specifications concerning meetings, reporting and reviews at the acquirer's location
● legal (non disclosure agreement, running contracts), commercial (inquiries for prices, war-
ranty, license) and organizational aspects (points of contact at the supplier's location) that la-
ter will become part of the »Contract.
As defined in the »RFP Concept, the complete »Request for Proposal will be mailed or published in
the related official gazettes.

3.6.3 Peparing Criteria Catalog for Assessment of Offers

Work Product: Criteria Catalog for Assessment of Offers
Method Reference: RFP Support, Evaluation Process
Purpose
In the public sector the »Criteria Catalog for Assessment of Offers shall be prepared at the same
time as the »Request for Proposal. After the time the request for proposal was published, it will no
longer be permitted to change the criteria catalog. The criteria catalog will be based on the »RFP
Concept and the requirements on the system to be developed. From this the evaluation criteria will
be derived. Weighting factors and possibly exclusion criteria, so-called knockout criteria, shall be
determined. A detailed example of the preparation of a criteria catalog can be found in the »UfAB
III.
3.6.4 Assessing and Selecting Offers

Work Product: Offer Assessment
Purpose
The incoming »Offers (»Offer (Supplier) ) shall be subjected to a test that mostly consists of several
stages. At each evaluation stage all offers that are still in the running shall be tested and evaluated
one after the other. The results of the test stage shall be recorded.
The test may for example consist of the following stages:
Formal Testing
The offers will be subjected to a formal test. This will include for example checks whether the of-
fers were submitted within the prescribed time and whether the offers address all parts of the »Re-
quest for Proposal.
Qualification Test
It will be checked whether the supplier is qualified to carry out the order. Aspects that will be consi-
dered in this context are for example size, solvency, competence, capability and reliability. In the
competition with selected participants this check will be performed first and used to pre-select the
potential suppliers to whom the request for proposal will then be sent.
Cost-Effectiveness Test
The offers will be checked for cost-effectiveness. In this process the aspects concerning the contents
shall be checked on the basis of the criteria catalog for the evaluation of the offers and the price-per-
formance ratio shall be determined.
The results of the tests shall to be recorded in the »Offer Assessment. The offers may also be nego-
tiated in retrospect with the bidders. The supplier with the best score will be selected. A detailed ex-
ample of an evaluation with the associated tests, the contents and the approach can be found in the
»UfAB III.

3 Activities 6-65
Public acquirers will have to fulfill the specifications linked to the award procedures, in particular
key dates, target dates and special regulations with regard to the opening of the offers and the possi-
bilities for renegotiation.
3.6.5 Awarding Contract (Acquirer)

Work Product: Contract
Purpose
The basis for the contract negotiations will be the »Request for Proposal and the »Offer (Supplier)
of the potential supplier. The »Contract will be negotiated with that supplier that was selected du-
ring the »Offer Assessment. Depending on the RFP Concept, this may lead to changes in require-
ments or other specifications.
The supplier shall attach to the contract the contract-relevant parts of his project manual and his
»QA Manual. Prior to the start of contract negotiations, the budget will be again checked by the
commercial department. In case of public acquirers this is not permitted. In the public sector an re-
quest for proposal can be stopped at this time only if it is proved that there is a lack of cost-effec-
tiveness. Depending on the »RFP Concept, in the public sector the contract negotiations may be
dropped. In this case the contract will be replaced by the request for proposal and the best economic
offer.
After successful contract negotiations the contract can be concluded. The procurer, the commercial
department the supplier and the »Executive will be involved in the contract conclusion. Usually
each company shall meet requirement regarding contract, such as VOL/B, VOB/B, »EVB-IT (Sup-
plementary Contractual Terms for IT Procurement), BVB (Special Contractual Terms) and AGB
(General Terms and Conditions). These will have to be taken into account when contracts are draf-
ted.
3.6.6 Awarding Contract Addendum (Acquirer)

Work Product: Contract Addendum
Purpose
If after the conclusion of the contract changes are desired that would go beyond the scope of the
contract, for example with regard to the scope of work, a »Contract Addendum may become ne-
cessary. This will usually be initiated by the supplier and negotiated with the acquirer. The procedu-
re will be analogous to the approach in the contract negotiations.
3.6.7 Issuing Statement of Acceptance (Acquirer)

Work Product: Statement of Acceptance
Purpose
Each (partial) »Delivery, for which an acceptance statement has to be issued will be checked with
an acceptance test (see »Evaluating Delivery ). Deficiencies detected in the acceptance test shall be
summarized in a deficiency list and evaluated. Depending on the seriousness of the deficiencies, it

must be decided whether the acceptance may be only with reservation or whether it may even be re-
fused. This decision and a possible deficiency list will be documented in the »Statement of Accep-
tance.
Acceptance will be completed when the acceptance statement for the total contract that is provided
after the last delivery bears the signature of the acquirer.
3.7 Requirements and Analyses

The »Discipline Requirements and Analyses comprises all »Work Products and »Activityies which
specifiy the user requirements based on a project proposal (prestudy) and the contract.
In addition, this discipline includes analyses of specific system aspects, e.g., a »Legacy System
Analysis as basis for the migration of a system, a market survey for the use of off-the-shelf pro-
ducts, or an »User Tasks Analysis for describing ergonomic aspects. The documentation of the con-
tract award decision (make-or-buy) for a system element and the market survey as basis for decisi-
on-making are also included in this discipline.
3.7.1 Determining Requirements Overall Project

Work Product: Requirements Specification Overall Project
Purpose
The aim of the activity will be to specify the requirements and an outline of the acquirer's overall
system design in such a way that the overall project can be subdivided into sub-projects. This activi-
ty will also create the preconditions for the traceability of user requirements over the whole life cy-
cle of a system.
In an iterative process, user requirements shall be continuously refined and improved until their
quality and detail will be sufficient for a subdivision of the overall project into sub-projects. This
will be done by making analyses, setting priorities, making evaluations and establishing a quality
assurance process for all user requirements. After checking the user requirements with regard to
their feasibility, cost-effectiveness and affordability, the overall project can be subdivided into sub-
projects, which can be realized independently.
When defining the the Requirements Specification Overall Project, the initial situation and the ob-
jective shall be described at first. This is followed by the preparation of the functional and non-
functional requirements. At the same time, an »Outline of the Life Cycle and the Overall System
Architecture shall be prepared. The Outline of the Overall System Architecture is the most import-
ant foundation fo the subdivision of the overall project into sub-projects.
The process of defining the requirements will end with the analysis of the quality of the require-
ments and the preparation of the scope of delivery and the acceptance criteria.
3.7.1.1 Describing Initial Situation and Objectives

Subject: Requirements Specification Overall Project: Initial Situation and
Objectives
See Describing Initial Situation and Objectives in activity Determining Requirements.

3 Activities 6-67
3.7.1.2 Specifying Functional Requirements

Subject: Overall System Specification: Functional Requirements
See Specifying Functional Requirements in activity Determining Requirements.
3.7.1.3 Specifying Non-Functional Requirements

Subject: Requirements Specification: Non-Functional Requirements
See Specifying Non-Functional Requirements in activity Determining Requirements.
3.7.1.4 Preparing Outline of System Life Cycle and Overall System Architecture
Subject: Requirements Specification Overall Project: Outline of the Life Cycle and
the Overall System Architecture
See Preparing Outline of System Life Cycle and Overall System Architecture in activity Determi-
ning Requirements.
3.7.1.5 Determining Risk Acceptance and Safety and Security Levels

Subject: Requirements Specification: Safety and Security Relevant Requirements,
Risk Acceptance and Safety and Security Levels
See Determining Risk Acceptance in activity Determining Requirements.
3.7.1.6 Determining Sub-Projects

Subject: Project Manual: Sub-Projects
The individual elements of the overall system architecture shall be analyzed in order to determine if
the overall project can be subdivided into sub-projects which will be executed independently. If the
project cannot be subdivided into completely "autonomous" sub-projects, the interdependences bet-
ween the sub-projects shall be described. These interdependences can be described based on techni-
cal interfaces, delivery items, schedules and resources.
Afterwards, the functional and non-functional requirements posed on the overall project shall be as-
signed to the respective sub-projects.
A specific sub-project Integration must be defined in order to integrate the sub-projects to be reali-
zed.

3.7.1.7 Analyzing Quality of Requirements

Subjects: Requirements Specification: Outline of the Life Cycle and the Overall
System Architecture, Overall System Specification: Acceptance Criteria,
Overall System Specification: Functional Requirements, Overall System
Specification: Non-Functional Requirements
See Analyzing Quality of Requirements in activity Determining Requirements.
3.7.1.8 Specifying Scope of Delivery and Acceptance Criteria

Subjects: Requirements Specification Overall Project: Scope of Delivery Overall
Project, Overall System Specification: Acceptance Criteria
See Specifying Scope of Delivery and Acceptance Criteria in activity Determining Requirements.
3.7.2 Preparing Overall Project Requirements Evaluation

Work Product: Evaluation of the Overall Project Requirements Specification
Purpose
The aim of the activity Preparing Overall Project Requirements Evaluation is that the acquirer
checks and evaluates the user requirements that are available by that time in a way that the possible
realization risk becomes as transparent and manageable as possible for him. This task can be perfor-
med successfully only if all stakeholders are involved in this process.
The acquirer will check the functional and non-functional requirements that will be available by that
time for their technical feasibility, affordability, cost-effectiveness and importance. This is the task
of the acquirer.
This approach will be characterized by the fact that the evaluation criteria for the evaluation of the
requirements will be at first established, prioritized and evaluated. Finally, the evaluated require-
ments shall be integrated into the project
3.7.2.1 Specifying Evaluation Criteria

Subject: Evaluation of the Overall Project Requirements Specification: Evaluation
Criteria Overall Project
For the activity »Preparing Overall Project Requirements Evaluation, it will be important that all
stakeholders know at the outset according to which evaluation criteria the requirements will be tes-
ted.
Evaluation criteria shall be defined and prioritized in order to be able to negotiate the functional
(use cases) and the non-functional requirements in a transparent and rational way.

3 Activities 6-69
As far as possible the »Requirements Engineer (Acquirer) may already make a suggestion for the
assignment of the respective relevant evaluation criteria to the functional requirements/use cases
and the corresponding non-functional requirements.
In a (standardized) evaluation catalog, the following evaluation criteria should be observed in any
case:
1. Accomplishment of tasks and missions
2. Compliance with statutory obligations
3. Compliance with standardization and harmonization requirements
4. Benefits (possible types of benefits may be gained for example in the public sector in the
field of IT cost effectiveness considerations)
5. Cost-effectiveness, costs (subdivision into cost categories)
6. Realization risks
7. Technical feasibility within the specified timeframe
8. Availability of and demand for budget funds
9. Framework conditions and requirements, e. g. political guidelines, standards, infrastructure

requirements
10. Possibility of saving by using off-the-shelf products
11. Target dates, schedules
12. Quality aspects, performance aspects
13. Safety and security aspects
In order to be able to achieve relevant statements, the use of weighted evaluation procedures - e.g.
WSM (weighted scoring model) or AHP (analytic hierarchy process) - may be useful, particularly
for the »Evaluation of Off-the-Shelf Products. However, it should always be taken into account that
the formal framework does not lead to a disproportionate effort and that its methodology does not
anticipate or prefer specific results.
The evaluation criteria shall be archived in suitable form so that their reuse will be possible.

3.7.2.2 Evaluating Requirements

Results Overall Project
The requirements shall be evaluated on the basis of the »Evaluation Criteria Overall Project. To-
gether with the developers of the user requirements and supported by experts for system architec-
ture and system design, the »Requirements Engineer (Acquirer) will perform the following work
steps:
Analysis of Operational Necessity
The stakeholders will review the operational necessity of individual requirements. Both the non-
functional and the functional requirements shall be reviewed. The result of the review will be candi-
dates for requirements that are not classified operational.
How relevant the requirements are shall be discussed in each case by the stakeholders. In this pro-
cess risks and safety and security aspects of the individual requirements shall be weighed, roughly
estimated and possibly reclassified with regard to their importance. It may also be necessary to
check to what extent individual requirements can be dropped by merging them with others.
Should there be no agreement on the necessity of individual requirements when evaluating the va-
rious requirements, the »Requirements Engineer (Acquirer) shall prepare a proposal for the decision
makers.
Analysis of Technical Feasibility
If the »Decision Gate »Requirements Specified has been completed, the requirements shall be
checked for their technical feasibility. When doing this, it is recommended to fall back on possible
approximate technical solutions for the realization of the functional and non-functional require-
ments. The result will be documented in the »Outline of the Life Cycle and the Overall System Ar-
chitecture. Should the acquirer be unable to perform this task, the »Requirements Engineer (Acqui-
rer) shall take care that an »Outline of the Life Cycle and the Overall System Architecture will be
prepared by experts. This outline ("approximate system architecture"), where the requirements will
be already assigned to the respective elements of the architecture, will form a valuable basis for des-
cribing possibilities for technical solutions.
The requirement of ensuring economic efficiency and estimable use of resources for the solution to
be prepared necessitates a rough analysis regarding the use of off-the-shelf products. Practice shows
that Acquirers increasingly have and develop technical knowhow and competence for developing
solutions. In many cases, this capability is already required of the Acquirer (particularly in case of
IT organizational units). A »Market Survey for Off-the-Shelf Products provides the necessary data-
base. The further proceedings in the project may be determined by using the defined (prioritized)
evaluation procedures. This corresponds to a qualified »Make-or-Buy Decision.

3 Activities 6-71
All results of the technical feasibility studies shall be unambiguously related to the functional and
non-functional requirements. It will be especially important that at this point a possible use of off-
the-shelf products will be already evaluated. T
Checking Cost-effectiveness and Affordability of the Requirements
Within the scope of the activity »Preparing Requirements Evaluation, considerations regarding the
cost-effectiveness shall be made. They are to provide an answer to the question whether a cost-ef-
fective realization of the requirements will be possible and whether meeting individual requirements
will be profitable in the sense of that the benefits will exceed the costs. When the cost-effectiveness
considerations are made, attention should be paid to the following aspects:
● The requirements and their resulting costs shall be made so transparent that the decisions
made can be traced by the responsible decision makers of the project.
● Should it be not possible to quantify the cost estimates, at least an order of priority of the
possible costs for the individual requirements shall be established.
● The users should once more seize the opportunity to look critically at the "value" of indivi-
dual functional and non-functional requirements of the planned IT system.
● Should it not be possible to express the benefits in monetary units (for example replacement
of the old process with cost savings), qualitative aspects of the benefits should be used (for
this purpose in the public sector IT cost effectiveness considerations may be used). If the be-
nefits are not quantifiable, the following aspects should be considered:
○ a possible increase in performance when carrying out tasks and acceleration of work
flows and processes
○ the possibility to provide information to decision makers and the controlling staff by
supporting the decision and/or command and control process
○ the urgency of a replacement and the lack of flexibility of the legacy system will be
highlighted for example by a high error rate, failures, system crashes, maintenance pro-
blems, manpower shortages, too narrow limits concerning development or expansion, in-
terface problems and lack of user-friendliness.
○ the stipulated compliance with statutory requirements, e. g. by meeting data

protection/data security requirements and orderly work flows according to internal stan-
dards.
3.7.2.3 Integrating Evaluation Results

Results Overall Project

The acquirer shall document the results of the user requirements evaluation in the product Evaluati-
on of the Overall Project Requirements Specification and make them accessible to all roles partici-
pating in the evaluation process.
Afterwards, the affected requirements shall be changed or amended in order to integrate the Evalua-
tion Results Overall Project into the Overall Project Requirements Evaluation.
The Requirements Engineer (Acquirer) shall ensure that the results achieved in the evaluation pro-
cess are traceable also for persons not participating in the activity Peparing Overall Project Require-
ments Evaluation.
The resulting consequences for the project may be assessed differently. According to one possibility,
the results on the preliminary system architecture and off-the-shelf products will not be integrated
into the request for proposals since the acquirer expects innovative and cost-effective solutions from
the industry.
According to another possibility, the results may be used for defining the scope of delivery and the
future development of the RFP concept.
3.7.3 Determining Requirements

Work Product: Requirements Specification
Method Reference: Requirements Analysis, Business Process Modeling
Tool reference: Requirements Management
Purpose
The aim of the activity will be to determine the requirements of the user in a way that they will be
the basis for the request for proposal, the placing of orders, the design, the acceptance and the chan-
ges of the system. This activity will also create the preconditions for the traceability of user require-
ments over the whole life cycle of a system.
In an iterative process user requirements shall be continuously refined and improved until their qua-
lity and detail will be sufficient for external or internal placing of orders. This will be done by ma-
king analyses, setting priorities, making evaluations and establishing a quality assurance process for
all user requirements. After checking the user requirements with regard to their feasibility, cost-ef-
fectiveness and affordability, they will be sufficiently mature to be an object of an request for pro-
posal.
When defining the requirements, at first the initial situation and the objective shall be described.
This is followed by the preparation of the functional and non-functional requirements. At the same
time an »Outline of the Life Cycle and the Overall System Architecture shall be prepared. The pro-
cess of defining the requirements will end with the analysis of the quality of the requirements and
the preparation of the scope of delivery and the acceptance criteria (see Figure 14).

3 Activities 6-73
Activity Flow
Figure 14: Activity "Determining Requriements"
3.7.3.1 Describing Initial Situation and Objectives

Subject: Requirements Specification: Initial Situation and Objectives
The initial situation shall be described by the acquirer. On the side of the supplier the functionalities
of the system, the system boundaries and the system environment, the external interfaces, safety and
security requirements, other important requirements and assumptions and ideas concerning the cha-
racteristics of the system shall be specified over the whole life cycle. For this purpose all available
documents shall be registered, screened and condensed to the main statements in a form that is
clearly arranged. From the participants ("stakeholders") possibly background information shall be
obtained, which may better illustrate the topic even to an outsider.

3.7.3.2 Specifying Functional Requirements

Subject: Requirements Specification: Functional Requirements
For the preparation of the topic »Functional Requirements business processes have to be analyzed,
functional requirements have to be recorded and described, and the requirements have to be depic-
ted in the form of use cases. In the following these activities will be described.
Analysis of Supported Business Processes
For an analysis of the business processes it is recommended to classify the requirements. Thus for
example a distinction can be made between the application system, the business processes, the utili-
zation system or the individual work processes.
In a top-down approach - starting with overarching management processes - the individual business
processes shall be defined and described in a way that it can be seen which of these processes are to
be supported by the new system. The business processes shall be described as comprehensively as
possible in order to permit an integration of the system into the existing corporate organizational
procedures, even if the system supports only parts of the processes. The business processes shall be
analyzed, and a decision shall be made whether optimizations are required. If possible, these opti-
mizations shall be initiated and completed prior to the start of the project so that they can be used as
a basis for the analysis and specification of the functional requirements. The business processes to
be supported will be determined in the following steps:
1. At first the actual system shall be analyzed. This step is optional and should be performed in
particular if the functions of the system to be generated (e. g. of a system that is yet to be de-
veloped) are known only partly or not at all or if parts of an existing system are to be adop-
ted when generating the system. This will apply also to systems that are yet to be developed
and whose development is outsourced. As early as during the analysis descriptions of the se-
tup, the structure and of the interfaces of the system and the environment shall be provided.
2. Furthermore, an analysis of the field or domain of application shall be made. This model
will be used for the communication between acquirer, supplier and user. It may be used in
other projects as a reference model for planning systems in the same field of application.
3. Finally desired process flows shall be defined. This will be done on the basis of the current
state analysis. In this step it first shall be examined what events of the system to be genera-
ted influence the business processes considered (by the current state analysis) and how they
influence the system. Also the business processes shall be broken down into work processes
and coordinated with the persons concerned. They shall be newly specified and documented.
Subsequently it shall be evaluated which of the specified desired processes have to be adop-
ted in the system to be generated and what changes to existing parts of the system may be
necessary. Furthermore, it shall be evaluated which work processes in the existing system
may be changed by the new system.
Recording and Describing the Functional Requirements in Text Form

3 Activities 6-75
After preliminary checks the functional requirements will be recorded and described in text form. In
the first step the problem area shall be processed and the recording of the requirements shall be pre-
pared organizationally and technically, e. g. by
● analyzing system documents and market studies;
● tracing specific knowledge within the business division;
● preparing and testing questionnaires;
● informing the participants about the tools to be used, such as for example
○ a template for the description of the requirements in text form;
○ a format for the short description of a requirement in one sentence with typical examp-
les;
○ the quality criteria that are to be used for requirements (quality attributes according to
ISO standard 9126) and
○ a style guide for the formulation of requirements.
For determining the requirements there is no standard technique that is suitable for all requirements
in a project. When selecting the technique for determining the requirements, in particular the degree
of detail of the requirements will play a role. The following techniques have proven their worth for
requirements:
● Creativity techniques are suitable for collecting initial ideas and providing an initial gene-
ral account of the system to be developed. Examples of these techniques are brainstorming,
the Metaplan technique, mind mapping, structured workshops or problem-solving meetings.
● Observation techniques are suitable for determining both requirements at a very detailed
level and subconscious requirements. Examples of these techniques are field observation
and apprenticing.
● Interview techniques with questionnaires, interviews, notes put down by the interviewed
persons themselves and on-site acquirers are suitable for determining requirements of any
degree of detail.
● History-oriented techniques are suitable for integrating existing solutions into a new sys-
tem. They make it possible to reuse lessons learned from system developments that have al-
ready been successfully completed.

When collecting requirements in text form, the previously defined features/attributes for each requi-
rement also have to be recorded. Alternatively, they may be described using graphical notations.
One problem that occurs when making this description are implicit assumptions by the users and
also by the people who are in charge of the realization. These problems occur because some stake-
holders consider facts, which are, however, not known to others, to be obvious and not worth men-
tioning. Those implicit assumptions have to be worked out and pointed out together with the users,
because they frequently include important requirements.
Specifying Functional Requirements in the Form of Use Cases
The requirements that were determined finally will have to be written down in the form of use ca-
ses. This will be done in three steps. At first use cases shall be defined. Then scenarios shall be de-
veloped, and finally use cases shall be described.
On the basis of the preliminary work, the »Requirements Engineer (Acquirer) and the users have to
define the possible use cases ("scenarios"). The definition of the use cases may be based on the pre-
viously described process descriptions.
For required coordination processes between the stakeholders scenarios have to be specified. Scena-
rios describe a system from the perspective of possible utilization situations. The scenarios for the
future system and its operation shall be developed and documented in joint meetings. On the basis
of the submitted scenarios, also an understanding of the interests, demands and expectations of the
individual stakeholders that is common to the different groups shall be developed. These scenarios
will then be the basic material for descriptions in the form of use cases. In the process also agree-
ment should be reached on the definition of a template for the description of the use case (for exam-
ple possible task-specific additions to the "standard template").
Subsequently the functional requirements for the planned IT system shall be described for the iden-
tified use cases ("scenarios"). For this purpose a uniform use case template shall be developed that
specifies the main elements of the use case templates, such as the primary and secondary actors, the
sequence of actions of the use case or the prerequisites for the start.
3.7.3.3 Specifying Non-Functional Requirements

Subject: Requirements Specification: Non-Functional Requirements
When specifying the requirements, the specified framework conditions and requirements for the
system properties and the safety and security shall be recorded, and the process conditions shallbe
specified. In case of non-functional requirements the description may be mostly made in text form.
However, the requirements should be measurable, testable and decidable. The various categories
will be described in the topic »Non-Functional Requirements.
Recording of the Specified Framework Conditions

3 Activities 6-77
Specified framework conditions shall be determined already at the beginning of the recording of all
non-functional requirements, since they will affect the contents of all other requirements. When
doing this, it will be possible to fall back on the results of the topic »General Conditions and Cons-
traints.
Recording of the Requirements for the System Properties
The recording of the requirements for the system properties should follow the recording of the spe-
cified framework conditions. For this purpose for example the FURPS pattern
● Functionality,
● Usability,
● Reliability,
● Performance,
● Supportability,
may be used. As far as it is possible at this time, the quality requirements for the system shall be re-
corded concurrently with the functional requirements when describing the use cases. The individual
components of the FURPS pattern may be characterized as follows:
● To describe the functionality, the requirements for the suitability of the functions, the accura-
cy of the calculations, the interoperability and the safety and security of the individual func-
tions shall be established. For example:
○ in a spelling check, at least 98 percent of all cases shall be covered;
○ all sums of money shall be calculated to 2 decimal places; numbers shall be rounded
commercially.
● To describe the usability, requirements for learnability, utility of operation, intelligibility (e.
g. the handling of the help function) and for the interfaces (Look and Feel) shall be establis-
hed. For example:
○ desired learning effort;
○ statements concerning the expected time future users will require for learning;
○ instructions and training requirements.

○ When the average user uses the system, the error rate must be less than 2 percent.
● To describe reliability, requirements for fault tolerance and the ability to recover shall be
established, such as maximum times for re-establishing operational readiness after failures.
● To describe efficiency, requirements for times, for the throughput, for the prospective quan-
tities, for the availability and for the maximum load requirements. For example:
○ reaction times (from this event... to the reaction);
○ repetition factors (inputs are provided in intervals of 10 seconds, the system has to hand-
le this quantity);
○ data storage (the storage of up to x MB should not take longer than y seconds);
○ utilization (between 9 a. m. and 5 p. m. the system must be capable of supporting 300

users at the same time);
○ expectations of the acquirer with regard to the operational capability of the system or
product.
● To describe supportability, requirements shall be established with regard to the resources re-
quired for maintenance and changes, release cycles, portability and to the growth potential
and scalability of the system. For example:
○ maintenance must not affect the end user;
○ the effort required for certain changes, e. g. the installation of a new upgrade, must not
exceed xx man days;
○ the frequency of changes must not exceed a defined rate per defined unit of time;
○ new releases should be offered to the user only n times per unit of time.
Determining the Process Conditions for the System
The determination of the process conditions will affect in particular the requirements for the creati-
on phase, for operations and maintenance and for logistics.
● The acquirer will determine for example which development method (e.g. the incremental
method) shallbe used, what technical standards or other regulations have to be complied
with, how quality assurance shall be performed at the locations of all stakeholders or what
partner commitments shall be taken into account.

3 Activities 6-79
● For the acceptance of the system, the requirements with regard to the processes to be perfor-
med, the responsibilities, the stakeholders and the approach shall be established.
● For the introduction phase of the system the requirements shall be specified with regard to
how the new system or its configuration levels have to be installed at the locations of the ac-
quirer and the users, considering in particular the requirements for the replacement of a lega-
cy system (e. g. parallel operation). When defining the requirements for the introduction of
the system, the technical and organizational framework conditions shall be considered, in
particular if it is planned to distribute the system components among different locations.
● It will be primarily necessary to place demands on the qualification of the operating and
maintenance personnel and to formulate requirements concerning the sustainability of an ef-
fective configuration management. Possibly, a concept for an efficient software maintenance
and modification system or the realization of a long-term maintenance and operating con-
cept must be demanded from the supplier.
● It will be necessary to define the demands that are placed on the logistic elements during the
realization and in particular during the in-service phase. For this purpose requirements shall
be established with regard to training, service use, maintenance, repair, sparing, and the logi-
stic support structure.
3.7.3.4 Determining Risk Acceptance

Subject: Requirements Specification: Safety and Security Relevant Requirements,
Risk Acceptance and Safety and Security Levels
The decision whether to accept risks when using a system that is to be developed will be made by
the acquirer or by future users of the system. The aim of this subactivity will therefore be to deter-
mine the acceptance of the risks incurred when using the system that is to be developed and to spe-
cify the safety and security levels of the requirements from the point of view of the acquirer. This
will define a guideline for the realization of the system and influence the risk reduction measures to
be taken and, beyond that, also the costs entailed by these measures. The following steps shall be
performed to determine acceptance:
● determining possible hazards;
● identifying the potential occurrences of damage associated with them;
● considering in which damage categories (such as personal injuries, material damage, proper-
ty damage, environmental damage, damage to the reputation, product failures) the occur-
rences of damage can be placed;
● determining suitable damage classes;
● classifying possible damage and allocating it to the damage classes;

● assessing the probabilities of the occurrence of damage (e. g. frequent, probable, occasional,
unlikely, unthinkable) as well as the impact/level of damage;
● assessing the risks (probability of occurrence times damage level) and defining risk classes;
● evaluating the risks (intolerable, tolerable with limitations).
From these elements the corresponding risk acceptance values shall be determined (threshold levels
or risk acceptance matrix).
The safety and security levels for all requirements shall be determined and specified based on the
requirements including safety and security requirements and the outline of the overall system archi-
tecture. For the execution of the project it shall be determined what safety and security standard to
apply and what safety and security level is desired, which then will regulate the details (possible or
required risk reduction measures).
An example of possible (not standardized) damage categories (personal injuries, material damage,
property damage etc.), damage classes (catastrophic, critical, marginal etc.) and safety and security
levels can be found in the following figure (cf. »DIN EN IEC 61508).
Figure 15: Example of Possible Damage Categories, Damage Classes, Safety and Security Levels
The frequencies shall be quantified as a function of the environment.
The following »Risk Class (A-D) may be used (cf. »DIN EN IEC 61508):

3 Activities 6-81
Figure 16: Examples of risk classes
With the aid of risk classes the evaluation of risks as tolerable and intolerable is documented within
the risk acceptance matrix (cf. »DIN EN IEC 61508):
Figure 17: Example of a risk acceptance matirx
The occurences are to be quantified according to environmental conditions.
3.7.3.5 Preparing Outline of System Life Cycle and Overall System Architecture
Subject: Requirements Specification: Outline of the Life Cycle and the Overall
System Architecture
When preparing the »Outline of the Life Cycle and the Overall System Architecture, initial concep-
tions concerning a preliminary architecture and the operating environment shall be developed, loo-
king at the preliminary architecture primarily from a functional point of view. The decomposition of
the preliminary architecture should be selected in accordance with the degree of detail of the requi-

rements. The architecture should already offer initial suggestions for solutions to the development
of logistic concepts, of the system and of the required »Enabling System s during the life cycle, de-
aling with operations, maintenance and repair of the system and disposal.
The Outline of the Overall System Architecture is an important foundation for suvditiding an over-
all project into several sub-projects which can be realized independently.
After »Evaluating Requirements, the requirement fields that are suitable in accordance with the
Market Survey and »Evaluation of Off-the-Shelf Products, will be identified as potential sub-pro-
jects.
3.7.3.6 Analyzing Quality of Requirements

Subjects: Requirements Specification: Non-Functional Requirements, Requirements
Specification: Outline of the Life Cycle and the Overall System
Architecture, Overall System Specification: Acceptance Criteria, Overall
System Specification: Functional Requirements
The analysis of the quality of requirements will make it necessary to define the criteria for quality,
to check the quality of the project specification and to correct deficiencies of requirements.
Definition of the Quality Criteria
At first quality criteria shall be defined and imparted to all stakeholders as early as possible. At the
latest at this point the quality criteria should be determined to check the »Requirements Specified.
The criteria that are necessary for the project should be selected from the following quality criteria
for requirements:
● Unambiguity (Does each requirement permit only a single interpretation?)
● Completeness (Have all necessary functions been taken into account?)
● Checkability (Is it possible to check that the requirements are met?)
● Consistency (Are the requirements conflicting?)
● Intelligibility (Is the requirement intelligible to all stakeholders?)
● Origin (Is the origin/justification of the requirement clearly described?)
● Flexibility and correlations (Is it possible to change the requirement without affecting other
requirements?)
● Traceability (Can each requirement be unambiguously identified?)

3 Activities 6-83
● Abstractability (Is the requirement independent of the implementation?)
● Classificability with regard to importance (Are there risks with regard to the feasibility and
stability of the requirement in the whole life cycle?)
● Suitability (Do the defined system functions correspond to the wishes and needs of the
user?)
Quality Check of the Requirements (Project Specification)
The design of the product »Requirements Specification or »Requirements Specification Overall

Project, in particular the individual use cases included in these requirements, and the non-functional
requirements, shall be checked on the basis of the defined quality criteria. During the quality check
in particular the completeness criterion will require a pragmatic approach. This will be done by eva-
luating
● whether all categories of the non-functional requirements were dealt with;
● whether all functions that were listed as necessary are described in full;
● whether all users/stakeholders were included or
● whether the document still includes notices saying "yet to be accomplished".
Checking the traceability of requirements will be of paramount importance. This has to be assured
during the whole duration of the project and, beyond that, over the whole life cycle of a IT system,
i. e. both forwards and backwards. In this context "Backwards" means: Where does which require-
ment come from (what is its origin)? "Forwards" means: Where, when and by whom has which re-
quirement been developed or implemented? Attention should be paid that questions concerning the
verification of the implementation of the requirement can be answered, such as: How was a require-
ment implemented? And by whom and when was which requirement changed?
When preparing requirements, attributes shall be introduced that ensure that decisions will be docu-
mented so that they can be reconstructed and that it can also be reconstructed that "legal" require-
ments have been met (e. g. verification of compliance with the duty of care or that appropriate re-
views were conducted with the presentation of their results). Recording traceability may require a
major effort. Therefore it shall be checked whether it was determined what information are recorded
and how the traceability data will be structured and stored. For this purpose the use of a tool may be
considered.
The results of the quality check will be finally documented in a list that includes deficiencies and
findings.
● Defining quality criteria for the validation of requirement

● Using the specified quality criteria to check the requirement
● Documenting of the deficiencies found
Eliminating the Deficiencies and Processing for the Evaluation of the User Requirements
Before it will be possible to finish the requirements document, the requirements have to be proces-
sed and assessed and deficiencies have to be eliminated. The deficiencies found, such as contradicti-
ons, redundancies, incompletions and uncertainties, have to be eliminated together with the stake-
holders in talks or workshops. In case of conflicts an authorized person shall bring about a decision.
This will have be recorded in a protocol.
● In case it is found that not all possible patterns of behavior of the system are specified in the
requirement or that the conditions contradict each other, the requirement shall be corrected
and completed.
● The same applies also if the logical structure of a requirement is incomplete or inconsistent.
● The requirements shall be revised with regard to style, e. g. by making improvements con-
cerning generalizations, omissions, exaggerations, lack of clarity etc.
For extensive requirements it is recommended to perform additional interim tests or reviews already
at the time when the requirements are being prepared.
If as late as in the quality assurance process terms emerge that are understood differently by the
users, the prepared glossary shall be updated.
In accordance with the decisions concerning the elimination of the deficiencies, which are docu-
mented in the deficiency catalog in the list that contains the findings, the requirements and the
glossary will be revised.
After the elimination of the deficiencies that were found, a final check shall be made of the require-
ments document, which then shall be prepared for the assessment of the requirements. In this pro-
cess the data that are important to requirements controlling shall be processed in a way that they are
clearly arranged, traceable and measurable, and that they are available to all stakeholders.
3.7.3.7 Specifying Scope of Delivery and Acceptance Criteria

Subjects: Requirements Specification: Acceptance Criteria, Requirements
Specification: Scope of Delivery
In order to determine the »Scope of Delivery or the »Scope of Delivery Overall Project, all already
defined products and services from the »Project Manual, which shall be delivered by the supplier to
the acquirer in the course of the project of after the acceptance of the system (or of parts of the sys-
tem), shall be included. For each »Delivery the following information shall be provided:

3 Activities 6-85
● short designation (or other unambiguous identifier);
● number or quantity;
● suppliers and
● place of delivery and recipient.
Because of the scheduling of the deliveries, the results of the »Project Manual shall be considered.
When determining the scope of delivery, the impact of the selected shall be taken into account.
Acceptance criteria will be the binding foundation of the integration and test phase for future accep-
tance. For the functional requirements, for example, they shall be divided into the components initi-
al situation, action and expected result, and they shall be described. From the point of view of the
overall project, advancing this task into the definition phase of the requirements will not mean any
additional effort.
For determining the acceptance criteria an appropriate selection, preparation, documentation and
checking of the acceptance criteria will be required.
In this context it has paid off to derive early evaluation cases from the functional requirements/qua-
lity criteria. Thus it will be possible to achieve a high degree of completeness and consistency of the
requirements and acceptance criteria.
Selecting Requirements Categories for the Acceptance Criteria
The following requirements categories will for example be suitable for the preparation of acceptan-
ce criteria and should be used for this purpose:
● Quality requirements
● System realization requirements
● Logistics requirements
● Requirements concerning the acceptance procedure
● Requirements concerning service and operations (maintenance and change services)
● Safety and security requirements
● Requirements based on existing framework conditions

● Requirements for the introduction of the system
In each case the acceptance criteria must make it possible to check the main functions. It has to be
determined
● how the selected requirements shall be checked (e. g. by using documents, analysis, de-
monstrators or test or only "implicitly") and
● which parts of the system (e. g. overall system and/or individual components) shall be tes-
ted.
Developing Acceptance Criteria
For each selected requirement the acceptance criteria shall be developed in the following steps.
● Determining acceptance criteria on the basis of use cases. It must be possible to check all ca-
ses of system behavior specified in one use case with the acceptance criteria for a require-
ment. The number of the required acceptance criteria will therefore depend on the logical
structure of the conditions of the use case:
○ For a requirement that does not include any conditions, in general only a single accep-
tance criterion will be necessary. If the requirement includes a single condition (i. e. the
requirement has the form "If the condition exists, then action 1, otherwise action 2"), at
least for both cases an acceptance criterion will have to be developed. When doing this,
care should be taken that the case, in which the condition is not fulfilled ("otherwise"), is
stated in the requirement. If this case is missing, the requirement should be first clarified
and completed (see below).
○ If the requirement interlocks or connects several conditions with each other, the number
of the necessary acceptance criteria may be determined with the help of a decision table.
3.7.4 Preparing Requirements Evaluation

Work Product: Requirements Evaluation
Method Reference: Evaluation Process
Purpose
The aim of the activity »Preparing Requirements Evaluation is that the acquirer checks and evalua-
tes the user requirements that are available by that time in a way that the possible realization risk
becomes as transparent and manageable as possible for him. This task can be performed successful-
ly only if all stakeholders are involved in this process.
The functional and non-functional requirements that will be available by that time will be checked
by the acquirer for their technical feasibility, affordability, cost-effectiveness and importance. This
task shall be performed by the acquirer.

3 Activities 6-87
This approach will be characterized by the fact that the evaluation criteria for the evaluation of the
requirements will be at first established, prioritized and evaluated. Finally the evaluated require-
ments shall be integrated into the project (see Figure 18 ).
Activity Flow
Figure 18: Activity Diagram "Preparing Requirements Evaluation"
3.7.4.1 Specifying Evaluation Criteria

Subject: Requirements Evaluation: Evaluation Criteria
For the activity »Preparing Requirements Evaluation it will be important that all stakeholders know
at the outset according to which evaluation criteria the requirements will be tested.
In order to be able to negotiate the functional (use cases) and the non-functional requirements in a
transparent and rational way, evaluation criteria shall be defined.
As far as possible the »Requirements Engineer (Acquirer) may already make a suggestion for the
assignment of the respective relevant evaluation criteria to the functional requirements/use cases
and the corresponding non-functional requirements.
In a (standardized) evaluation catalog in any case the following evaluation criteria should be obser-
ved, and the criteria should be sorted according to their importance:
1. Accomplishment of tasks and missions

2. Compliance with statutory obligations
3. Compliance with standardization and harmonization requirements
4. Benefits (possible types of benefits may be gained for example in the public sector in the
field of IT cost effectiveness considerations)
5. Cost-effectiveness, costs (subdivision into cost categories)
6. Realization risks
7. Technical feasibility within the specified timeframe
8. Availability of and demand for budget funds
9. Framework conditions and requirements, e. g. political guidelines, standards, infrastructure

requirements
10. Possibilities of saving costs by using off-the-shelf products
11. Target dates, schedules
12. Quality aspects, performance aspects
13. Safety and security aspects
In order to achieve relevant results, the use of weighted evaluation procedures - e.g. WSM (weghted
scoring mdel) or HAP (analytic hierarchy process) - may be useful particularly for the evaluation of
off-the-shelf poducts.
The evaluation criteria shall be archived in suitable form so that their reuse will be possible.
3.7.4.2 Evaluating Requirements

The requirements shall be evaluated on the basis of the previously defined »Evaluation Criteria. To-
gether with the developers of the user requirements and supported by experts for system architec-
ture and system design, the »Requirements Engineer (Acquirer) of the acquirer will perform the fol-
lowing work steps:
Analysis of Operational Necessity

3 Activities 6-89
The stakeholders will review the operational necessity of individual requirements. Both the non-
functional and the functional requirements shall be reviewed. The result of the review will be candi-
dates for requirements that are not classified operational.
How relevant the requirements are shall be discussed in each case by the stakeholders. In this pro-
cess risks and safety and security aspects of the individual requirements shall be weighed, roughly
estimated and possibly reclassified with regard to their importance. It may also be necessary to
check to what extent individual requirements can be dropped by merging them with others.
Should there be no agreement on the necessity of individual requirements when evaluating the va-
rious requirements, the »Requirements Engineer (Acquirer) shall prepare a proposal for the decision
maker.
Analysis of Technical Feasibility
Is the necessity of the »Requirements Specified , the requirements shall be checked for their techni-
cal feasibility. When doing this, it is recommended to fall back on possible approximate technical
solutions for the realization of the functional and non-functional requirements. The result will be
documented in the »Outline of the Life Cycle and the Overall System Architecture. Should the ac-
quirer be unable to perform this task, the »Requirements Engineer (Acquirer) shall take care that an
»Outline of the Life Cycle and the Overall System Architecture will be prepared by experts. This
outline ("approximate system architecture"), where the requirements will be already assigned to the
respective elements of the architecture, will form a valuable basis for describing possibilities for
technical solutions.
The requirement that the solution to be developed should be cost-effective and that the consumption
of resources should be calculable necessitates a preliminary analysis regarding the possible use of
off-the-shelf products. Practice shows that acquirers increasingly have and develop technical soluti-
on know-how and competence. In many cases, this is one of the capabilities required of an acquirer
(particularly in IT organizational units executing IT projects for functional areas).
A »Market Survey for Off-the-Shelf Products provides the necessary data base. The use of the defi-
ned (weighted) evaluation procedures can determine the further proceedings in the project. This cor-
responds to a qualified make-or-buy decision on side of the supplier.
All results of the technical feasibility studies shall be unambiguously related to the functional and
non-functional requirements. It will be especially important that at this point a possible use of off-
the-shelf products will be already evaluated. The approach employed should be analogous to the
subactivity »Evaluating Off-the-Shelf Products.
Checking Cost-effectiveness and Affordability of the Requirements

Within the scope of the activity »Preparing Requirements Evaluation, considerations regarding the
cost-effectiveness shall be made. They are to provide an answer to the question whether a cost-ef-
fective realization of the requirements will be possible and whether meeting individual requirements
will be profitable in the sense of that the benefits will exceed the costs. When the cost-effectiveness
considerations are made, attention should be paid to the following aspects:
● The requirements and their resulting costs shall be made so transparent that the decisions
made can be traced by the responsible decision makers of the project.
● Should it be not possible to quantify the cost estimates, at least an order of priority of the
possible costs for the individual requirements shall be established.
● The users should once more seize the opportunity to look critically at the "value" of indivi-
dual functional and non-functional requirements of the planned IT system.
● Should it not be possible to express the benefits in monetary units (for example replacement
of the old process with cost savings), qualitative aspects of the benefits should be used (for
this purpose in the public sector IT cost effectiveness considerations may be used). If the be-
nefits are not quantifiable, the following aspects should be considered:
○ a possible increase in performance when carrying out tasks and acceleration of work
flows and processes
○ that it will be made possible to provide information to decision makers and the control-
ling staff by supporting the decision and/or command and control process
○ the urgency of a replacement and the lack of flexibility of the legacy system will be
highlighted for example by a high error rate, failures, system crashes, maintenance pro-
blems, manpower shortages, too narrow limits concerning development or expansion, in-
terface problems and lack of user-friendliness.
○ the stipulated compliance with statutory requirements, e. g. by meeting data

protection/data security requirements and orderly work flows according to internal stan-
dards.
To estimate costs, allocate funding or determine the budget, concepts - which at this time may still
be very rough - of an architecture that provides a solution and technical solutions provided by the
market in off-the-shelf products shall be considered.
Preparing Evaluation Results
On the basis of the evaluation, the following alternatives for further handling of user requirements
will have to be identified:
1. Confirmation that it is possible to realize a requirement economically.

3 Activities 6-91
2. Changes of requirements:
○ Those requirements that are absolutely necessary for the operational use of the system
shall be realized in any case with suitable technical solutions, possibly neglecting cost-
effectiveness considerations.
○ Those requirements that can not or only partly covered economically by possible techni-
cal solutions - in particular by off-the-shelf products - shall be indicated. Their relevance
to the system shall be shown and a suggestion shall be made how to meet those require-
ments. In this connection the following options will be conceivable:
■ Requirements that do not have to be covered should be marked "non realizable", sin-
ce they cannot be realized within a foreseeable planning period. This does not mean,
however, that they are cancelled completely.
■ Requirements that are not covered may be modified in a way that they are met by the
functionality of one or more off-the-shelf products.
■ For requirements that are not covered, "adaptation" work on the finished product will
be suggested that is still affordable within the framework of the budget. In require-
ments controlling risks and safety and security will be examined and discussed.
The result of the subactivity »Evaluating Requirements will be the harmonized functional and non-
functional requirements that are cost-effective, necessary, affordable and technically feasible.
3.7.4.3 Integrating Evaluation Results

The acquirer shall document the result of the evaluation of the user requirements in the product
»Requirements Evaluation and make it available to all roles participating in the evaluation process.
Subsequently the »Evaluation Results shall be integrated in the product »Requirements Specificati-
on by changing and supplementing the requirements concerned.
The »Requirements Engineer (Acquirer) shall take care that the results achieved in the evaluation
process can be reconstructed also by persons not involved in the activity »Preparing Requirements
Evaluation.
The resulting consequences for the projects may be evaluated differently. One possibility is that the
results developed for the preliminary system architecture and off-the-shelf products are not integra-
ted into the request for proposals since the acquirer expects innovative and cost-effective solutions
proposals from the industry.

An other possibility is the use of the result for defining the scope of delivery for the future develop-
ment of the RFP concept.
3.7.5 Analyzing User Tasks

Work Product: User Tasks Analysis
Purpose
Within the scope of the »User Tasks Analysis, the user tasks that will be supported in the future by
the new system shall be described. This should include the preparation of user profiles and the des-
cription of the physical user environment.
3.7.5.1 Preparing User Profiles

When preparing the user profile analysis, the characteristics of the future users of the system shall
be recorded and written down. Depending on these analytical results, criteria for the quality of soft-
ware ergonomics shall be formulated and weighted for each characteristic of the users. From the
weighted quality criteria, user friendliness can be optimized for the related characteristics.
To determine the user characteristics, it may be checked for example
● with regard to the required expert knowledge, whether the system to be developed is a work-
place used by laymen or experts,
● whether the users are experienced or inexperienced computer users and
● whether they use the system permanently, i. e. several hours per day, or only sporadically, i.
e. once a week.
If due to workflow reengineering required changes that lead to a new task definition and a new
workflow become necessary, an intensive introduction of the participating users to the new opera-
tional procedures shall be provided. This should include the collection of user feedback that is to be
incorporated into the design of the user interface.
3.7.5.2 Analyzing Physical Operation Environment

An analysis of the physical work environment of the dialogue system and of the user who works
with it shall be made.

3 Activities 6-93
The design of the dialogue system from the point of view of the environment may be influenced for
example by the location of the system (office, hall or public place), the influences due to
noise/sound, light, dirt, climate and vibrations and by other disturbances from outside, such as the
danger of vandalism when automatic machines are concerned.
Thus due to the environmental conditions for example an information terminal for tourists in a pu-
blic place will be designed differently from a workplace in a travel agency. In case of a danger of
vandalism when a terminal is used, it will be practical to equip it with a touch-sensitive screen ins-
tead of a mouse, while the workplace in a travel agency may well be equipped with a mouse and a
keyboard.
3.7.5.3 Collecting User Tasks

From the start the person in charge of ergonomics should be involved in the analysis of the overall
system so that the interactions of the user with the system can be appropriately designed.
At first the wishes and ideas of the users should be ascertained, and the functionality of the system
should be visualized graphically.
From the business and operational targets of the system to be developed fundamental design targets
with regard to the suitability of the tasks and the ability to handle the new user interfaces shall be
derived. Business and operational targets will be specified for the most part by top management on
the side of the acquirer and in this case shall be adopted as a requirement. In this context it would be
conceivable that a company might plan to make it possible to sell its products over the internet. The
requirement could be in this case that when designing the internet site a "digital salesperson" has to
be realized that resembles a real salesperson as closely as possible.
When the wishes and ideas of the users will be known, the approximate functionalities and se-
quences shall be described with the help of graphic or simple text-based languages or notations,
which all stakeholders should be able to understand, if possible without a major introduction effort.
The working principle of the overall system may be documented for example on the basis of use ca-
ses and the central operational sequences may be modeled and depicted in the form of simple flow
diagrams. By marking all passages in the system descriptions where the user interacts with the sys-
tem, the dialogues and tasks that shall be supported by the system can be derived.
In order to refine the system, context questionsshall be formulated. Together with the users the rela-
ted defined context questions shall be answered completely and documented in writing for each dia-
logue or each task previously identified in the analysis process. The questions that should be posed
will include for example:
● When will this task be performed (trigger, precondition)?
● By whom will this task be performed?

● Why will this task be performed (objective of the action, post-condition)?
● How often will the task be performed?
● What shall be done in detail when performing the task?
● What additional means will be required?
● What exceptions from the normal approach (exceptional/special cases) will exist?
● What will initial design ideas look like?
● What wishes/suggestions shall be considered from the point of view of the users when the
dialogue will be designed?
The detailed description of all dialogues and tasks will be the crucial basis for the design and reali-
zation of the user interfaces. Before this the dialogues should be structured and combined to groups
of interactions that belong together. Thus dialogues may be prepared hierarchically.
3.7.6 Preparing Data Protection Concept

Work Product: Data Protection Concept
Purpose
A data protection concept shall be prepared for a project if the project deals with personal data.
This activity is intended to prepare and update a project-related data protection concept. During the
preparation and updating of the data protection concept, the contents of the concept shall be verified
for correctness, consistency and completeness and be adapted as required.
During service use, the data protection concept shall be updated in case of a change of provisions,
technical modifications, extension of functionalities, construction measures, etc.
The activity "Preparing Data Protection Concept" describes a planned approach for fulfilling data
protection requirements. The measures required for covering the requirements will be specified in
the data protection concept.
In order to achieve a high data protection level, the following steps - among others - shall be execu-
ted when preparing the concept:
● Determining the legal foundations for handling personal data,
● describing the origin of personal data and the collecting method,
● providing a system survey focussing on system elements which process personal data,
● determining the protection requirements for personal data,
● identifying possible risks incurred when handling personal data,

3 Activities 6-95
● determining data protection requirements (legal, technical, organizational, personnel and

material requirements) and determining measures for covering the requirements.
This includes, e.g., the following aspects:
● Describing the administration and handling of personal data on data carriers and servers,
● specifying the necessary controls,
● specifying the obligation to notification,
● specifying release procedures,
● regulating possible job data processing.
3.7.7 Preparing Information Security Concept

Work Product: Information Security Concept
Purpose
This activity is intended to prepare and update a project-related IT security concept. In detail, for
example, statements on the following aspects relevant for safety and security will be specified:
● Operational environment
● Protection requirements
● Directives / requirements from other projects
● Information security requirements
● Information security measures
● Risks remaining
● Emergency planning
● Directives for other projects / agencies
3.7.7.1 Describing Operational Purpose

Subject: Information Security Concept: Presentation of the Project and the
Operational Environment
The project, for which the Information Security Concept will be prepared, shall be identified. The
project identification includes information on the identification of the project (e.g. DP identification
number) and general information on the project (e.g. Project Managers, classification, relations to
and dependencies on other projects).
Operational purpose and operational environment shall be described briefly.
3.7.7.2 Analyzing Protection Requirements

Subject: Information Security Concept: Protection Requirements

The information structure of the processed or transferred information shall be determined. The pro-
tection requirements regarding confidentiality (based on the classification of the information), inte-
grity, authenticity and availability shall be specified.
3.7.7.3 Presenting System Architecture

Subject: Information Security Concept: System Architecture from an IT Security
Point of View
The system architecture of the selected solution shall be decribed as seen from an »Information Se-
curity point of view, taking into account the modes of operation (dedicated, system high, compart-
ment und multi-level).
3.7.7.4 Determining Information Security Requirements

Subject: Information Security Concept: Information Security Requirements
The »Information Security requirements shall be determined, subdivided into technical, organizatio-
nal, personal and material information security requirements.
3.7.7.5 Determining Information Security Measures

Subject: Information Security Concept: Information Security Measures
The information security measures required to implement the »Information Security requirements
shall be described, subdivided into technical, organizational, personal and material information se-
curity measures. The products designed to implement the information security measures shall be
identified.The intended information security measures shall be coordinated with the Acquirer. In ad-
dition, the information security measures shall be matched with the risk reduction measures in the
product Hazard and Risk Analysis - Functional Safety (e.g. regarding redundancy, inconsistency).
3.7.7.6 Analyzing Risks Remaining

Subjects: Information Security Concept: Information Security Measures, Information
Security Concept: Risks Remaining
This sub-activity shall describe which information security requirements will be fulfilled by which
information security measures.
If information security requirements cannot be covered completely by information security measu-

res, the hazards for availability, integrity, authenticity, and confidentiality will be identified and
classified.
For every resulting risk, it shall be determined whether it is tolerable or not.
For every risk classified as intolerable, it shall be examined whether a strengthening of the measures
can reduce the respective risk to such a degree that it will become tolerable.

3 Activities 6-97
If a risk is classified as intolerable and cannot be remedied by a strengthening of measures, a soluti-

on which is also acceptable from an economic point of view shall be developed (e.g. identification
of transitional measures, change of functionality, abandonment of IT use).
The complete analysis will be included into the Annex of the Information Security Concept as pro-
ject-specific Hazard and Risk Analysis - Information Security. The main statements of the analysis
will be documented in the subject Risks Remaining.
3.7.7.7 Executing Emergency Planning

Subject: Information Security Concept: Emergency Plan
The emergency measures required for the project shall be developed. This includes particularly the
detailed description of the approach for restoring system functionality after a partial or total failure
of the system
3.7.7.8 Preparing Standards for Verifying the Effectiveness of the Measures

Subject: Information Security Concept: Standards for Verifying the Effectiveness of
the Measures
This partial activity is intended to continuously improve and optimize the Information Security
Concept. Standards for verifying the effectiveness of the measures for maintaining information se-
curity shall be specified. This includes also specifications for necessary training and sensitization
measures.
3.7.8 Performing and Evaluating Safety and Security Analysis

Work Product: Safety and Security Analysis
Method Reference: Design Verification, Fault/Reliability Analysis
Tool reference: Construction/Simulation
Purpose
The »Safety and Security Analysis will be made for those system elements that were identified to be
safety-relevant in the related implementation, integration and evaluation concepts.
During the development the »System will be subdivided into subsystems ( »Segments, »Hardware
Units, »Software Units, »Hardware Components, »Hardware Modules, »Software Components,
»Software Modules ). Each of these subsystems, just like its parent system, will be associated with a
risk. In each decomposition step this risk shall be determined and specified.
On the basis of the contractually specified safety requirements/risk acceptance a hazard and risk
analysis shall be made to decide in the system development process which hazards will exist, what
the resulting risk will be and how risk reduction measures can be used to reduce the risk to an ac-
ceptable level. In particular the following steps will be required for each system element:
● The hazards will have to be identified.
● Potential damage resulting from the hazards shall be determined.

● The risks connected with the hazards and damage will have to be assessed.
● The acceptance of the risks shall be determined on the basis of available criteria.
● For all risks that are classified as not acceptable risk reduction measures will have to be defi-
ned.
In this context it will also have to be checked whether for risk reduction technical measures - such
as design changes - or organizational measures - such as changes in the planning - shall be prefer-
red. If design changes are necessary, the desire to make a change shall be reported via a problem re-
port or a change request. If several alternatives for risk reduction are available, this will be stated in
the desire for change and incorporated in the change proposal. If no solution is found, a solution to
this topic has to be found together with the acquirer.
3.7.8.1 Identifying Hazards and Classifying Damage

For each system element (architectural element or hardware/software component) the potential ha-
zards that may lead to an occurrence of damage shall be determined. For each identified hazard the
damage level shall be determined and the damage class - depending on the damage category concer-
ned - shall be allocated.
3.7.8.2 Performing System Safety and Security Analysis

For each system-critical system element a »Safety and Security Analysis shall be made. For each
identified hazard possible causes and their related risks shall be estimated and evaluated with regard
to occurrence, importance and detection. If the result of the evaluation is a value that exceeds a defi-
ned threshold value or is outside of the accepted range, risk reduction measures shall be defined for
the system element considered. The results of the analysis - causes, occurrence probabilities, risks
and risk acceptance - shall be documented.
3.7.8.3 Identifying and Determining Risk Reduction Measures

Subject: Safety and Security Analysis: Safety and Security Measures
For all risks rated not acceptable in the »Safety and Security Analysis, risk reduction measures shall
be determined. These measures will influence on the one hand - in the form of engineering measu-
res such as redundancy, identification, authentication and access control - the realization and on the
other hand, when analytical QA measures are concerned, the testing procedure. The risk reduction
measures shall be selected from the safety and security specifications of the project manual.
The identified measures shall be analyzed and evaluated with regard to their impact during the exe-
cution. In this process for example the degree of risk reduction or the effort required for implemen-
tation shall be determined. Beyond that also the impact on activation, operation, deactivation and

3 Activities 6-99
the operating personnel can be determined. The results of this analysis and evaluation shall be docu-
mented and used as a basis for determining appropriate measures for the implementation of a risk
reduction effort. The decision making process in turn also shall be documented.
If no suitable »Safety and Security Measures are found or if additional promising risk reduction
measures exist or are conceivable, then negotiations shall be conducted with the acquirer, and the
solution found this way shall be requested and documented in a problem report or a change request.
3.7.9 Analyzing Legacy System

Work Product: Legacy System Analysis
Purpose
In the »Legacy System Analysis at first a »System Outline and a »Functional Overview shall be
worked out. For this purpose tools, such as code analyses, interviews with experts (the Delphi me-
thod) or documentation (if available), will be used.
The interfaces of the legacy system with adjacent systems identified in the »System Outline shall be
analyzed and evaluated together with the respective persons in charge. The interfaces and their de-
pendencies shall be described and their relevance to the reworked or newly developed system shall
be determined (see »Interface and Dependency Analysis).
The structure of the »Data Model in the legacy system shall be determined; in particular the existing
relations and integrity conditions and the condition of the data shall be identified. Data analysis
should be made with the help of suitable tools as are usually directly provided by data bases.
3.7.9.1 Preparing a System and Function Summary

Subjects: Legacy System Analysis: Functional Overview, Legacy System Analysis:
System Outline
At the start of a »Legacy System Analysis a system and function summary shall be worked out. In
this process an adequate understanding of the legacy system has to be achieved. The following in-
formation sources will be used:
● Interviews with experts (developers, maintenance personnel and users of the legacy system),
● Documentation of the legacy system (as far as it is available) and
● Code analyses.
The aim will be to obtain an overview of the approximate architecture of the system and the techno-
logy that is used and to understand the role of the system in its environment.
3.7.9.2 Specifying Interfaces and Dependencies

Subject: Legacy System Analysis: Interface and Dependency Analysis

For the interface analysis the interfaces of all adjacent systems of the legacy system that are identi-
fied in the »System Outline shall be evaluated.
Together with the persons in charge of the respective interfaces, the interface descriptions will be
verified for their correctness and, if necessary, revised.
3.7.9.3 Performing Data Analysis

Subjects: Legacy System Analysis: Data Model, Legacy System Analysis: System
Outline
A data analysis will be used to determine the »Data Model of the legacy system and the state of the
data. For this purpose the following steps will be necessary:
● All databases on which the system works will have to be identified and localized.
● With the help of tools the current data schema will have to be read from each database.
● From the contents the data model of the legacy system will be derived.
In addition the data shall be examined to determine their condition. If the database contains data
that do not reflect a valid condition, this is called junk data. Junk data may not necessarily interfere
with the system itself, but may have a negative impact on a possible migration. For example, samp-
les may be used to check data quality.
3.7.10 Performing Market Survey for Off-the-Shelf Products

Work Product: Market Survey for Off-the-Shelf Products
Purpose
When performing the »Market Survey for Off-the-Shelf Products, information shall be collected
about various off-the-shelf products and prepared for further use.
In an acquirer project, the basis for this will be - depending on when the survey is conducted - the
»Project Proposal or the »Requirements Specification in combination with the gross system archi-
tecture.
In order to obtain the information, the following steps will be necessary:
● From the requirements criteria will have to be derived for searching for and rating off-the-
shelf products.
● A candidate list will have to be drawn up.
● For all off-the-shelf products that were found and that are included in the candidate list sum-
maries will have to be prepared.

3 Activities 6-101
● It will have to be noted where additional information, such as product sheets, product speci-
fications and performance characteristics, are filed or can be found.
The results will be evaluated in the »Requirements Evaluation and - depending on the evaluation re-
sults - integrated into the »Requirements Specification.
In a supplier project, the basis for this will be the »Overall System Specification, a draft of the
»System Architecture, the »External Unit Specification, the »External Hardware Module Specifica-
tion, or the »External Software Module Specification, since these specifications will contain requi-
rements in the respective typical degree of detail.
In order to obtain the information, the following steps will be necessary:
● From the requirements criteria will have to be derived for searching for and rating off-the-
shelf products.
● A candidate list will have to be drawn up.
● For all off-the-shelf products that were found and that are included in the candidate list sum-
maries will have to be prepared.
● It will have to be noted where additional information, such as product sheets, product speci-
fications and performance characteristics, are filed or can be found. The results of the mar-
ket survey shall be provided to the »Process Module »System Development.
3.7.11 Performing Make-or-Buy Decision

Work Product: Make-or-Buy Decision
Purpose
For each »External Unit, »External Hardware Module or »External Software Module , it shall be
determined whether it makes strategic and economic sense to buy the element as a off-the-shelf pro-
duct or to subcontract it. In order to make a decision the following aspects shall be checked:
● Within the scope of the strategic analysis a market survey shall be performed, and it shall be
checked whether in-house products will be available, whether the re-use of existing products
will play a role and whether criteria of a product family will have to be considered.
● For the economic analysis a cost-benefit assessment shall be made, and the available budget
shall be considered. Necessary adaptations (hardening or wrapping technologies) of the off-
the-shelf products to the specified operating conditions also shall be taken into account, i. e.
when using off-the-shelf products, the costs and the integration risk of new adapter software
or hardware that may have to be developed shall be considered.
● If the external element is a candidate for an off-the-shelf product, the off-the-shelf products
identified in the market survey shall be evaluated and possible candidates shall be rated.
● Finally, an evaluation of possible alternatives and a decision for the realization of the exter-
nal unit will be made.

3.7.11.1 Performing Analyses

Subjects: Make-or-Buy Decision: Strategic Analysis, Make-or-Buy Decision:
Economic Analysis
To be able to make a substantiated decision whether to buy or outsource a unit, it will be necessary
to execute strategic and economic analyses. A »Strategic Analysis will be used for example to eva-
luate dependencies on suppliers or »Sub-Suppliers. It also shall be checked to what extent adjust-
ments to existing products will become necessary.
Within the scope to the economic analysis, monetary aspects will have to be taken into account. In
this context it should be evaluated what financial impact the use of off-the-shelf products will have
in the future.
3.7.11.2 Evaluating Off-the-Shelf Products

Subject: Make-or-Buy Decision: Evaluation of Off-the-Shelf Products
In preparation for the use of off-the-shelf products the following steps will be required:
1. Drawing up a list of criteria: In a list of criteria the criteria for the selection of a off-the-
shelf product shall be defined.
2. Drawing up a list of candidates: From the »Market Survey for Off-the-Shelf Products pos-
sible off-the-shelf products for the system element in question will be obtained. Apart from a
market survey, furhter candidates may be identified using the project manual, the »Contract,
the creation of the system or the specification of the requirements. The candidates shall be
documented in a candidate list.
3. Checking and prioritizing candidates: Based on the list of criteria, the possible candidates
shall be subjected to a thorough examination and subsequently rated. If necessary,
○ test installations of the software shallbe made and
○ data sheets, specifications and samples of the hardware shall be procured.
The off-the-shelf products shall be checked for their technical suitability with particular emphasis
on system integration and the adjustments that may be required for this purpose. It shall be evalua-
ted to what extent the requirements are met by the individual off-the-shelf products.
Economic efficiency considerations concerning the use of off-the-shelf products will be made in the
topic »Economic Analysis of the »Make-or-Buy Decision.

3 Activities 6-103
3.7.11.3 Evaluating Result

Subject: Make-or-Buy Decision: Assessment and Result
When evaluating the results of the analysis, a comparison shall be made between the creation of the
system in-house and the use of off-the-shelf products for the creation of the system. The evaluation
criteria may be economic, technical and strategic requirements. As a result, a decision shall be
made, substantiated and documented.
3.8 System Elements

The discipline System Elements comprises all elements to be realized during system development.
These include the target systems (system and enabling systems), segments used as units for structu-
ring sub-systems and hardware and software development elements (units, components and modu-
les). In addition, »External Units or products of the type »External Hardware Module or »External
Software Module are available for the integration of elements which were not developed within the
scope of the project.
The system elements represent the hierarchical structure of a system or »Enabling System Figure
13. For system development, the system elements, beginning with hardware and »Software Modu-
les, will be integrated in accordance with the hierarchical structure.
Figure 19: System Architecture Hierarchy
3.8.1 Integrating into System

Work Product: System

Purpose
The basis of the integration of the system or of a »Enabling System will be the »Segments, »Hard-
ware Units, »Software Unit or products of the type »External Unit provided within the framework
of the integration. In accordance with the decomposition structure of the architecture, these system
elements will be integrated into the system or »Enabling System with the corresponding Implemen-
tation, Integration and Evaluation Concept describing the integration plan and the integration ap-
proach.
The integration schedule will be established in the subactivity System Element Integration and Eva-
luation Plan in the project plan.
In accordance with the specifications in the »QA Manual and in the Implementation, Integration and
Evaluation Concept, a test, in which the requirements will be verified, shall be performed for the fi-
nished system or enabling system.
In case of a successful completion of the tests, the system may be made installable in the operatio-
nal environment and prepared for »Delivery to the acquirer. enabling systems will be included in the
scope of delivery in accordance with the delivery criteria.
3.8.2 Integrating into Enabling System

Work Product: Enabling System
Purpose
See Aktivity Integrating into System.
3.8.3 Integrating into Segment

Work Product: Segment
Purpose
Integration into the »Segment will be based on the Software and »Hardware Units provided in the
software and hardware development and on »External Units.
In accordance with the integration plan, segments shallbe created from the different units. Segments
may be in turn integrated into other segments, until all system elements will joined to the complete
system.
Segments designated for tests in accordance with the evaluation strategy have to be verified after in-
tegration on the basis of the »Evaluation Specification System Element.
3.8.4 Taking over External Unit

Work Product: External Unit
Purpose
»External Units shall be taken over by the respective supplier. For each external unit a receiving in-
spection shall be performed, regardless of whether it is a off-the-shelf product, a subcontract, a reu-
sable component or a line issue.Based on the specifications in the »QA Manual, the necessary steps

3 Activities 6-105
for the receiving inspection shall be specified. The evaluation cases shall be defined in the »Evalua-
tion Specification Delivery. Beyond that an external unit shall be included in the »Product Library.
During the integration external units will be treated similar to Hardware and »Software Units.
3.8.5 Integrating into Hardware Unit

Work Product: Hardware Unit
Purpose
A »Hardware Unit will be realized by integrating »Hardware Components. In this process, the inte-
gration plan in the hardware implementation, integration and evaluation concept will define the in-
tegration structure and the integration sequence and approach. If required in the evaluation strategy,
the hardware unit shall be subjected to a test performed by an external »Inspector after the integrati-
on.
After their integration hardware units should always be subjected to a developer test. This test may
be based on the »Evaluation Specification System Element.
3.8.6 Integrating into Software Unit

Work Product: Software Unit
Purpose
A »Software Unit will be realized by integrating »Software Components. In this process the integra-
tion plan in the software implementation, integration and evaluation concept will define the integra-
tion architecture and the integration sequence and approach. If required in the evaluation strategy,
the finished software unit shall be subjected to a test performed by an external »Inspector.
After their integration, software units should always be subjected to a developer test. This test may
be based on the »Evaluation Specification System Element.
3.8.7 Integrating into Hardware Component

Work Product: Hardware Component
Purpose
A »Hardware Component will be realized by the integration of hardware components, »Hardware
Modules or products of the type »External Hardware Module. In this process, the integration plan in
the hardware implementation, integration and evaluation concept will define the integration archi-
tecture and the integration sequence and approach. If required by the evaluation strategy, the hard-
ware component shall be subjected to a test performed by an external »Inspector after its integrati-
on.
After their integration hardware components should always be subjected to a developer test. This
test may be based on the »Evaluation Specification System Element.
When integrating programmable logic, the following tasks shall be performed:
● Generation of a technology-specific programming file from technology-independent code,

● Integration of the programming file into the target hardware,

● Gradual activation,
● Execution of a technology-dependent timing simulation,
● Testing of the dynamic sequences.
3.8.8 Preparing External Software Module Specification

Work Product: External Software Module
Method Reference: Requirements Analysis, System Analysis
Tool reference: Requirements Management, Integrated Development Environment,
Construction/Simulation, Modeling Tool
Purpose
The Software Specification shall indicate the requirements and interfaces for the product External
Software Module. These shall be integrated into the External Software Module Specification and
realized by means of a sub-contract, an off-the-shelf product or a furnished item.
The External Software Module Specification specifies the acceptance criteria for the receiving eva-
luation in the Evaluation Specification Delivery. It will be integrated into the contract with the sub-
supplier.
3.8.9 Integrating into Software Component

Work Product: Software Component
Purpose
A »Software Component is realized by the integration of software components, »Software Module
or »External Software Modules. In this process, the integration plan in the software implementation,
integration and evaluation concept defines the integration architecture and the integration sequence
and approach. If required by the evaluation strategy, the finished software component has to be sub-
jected to a test performed by an external »Inspector.
After their integration software components should always be subjected to a developer test. This
test may be based on the »Evaluation Specification System Element.
3.8.10 Taking over External Hardware Module

Work Product: External Hardware Module
Purpose
The products of the type »External Hardware Module shall be taken over from the respective sup-
plier. For every product External Hardware Module, a receiving evaluation shall be conducted, re-
gardless of the fact if the module is based on an off-the-shelf product, a sub-contract, a reusable
component or a furnished item.

3 Activities 6-107
The necessary receiving evaluation steps shall be specified based on the QA Manual. Evaluation ca-
ses shall be specified in the Evaluation Specification Delivery. In addition, an External Hardware
Module shall be included into the Product Library. External Hardware Modules will be integrated
like Hardware Units.
3.8.11 Realizing Hardware Module

Work Product: Hardware Module
Purpose
The implementation of the »Hardware Modules will include both the manufacturing of the hardwa-
re and the coding of the programmable logic. The hardware module shall be produced according to
the set of drawings. Bought-out components (external units) shall be procured, tested, possibly ad-
apted and installed. The implementation procedure shall be based on the specification of the »Hard-
ware Implementation, Integration and Evaluation Concept. If required in the evaluation strategy, the
hardware module shall be subjected to a test performed by an external »Inspector after the integrati-
on.
When developing programmable logic, the programming specification (e. g. pseudocode, specifica-
tion language, MATLAB reference) shall be translated to statements of the implementation langua-
ge. It will be necessary to adhere to the following worksteps:
● Programming in compliance with the standards, guidelines and style guides defined in the
Project Manual;
● Development of compiling procedures for the preparation of the technology-independent
functional simulation;
● Functional, technology-independent simulation of the modules, paying regard to the covera-
ge of as many branches as possible;
● Integration of the individual modules and IP cores into the component at the level of the des-
cription language (contents of a programmable building block);
● Performance of a functional simulation.
In order to improve quality, it is recommended to perform a code walk-through through the process
modules in accordance with the four-eye principle. At the end of the activity, a technology-indepen-
dent compiled code of the component of a programmable building block will be available.
3.8.12 Taking over External Software Module

Work Product: External Software Module
Purpose
The products of the type »External Software Module shall be taken over from the respective sup-
plier. For every product External Software Module, a receiving evaluation shall be conducted, re-
gardless of the fact if the module is based on an off-the-shelf product, a sub-contract, a reusable
component or a furnished item.

The necessary receiving evaluation steps shall be specified based on the QA Manual. Evaluation ca-
ses shall be specified in the Evaluation Specification Delivery. In addition, an External Software
Module shall be included into the Product Library. External Software Modules will be integrated
like Software Units.
3.8.13 Realizing Software Module

Work Product: Software Module
Purpose
A »Software Module shall be implemented in accordance with the requirements of its »Software
Specification or the specification of a parent software element. The implementation approach shall
be based on the specifications in the implementation, integration and evaluation concept. If required
by the evaluation strategy, the finished software process module shall be subjected to a test perfor-
med by an external »Inspector.
After their implementation software process modules should always be subjected to a developer and
integration test. This test may be based on the »Evaluation Specification System Element.
The realization of software process modules may include the following aspects:
● Programming in compliance with the standards and guidelines defined in the project manu-
al;
● Development of compiling, linking, loading, installation and generation procedures;
● Corrections until the compiling and linking procedures are error-free;
● If necessary, programming of test and simulation runs.
3.9 System Specifications

The »Discipline »System Specification comprises »Work Products and »Activityies supporting the
entire specification process from the overall system to individual software and »Hardware Ele-
ments.
In addition to the central product »Overall System Specification, the product group includes four
specification types: the »System Specification for System Elements, the »External Unit Specificati-
on which specifies units which were not developed within the scope of the project and a Hardware
and »Software Specification as well as an »External Hardware Module Specification and an »Exter-
nal Software Module Specification for each system element.
The specifications are closely connected with regard to contents. Proceeding from the Overall Sys-
tem Specification, functional and non-functional requirements of the acquirer will be described and
refined in the system specifications and finally, as interfaces, in the specifications of hardware and
»Software Element s. In this way, a continuous and repeatable development process and a suitable
tracking of requirements can be realized.
3.9.1 Preparing Overall System Specification

Work Product: Overall System Specification

3 Activities 6-109

Modeling Tool
Purpose
Within the framework of the development of the »Overall System Specification, a preliminary over-
all system architecture will be developed on the basis of the functional and non-functional require-
ments from the project specification, and the requirements will be assigned (see Figure 20). To
make sure that the requirements are correct and complete, they ideally will be evaluated and, if ne-
cessary, improved and expanded, by organization-specific requirements with the support of the ac-
quirer and all stakeholders.
Subsequently an iterative process will be introduced, in which a life cycle analysis will be perfor-
med and a stable, preliminary architecture of the system, of possible enabling systems and of the lo-
gistic support will be defined on the basis of the requirements. The specific requirements will be as-
signed to these elements of the architecture. The interfaces between the systems and to the environ-
ment will be described in an interface list. The acceptance criteria for the future system will be defi-
ned parallel to the requirement assignment process.
At the end of the process, the scope of delivery will be defined. Then the requirements will have to
be reconstructed, both from the »Overall System Specification to the »Requirements Specification
and from the overall system specification to the system and possible enabling systems and to the lo-
gistic support.

Activity Flow
Figure 20: Activity Diagram "Preparing Overall System Specification "

3 Activities 6-111
3.9.1.1 Evaluating and Revising Requirements

Subject: Overall System Specification: Requirements Tracing to Requirements
Specification
The requirements specified in the subjects Functional Requirements and Non-Functional Requirer-
ments of the requirements specification shall be detailed and, if necessary, revised, stated more pre-
cisely and supplemented by additional necessary organization-specific requirements in the require-
ments specification.
3.9.1.2 Analyzing System Life Cycle

Subject: Overall System Specification: Life Cycle Analysis and Overall System
Architecture
When designing the overall system architecture, the first step will be to analyze which life cycle
phases of the system have to be supported. These phases will follow directly or indirectly from the
evaluated and revised specifications.
3.9.1.3 Preparing Overall System Architecture

Subjects: Overall System Specification: Life Cycle Analysis and Overall System
Architecture, Overall System Specification: Interface Overview
Starting with the evaluated and revised specifications and the »Outline of the Life Cycle and the
Overall System Architecture in the user specifications (project specification), the overall system ar-
chitecture shall to be designed.
At first the overall system shall be subdivided into the elements system, »Enabling Systems and lo-
gistic support. The interfaces between these elements shall be identified and outlined. At this point
it will also be already possible to refine the system or the enabling systems down to the next seg-
ment level.
3.9.1.4 Assigning Requirements

Subjects: Overall System Specification: Life Cycle Analysis and Overall System
Architecture, Overall System Specification: Interface Overview
Parallel to the design of the overall system architecture, the evaluated and revised requirements
shall be assigned to those elements of the architecture that were designated when the overall system
architecture was developed, and the interface list shall be drawn up.
At the same time the assignment process may be used to identify new elements of the overall sys-
tem architecture and to add them to the »Interface Overview. It shall be checked for each require-
ment whether it will have be assigned to the system, to a »Enabling System or to logistics.

3.9.1.5 Defining Scope of Delivery and Acceptance Criteria

Subjects: Overall System Specification: Acceptance Criteria, Overall System
Specification: Scope of Delivery
When defining the scope of delivery and the acceptance criteria, it shall be determined which parts
(for example documentation or enabling systems) will have to be delivered to the acquirer together
with the system and which acceptance criteria have to be fulfilled.
The information about the scope of delivery and the acceptance criteria shall be adopted directly
from the user requirements (project specification) and, if necessary, put in more concrete terms.
3.9.1.6 Preparing Requirements Trace Overview

Subject: Overall System Specification: Requirements Tracing
As soon as the preliminary design of the architecture has been completed and the scope of delivery
and the acceptance criteria have been defined, it shall be checked whether all requirements were as-
signed to the system elements. For this purpose the elements of the overall system architecture (sys-
tem, »Enabling Systems, logistic support) shall be related to the non-functional requirements and
interfaces of the system. For verification purposes the specified constraints (see the »Project Manu-
al) shall be taken into account.
Provided it was possible to successfully establish all relations, this will verify that all requirements
and constraints that were made were addressed by the elements of the system architecture.
3.9.2 Preparing System Specification

Work Product: System Specification
Method Reference: Requirements Analysis, Prototyping, System Analysis
Modeling Tool
Purpose
In the specification the requirements and interfaces for each respective system element (System,
»Enabling System, Segment) that has to be described shall be determined and accurately described.
When developing the specification (see Figure 21 ), interfaces and non-functional requirements for
the system element will be identified. This will followed by the parallel refinement and assignment
of those interfaces and requirements based on the parent system or segment. The design decisions
have to be documented in the system specification. Provided the realization that has been prepared
will prove to be workable, it will be possible to proceed to the tracing of the requirements. If this
will not be the case, the realization will have to be revised.
Requirements usually will bedescribed in text form. The description of the interface specification
may assume different forms. Usually graphic description methods in combination with explanatory
text will be used.

3 Activities 6-113
Activity Flow
Figure 21: Activity Diagram "Preparing System Specification"
3.9.2.1 Identifying Interfaces and Non-Functional Requirements

Subjects: System Specification: Non-Functional Requirements, System
Specification: Interface Specification
The interfaces and non-functional requirements for the system element shall be derived from the
specifications of parent system elements. The result will be the complete description of the interface
of the system element and the interactions with its environment.

For the description temporal - defined by protocols - and spatial - defined by the underlying com-
munication structure - aspects of the interaction will have to be taken into account. Also possible
states of the system element will have to be determined and described appropriately (for example
fluid/solid/gaseous state of a material, open/closed position of a mechanical component or high/low
bit state).
3.9.2.2 Refining Interfaces and Non-Functional Requirements

Subjects: System Specification: Interface Realization, System Specification:
Refining Non-Functional Requirements
The identified functional and non-functional requirements will be refined (specified) and put in
more concrete terms. The refinement will be made in a way that the requirements will be assigned
to system elements of the next lower level and put in more concrete terms. In this process the assi-
gnment of the refined requirements should be based on an abstract architecture. i. e. for the time
being the refinement will be made without taking into account the concrete architecture.
3.9.2.3 Allocating Interfaces and Non-Functional Requirements

Subjects: System Specification: Interface Realization, System Specification:
Refining Non-Functional Requirements
The refined interfaces and non-functional requirements shall be assigned to the system elements
that will have a secondary position in the system hierarchy, taking into account the following
aspects:
● Each interface and non-functional requirement shall be assigned to at least one element of
the (support) system architecture.
● Each non-functional requirement and interface shall be assigned to the element with the lo-
west level of detail, which will make it possible to meet the requirement completely. Nor-
mally the universal set of requirements and interfaces will have to be assigned to different
levels of detail.
● If a non-functional requirement or interface is of importance to more than one element, it

will be necessary to weigh within the framework of the assignment which individual ele-
ments of the architecture will finally have to fulfill it.
● This assignment shall be made in a way that it will be possible to prove that the requirement
has been met by testing the respective system element.

Subject: System Specification: Requirements Tracing

3 Activities 6-115
If it turns out that a specified realization is workable, it will first have to be checked whether all in-
terfaces and non-functional requirements of the parent system element were realized. Also it will
have to be made sure that the refined interfaces and non-functional requirements were completely
assigned to the system elements of the next level of the architecture.
3.9.3 Preparing External Unit Specification

Work Product: External Unit Specification
Modeling Tool
Purpose
In the »System Specification the requirements and interfaces for the »External Unit shall be mar-
ked. They shall be adopted to the »External Unit Specification and realized within the scope of a
subcontract, a off-the-shelf product or a line issue.
The external unit specification shall be included in the »Contract with the »Sub-Supplier.
3.9.4 Preparing Hardware Specification

Work Product: Hardware Specification
Method Reference: Fault/Reliability Analysis, System Analysis
Purpose
In the specification, the requirements and interfaces for each respective hardware element (hardwa-
re unit, hardware component or hardware module) that will have to be described shall be defined
and accurately described.
For the preparation of the specification (see Figure 21) - analogous to the »System Specification -
interfaces and non-functional requirements for the hardware element will be defined, followed by
the parallel refinement and assignment of those interfaces and requirements on the basis of the su-
per-ordinate hardware unit or hardware component. The design decisions shall be documented in
the hardware specification. If the prepared realization proves to be workable, it will be possible to
proceed to the requirement tracking survey. If this is not the case, the realization will have to be re-
vised.
Requirements usually will be described in text form. The specification of the interface may be for-
malized in various ways. Usually this will be done by using graphic description methods in combi-
nation with explanatory text.

Subjects: Hardware Specification: Non-Functional Requirements, Hardware

Assigned super-ordinate interfaces (see the interface description) and non-functional requirements
will have to be identified. At the level of the »Hardware Components the assigned interfaces and
non-functional requirements of the super-ordinate »Hardware Unit will be for example adopted wi-
thout refinement and change as a starting point.

Subjects: Hardware Specification: Interface Realization, Hardware Specification:
Refinement of Non-Functional Requirements
The refining of the interfaces (see the »Interface Specification) and the non-functional requirements
will include the following steps:
● With the identified interfaces and non-functional requirements, solutions will have to be de-
fined. In this process the way of looking at the higher level of the architecture will be chan-
ged from considering it a "black box" to considering it a "white box". This will mean for ex-
ample naming the »Hardware Modules in the specification of a »Hardware Component.
● On the basis of the "white box", the identified super-ordinate interfaces and non-functional
requirements will be refined.
● In this process also additional, previously unconsidered interfaces and »Non-Functional Re-
quirements may be defined.
It must be possible to verify all interfaces and non-functional requirements and to assign them to the
next lower hierarchy level.
3.9.4.3 Allocating Interfaces and Non-Functional Requirements

Subjects: Hardware Specification: Interface Realization, Hardware Specification:
The refined and additionally defined interfaces and non-functional requirements shall be allocated
to the hardware elements identified in the "white box". It is recommended to make this description
in tabular form.

Subject: Hardware Specification: Requirements Tracing
Within the scope of the requirement tracking survey, it will be made sure that all requirements and
interfaces will be refined. It shall be checked whether
● for each requirement or interface of a »Hardware Unit there will at least one representation
at the level of the »Hardware Components,

3 Activities 6-117
● for each requirement or interface of a hardware component there will be at least one repre-
sentation at the level of the »Hardware Modules,
● with a distributed assignment of a requirement or an interface (the sum of the weight requi-
rements for hardware components is for example equal to the weight requirement defined in
the associated hardware unit) this will be fulfilled to the full extent by the subordinate hard-
ware elements.
In every hierarchical design step (e. g. from a hardware unit to hardware components) this require-
ment shall be tracked.
3.9.5 Preparing External Hardware Module Specification

Work Product: External Hardware Module Specification
Purpose
The Hardware Specification shall indicate the requirements and interfaces for the product External
Hardware Module. These shall be integrated into the External Hardware Module Specification and
realized by means of a sub-contract, an off-the-shelf product or a furnished item.
The External Hardware Module Specification specifies the acceptance criteria for the receiving eva-
luation in the Evaluation Specification Delivery. It will be integrated into the contract with the sub-
supplier.
3.9.6 Preparing Software Specification

Work Product: Software Specification
Method Reference: System Analysis
Tool reference: Modeling Tool
Purpose
In the specification the requirements and interfaces for each respective software element (software
unit, software component or software process module) to be described shall be defined and accura-
tely described.
For the preparation of the software specification (see Figure 21) - analogous to the »System Specifi-
cation - interfaces and non-functional requirements for the software element will be defined, follo-
wed by the parallel refinement and assignment of those interfaces and requirements on the basis of
the parent software unit or software component. The design decisions shall be documented in the
software specification. If the prepared realization proves to be workable, it will be possible to pro-
ceed to the requirement tracking survey. If this is not the case, the realization will have to be revi-
sed.

Requirements usually will be described in text form. The specification of the interface may be for-
malized in various ways. Usually this will be done by using graphic description methods in combi-
nation with explanatory text.

Subjects: Software Specification: Non-Functional Requirements, Software
Assigned parent interfaces (see the interface description) and non-functional requirements will have
to be identified. At the level of the »Software Components the assigned interfaces and non-functio-
nal requirements of the super-ordinate »Software Unit will be adopted for example without refine-
ment or change as a starting point.

Subjects: Software Specification: Interface Realization, Software Specification:
The refining of the interfaces (see the interface description) and the non-functional requirements
will include the following steps:
● With the identified interfaces and non-functional requirements, solutions will have to be de-
fined. In this process the way of looking at the higher level of the architecture will be chan-
ged from considering it a "black box" to considering it a "white box". This will mean for ex-
ample naming the »Software Modules in the specification of a »Software Component.
● On the basis of the "white box" the identified parent interfaces and non-functional require-
ments will be refined. In this process also additional, previously unconsidered interfaces and
non-functional requirements may be defined. It must be possible to verify all interfaces and
to assign them to the next lower hierarchy level.
At the respective hierarchy levels the refinement of the interfaces and non-functional requirements
will lead to the following activities:
● If necessary, method calls wull have to be refined and assigned to several software elements.
● Parameter value ranges will have to be concretized and refined.
● Exceptions will have to be assigned to the methods of the subordinate elements.
3.9.6.3 Assigning Interfaces and Non-Functional Requirements

Subjects: Software Specification: Interface Realization, Software Specification:

3 Activities 6-119
The refined and additionally defined interfaces and non-functional requirements shall be assigned to
the software elements identified in the "white box". It is recommended to make this description in
tabular form.

Subject: Software Specification: Requirements Tracing
Within the scope of the requirement tracking survey it will be made sure that all requirements and
interfaces will be refined. It shall be checked whether
● for each requirement or interface of a »Software Unit there will be at least one representati-
on at the level of the »Software Components,
● for each requirement or interface of a software component there will be at least one repre-
sentation at the level of the »Software Modules,
● with a distributed assignment of a requirement or an interface this will be fulfilled to the full
extent by the subordinate software elements.
In every hierarchical design step (e. g. from a software unit to software components) this require-
ment shall be tracked.
3.10 System Design

The »Discipline System Design includes »Work Products and »Activityies supporting the architec-
tural design and defining a suitable development process.
In the V-Modell, the architectural design is developed at two hierarchy levels - the level of the sys-
tem or »Enabling System and the unit level. The preliminary design and the design decisions are
documented in specific architectural documents. The development process and the integration and
evaluation process are specified in the appropriate implementation, integration and evaluation con-
cepts.
Architectural documents and implementation, integration and evaluation concepts are closely
connected. It must be possible to develop all system, hardware and »Software Elements identified in
the architecture by using the respective implementation, integration and evaluation concept. In addi-
tion, system architecture and integration architecture must be consistent in order to ensure the cor-
rect implementation of architectural decisions.
The discipline System Design includes an additional product especially for migration projects - the
so-called »Migration Concept. This concept specifies the mapping of the legacy system and the new
system and the execution of the migration.
3.10.1 Preparing System Architecture

Work Product: System Architecture
Method Reference: Design Verification, Prototyping, System Design

Purpose
Starting from the requirements in the »Overall System Specification, a possible structure of the sys-
tem architecture, respectively a enabling system architecture, will be designed within the framework
of an iterative development process.
The development process of the architecture (see Figure 22) will start with the identification of the
architectural drivers and the parallel definition of the evaluation criteria. Architectural drivers will
usually be explicitly or implicitly provided in the requirements and determine basic characteristics
of the architecture (for example a bus structure when communications are concerned or a layer ar-
chitecture for decomposition). When developing a enabling system, it will have to be considered
that they should be possibly integrated and - as far as possible and meaningful - homogeneous (for
example a toolchain from one manufacturer). In particular they should support a traceable and end-
to-end development process.
Parallel to this evaluation criteria will be defined for the architecture to be developed. They will
have to be taken into account in the design of the architecture and provide the basis for future de-
sign evaluation.
The documentation of an architectural design will be done by modelling different views on the sys-
tem. In a first step all views that describe the system appropriately shall be defined. Those views
will be modeled with the help of tools and modeling languages (e. g. UML) and supplemented by
explanatory texts.
The architecture developed and documented this way will be subjected to a design verification with
regard to the requirements and the evaluation criteria.

3 Activities 6-121
Activity Flow
Figure 22: Activity Diagram "Preparing System Architecture"
3.10.1.1 Identifying Architectural Drivers

Subjects: System Architecture: Architectural Principles and Design Alternatives,
System Architecture: Overall System Characteristics
For the design of the system architecture in a first step all drivers that will have an impact on the de-
sign shall be identified. Examples of architectural drivers will be:
● a decision in favor of a multi-tier architecture

● a desired reuse/reusability of elements
● the required system type (embedded, software-intensive, data-centric)
● the life cycle phases that will have to be supported
● strategic aspects (product family, company philosophy, know-how, resources, economic

aspects)
● safety and security.
3.10.1.2 Determining Evaluation Criteria

Subject: System Architecture: Architectural Principles and Design Alternatives
It will be necessary to determine evaluation criteria for the architectural design. The criteria will
provide the characteristics according to which the selected design of the architecture will have to be
tested. The identification of evaluation criteria will be based in particular on the non-functional re-
quirements defined in the »System Specification. The task of the architecture will be to support tho-
se requirements appropriately.
The evaluation criteria shall be ranked and weighted. Additional criteria will be aspects such as in-
terface complexity, usability of off-the-shelf products and suitability of the technical concepts or de-
velopment specifications.
3.10.1.3 Identifying Architectural Views

Subjects: System Architecture: System Decomposition, System Architecture:
Interface Overview, System Architecture: Overall Data Catalog
Starting with the identified architectural drivers, the selection of suitable architectural views shall be
continued. A view will describe the system from a particular point of view. Views will be used to re-
duce the complexity of architectures. In literature frequently a distinction will be made between the
following views:
● Static view for the description of the structure of a system (decomposition)
● Dynamic view for the description of the behavior and of the interactions at the interfaces.

3 Activities 6-123
Depending on the requirements and the system that has to be developed, the selection of the views
may be adjusted at will. The selected views will determine which aspects of the architecture will
have to be described.
3.10.1.4 Preparing Architectural Views

Subjects: System Architecture: System Decomposition, System Architecture:
Interface Overview, System Architecture: System Elements to be Specified,
System Architecture: Overall Data Catalog
The identified views of the architectural design shall be prepared. For each view the relevant archi-
tectural aspects will be worked out with the help of suitable description languages.
For the views that will be mentioned as examples in the subactivity Identifying Architectural Views,
the following description techniques may be used:
● For the description of the static view: class or component diagrams.
● For the description of the dynamic view: state transition diagrams and interaction diagrams.
Since this is practical, tools should be used to prepare descriptions of the views in a coherent model.
In this context tools will frequently support the presentation and ensure consistency within the mo-
del. Depending on the method used and the respective tool support, the model may be used as a ba-
sis for code generation. A tool-based verification will also be possible.
3.10.1.5 Evaluating Architecture

Subject: System Architecture: Design Evaluation
It will have to be made sure that the selected architectural design will be suitable for the system and
workable. The architecture described in the views shall be evaluated on the basis of the evaluation
criteria. Within the framework of the evaluation, it shall be checked whether the selected architec-
ture will meet all requirements and be compatible with the interfaces. If this is the case, then the ar-
chitecture will be assumed to be stable. For the evaluation design verification methods may be used.
3.10.2 Preparing Enabling System Architecture

Work Product: Enabling System Architecture

Purpose
See Aktivity Preparing System Architecture.

Subjects: Enabling System Architecture: Architectural Principles and Design
Alternatives, Enabling System Architecture: Overall System Characteristics
See Identifying Architectural Drivers in activity Preparing System Architecture.

Subject: Enabling System Architecture: Architectural Principles and Design
Alternatives
See Determining Evaluation Criteria in activity Preparing System Architecture.
3.10.2.3 Identfying Architectural Views

Subjects: Enabling System Architecture: Enabling System Decomposition, Enabling
System Architecture: Interface Overview, Enabling System Architecture:
Overall Data Catalog
See Identifying Architectural Views in activity Preparing System Architecture.

Subjects: Enabling System Architecture: Enabling System Decomposition, Enabling
System Architecture: Interface Overview, Enabling System Architecture:
System Elements to be Specified, Enabling System Architecture: Overall
Data Catalog
See Preparing Architectural Views in activity Preparing System Architecture.

Subject: Enabling System Architecture: Design Evaluation
See Evaluating Architecture in activity Preparing System Architecture.
3.10.3 Preparing Style Guide for Man-Machine Interface

Work Product: Man-Machine Interface (Style Guide)
Tool reference: GUI Tools

3 Activities 6-125
Purpose
The rules for designing the man-machine interface may either be adopted from already existing spe-
cifications or derived from the results of the task analysis.
For the development of a style guide in a first step general design rules shall be defined. Ideally it
will be possible to directly adopt a a specified style (for example Windows Style). A style will deter-
mine for example colors, shapes, line width and line direction, the use of shadings or the manage-
ment of user interfaces, their elements, menu commands, pop-up menu or keyboard commands.
Specifications will emerge also from organization-specific design guidelines.
For the user interfaces that will have to be developed all relevant elements will be determined on
the basis of the »User Tasks Analysis and the requirements. In accordance with the style found, de-
sign rules will be assigned to each element. To obtain ergonomic user interfaces, particular attention
shall be directed to consistency and clear structuring.
3.10.3.1 Determining Design Principles and Alternatives

When developing user interfaces, knowledge and experience shall be considered that make the
handling of the system for the user easier and more efficient. An ergonomic user interface will not
only be more pleasant to operate (as aresult, it will be accepted by the users), but may also consi-
derably reduce the cost factor working hours when the necessary skills for the system will be acqui-
red and the system will be used; thus it will lead to higher productivity.
Most user interfaces will be strongly influenced by the respective specialty of the associated use
case. Standard tasks that will turn up during execution in several user interfaces (for example sear-
ching for or entering specialist data) should therefore be mostly be performed the same way unless
the specialty will require an exception: For example, in a search dialogue in special cases a conver-
sational guidance that deviates from the standard may be more user-friendly.
For special tasks or utilization contexts it will be thus necessary to find a balance between global
consistency and a user interface that will be optimized for the utilization context. In each case iden-
tical elements will have to be formed similarily in varying dialogues.
3.10.3.2 Identifying and Structuring Operation Elements

Subject: Man-Machine Interface (Style Guide): Identification and Structure of
Operation Elements
The operation elements, such as windows, menus, sliders, buttons or turnbuttons, shall be identified
or derived from the user profiles listed in the »User Tasks Analysis, the functions that will have to
be supported and the environmental conditions, respectively the hardware and software constraints.
These operation elements will have to be structured in accordance with the »Design Principles and
Alternatives of the man-machine interface.

3.10.3.3 Determining Design Rules

Based on the specified design guidelines, design regulations shall be allocated to all identified ope-
ration elements. In addition to the design regulations for operation elements, additional design regu-
lations for dialogues and windows shall be defined. Apart from the pure look ("look and feel") of an
operation element, additional design regulations concerning conversational guidance, help mode
and window design shall be defined.
Design Rules for Conversational Guidance
The dialogue design will include for example an efficient conversational guidance, an appropriate
error handling and the identification and homogeneous design of dialogue types. With regard to a
uniform and thus efficient operation, it will be important for systems with a variety of different dia-
logues that all dialogues will proceed logically to the same pattern or at least to a small number of
patterns. This will be guaranteed by the use of dialogue types. A dialogue type will describe the lo-
gical sequence of a whole class of dialogues and may be defined by a state transition diagram or by
an activity diagram. This will primarily concern the use case dialogues. In this context it will be im-
portant that the number of dialogue types that are defined will be as small as possible across the sys-
tem. One dialogue type and thus also one state transition diagram will be assigned to each use case
dialogue.
Design Rules for the Help Mode
The help mode will support the user in carrying out the dialogues. For the development of the help
mode some basic design regulations will have to be observed:
● There should be an entry page with a table of contents.
● There should be a search page for help topics.
● There should be a contextual help for individual fields and use case dialogues.
● General information about the application should be available.
Design Rules for Windows
As dialogues will describe the sequences for the interaction with the application, windows will play
the role of the interface between user and application. Windows will be composed of operation ele-
ments. Design regulations for windows will thus consider less the look of individual operation ele-
ments than rather the partition and design of the window area. When defining the design criteria for
windows, in particular the following questions will have to be considered:
● How will the operation elements be distributed in the window (layout)?

3 Activities 6-127
● Where will the heading bar be and what elements will it contain?
● What functions will be offered in the menu?
● How will the start of the windows and the application take place?
● How will the application support the modification of the window size?
● What types of dialogue windows will be required? Examples will include query dialogues,
reference dialogues, selection dialogues and input dialogues.
● Will it be necessary to use a log-in dialogue for log-in?
3.10.4 Preparing Hardware Architecture

Work Product: Hardware Architecture
Method Reference: Design Verification, Fault/Reliability Analysis
Tool reference: Construction/Simulation, Modeling Tool
Purpose
Within the framework of the preparation of the architecture a »Hardware Architecture of the hard-
ware unit shall be derived from the requirements and defined.
The process of preparing the architecture (see Figure 23) will start with the identification of the ar-
chitectural drivers and, parallel to that, the definition of the evaluation criteria. Subsequently the ar-
chitectural views will be identified and worked out.
The latter activity corresponds to the actual design process. The architecture that will have been
worked out will be finally evaluated on the basis of the evaluation criteria and selected. The process
of preparing the architecture may be carried out in several cycles.

Activity Flow
Figure 23: Activity Diagram "Preparing the Hardware Architecture"

Subject: Hardware Architecture: Architectural Principles and Design Alternatives
When identifying architectural drivers, principles for the design of a »Hardware Architecture shall
be defined. This may include the following requirements:
● Comparable complexity of the hardware elements

3 Activities 6-129
● Minimum number of physical or logic interfaces
● Decoupling of safety-critical and safety-uncritical hardware elements
● Use of bought-out components, such as COTS products (in the form of products of the type
External Hardware Module)
● Modularity and reusability

Subject: Hardware Architecture: Architectural Principles and Design Alternatives
Within the scope of this subactivity, different perspectives (views) on the hardware shall be defined
(for this see also the description regarding Identifying Architectural Views in the activity Preparing
System Architecture).
In the simplest case »Hardware Architectures will be a hierarchical decomposition of the hardware
with the associated physical hardware elements, including the interfaces (structural view) and the
description of the communication and interaction between the hardware elements or the hardware
elements and the environment (protocol view).
It will be possible to define arbitrary additional views on the hardware, which may relate for exam-
ple to the power consumption, the distribution of masses or the reliability of the hardware.
Appropriately several different views should be prepared to permit easy access and to improve the
understanding of the architecture.

Subjects: Hardware Architecture: Data and Signal Catalog, Hardware Architecture:
Hardware Unit Decomposition, Hardware Architecture: Interface Overview
Within the scope of this subactivity various perspectives on the hardware shall be defined. This will
include for example
● the hierarchical decomposition of the hardware with the associated physical hardware ele-
ments, including the interfaces (structural view);
● the description of the communication and interaction between the hardware elements or the
hardware elements and the environment (protocol view).
It will be possible to develop arbitrary views on the hardware, which may relate for example to the
power consumption, the distribution of masses or the reliability of the hardware.

Appropriately several different views should be prepared to permit easy access and to improve the

Subjects: Hardware Architecture: Data and Signal Catalog, Hardware Architecture:
Hardware Unit Decomposition, Hardware Architecture: Interface
Overview, Hardware Architecture: Hardware Elements to be Specified
Each identified hardware architectural view will have to be prepared (for this see also the descripti-
on regarding Preparing Architectural Views in the activity Preparing System Architecture). This will
include the following steps:
● Identification of the elements and their dependencies within a view,
● Selection of a suitable notation (for example graphically or in text form) for the representati-
on of the view,
● Selection of a suitable tool for the development, preparation and representation of the view,
● Preparation of the view with the selected tools and notations.
Within the scope of the structural view it would be for example possible to prepare a detailed des-
cription of the data and signals of a »Hardware Unit with programmable logic. This will include
aspects of the representation, such as an identifier, a format description, the range of values, the re-
solution and an introductory description, as a minimum requirement.

Subject: Hardware Architecture: Design Evaluation
Based on the defined evaluation criteria, the architecture shall be evaluated. For this purpose it may
be for example necessary to make analyses, to conduct simulations, to develop prototypes (rapid
prototyping) or to build demonstrators.
If an architecture fulfills the evaluation criteria completely, it may be used as a basis for the further
development process.
3.10.4.6 Preparing Set of Drawings

Work Product: Hardware Architecture
After the selection of the final architecture, the set of drawings of the »Hardware Unit shall be pre-
pared for manufacturing. For this purpose the following activities shall be carried out:
● Preparation of sketches, construction plans and interface drawings,

3 Activities 6-131
● Description of the construction process,
● Identification of the materials,
● Preparation of the wiring diagram,
● Preparation of parts lists,
● Preparation of the connector board layout based on the wiring diagram,
● Preparation of design drawings,
● Preparation of connection diagrams.
As a rule, large parts of the set of drawings can be automatically generated by the appropriate tools.
3.10.5 Preparing Software Architecture

Work Product: Software Architecture
Method Reference: Design Verification, Prototyping, System Design
Purpose
When preparing the architecture, a »Software Architecture of the software unit shall be derived
from the requirements and defined.
The process of preparing the architecture (see Figure 22) will start with the identification of the ar-
chitectural drivers and the parallel definition of the evaluation criteria. Then architectural views will
be identified and prepared. This preparation will correspond to the actual design process.
The architecture that was prepared will be finally reviewed and selected on the basis of the evaluati-
on criteria. The process of preparing the architecture may be carried out in several cycles.

Subject: Software Architecture: Architectural Principles and Design Alternatives
When identifying architectural drivers, principles for the design of a »Software Architecture shall be
defined. This may be for example the following requirements:
● Distribution specifications
● Decoupling of safety-critical and safety-uncritical software elements

● Use of off-the-shelf products in form of products of the type External Software Module
(COTS, open source components, software components provided for re-use)
● Modularity and reusability.

Subject: Software Architecture: Architectural Principles and Design Alternatives
For the design of the architecture of the »Software Unit evaluation criteria shall be defined. These
criteria will specify for which properties the selected architectural design will have to be evaluated.
The identification of evaluation criteria will be based in particular on the non-functional require-
ments defined in the »Software Specification. The task of the architecture will be to support these
requirements appropriately.
The evaluation criteria shall be prioritized and weighed. Additional criteria will be aspects such as
licensing, development efforts or availability of already existing software elements (reuse).

Subjects: Software Architecture: Data Catalog, Software Architecture: Software Unit
Decomposition, Software Architecture: Interface Overview
In this subactivity different perspectives (views) on the software shall be defined (see also the des-
cription regarding Identifying Architectural Views in the activity Developing Architecture).
In the simplest case »Software Architectures will be the hierarchical decomposition of the software
with the associated software elements, including the interfaces (structural view), and the description
of the communication and interaction between the software elements or the software elements and
the environment (dynamic view).
It will be possible to define arbitrary additional views on the software, which may relate for exam-
ple to the deployment, the work flow or the data.
Appropriately several different views should be prepared to permit easier access and to improve the

Subjects: Software Architecture: Data Catalog, Software Architecture: Software Unit
Decomposition, Software Architecture: Interface Overview, Software
Architecture: Software Elements to be Specified
Each of the defined architectural views on the software shall be prepared (see also the definition for
Preparing Architectural Views in the activity Developing Architecture). This will include the follo-
wing steps:

3 Activities 6-133
● Identification of the elements and their dependencies within a view,
● Selection of a suitable notation (for example graphically or in text form) for the representati-
on of the view,
● Selection of a suitable tool for the development, preparation and representation of the view,
● Preparation of the view with the selected tools and notations.

Subject: Software Architecture: Design Evaluation
The architectureshall be evaluated on the basis of the defined evaluation criteria. For this purpose it
may be for example necessary to define scenarios for the evaluation criteria and to verify their im-
plementation in the architecture or, in individual cases, to develop prototypes of critical elements.
If an architecture fulfills the evaluation criteria completely, it may be used as a basis for the further
3.10.6 Preparing Database Design

Work Product: Database Design
Method Reference: Database Modeling
Purpose
The specialist »Data Model in the project specification shall be derived for the »Database Design
and represented in the logical data model. Finally the physical data model, which will serve as a
template for the database schema, shall be prepared from the logical data model by refining and
normalizing this model and by defining integrity constraints.
3.10.6.1 Deriving Logical Data Model

Subject: Database Design: Logical Data Model
To derive the technical »Data Model, the entities of the specialist data models shall be determined.
Across the whole system the entities shall be combined in one model. The attributes and their data
types shall be defined, and the relationships between the entities shall be determined.
The logical data model shall be checked for consistency with the design of the architecture of the
»Software Units. For each entity of the logical data model one mapping onto elements of one of the
»Software Architectures shall be defined. Across the different models mapping rules between archi-
tectures and the database shall be defined uniformly.

When using object-oriented paradigms with a relational database (which is one of the most frequent
combinations), this is also called object-relational mapping. In this case rules shall be provided that
describe how to solve common »Database Design problems uniformly. The rules will provide for
example guidelines for:
● the mapping of the entities on tables. Is generally a mapping on a scale of 1:1 used or is the
structure of the tables independent of the entities?
● the handling of n:m relationships between entities. A common solution will be to use an ad-
ditional table for relationships.
● the handling of keys. Which attributes will represent the keys? Are there additional technical
keys required?
● the mapping of the inheritance of entities. Different options for this will be described in the
literature.
● the degree of (de)normalization. To what degree will normalization be performed? To what

degree will denormalization be performed (data warehouse)?
● the implementation of the map. This will be done tool-based, for example with the help of a
persistence framework.
3.10.6.2 Designing Database Structure

Subject: Database Design: Physical Data Model
For designing the actual database schema the technical »Data Model shall be expanded by technical
aspects of the database; for example consistency conditions, views or technical keys have to be in-
troduced. The aim will be to develop a schema from which the schema in the database can be di-
rectly generated.
3.10.7 Preparing System Implementation, Integration and Evaluation Concept

Work Product: System Implementation, Integration and Evaluation Concept
Method Reference: System Design, Test
Tool reference: Requirements Management, Integrated Development Environment, CM
Tool, Construction/Simulation, Modeling Tool
Purpose
When preparing the system or subsystem implementation, integration and evaluation concept (see
Figure 24 ), the realization, step-by-step build-up and quality assurance of the designed system have
to be defined.

3 Activities 6-135
The desired process will be used as a guideline for the preparation of the concept. In a first step, all
relevant requirements and framework conditions shall be formulated in the Project Manual respec-
tively by the acquirer. Those requirements and framework conditions will be considered when des-
cribing all environments that will be necessary for the realization of the system.
On this basis, it shall be determined in what order, in which environments and with which tools rea-
lization, installation and testing shall be carried out. The aim will be the definition of an appropriate
iterative development process.
An integration plan shall be defined as additional information for integration. It will describe which
instances of the system elements will be integrated in which sequence into a system.
When the integration plan has been determined, it shall be defined which of the elements in the inte-
gration plan will have to be subjected to testing. The rules for this will be provided by the evaluati-
on strategy. For each requirement, the integration plan shall specify which elements shall be tested
in order to verify that they meet the requirements.
The evaluation strategy and the integration may influence each other. The individual integration
steps shall be defined therefore in a way that evaluation redundancies will be avoided and that risks
will be reduced to a minimum by early quality assurance measures. Before the integration begins, it
must be ensured that the segments or units to be integrated are in the »Product State »Finished and
that they fulfil their respective specifications. The impact on system architecture and »Enabling
System Architecture shall be considered.

Activity Flow
Figure 24: Activity Diagram "Preparing System Implementation, Integration and Evaluation Con-
cept"
3.10.7.1 Identifying Realization Procedures and Target Environments

Subjects: System Implementation, Integration and Evaluation Concept: Installation
Procedures and Target Environment, System Implementation, Integration
and Evaluation Concept: Realization Procedures and Environment
As preparation for the development process relevant requirements and framework conditions from
the project manual shall be identified and defined. For example, the following may be specified:
● the programming language to be used (e. g. Ada, Java, C++, VHDL),
● the platforms to be used (e. g. operating system, communications system),

3 Activities 6-137
● the development environment to be used (e. g. IDE, compiler, binder),
● the target environment to be used (e. g. FPGA, processor family),
● the methods be used (e. g. OOA, OOD, SA, OOSE, SD),
● the standards and guidelines to be used (e. g. ISO standards, German DIN standards, VGA
standards),
● the line issues and »Enabling Systems to be used (e. g. test equipment, master tooling, host
systems, personnel with special training).
3.10.7.2 Defining Development Process

Subjects: System Implementation, Integration and Evaluation Concept: Installation
Procedures and Target Environment, System Implementation, Integration
and Evaluation Concept: Integration Procedures and Integration Plan,
System Implementation, Integration and Evaluation Concept: Evaluation
Procedures and Strategy, System Implementation, Integration and
Evaluation Concept: Realization Procedures and Environment
When defining the development process, it shall be determined how the requirements and interfaces
of the specification can be realized in the system elements.
The process will define a uniform system development approach for all stakeholders in the project.
The selected approach should be supported by the selected development environment. An appro-
priate documentation of this approach will support the familiarization of new stakeholders in the
project with the new work.
3.10.7.3 Preparing Integration Plan

Subject: System Implementation, Integration and Evaluation Concept: Integration
Procedures and Integration Plan
Parallel to the definition of the development process, the integration architecture shall be derived
from the system architecture, and the building plan for the system elements shall be laid down. In
this connection at first the system elements that shall be integrated and, on top of that, the integrati-
on sequence shall be determined for all system elements.
In order to permit the realization of the integration, also the requirements for each system element
shall be described in the order of integration (for example the cabling sequence, individual steps of
the software download on the hardware or the description of a makefile).

3.10.7.4 Determining Evaluation Strategy

Subjects: System Implementation, Integration and Evaluation Concept: Evaluation
Procedures and Strategy, System Implementation, Integration and
Evaluation Concept: System Elements to be Evaluated
For determining the evaluation strategy the specifications from the »QA Manual shall be adopted.
In the evaluation strategy the following shall be determined:
● Which requirements will be tested for each integration step with which environment?
● Which requirements will be tested at what level of the system elements? Usually quality re-
quirements, just as environmental requirements, will be verified at higher levels.
● Which system elements will be verified together because of dependencies concerning con-
tent and structure? Typically »Segments will be tested on a vibrating table as a whole and
not each of the individual components of the segment.
● Which tests will be covered by simulation at which level? For destructive testing an obvious
solution will be to conduct simulations at the lower levels of the system elements and to per-
form the actual test during final acceptance or at higher system levels.
The individuals of the system elements will refine the evaluation strategy and determine how it is
implemented.
3.10.7.5 Determining System Elements Critical to Safety and Security

Subject: System Implementation, Integration and Evaluation Concept: Safety and
Security Relevant System Elements and Safety and Security Measures
See Determining System Elements Critical to Safety and Security in activity Preparing Enabling
System Implementation, Integration and Evaluation Concept.
3.10.8 Preparing Enabling System Implementation, Integration and Evaluation Concept

Work Product: Enabling System Implementation, Integration, and Evaluation Concept
Purpose
See Aktivity Preparing System Implementation, Integration and Evaluation Concept.

3 Activities 6-139
3.10.8.1 Identifying Realization Procedures and Target Environments

Subjects: Enabling System Implementation, Integration, and Evaluation Concept:
Installation Procedures and Target Environments, Enabling System
Implementation, Integration, and Evaluation Concept: Realization
Procedures and Environment
See Identifying Realization Procedures and Target Environments in activity Preparing System Im-
plementation, Integration and Evaluation Concept.

Installation Procedures and Target Environments, Enabling System
Implementation, Integration, and Evaluation Concept: Integration
Procedures and Integration Plan, Enabling System Implementation,
Integration, and Evaluation Concept: Evaluation Procedures and Strategy,
Enabling System Implementation, Integration, and Evaluation Concept:
Realization Procedures and Environment
See Defining Development Process in activity Preparing System Implementation, Integration and
Evaluation Concept.

Subject: Enabling System Implementation, Integration, and Evaluation Concept:
Integration Procedures and Integration Plan
See Preparing Integration Plan in activity Preparing System Implementation, Integration and Eva-
luation Concept.

Evaluation Procedures and Strategy, Enabling System Implementation,
Integration, and Evaluation Concept: System Elements to be Evaluated
See Determining Evaluation Strategy in activity Preparing System Implementation, Integration and
Evaluation Concept.
3.10.8.5 Determining System Elements Critical to Safety and Security

Subject: Enabling System Implementation, Integration, and Evaluation Concept:
Safety and Security Relevant System Elements and Safety and Security
Measures

When identifying safety and security critical elements, those system elements, for which there will
be a risk and for which a security classification will be required, shall be identified and documented.
This may be either the system or »Enabling System itself or those system elements that will emerge
during the decomposition.
For every determined danger, possible causes and risks shall be evaluated and assessed with regard
to their the risk of occurrence, the risk detection and the importance of the risk - particularly with a
view to the possible damage - and possible risk-minimization measures shall be identified.
If the evaluation provides a result which lies above a specified threshold value, the respective sys-
tem element will be regarded as safety and security critical, and a »Safety and Security Analysis
shall be conducted. The safety and security classification of every system element depends on the
evaluation of its specific danger and risk potential
For each system element considered it shall be determined,
● whether it will be safety and security-relevant (yes/no);
● which danger may arise from the system element;
● which possible damage may be caused;
● what the safety and security level (which is sometimes also called criticality level, assurance
level or evaluation assessment level) of the system element will be;
● whether a hazard and safety analysis will be required or
● whether additional measures or documentation elements, such as validation plan or safety

and security report, will be required in accordance with the defined safety and security stan-
dard.
3.10.9 Preparing Hardware Implementation, Integration and Evaluation Concept

Work Product: Hardware Implementation, Integration and Evaluation Concept
Method Reference: Process Analysis, Test
Tool reference: Construction/Simulation, Modeling Tool, Test Tool
Purpose
When preparing the hardware implementation, integration and evaluation concept (see Figure 24 ),
it shall be determined how the developed hardware unit will be realized, how it will be assembled
step by step and how its quality assurance will be carried out.

3 Activities 6-141
The preparation of the concepts will start with the identification of realization and target environ-
ment requirements. This will be followed by the definition of the development process and the eva-
luation strategy and the preparation of the integration plan. These sub-activities shall be carried out
at the same time. A detailed description will be provided in the activity »Preparing System Imple-
mentation, Integration and Evaluation Concept.
3.10.9.1 Identifying Standards for Realization and Target Environments

Subjects: Hardware Implementation, Integration and Evaluation Concept: Installation
Procedures and Target Environments, Hardware Implementation,
Integration and Evaluation Concept: Realization Procedures and
Environments
For the realization of the hardware elements specifications shall be defined. In this process for ex-
ample realization standards (such as German Military standards, German DIN standards and IPC
standards) or occupational safety requirements shall be determined. Also a realization environment
shall be selected.
When developing programmable logic, the following preliminary tasks for the installation in the tar-
get environment shall be performed:
● Definition of generating procedures for the transformation of the technology-independent

code into the technology-specific programming file
● Definition of installation procedures for the integration of the programming file into the tar-
get hardware
● Description of the generation of the programming file (usually synthesis and placement)
● Description of the integration of the programming file into the target hardware.

Subjects: Hardware Implementation, Integration and Evaluation Concept: Installation
Procedures and Target Environments, Hardware Implementation,
Integration and Evaluation Concept: Integration Procedures and Integration
Plan, Hardware Implementation, Integration and Evaluation Concept:
Evaluation Procedures and Strategy, Hardware Implementation, Integration
and Evaluation Concept: Realization Procedures and Environments
When defining the development process, the realization and installation approach shall be descri-
bed. Care will have to be taken that the dependencies as regards content will be appropriately consi-
dered and described. When developing the hardware elements, it will be already possible to integra-
te and test some of the elements while the realization of other hardware elements will not yet have
been finished.

Finally hazard and risk analyses shall be made for those hardware elements that will be classified
critical to security. Based on the results of the analyses, engineering and analytical measures for en-
suring system security and integrity of the »Hardware Unit shall be defined.

Subject: Hardware Implementation, Integration and Evaluation Concept: Integration
The assembly and the step-by-step testing of the hardware elements shall be described in detail. In-
tegration and activation may proceed step by step. »Hardware Modules or »Hardware Components
will be integrated into substructures. By adding additional hardware elements, additional substruc-
tures may emerge. Substructures may be relevant both to the integration process and to manufactu-
ring. The complete structure then will represent the completely integrated »Hardware Unit.

Subjects: Hardware Implementation, Integration and Evaluation Concept: Evaluation
Procedures and Strategy, Hardware Implementation, Integration and
Evaluation Concept: Hardware Elements to be Evaluated
Starting from the evaluation strategy of the parent »System Implementation, Integration and Eva-
luation Concept or »Enabling System, the evaluation strategy for the hardware elements shall be de-
rived. From the point of view of cost-effectiveness, functionality, complexity, safety and security,
quality and efficiency the hardware elements to be tested shall be determined. As a rule, the speci-
fied hardware elements should be tested.
The individual steps of the evaluation procedure and the test methods shall be documented in sum-
mary form.
3.10.9.5 Determining Hardware Elements Critical to Safety and Security and

Security
Subject: Hardware Implementation, Integration and Evaluation Concept: Safety and
Security Relevant Hardware Elements and Safety and Security Measures
Hardware elements critical to safety and security shall be identified and allocated to appropriate sa-
fety and security levels. It will also have to be specified whether it will be necessary to prepare a
»Safety and Security Analysis.
A detailed description can be found in the »Work Step Determining System Elements Critical to Sa-
fety and Security in the activity »Preparing System Implementation, Integration and Evaluation
Concept.
3.10.10 Preparing Software Implementation, Integration and Evaluation Concept

Work Product: Software Implementation, Integration and Evaluation Concept

3 Activities 6-143
Method Reference: Review, Test

Tool reference: Compiler, CM Tool
Purpose
When preparing the software implementation, integration and evaluation concept (see Figure 24), it
shall be determined how the developed software unit will be realized, how it will be assembled step
by step and how its quality assurance will be carried out.
The preparation of the concepts will start with the identification of the realization and target envi-
ronment requirements. This will be followed by the definition of the development process and the
evaluation strategy and the preparation of the integration plan. These sub-activities shall be carried
out at the same time. A detailed description will be provided in the activity »Preparing System Im-
plementation, Integration and Evaluation Concept.
3.10.10.1 Identifying Realization Targets and Target Environments

Subjects: Software Implementation, Integration and Evaluation Concept: Installation
Procedures and Target Environments, Software Implementation,
Integration and Evaluation Concept: Realization Procedures and
Environments
For the realization of the software elements and the definition of the target environments specificati-
ons shall be derived from the project manual or from the »QA Manual.
Specifications may affect the tools or paradigms to be used, and they may define target environ-
ments for the software elements. The specifications usually will be based on acquirer requirements
or on the specification of various standards and norms.

Subjects: Software Implementation, Integration and Evaluation Concept: Installation
Procedures and Target Environments, Software Implementation,
Integration and Evaluation Concept: Integration Procedures and Integration
Plan, Software Implementation, Integration and Evaluation Concept:
Evaluation Procedures and Strategy, Software Implementation, Integration
and Evaluation Concept: Realization Procedures and Environments
When defining the development process, the realization and installation approach shall be descri-
bed. Care must be taken that the dependencies as regards content will be appropriately considered
and described. When developing the software elements, it will be already possible to integrate and
test some of the elements while the realization of other software elements will have not yet been fi-
nished.
Finally hazard and risk analyses shall be made for those software elements that will be classified
critical to safety and security. Based on the results of the analyses, engineering and analytical mea-
sures for ensuring safety and security and integrity of the »Software Unit shall be defined.


Subject: Software Implementation, Integration and Evaluation Concept: Integration
The integration and the step-by-step testing of the software elements shall be described in detail.
»Software Modules or »Software Components will be integrated hierarchically into additional soft-
ware components and finally into the »Software Unit. In the integration plan the integration archi-
tecture and the integration sequence will be defined.

Subjects: Software Implementation, Integration and Evaluation Concept: Evaluation
Procedures and Strategy, Software Implementation, Integration and
Evaluation Concept: Software Elements to be Evaluated
Starting with the evaluation strategy of the super-ordinate »System Implementation, Integration and
Evaluation Concept or »Enabling System, the evaluation strategy for the software elements shall be
derived. It will be determined what testing methods will be used and what software elements shall
be tested.
The individual steps of the evaluation procedure and the test methods shall be documented in sum-
mary form.
3.10.10.5 Determining Software Elements Critical to Safety and Security and

Security
Subject: Software Implementation, Integration and Evaluation Concept: Safety and
Security Relevant Software Elements and Safety and Security Measures
Software elements critical to safety and security shall be identified and classified according to ap-
propriate safety levels. It also shall be specified whether it will be necessary to prepare a hazard or
»Safety and Security Analysis.
A detailed description can be found in the »Work Step Determining System Elements Critical to Sa-
fety and Security in the activity »Preparing System Implementation, Integration and Evaluation
Concept.
3.10.11 Developing Migration Concept

Work Product: Migration Concept
Tool reference: Integrated Development Environment

3 Activities 6-145
Purpose
When a migration will be planned, content, scheduling and organizational aspects shall be conside-
red. It shall be defined in detail how the migration shall be carried out and which data and interfaces
shall be migrated.
The framework conditions for the migration shall be identified, and the strategy for carrying it out
shall be determined. Migration stages with activities that shall be carried out shall be planned, and it
shall be determined how changes of the respective stage could be cancelled if required (rollback
strategy).
The data flow shall be defined, and the condition of the data shall be examined. Depending on the
results, the data transformation shall be defined. The migrated parts of the system will represent
units of the system that shall be developed and will be integrated after the migration.
3.10.11.1 Specifying Migration Approach

Subjects: Migration Concept: Migration Strategy, Migration Concept: Migration
Overview, Migration Concept: Rollback Strategy
When planning and carrying out a migration all essential framework conditions shall be taken into
account. This will include for example the time window that will be available for a migration, the
effects a failure of the migration would have on the business processes or the available personnel
and the know-how.
Depending on the results, the strategy for carrying out the migration will be determined.
3.10.11.2 Defining Data Map

Subject: Migration Concept: Data Migration
For the definition of the data map the »Data Model of the legacy system and the physical data mo-
del of the new system shall be compared. For each field the map will be defined in concrete terms.
When doing this, for example the following aspects shall be considered:
● Will the structure of the legacy system be adopted and what will possibly have to be adap-
ted?
● Which field of the old data model will be mapped on which field of the new data model and
what will the map look like?
● On which data types will the data of the field mapped? Will it be necessary to carry out a
type conversion?
● Which changes will have to be made on the data themselves?
● Will parts of the data will not be migrated?

The definition of the data map and the »Data Migration should be tool-based. Today a number of
tools, for example in the field of data warehouses or provided by the databases themselves, that sup-
port this work suitably, are available.
3.10.11.3 Planning Migration

Subject: Migration Concept: Migration Plan
The execution of the migration shall be planned. The migration shall be planned in detail within the
time window determined in the strategy, allowing sufficient time for a possible rollback of the chan-
ges.
For planning purposes the activities that shall be carried out will be identified and described, provi-
ding information about their duration and determining the responsible persons. The identified acti-
vities will be combined in stages that are determined by logical and time considerations.
The »Rollback Strategy will be planned analogously to migration planning. For the stages of migra-
tion planning all activities concerning the rollback of changes shall be scheduled, and for each stage
the last possible time (from the time and content point of view) for performing a rollback shall be
defined.
3.11 Logistic Elements

This discipline summarizes all »Work Product s and »Activityies prepared for implementing the lo-
gistic support of a system. It includes primarily the system documentation, which consists of »Trai-
ning Documentation and »In-Service Documentation . These two logistic elements are mandatory
for every system and thus included in the »System Development. The additional »Logistic Elements
- »Maintenance Documentation, »Repair Documentation and »Spare Parts Catalog - complement
the work products of the type »Logistic Support Documentation if the process module »Integrated
Logistic Support was selected (see »Structural Product Dependencies ).
Figure 25: Logistic Support Hierarchy

3 Activities 6-147
3.11.1 Preparing Training Documentation

Work Product: Training Documentation
Purpose
The organization of the acquirer shall be considered already in the Overall System Specification.
The job profiles for which training measures will be necessary shall be determined.
The training documentation shall enable the student to follow the instruction and make suitable no-
tes. If required, examination papers or training records for training measures shall be developed,
which may be used for written or oral examinations on the training subject.
The preparation of training documents will briefly be illustrated by the example of participants do-
cuments. At first, scope, structure and time required for the training shall be planned. Important in-
formation for this purpose shall include training level and number of students. The necessary con-
tents will primarily be derived from the in-service documentation and prepared for the participants
documents according to didactic asepects and to customer demand. Afterwards, the portions belon-
ging to the participants documents will be integrated into the respective layout or the selected medi-
um.
3.11.1.1 Preparation of Training

The training shall be prepared in the following steps:
● Determine the training level of the trainees
● Define the minimum and maximum number of trainees
● Determine the required time and the training tools for each training measure
● Define and structure the learning units
● Define the learning objectives for each learning unit (training objective, broad aim, specific
aim)
● Determine required time and training tools for each learning unit.
A curriculum may be used to structure the preparation of training, which in turn will structure the
further preparation activities for the »Training Documentation, since for each learning unit defined
in the curriculum »Instructor Documentation and »Participants Dokumentation will have to be pre-
pared.
3.11.1.2 Acquiring Data for Training Documentation


»Training Documentation will be based on the »In-Service Documentation, the »Maintenance Do-
cumentation and the »Repair Documentation. The most important activities described in these docu-
ments will be integral parts of the training.
Further data acquisition will be made in analogy to the subactivity »Acquiring Data for In-Service
Documentation in the activity »Defining In-Service Documentation.
3.11.1.3 Didactically Adapting Training Documentation

The training documentation will be based on the In-Service, Maintenance and »Repair Documenta-
tion. To impart the training subject, the information included in the documents shall be didactically
adapted.
For this purpose; learning objectives shall be specified, pictures and comparisons shall be used and
important facts shall be repeated. Also regular progress checks and practical exercises shall be in-
corporated.
3.11.1.4 Compiling and Integrating Training Documentation

The approach to compiling and integrating »Training Documentation will be analogous to the sub-
activity »Compiling and Integrating In-Service Documentation of the activity »Defining In-Service
Documentation.
3.11.2 Defining In-Service Documentation

Work Product: In-Service Documentation
Purpose
The »In-Service Documentation will enable the user of a system to use this system in accordance
with the regulations. It will be directed at persons who will usually differ in their level of education,
professional qualification and background knowledge, familiarity with the system (beginner, advan-
ced student, expert) and job profile within the organization. When preparing the documentation, it
will therefore be necessary to take into account the needs of the addressees. Even if only the docu-
mentation is used, the system will have to disclose itself to every user. In case of addressee groups
with large differences in their profiles, several in-service documentations shall to be prepared, for
example a tutorial for beginners and a reference manual for experts.
The definition of In-Service Documentation is briefly illustrated by the example of a documentation
for installation and operation. First the structure will be designed, e.g., by means of a table of con-
tents. Then the information required for filling the structure with contents will be collected. After-
wards the existing information will be revised editorially according to customer demand. Finally,
the portions belonging to installation and operation will be integrated into the respective layout or
the selected medium.

3 Activities 6-149
3.11.2.1 Defining In-Service Documentation

For each document a table of contents shall be prepared, taking into consideration norms and stan-
dards requested by the acquirer or generally applicable.
For military technical manuals, special standards will apply, which shall be defined together with
the acquirer before the start of the project. For an Interactive Electronic Technical Documentation
(IETD) for example the standards ASD Spec 1000D and »AECMA Simplified English will be spe-
cified. For documentations on paper, for example, standards such as »GAF T.O. C-2-1 or »H011
shall be used.
For multimedia documentation scripts or other suitable »Templates shall be prepared. Title pages,
front matter, style sheets, DTDs and layouts shall be defined as templates.
3.11.2.2 Acquiring Data for In-Service Documentation

The collection of information required for the preparation of the documentation (such as texts, pic-
tures, wiring diagrams, internal wiring and assembly diagrams and block diagrams) will precede the
preparation of the manuscript.
Information sources will include existing documents, logistic and other databases, drawings genera-
ted with CAD systems and all relevant documents produced in the development process. In case do-
cuments required for the preparation of the documentation are lacking, they shall be requested im-
mediately.
If required, interviews shall be conducted to obtain additional information. If the documents are pre-
pared in connection with the preparation of training, data collection activities shall be linked. Data
acquisition will also include making pictures and procuring multimedia contributions (videos, sound
recordings).
3.11.2.3 Editing In-Service Documentation

When editing »In-Service Documentation, existing texts shall be formulated so that they will meet
the requirements of the acquirers. They also shall be adapted to the required information depth. The
wordings used shall be unambiguous, comprehensible and so that they will meet the requirements
of the users. Depending on the medium used for publication, information shall be processed in a
way that it is text- or picture-oriented.

Existing drawings, block diagrams, diagrams and photographs shall be adapted to the requirements
of the documentation and standardized. If required, position numbers shall be inserted and drawings
and graphs that are not available shall be prepared. Animations, simulations, interactive presentati-
ons, audio and video parts used in electronic multimedia documentation shall be prepared.
Finally safety warnings and security references and references to assemblies exposed to electrostati-
cal hazards shall be incorporated.
3.11.2.4 Compiling and Integrating In-Service Documentation

The prepared documentation shall be integrated into the planned layout in accordance with the exis-
ting table of contents - in manuals or electronic documentation, depending on the medium. Com-
ponents supplied by »Sub-Suppliers or partners in a consortium shall be brought in line with the
standards used and also integrated into the documentation.
Animations, simulations, interactions and audio and video parts used in multimedia electronic docu-
mentation shall be incorporated as required by the script.
The homogeneity of the presentation of text and graphics shall be ensured. Numberings and num-
bers of figures shall be included so that they will be consistent, and cross-references and hyperlinks
shall be prepared or updated.
After integrating the contents, they shall be compared with the realized system hardware/software.
In this process in particular the safety warnings and security references shall be checked. Then the
final editing will be done.
3.11.3 Preparing Maintenance Documentation

Work Product: Maintenance Documentation
Purpose
The preparation of the »Maintenance Documentation will be based on the analysis of the logistic re-
quirements (see »Analyzing Initial Situation and Logistic Requirements ), the logistic support con-
cept and the logistic analyses and calculations. In this context the organization of the maintenance
work at the facilities of the acquirer, the maintenance levels and their contents and the actions taken
at each maintenance level shall be considered.
Maintenance actions shall be combined in packages in the form of maintenance levels and synchro-
nized with each other. Several actions should be taken at the same time to keep the life cycle costs
of the systems as low as possible. This will form the foundation for the »Maintenance Plan.

3 Activities 6-151
For each maintenance action it first shall be determined in which steps it will be taken and which
particular activities will be required for it. In the »Maintenance Instructions these steps shall be des-
cribed accurately and replicably so that they can be replicated by the maintenance personnel. Requi-
red measuring and test equipment as well as standard and special tooling shall be included in the de-
scription.
The »Maintenance Instructions will prepared similar to the »In-Service Documentation, i. e. in the
following steps: the instruction will be prepared, the data will be acquired, the instruction will be
edited and then compiled and integrated.
3.11.4 Preparing Repair Documentation

Work Product: Repair Documentation
Purpose
The work processes for diagnosis and repair shall be identified, determined and described (see
»Analyzing Initial Situation and Logistic Requirements ), taking into account the tools and the mea-
suring and test equipment available at the facilities of the acquirer. While the »Diagnosis Instructi-
ons will describe diagnostic testing (for example with the help of fault trees), the »Repair Instructi-
ons will outline corrective action and the subsequent testing of the repaired system.
The technical author shall describe diagnosis and repair in simple, replicable steps and illustrate
them with additional graphical representations. The use of the measuring and test equipment requi-
red for this purpose and the use of the standard and special tooling shall be specified. The descripti-
ons shall be accurate, detailed and unambiguous so that the repairman in the organization of the ac-
quirer will be able to execute them without any errors.
The »Repair Instructions and the »Diagnosis Instructions will be prepared similar to the »In-Service
Documentation, i.e. in the following steps: the instruction will be prepared, the data will be acqui-
red, the instruction will be edited and then compiled and integrated.
3.11.5 Defining Spare Parts Catalog

Work Product: Spare Parts Catalog
Purpose
The spare parts catalog shall be prepared on the basis of the spare part definition. The spare parts
catalog will allow the user to identify and order a spare part. When preparing the catalog, care shall
be taken that the catalog is clearly arranged, that the spare parts are unambiguously identified in the
»List Section and that the spare part is clearly depicted in the »Illustrated Section.
The »Spare Parts Catalog shall be generated from bills of material, spare parts lists, and engineering
drawings. Each spare part shall be defined with a name and made up with a part identifier (for ex-
ample the stock number) and, if necessary, additional identification numbers. Identification numbers
such as ENGDAT or EAN/EANCOM, will for example be required for electronic order and delive-
ry catalogues or EDI data exchange. The engineering drawings shall be converted to three-dimen-
sional projections and three-dimensional exploded views to support the user in the identification of
the spare parts.

If the acquirer operates his own logistic information system, the processing sequence, the data ele-
ments to be delivered and the data transmission shall be coordinated with the supplier.
For military NATO systems usually a codification (NATO codification) shall be performed. The co-
dification will be specified in the standards »B007 or »ASD Spec 2000M. Essential work steps of
the codification will be the identification of the supply item with the help of functional description,
bills of material and engineering drawings, the classification on the basis of the above-mentioned
documents, the numbering of the supply item by assigning the stock number and the publishing or
this stock number in the spare parts catalog and in the NATO Master Catalog of References for Lo-
gisticians (NMCRL).
The preparation of the spare parts catalog will be planned in the activity »Planning Project of the
»Process Module »Project Management.
3.11.5.1 Defining Spare Parts Catalogue

Starting point will be the spare parts identified in the product »Logistic Calculations and Analyses.
Within the scope of this subactivity the spare parts shall be listed, structured and classified. In case
costly graphic projections should be required, they will have to be planned. This will apply in parti-
cular to three-dimensional exploded views.
Further actions will be taken analogously to the subactivity »Defining In-Service Documentation in
the activity »Defining In-Service Documentation.
3.11.5.2 Acquiring Data for Spare Parts Catalog

The data acquisition approach for the spare parts catalog will be analogous to the subactivity »Ac-
quiring Data for In-Service Documentation in the activity »Defining In-Service Documentation.
3.11.5.3 Developing Spare Parts Catalog

In order to develop the spare parts catalog, the data of the parts shall be compiled and, if available,
entered into a database. The data shall be exchanged with the acquirer so that they can be checked.
Available drawings, block diagrams and diagrams shall be adapted to the requirements of the cata-
log and standardized. They will be provided with item numbers to make it easier to locate the parts.
Beyond that, drawings and graphics that will not be available shall to be prepared.
3.11.5.4 Compiling and Integrating Spare Parts Catalog


3 Activities 6-153
The approach to compiling and integrating the spare parts catalog will be analogous to the subacti-
vity »Compiling and Integrating In-Service Documentation in the activity »Defining In-Service Do-
cumentation.
3.11.6 Integrating into Logistic Support Documentation

Work Product: Logistic Support Documentation
Method Reference: Review, Test
Tool reference: Construction/Simulation
Purpose
From the documentation and the »Training Documentation, the »Logistic Support Documentation
shall be prepared, taking into account all requirements of the »Overall System Specification. De-
pending on the required scope of logistic support, additional specifications of the products Logistic
Support Concept and Logistic Support Planning shall be considered.
An acceptance inspection by the acquirer, which may be necessary (for example »Delivery of test
review drafts of technical documentation), shall be planned. Additionally, it shall be ensured that the
logistic elements will be subjected to »Configuration Management and that the prepared documents
will be archived.
The integration into the support documentation will be carried out in the activity »Planning Project
of the »Process Module »Project Management.
3.12 Logistic Conception

Up to 80 percent of the system life cycle costs may be influenced by the logistic concept, which is a
significant basis for optimizing life cycle costs, thus being decisive for acceptance and success of
the in-service use.
The discipline Logistic Concept comprises products and activities required for planning and develo-
ping the logistic support. It includes the »Logistic Support Specification, a »Logistic Support Con-
cept and »Logistic Calculations and Analyses.
3.12.1 Preparing Logistic Support Specification

Work Product: Logistic Support Specification
Tool reference: Requirements Management, Modeling Tool
Purpose
On the basis of the »Overall System Specification the requirements concerning the logistic support
to be realized and the »Logistic Elements shall be defined via the »Logistic Support Specification.
The specification for logistic support at the highest level will be prepared in close coordination with
the acquirer.

The logistic support specification shall be prepared in the form of a document or a data package wi-
thin the framework of a Logistic Support Analysis (LSA, see »MIL-STD 1388-1A and »MIL-STD
1388-2B).
3.12.1.1 Analyzing Initial Situation and Logistic Requirements

Subjects: Logistic Support Specification: Initial Situation, Logistic Support
Specification: Logistic Requirements
When the initial situation will be analyzed, the actual situation at the location of the acquirer will be
recorded and analyzed. These considerations will become important if a system of this kind already
exists and is to be replaced by a new one or if the system to be developed is to be integrated into
existing organizational procedures or technology.
The operational environment in which the system shall be used and its physical load shall be descri-
bed to the point that all circumstances concerning its use, maintenance and repair will be known.
The use or modification of existing logistic resources shall be examined.
Nature and extent of the required maintenance and repair actions shall be determined. These may be
compiled and presented as follows:
1. On the basis of a »Fault/Reliability Analysis, the fault possibilities of the system shall be
analyzed and described. The presentation of the results should be based on the selected sys-
tem architecture.
2. On the basis of the identified fault possibilities the preventive and corrective actions requi-
red for defect removal shall be presented.
3. On the basis of the »Fault/Reliability Analysis the frequency of the identified corrective and
preventive actions that is to be expected shall be determined and presented.
Also the requirements from the »Overall System Specification shall be analyzed and further speci-
fied. Requirements to be met with regard to availability, supportability, reliability, maintainability
etc. shall be defined and put into more concrete terms as far as this is possible and can be derived
from the »Overall System Specification. Additional requirements will result from the analysis of re-
levant norms, regulations and standards.
The specification shall include quantitative estimates that make it possible to determine the correct
order of magnitude when making fundamental logistic decisions. If required, logistic calculations
and analyses shall be made.
3.12.1.2 Refining and Allocating Logistic Requirements

Work Product: Logistic Support Specification

3 Activities 6-155
The logistic support specification will be developed in an iterative approach in which it will be refi-
ned. The requirements shall be assigned step by step to the logistic elements and other logistic re-
sources (for example special tooling and measuring and test equipment).
3.12.1.3 Preparing Requirements Tracing Survey

Subject: Logistic Support Specification: Requirements Tracing
In the »Requirements Tracing process it shall be ensured that the requirements will be completely
and correctly mapped on the logistic elements and other logistic resources.
It shall be checked whether all requirements were allocated. For this purpose relations shall be esta-
blished between the logistic elements or other logistic resources and the requirements.
3.12.2 Preparing Logistic Support Concept

Work Product: Logistic Support Concept
Purpose
On the basis of the »Logistic Support Specification, the logistic support concept shall be developed
iteratively. Logistic support and the logistic elements shall be designed and represented. Major in-
fluencing factors will be the expected life cycle costs and the impact on system availability. The
establishment of logistic supportability, the clearance of the system for service use and the »Dispo-
sal of the system shall be planned.
Logistic support will be planned in the activity »Planning Project of the »Process Module »Project
Management.
3.12.2.1 Defining Directives and General Conditions

The requirements and framework conditions, in particular the logistic outline concept, shall be pre-
pared together with the acquirer. If it is not possible to prepare concrete information, assumptions
shall be made that will make sense for the system to be delivered or that can be derived from alrea-
dy existing similar systems.
3.12.2.2 Analyzing System Architecture

The architecture of the system shall be analyzed. For each element of the architecture logistically
relevant data, such as part number (identification number, order number) and reliability (see »Logi-
stic Calculations and Analyses), shall be obtained and prepared so that they will be clearly arranged.

3.12.2.3 Developing, Evaluating and Selecting Alternatives

Several alternatives for logistic support shall be developed and presented. For each alternative logi-
stic elements shall be determined. Then the alternatives that were developed shall be compared with
regard to how they meet the requirements, in particular concerning the expected system availability
and the life cycle costs. These indicators shall be determined for each alternative on the basis of
identical framework conditions (which frequently will be assumptions) and shall be presented expli-
citly. The selection of an alternative will be made in close coordination with the acquirer, since this
decision will influence the availability and the life cycle costs.
3.12.2.4 Preparing Logistic Support Concept

The starting point will be the selected alternative. Logistic support shall be developed on the basis
of the demand for support and the logistic resources required for this purpose. Major factors in this
context will be the interfaces of the system to the operating environment, the interplay between the
logistic resources and the organizational conditions at the location of the acquirer.
The logistic support documentation shall be described together with the other logistic resources
(such as standard/special tooling, measuring and test equipment, training equipment, spare parts)
that exist or will have to be procured or prepared.
Depending on the logistic framework concept that is taken as a basis for the system, further support
services may be necessary that will go beyond service use, maintenance and repair and additional
system maintenance activities. Those services shall be determined and also presented.
3.12.2.5 Describing Interaction of Logistic Resources

In addition to the general outline of logistic support, a summary overview of the interfaces shall be
prepared in which the interaction between the system, the »Enabling System and the logistic ele-
ments will be described, taking into account the following connections:
● Internal connections between the logistic elements
● Interfaces between the logistic resources that emerge as enabling systems
● Interfaces with the system
● External interfaces of the system, the enabling systems and the logistic elements to elements
in its environment that will be logistically relevant (for example materiel management sys-
tem, transport system, logistic facility).

3 Activities 6-157
Logistic requirements, such as availability, can be met only when these elements will interact. Re-
gulations concerning organizational and technical measures for maintenance and repair and system
maintenance during operations shall be described and coordinated with the acquirer.
3.12.2.6 Establishing Logistic Supportability and Transfer to In-Service Use

The establishment of logistic supportability and the clearance for service use shall be planned and
presented. They will be carried out in close coordination with the acquirer, since the acquirer also
will have to provide services. Those services may include the following:
● Providing infrastructure for the integration of logistic resources
● Providing logistic resources that are already available at the acquirer
● Providing personnel for operation, maintenance/repair and spare parts supply for training on
the system
● Providing personnel for operation, maintenance/repair and spare parts supply for conducting
operations or service trials (operational testing)
The establishment of logistic supportability and the clearance for service use will be planned in the
activity »Planning Project of the »Process Module »Project Management.
3.12.2.7 Preparing Disposal

»Disposal will include decommissioning (for a return to service) and final disposal of the system.
The conceptual preparation of the decommissioning of a system has to be made near the time the
system will be prepared, because this will be the only time the technical knowledge will be on hand.
If for a system, which has been in service use for 30 years, decommissioning is prepared just when
the system is decommissioned, this may mean a great expense, because details of the technology
and material used will no longer known.
The conceptual preparation of the disposal also shall be made near the time the system is prepared.
Details of harmful substances will be analyzed during development and form the best basis for the
preparation of disposal. In some cases the disposal will also influence the design of the system, be-
cause in case there will be an obligation to take back a specific substance, disposal may become ex-
pensive for the manufacturer. Therefore the manufacturer will select a design of his system whose
disposal is easier. Materials whose disposal will be difficult or that will be ecologically harmful
shall be documented.

3.12.3 Performing Logistic Calculations and Analyses

Work Product: Logistic Calculations and Analyses
Method Reference: Fault/Reliability Analysis, Logistic Support Analysis
Purpose
As a result of the calculations and analyses, logistic support may be designed. In addition, possible
false decisions or deficiencies in the development shall be identified early and corrected (design in-
fluence). Logistic analyses shall be made parallel to the development activities. The results that are
obtained shall be provided directly so that they can be used for decisions on changes and adaptati-
ons of the design.
Before calculations and analyses will be made, it shall be coordinated with the acquirer to what ex-
tent and at what time data will be provided. Furthermore is shall be clarified in what form - paper,
data carrier, software tool - the data will be provided, processed and passed on. After making the
analyses and calculations and before the results will be submitted to the acquirer, the quality of the
results shall be verified and ensured.
3.12.3.1 Planning Calculations and Analyses

The tailoring of the norms and standards to be used to the respective product will be carried out by
the »Logistics Developer, who will select the applicable norms and standards in the required version
in accordance with the contract documents (see »Fault/Reliability Analysis ). If no particular norm
is specified, the most suited standar (with regard to costs, data availability) will be used. The norms
and standards will define a large part of the analyses and calculations that will have to be made.
In case of very complex systems, in particular flying systems, the acquirer will demand a »Logistic
Support Analysis (LSA). The LSA will be described in the military standards »MIL-STD 1388-1A
and »MIL-STD 1388-2B and include the logistic analyses and calculations.
Logistic calculations and analyses will be planned in the activity »Planning Project of the »Process
Module »Project Management.
3.12.3.2 Acquiring Data for Calculations and Analyses

The basic data from the software and hardware development shall be collected. Typically this will
concern bills of material, wiring diagrams, documents produced in the development process (for ex-
ample hardware architecture) and additional information sources, for example standard information
about components and equipment and component information from the developer or from equip-
ment engineering.

3 Activities 6-159
3.12.3.3 Performing Calculations and Analyses

After acquisition of the data and the tailoring of the norms and standards that shall be applied to the
order, the necessary analyses and calculations shall be made. If weaknesses of the design are identi-
fied during the analysis, the responsible »System Architect shall be consulted.
3.12.3.4 Preparing Report on Project Results

The results of the logistic calculations and analyses shall be clearly arranged and presented in the
product »Logistic Calculations and Analyses. This will include also the description of identified
weak points. If this is technically and contractually possible, suggestions for tradeoffs or improve-
ment potentials shall be identified.
The verified results shall be described and also explained and commented.
After their verification and release, the results shall be submitted to the acquirer and, if necessary,
presented. After the report was accepted, the activities can be finished.
3.13 Process Improvement

The discipline »Process Improvement includes all products and activities prepared and maintained
within the scope of the introduction and maintenance of an organization-specific process model.
This includes the »Assessment of a Process Model, the development of an »Process Model Impro-
vement Concept and finally the description of an improved organization-specific process model.
3.13.1 Performing a Process Model Assessment

Work Product: Assessment of a Process Model
Purpose
There will be several approaches for performing the »Assessment of a Process Model. The prefer-
red methods should be those that lead to concrete improvement proposals and thus provide explicit
cues for a goal-oriented process improvement. In the following it will be described how a specific
process model shall be evaluated (see Figure 26).
At first, the assessment method (e.g. »V-Modell®XT Konformität, »V-Modell®XT Assessment,
»CMMI® , or »SPICE Model) must be selected. For process evaluation purposes, participants shall
be determined and projects selected as required in the planning and preparation phase. If »V-Mo-
dell®XT Konformität was selected as assessment method, the assessment is purely theoretical. It is
not necessary to select and analyze projects. Instead, the processes to be assessed are analyzed by

using a questionnaire defined for the »V-Modell®XT Konformität. This selection - and afterwards
also the results - shall be communicated to all participants, but preferably to all members of the or-
ganization.
Subsequently inquiries and interviews shall be conducted with the stakeholders and with manage-
ment. Direct questioning may also be supplemented or replaced by a questionnaire that will be filled
out by the stakeholders themselves or by evaluating only documents. Then the results of the inquiry
shall be analyzed with regard to strengths and weaknesses and interpreted and supplemented with
improvement proposals.
At the end of the evaluation of the process the results shall be documented in a report that will in-
clude the following:
● objective and management support,
● a strength-weakness profile of the evaluated processes and
● an activity plan.
Since the result of the process evaluation includes sensitive project data of an organization, the »As-
sessors will be expected to have qualities such as trustworthiness, impartiality and integrity.
Activity Flow
Figure 26: Activity Diagram "Performing a Process Model Assessment"

3 Activities 6-161
3.13.1.1 Preparing and Organizing Assessment

Subject: Assessment of a Process Model: Objectives and Management Support
For the preparation of the evaluation the following steps will be required:
● Planning the evaluation,
● Organizing kick-off meeting,
● Organizing the involvement of the management.
The evaluation, which will be already planned in the project plan of the improvement project, now
will have to be planned in detail by determining participants and selecting projects and communica-
ting them within the organization.
During the kickoff meeting the stakeholders in the improvement project, the management and the
project members shall be told the most important things about the execution of the evaluation and
the confidentiality of the data.
The involvement of the management into the evaluation approach shall be discussed. In this process
questions concerning the strategy and the future of the business area should be discussed.
When the evaluation will have been performed, additional process areas or new participants in the
interview may emerge, which then also will have to be included in the planning.
3.13.1.2 Collecting and Analyzing Assessment Data

Subject: Assessment of a Process Model: Strengths and Weaknesses Profile
Within the scope of this subactivity, all relevant data of the processes that will be available in the or-
ganization shall be collected. This w ill include:
● Process descriptions,
● »Templates and
● Documents.
Also interviews with all stakeholders, the persons with specific functions and the management
about the planned process areas shall be conducted and documented. The interviews may be based
on a questionnaire for a process model (for example CMMI©). The interviews may also be replaced
or supplemented by an answer to the written questionnaire.

Subsequently the process evaluation data shall be evaluated by analyzing the interview protocols
and the questionnaires. In this process it also shall be checked whether the scope of the evaluation
and the evaluation model were covered.
3.13.1.3 Assessing Processes and Specifying Improvement Measures

Subject: Assessment of a Process Model: Improvement Measures
The processes shall be evaluated against a model (e.g. »V-Modell®XT Konformität, »V-
Modell®XT Assessment, »CMMI® , »SPICE), against the specifications within the organization or
against standards. This may include for example grading the degree of maturity of a process. Also
concrete suggestions for the subsequent improvement activities shall be determined. Then it will be
discussed with the management which improvements according to the action plan may be used to
improve the degree of process maturity of the organization.
3.13.1.4 Preparing Final Report and Presentation

Work Product: Assessment of a Process Model
The results of the evaluation shall be documented in a final evaluation report (»Assessment of a
Process Model ) and presented in a final presentation to all stakeholders and to the management.
3.13.2 Specifying Process Improvement

Work Product: Process Model Improvement Concept
Purpose
Starting from the process improvement measures suggested in the product »Assessment of a Pro-
cess Model, the requirements for process improvement shall be defined.
Based on these requirements, the »Realization Concept shall be prepared, which will define general
specifications for the piloting and broad introduction of the organization-specific process model.
The realization concept will be used as a basis for the »Piloting Concept, which will include detai-
led planning for piloting.
3.13.2.1 Determining Objectives, Management Support and Requirements

Subjects: Process Model Improvement Concept: Requirements, Process Model
Improvement Concept: Objectives and Management Support
The objectives of the improvement project (for example reaching the »V-Modell®XT Konformität
or a »CMMI® level) shall be defined and described with regard to the business objectives. In this
process the most important improvement measures from the »Assessment of a Process Model shall
be selected and specified as requirements for process improvement. It may be advantageous and
right to implement prioritized and important measures instead of carrying out all measures.

3 Activities 6-163
Further requirements will result from exploiting the »Experience Base. The lessons learned reports
from all projects realized to date, which will be contained in this database, will include the lessons
learned with regard to the individual process areas of the organization-specific process model. This
information will be used as input for the improvement project.
These requirements will form the basis for the realization and »Piloting Concept. The key of the
success of an improvement project will be that it will be supported without reservation by the mana-
gement. This support shall be documented in proper form for all stakeholders.
3.13.2.2 Preparing Realization and Piloting Concept

Subjects: Process Model Improvement Concept: Piloting Concept, Process Model
Improvement Concept: Realization Concept
Starting with the requirements and objectives, solutions to process improvement and in particular an
approach for their implementation shall be prepared and described in the »Realization Concept.
When preparing the realization concept, an important part will be the description of the method how
an »Organization-Specific Process Model shall be prepared. In this context the following questions
in the realization concept shall be addressed:
● Which processes will be used in the organization-specific approach model?
● What will the interfaces between the processes look like?
● How will the processes depend on each other?
● What will the interfaces of the development processes to the other business processes outsi-
de the process model look like?
● How will the processes be coordinated with each other?
Based on the realization concept, training measures for the staff of the process improvement pro-
jects shall be planned, incorporated into the »Training Plan and carried out.
One or more projects shall be used for the piloting of process improvement. Basis and guideline for
piloting will be the »Piloting Concept that will include the necessary information for the exemplary
implementation approach. The piloting concept will be that version of the realization concept that
was revised for the pilot project. Within the scope of the preparation of the piloting concept, a pilot
project shall be selected and its selection substantiated. Based on the piloting concept, training mea-
sures for the staff of the pilot project shall be planned analogously to the realization concept, incor-
porated into the training plan and carried out.
3.13.3 Preparing, Introducing and Maintaining an Organization-Specific Process Model

Work Product: Organization-Specific Process Model

Purpose
The execution of process improvement will start with the preparation or revision of the contents of
the organization-specific process model. This will ensure that the parts of the organization-specific
process model will have reached a state in which they are operational and tested, respectively ac-
cepted, and that their broad introduction can be carried out organization-wide.
Also part of the process improvement will be the testing of the processes for conformity against re-
quired national, international or organization-specific standards. If necessary, the process descripti-
ons shall be adapted to these standards.
For process improvement the lessons learned reports from the projects shall be analyzed. They will
include lessons that were learned from the process areas already introduced with earlier process im-
provements. These lessons learned will be important clues for the revision of, for example, process
descriptions or document templates (see Figure 27 ).
Activity Flow
Figure 27: Activity Diagram "Preparing, Introducing and Maintaining an Org.-Specific PM"

3 Activities 6-165
3.13.3.1 Preparing Process Descriptions, Standards, Information, and Templates

Subjects: Organization-Specific Process Model: Experience Base, Organization-
Specific Process Model: Organization-specific Directives and
Informations, Organization-Specific Process Model: Process Descriptions,
Organization-Specific Process Model: Training Concept, Organization-
Specific Process Model: Training Documentation
In this subactivity the following elements shall be prepared or - if they already exist - revised and
maintained:
● »Process Descriptions
● »Templates for process descriptions (»Product Templates)
● Training concepts for process training (»Training Concept)
● Documents and information for process training (»Training Documentation)
● »Organization-specific Directives and Informations
● Project execution strategies
● Rules for adapting the organization-specific process model to the project conditions
● Coordination of subprocesses
● »Experience Base.
The rules for the adaptation of the organization-specific process model will permit the project-spe-
cific selection of process elements and project execution strategies.
3.13.3.2 Preparing and Maintaining Metrics Catalog

Subject: Organization-Specific Process Model: Metrics Catalog
When preparing the metrics catalog, the following approach shall be used:
● At first groups of objectives and the objectives that will be relevant to the projects shall be
determined or derived from primary targets.
● To support the pursuit of these objectives, »Metrics shall be defined that make quantitative
and qualitative statements in this context. Metrics will be based on »Measurement Data Ty-
pes that also shall be defined in the metric catalog. Also analysis methods shall be specified
and it shall be determined how to communicate the results.

Defining Measuring Objectives
Measuring objectives shall be adopted or determined from the targets of the specifications, for ex-
ample from the topics »Project Overview, Project Targets and Success Factors, »Measurements and
Analyses - Organization and Directives of the project manuals of individual projects or from the ob-
jectives of the organization. Additional objectives may be determined for example by conducting in-
terviews with the target groups (for example »Project Leaders, quality assurance representatives,
line superiors).
If the objectives are not detailed enough they shall be refined. For the primary objective 'to be the
first on the market' the resulting project objectives will be for example 'meeting the deadlines', 'mi-
nimizing project risks', 'planning and ensuring quality from the start'.
Starting with the measuring objectives, questions shall be derived that can be answered by using
metrics. This will include for example questions such as the state of the project with regard to the
planned deadlines or how much progress has been made in the field of quality assurance.
Defining Metrics and Measuring Data Types
On the basis of the questions, metrics and measuring data types shall be defined, linked to the re-
spective measuring objective and documented in the »Metrics Catalog. For determining metrics,
formulas from the measuring data types shall be used. Values for measuring data types may be nu-
merical data or also elements of selection lists, for example values for the presumable project ex-
penditures: "according to plan"; "exceeds planned values by five percent", "exceeds planned values
by ten percent"; "exceeds planned values by more than ten percent". If metrics are not based on nu-
merical data, they are also called soft metrics. Metrics may also be composed of other metrics.
For each metric it shall be determined how and by whom the measurement data shall be analyzed,
in what form the »Metrics Analysis shall be processed and how and when the result shall be com-
municated. For this purpose it will be stated for example that the metric shall be visualized in form
of a bar chart, a curve or a table, and in what report types it shall be distributed. It must be taken
into account that the metrics analysis may answer the questions connected with the metric.
For every measurement data type, the measurement times, measurement units and the persons in-
volved in the measurement must be defined. To support the acquisition of »Measurement Data , an
appropriate repository structure shall be provided. This may be a distributed structure, because de-
pending on the metric the associated measuring data may be deposited in different tools. In indivi-
dual cases it may also be necessary to provide corresponding tool support.
The metric catalog shall be updated continuously. New metrics that have proven their worth in pro-
jects shall be adopted. Based on lessons learned reports from the projects or due to changed frame-
work conditions, individual metrics shall be revised or, from case to case, deleted.
Example

3 Activities 6-167
Business objective: "To be first on the market"
Primary project objective: "The product is available in time for the XY fair"
Detailed objectives:
● Meeting deadlines,
● Assuring quality.
Questions:
● Is it possible to meet the planned deadlines?
● Have the planned quality assurance measures for documents been taken, how far are they
advanced?
● Is the system to a very large extent free from faults? How many faults are reported in the
system and on how many defects trouble-shooting has been performed?
Metrics from the metrics catalog:
● To what degree the deadlines in the project have been met: The currently planned milestone
deadlines are shown in relation to time in the course of the project, thus visualizing milesto-
nes. In addition it can be seen at what time which milestone was moved.
● Percentage of documents and reviews already covered: The number of inspected documents
is compared to the total of planned documents.
● Fault statistics: The number of faults that have been closed is compared to the number of
faults that are still open at the time of the report. This includes providing all fault signals and
error messages.
3.13.3.3 Performing Piloting

The prepared organization-specific process model shall be translated into the world of actual pro-
jects. Since it may still include faults and shortcomings, it shall be tested in a pilot project. The ex-
emplary implementation of the process improvement provides evidence whether it will be suited for
subsequent broad introduction. The extent of the pilot project should be visible at a glance, and the
selected project should not be particularly critical. Faults and problems that occurred during piloting
shall be eliminated in the process descriptions, and the lessons learned shall be recorded in a lessons
learned report.

The execution of piloting will include the following subtasks:
● Preparing the piloting
● Training the pilot users
● Executing the piloting by supporting the pilot project
● Finishing the piloting
● Feedback/experience gained with the process
● Improving the process description
For piloting suitable operational projects shall be selected on the basis of criteria such as:
● For many pilotings a synchronization with the project start of the operational project is very
useful.
● As far as possible the pilot project will not be a critical project (with regard to the business
case).
● The stakeholders are receptive to process improvements.
● It is possible for the pilot project to cover the process improvements (e. g. no hardware im-
provement for a software project).
● The project is representative of the development projects of the organization.
● Because of process improvements, a particular payoff is expected for the pilot project (for
example elimination of particular problems).
In the kick-off for the pilot project all participating persons shall be familiarized with the forthco-
ming tasks, and the contents of the »Piloting Concept shall be presented.
Based on the piloting concepts, training measures for the staff of the pilot project shall be planned,
incorporated into the »Training Plan and carried out.
3.13.3.4 Performing Roll Out


3 Activities 6-169
The broad introduction of the product improvement may be executed organization-wide if after pi-
loting the process components of the product »Organization-Specific Process Model have reached
an operational, tested and accepted state. Time schedule, resources and approach for the broad intro-
duction were already described in the »Realization Concept.
For the broad introduction different approaches may be used, which will be described in the concept
of realization. The process may be implemented top-down (starting at the highest hierarchical level
of the organization and then going down) or just-in-time (starting for each project when a suitable
time in the life cycle has been reached). The approach that will cover best the improvement possibi-
lities and organizational requirements should be selected.
Broad introduction will include the following steps:
● Communication and embedding in the organization structure
● Kick-off
● Training of staff
● Coaching during the broad introduction
Like piloting, process implementation or broad introductions will start with a kick-off as an import-
ant component. Communication measures will be generally crucial for a successful and lasting pro-
cess improvement. The communication concept was already described in the realization concept.
Based on the realization concept, training measures shall be planned and carrierd out. Necessary
procedureal steps include the selection of personnel to be trained, scheduling, organizing the ne-
cessary resources and training the instructors as required. After the training has been completed, the
lessons learned data base will record the training level of the staff members in order to provide a
survey of their qualification. In addition, assessment sheets of the trainees will be evaluated, impro-
vement possibilities will be determined and the offered training will be revised.
Coaching will be another important factor in the successful implementation of the process improve-
ment into project practice. Coaching will accompany the operational projects in selected phases (for
example project initialization) and during the whole project. It is to support the approach and to pro-
vide assistance in critical situations. The approach will thus be based on the previously prepared and
piloted process description and include support for the application of new procedures, the preparati-
on of documents from templates, the use of tools or the participation in meetings. Coaching may be
performed in several ways, for example as part-time consulting or as full-time work on the operatio-
nal project.
One of the main objectives of coaching (in addition to project support) will be to comprehensively
impart knowledge complementary to the training, so that the extent of coaching can be reduced in
the course of the project, the project staff will be able to use the process techniques independently
and thus a lasting application of the process improvement can be ensured. This will also be done by

the active involvement of project staff in the improvement project, who will be later available as
points of contact for their colleagues and serve as multipliers for the process improvements. Fur-
thermore, this is to encourage the project staff to advance process improvement topics by actively
participating in shaping them.

4 Activity Index (According to Disciplines) 6-171
4 Activity Index (According to Disciplines)
Supply and Contracting..................................................................................................................6-9

Submitting an Offer...............................................................................................................6-9
Concluding a Contract (Supplier).........................................................................................6-9
Concluding a Contract Addendum (Supplier).....................................................................6-10
Preparing and Making a Delivery.......................................................................................6-10
Obtaining the Statement of Acceptance (Supplier).............................................................6-10
Planning and Control....................................................................................................................6-11
Coming to a Project Progress Decision...............................................................................6-11
Preparing the Project Manual..............................................................................................6-12
Preparing and Analyzing an Application Profile..........................................................6-15
Realizing Project-Specific Adaptation.........................................................................6-15
Planning Project Execution..........................................................................................6-16
Coordinating the Project Manual with all Stakeholders..............................................6-17
Preparing and Performing Project Kick-Off................................................................6-17
Performing Project-Specific Adaption during Project Execution................................6-17
Preparing the QA Manual...................................................................................................6-18
Determining Quality Goals and Requirements............................................................6-18
Determining the Scope of Evaluations.........................................................................6-18
Determining Organization and Directives...................................................................6-19
Establishing and Maintaining a Project Management Infrastructure..................................6-19
Performing an Estimation...................................................................................................6-20
Determining Estimation Methodology and Objects.....................................................6-20
Determining Estimations..............................................................................................6-21
Consolidating Estimation Results................................................................................6-21
Managing Risks...................................................................................................................6-21
Identifying Risks and Measures...................................................................................6-21
Monitoring Risks and Measures..................................................................................6-24
Planning Project..................................................................................................................6-24
Planning Project Execution..........................................................................................6-25
Planning Products and Activities of the Decision Gates..............................................6-26
Planning Work Breakdown Structure...........................................................................6-26
Planning Work Packages..............................................................................................6-27
Coordinating Project Plan with Stakeholders..............................................................6-28
Planning Process Evaluations......................................................................................6-29
Assigning a Work Order......................................................................................................6-29
Performing Life Cycle Cost Calculation.............................................................................6-29
Estimating Costs of Planning Stage.............................................................................6-30
Estimating Project Costs..............................................................................................6-30
Establishing Accounts..................................................................................................6-30
Estimating Manufacturing Costs..................................................................................6-31
Estimating Costs of Use...............................................................................................6-31
Planning of the Overall Project Result.........................................................................6-32
Reporting.......................................................................................................................................6-32
Holding a Meeting..............................................................................................................6-32

Keeping a Project Diary......................................................................................................6-33

Collecting Measurement Data.............................................................................................6-34
Calculating and Analyzing Metrics.....................................................................................6-34
Preparing Commercial Project Status Report.....................................................................6-34
Preparing Project Status Report..........................................................................................6-35
Determining Overall Project Progress.........................................................................6-36
Preparing Quality Status Report.........................................................................................6-36
Concluding Project..............................................................................................................6-36
Configuration and Change Management....................................................................................6-37
Managing Product Library..................................................................................................6-43
Establishing CM...........................................................................................................6-44
Establishing and Administering Access Rights............................................................6-45
Initializing and Administering Products......................................................................6-45
Saving and Archiving Products....................................................................................6-45
Preparing CM Evaluations...........................................................................................6-46
Managing Product Configuration........................................................................................6-47
Initializing and Updating Configuration......................................................................6-47
Document Delivery Data.............................................................................................6-48
Preparing Problem Report/Change Request.......................................................................6-37
Assessing Problem Report/Change Request.......................................................................6-37
Analyzing Problem......................................................................................................6-38
Proposing Solutions.....................................................................................................6-38
Making a Recommendation.........................................................................................6-39
Deciding on Changes..........................................................................................................6-39
Maintaining Change Status List..........................................................................................6-41
Recording Change Requests........................................................................................6-42
Evaluating Change Requests........................................................................................6-43
Updating Change Status List........................................................................................6-43
Evaluation......................................................................................................................................6-48
Preparing Evaluation Specification Product Configuration................................................6-48
Evaluating Product Configuration......................................................................................6-49
Preparing Evaluation Specification Document...................................................................6-49
Evaluating Document..........................................................................................................6-49
Preparing Evaluation Specification Process.......................................................................6-50
Evaluating Process..............................................................................................................6-50
Preparing Evaluation Specification Usability.....................................................................6-51
Specifying Evaluation Strategy....................................................................................6-52
Deriving Evaluation Cases...........................................................................................6-53
Allocating Evaluation Cases to Requirements.............................................................6-53
Identifying and Determining Protective Measures......................................................6-54
Determining Evaluation Environment.........................................................................6-54
Evaluating Usability............................................................................................................6-54
Verifying Usability.......................................................................................................6-55
Validating Usability......................................................................................................6-55
Preparing Evaluation Specification System Element..........................................................6-56


Realizing Evaluation Procedure System Element...............................................................6-58
Evaluating System Element................................................................................................6-58
Verifying System Element...........................................................................................6-59
Validating System Element..........................................................................................6-59
Preparing Evaluation Specification Delivery......................................................................6-59
Evaluating Delivery............................................................................................................6-61
Verifying (Partial) Delivery.........................................................................................6-61
Validating (Partial) Delivery........................................................................................6-61
Keeping Qualification Record............................................................................................6-61
Setting up Qualification Record...................................................................................6-61
Obtaining Qualifications..............................................................................................6-62
Acquisition and Contracting........................................................................................................6-62
Determining RFP Concept..................................................................................................6-62
Preparing Request for Proposal...........................................................................................6-63
Peparing Criteria Catalog for Assessment of Offers...........................................................6-64
Assessing and Selecting Offers...........................................................................................6-64
Awarding Contract (Acquirer)............................................................................................6-65
Awarding Contract Addendum (Acquirer)..........................................................................6-65
Issuing Statement of Acceptance (Acquirer)......................................................................6-65
Requirements and Analyses..........................................................................................................6-66
Determining Requirements Overall Project........................................................................6-66
Describing Initial Situation and Objectives.................................................................6-66
Specifying Functional Requirements...........................................................................6-67
Specifying Non-Functional Requirements...................................................................6-67
Preparing Outline of System Life Cycle and Overall System Architecture.................6-67
Determining Risk Acceptance and Safety and Security Levels...................................6-67
Determining Sub-Projects............................................................................................6-67
Analyzing Quality of Requirements............................................................................6-68
Specifying Scope of Delivery and Acceptance Criteria...............................................6-68
Preparing Overall Project Requirements Evaluation..........................................................6-68
Specifying Evaluation Criteria.....................................................................................6-68
Evaluating Requirements.............................................................................................6-70
Integrating Evaluation Results.....................................................................................6-71
Determining Requirements.................................................................................................6-72
Describing Initial Situation and Objectives.................................................................6-73
Specifying Functional Requirements...........................................................................6-74
Specifying Non-Functional Requirements...................................................................6-76
Determining Risk Acceptance......................................................................................6-79
Preparing Outline of System Life Cycle and Overall System Architecture.................6-81
Analyzing Quality of Requirements............................................................................6-82
Specifying Scope of Delivery and Acceptance Criteria...............................................6-84

Preparing Requirements Evaluation....................................................................................6-86

Specifying Evaluation Criteria.....................................................................................6-87
Evaluating Requirements.............................................................................................6-88
Integrating Evaluation Results.....................................................................................6-91
Analyzing User Tasks.........................................................................................................6-92
Preparing User Profiles................................................................................................6-92
Analyzing Physical Operation Environment................................................................6-92
Collecting User Tasks..................................................................................................6-93
Preparing Data Protection Concept.....................................................................................6-94
Preparing Information Security Concept............................................................................6-95
Describing Operational Purpose..................................................................................6-95
Analyzing Protection Requirements............................................................................6-95
Presenting System Architecture...................................................................................6-96
Determining Information Security Requirements........................................................6-96
Determining Information Security Measures...............................................................6-96
Analyzing Risks Remaining.........................................................................................6-96
Executing Emergency Planning...................................................................................6-97
Preparing Standards for Verifying the Effectiveness of the Measures.........................6-97
Performing and Evaluating Safety and Security Analysis..................................................6-97
Identifying Hazards and Classifying Damage.............................................................6-98
Performing System Safety and Security Analysis........................................................6-98
Identifying and Determining Risk Reduction Measures..............................................6-98
Analyzing Legacy System..................................................................................................6-99
Preparing a System and Function Summary................................................................6-99
Specifying Interfaces and Dependencies.....................................................................6-99
Performing Data Analysis..........................................................................................6-100
Performing Market Survey for Off-the-Shelf Products....................................................6-100
Performing Make-or-Buy Decision...................................................................................6-101
Performing Analyses..................................................................................................6-102
Evaluating Off-the-Shelf Products.............................................................................6-102
Evaluating Result.......................................................................................................6-103
System Elements..........................................................................................................................6-103
Integrating into System.....................................................................................................6-103
Integrating into Enabling System......................................................................................6-104
Integrating into Segment...................................................................................................6-104
Taking over External Unit.................................................................................................6-104
Integrating into Hardware Unit.........................................................................................6-105
Integrating into Software Unit..........................................................................................6-105
Integrating into Hardware Component.............................................................................6-105
Integrating into Software Component...............................................................................6-106
Taking over External Hardware Module...........................................................................6-106
Realizing Hardware Module.............................................................................................6-107
Preparing External Software Module Specification..........................................................6-106
Taking over External Software Module............................................................................6-107
Realizing Software Module..............................................................................................6-108
System Specifications..................................................................................................................6-108
Preparing Overall System Specification...........................................................................6-108
Evaluating and Revising Requirements.....................................................................6-111

Analyzing System Life Cycle.....................................................................................6-111

Preparing Overall System Architecture......................................................................6-111
Assigning Requirements.............................................................................................6-111
Defining Scope of Delivery and Acceptance Criteria................................................6-112
Preparing Requirements Trace Overview..................................................................6-112
Preparing System Specification........................................................................................6-112
Identifying Interfaces and Non-Functional Requirements.........................................6-113
Refining Interfaces and Non-Functional Requirements.............................................6-114
Allocating Interfaces and Non-Functional Requirements..........................................6-114
Preparing External Unit Specification...............................................................................6-115
Preparing Hardware Specification....................................................................................6-115
Allocating Interfaces and Non-Functional Requirements..........................................6-116
Preparing Software Specification......................................................................................6-117
Assigning Interfaces and Non-Functional Requirements...........................................6-118
Preparing External Hardware Module Specification........................................................6-117
System Design..............................................................................................................................6-119
Preparing System Architecture..........................................................................................6-119
Identifying Architectural Drivers...............................................................................6-121
Determining Evaluation Criteria................................................................................6-122
Identifying Architectural Views.................................................................................6-122
Preparing Architectural Views...................................................................................6-123
Evaluating Architecture..............................................................................................6-123
Preparing Enabling System Architecture..........................................................................6-123
Identfying Architectural Views..................................................................................6-124
Preparing Style Guide for Man-Machine Interface...........................................................6-124
Determining Design Principles and Alternatives.......................................................6-125
Identifying and Structuring Operation Elements.......................................................6-125
Determining Design Rules.........................................................................................6-126
Preparing Hardware Architecture......................................................................................6-127
Preparing Set of Drawings.........................................................................................6-130
Preparing Software Architecture.......................................................................................6-131


Preparing Database Design...............................................................................................6-133
Deriving Logical Data Model....................................................................................6-133
Designing Database Structure....................................................................................6-134
Preparing System Implementation, Integration and Evaluation Concept.........................6-134
Identifying Realization Procedures and Target Environments...................................6-136
Defining Development Process..................................................................................6-137
Preparing Integration Plan.........................................................................................6-137
Determining Evaluation Strategy...............................................................................6-138
Determining System Elements Critical to Safety and Security.................................6-138
Preparing Enabling System Implementation, Integration and Evaluation Concept..........6-138
Identifying Realization Procedures and Target Environments...................................6-139
Determining System Elements Critical to Safety and Security.................................6-139
Preparing Hardware Implementation, Integration and Evaluation Concept.....................6-140
Identifying Standards for Realization and Target Environments...............................6-141
Specifying Evaluation Strategy..................................................................................6-142
Determining Hardware Elements Critical to Safety and Security and Security........6-142
Preparing Software Implementation, Integration and Evaluation Concept......................6-142
Identifying Realization Targets and Target Environments.........................................6-143
Determining Software Elements Critical to Safety and Security and Security..........6-144
Developing Migration Concept.........................................................................................6-144
Specifying Migration Approach.................................................................................6-145
Defining Data Map.....................................................................................................6-145
Planning Migration....................................................................................................6-146
Logistic Elements........................................................................................................................6-146
Preparing Training Documentation...................................................................................6-147
Preparation of Training..............................................................................................6-147
Acquiring Data for Training Documentation.............................................................6-147
Didactically Adapting Training Documentation........................................................6-148
Compiling and Integrating Training Documentation.................................................6-148
Defining In-Service Documentation.................................................................................6-148
Defining In-Service Documentation..........................................................................6-149
Acquiring Data for In-Service Documentation..........................................................6-149
Editing In-Service Documentation.............................................................................6-149
Compiling and Integrating In-Service Documentation..............................................6-150
Preparing Maintenance Documentation............................................................................6-150
Preparing Repair Documentation......................................................................................6-151

Defining Spare Parts Catalog............................................................................................6-151

Defining Spare Parts Catalogue.................................................................................6-152
Acquiring Data for Spare Parts Catalog.....................................................................6-152
Developing Spare Parts Catalog................................................................................6-152
Compiling and Integrating Spare Parts Catalog.........................................................6-152
Integrating into Logistic Support Documentation............................................................6-153
Logistic Conception.....................................................................................................................6-153
Preparing Logistic Support Specification.........................................................................6-153
Analyzing Initial Situation and Logistic Requirements.............................................6-154
Refining and Allocating Logistic Requirements........................................................6-154
Preparing Requirements Tracing Survey...................................................................6-155
Preparing Logistic Support Concept.................................................................................6-155
Defining Directives and General Conditions.............................................................6-155
Analyzing System Architecture.................................................................................6-155
Developing, Evaluating and Selecting Alternatives...................................................6-156
Preparing Logistic Support Concept..........................................................................6-156
Describing Interaction of Logistic Resources............................................................6-156
Establishing Logistic Supportability and Transfer to In-Service Use........................6-157
Preparing Disposal.....................................................................................................6-157
Performing Logistic Calculations and Analyses...............................................................6-158
Planning Calculations and Analyses..........................................................................6-158
Acquiring Data for Calculations and Analyses..........................................................6-158
Performing Calculations and Analyses......................................................................6-159
Preparing Report on Project Results..........................................................................6-159
Process Improvement..................................................................................................................6-159
Performing a Process Model Assessment.........................................................................6-159
Preparing and Organizing Assessment.......................................................................6-161
Collecting and Analyzing Assessment Data...............................................................6-161
Assessing Processes and Specifying Improvement Measures...................................6-162
Preparing Final Report and Presentation...................................................................6-162
Specifying Process Improvement......................................................................................6-162
Determining Objectives, Management Support and Requirements...........................6-162
Preparing Realization and Piloting Concept..............................................................6-163
Preparing, Introducing and Maintaining an Organization-Specific Process Model.........6-163
Preparing Process Descriptions, Standards, Information, and Templates..................6-165
Preparing and Maintaining Metrics Catalog..............................................................6-165
Performing Piloting....................................................................................................6-167
Performing Roll Out...................................................................................................6-168

5 Activity Index (alphabetically)
Performing a Process Model Assessment..................................................................................6-159

Preparing Logistic Support Specification.................................................................................6-153
Preparing Problem Report/Change Request..............................................................................6-37
Preparing Training Documentation...........................................................................................6-147
Preparing Overall System Specification...................................................................................6-108
Preparing System Architecture..................................................................................................6-119
Integrating into System...............................................................................................................6-103
Determining RFP Concept...........................................................................................................6-62
Submitting an Offer........................................................................................................................6-9
Specifying Process Improvement...............................................................................................6-162
Preparing Logistic Support Concept.........................................................................................6-155
Assessing Problem Report/Change Request...............................................................................6-37
Defining In-Service Documentation..........................................................................................6-148
Preparing System Specification..................................................................................................6-112
Preparing Enabling System Architecture.................................................................................6-123
Integrating into Enabling System..............................................................................................6-104
Preparing Request for Proposal...................................................................................................6-63
Concluding a Contract (Supplier).................................................................................................6-9
Preparing Style Guide for Man-Machine Interface.................................................................6-124
Preparing, Introducing and Maintaining an Organization-Specific Process Model............6-163
Preparing Evaluation Specification Product Configuration.....................................................6-48
Preparing Maintenance Documentation...................................................................................6-150
Performing Logistic Calculations and Analyses.......................................................................6-158
Deciding on Changes.....................................................................................................................6-39
Preparing External Unit Specification......................................................................................6-115
Integrating into Segment............................................................................................................6-104
Peparing Criteria Catalog for Assessment of Offers..................................................................6-64
Concluding a Contract Addendum (Supplier)...........................................................................6-10
Preparing Hardware Architecture.............................................................................................6-127
Preparing Hardware Specification............................................................................................6-115
Evaluating Product Configuration..............................................................................................6-49
Preparing and Making a Delivery...............................................................................................6-10
Preparing Repair Documentation..............................................................................................6-151
Maintaining Change Status List..................................................................................................6-41
Taking over External Unit..........................................................................................................6-104
Assessing and Selecting Offers.....................................................................................................6-64
Preparing External Hardware Module Specification..............................................................6-117
Integrating into Hardware Unit.................................................................................................6-105
Defining Spare Parts Catalog.....................................................................................................6-151
Preparing Software Architecture...............................................................................................6-131
Awarding Contract (Acquirer).....................................................................................................6-65
Obtaining the Statement of Acceptance (Supplier)....................................................................6-10
Preparing Database Design........................................................................................................6-133
Preparing Software Specification...............................................................................................6-117

5 Activity Index (alphabetically) 6-179
Integrating into Software Unit...................................................................................................6-105

Integrating into Logistic Support Documentation...................................................................6-153
Awarding Contract Addendum (Acquirer).................................................................................6-65
Integrating into Hardware Component....................................................................................6-105
Preparing External Software Module Specification................................................................6-106
Preparing System Implementation, Integration and Evaluation Concept............................6-134
Integrating into Software Component.......................................................................................6-106
Preparing Enabling System Implementation, Integration and Evaluation Concept............6-138
Taking over External Hardware Module..................................................................................6-106
Preparing Hardware Implementation, Integration and Evaluation Concept.......................6-140
Issuing Statement of Acceptance (Acquirer)..............................................................................6-65
Realizing Hardware Module......................................................................................................6-107
Managing Product Library..........................................................................................................6-43
Holding a Meeting.........................................................................................................................6-32
Coming to a Project Progress Decision........................................................................................6-11
Preparing Evaluation Specification Document..........................................................................6-49
Preparing Software Implementation, Integration and Evaluation Concept.........................6-142
Evaluating Document....................................................................................................................6-49
Taking over External Software Module....................................................................................6-107
Developing Migration Concept..................................................................................................6-144
Realizing Software Module........................................................................................................6-108
Determining Requirements Overall Project...............................................................................6-66
Preparing Overall Project Requirements Evaluation................................................................6-68
Determining Requirements..........................................................................................................6-72
Managing Product Configuration................................................................................................6-47
Preparing the Project Manual......................................................................................................6-12
Keeping a Project Diary...............................................................................................................6-33
Preparing Evaluation Specification Process...............................................................................6-50
Evaluating Process........................................................................................................................6-50
Preparing Requirements Evaluation...........................................................................................6-86
Preparing Evaluation Specification Usability.............................................................................6-51
Collecting Measurement Data......................................................................................................6-34
Preparing the QA Manual............................................................................................................6-18
Evaluating Usability......................................................................................................................6-54
Analyzing User Tasks....................................................................................................................6-92
Calculating and Analyzing Metrics.............................................................................................6-34
Establishing and Maintaining a Project Management Infrastructure.....................................6-19
Preparing Evaluation Specification System Element................................................................6-56
Realizing Evaluation Procedure System Element......................................................................6-58
Evaluating System Element..........................................................................................................6-58
Preparing Data Protection Concept............................................................................................6-94
Preparing Information Security Concept...................................................................................6-95
Preparing Evaluation Specification Delivery.............................................................................6-59
Performing an Estimation............................................................................................................6-20
Performing and Evaluating Safety and Security Analysis........................................................6-97
Evaluating Delivery.......................................................................................................................6-61
Preparing Commercial Project Status Report...........................................................................6-34
Managing Risks.............................................................................................................................6-21

Keeping Qualification Record......................................................................................................6-61

Analyzing Legacy System.............................................................................................................6-99
Performing Market Survey for Off-the-Shelf Products..........................................................6-100
Planning Project............................................................................................................................6-24
Preparing Project Status Report..................................................................................................6-35
Assigning a Work Order...............................................................................................................6-29
Preparing Quality Status Report.................................................................................................6-36
Performing Make-or-Buy Decision............................................................................................6-101
Performing Life Cycle Cost Calculation.....................................................................................6-29
Concluding Project........................................................................................................................6-36

6 List of Figures
Figure 1: Representation of Activity Diagrams ...............................................................................6-5

Figure 2: Project Disciplines ............................................................................................................6-6
Figure 3: Development Disciplines ..................................................................................................6-7
Figure 4: Organization Discipline ....................................................................................................6-8
Figure 5: Activity Diagram "Coming to a Project Progress Decision" ..........................................6-12
Figure 6: Activity Diagram "Preparing the Project Manual" .........................................................6-14
Figure 7: Improvement Measures "Planning a Project" .................................................................6-25
Figure 8: Activity Diagram "Holding a Meeting" ..........................................................................6-33
Figure 9: Activity Diagram "Deciding on Changes" ......................................................................6-41
Figure 10: Activity Diagram "Maintaining a Change Status List" .................................................6-42
Figure 11: Activity Diagram "Managing the Product Library" ......................................................6-44
Figure 12: Decision Gates and Product Configurations .................................................................6-47
Figure 13: Activity Diagram "Preparing Evaluation Specification System Element" ...................6-57
Figure 14: Activity "Determining Requriements" ..........................................................................6-73
Figure 15: Example of Possible Damage Categories, Damage Classes, Safety and Security Levels
....................................................................................................................................................6-80
Figure 16: Examples of risk classes................................................................................................6-81
Figure 17: Example of a risk acceptance matirx.............................................................................6-81
Figure 18: Activity Diagram "Preparing Requirements Evaluation" .............................................6-87
Figure 19: System Architecture Hierarchy ...................................................................................6-103
Figure 20: Activity Diagram "Preparing Overall System Specification " ....................................6-110
Figure 21: Activity Diagram "Preparing System Specification" ..................................................6-113
Figure 22: Activity Diagram "Preparing System Architecture" ...................................................6-121
Figure 23: Activity Diagram "Preparing the Hardware Architecture" .........................................6-128
Figure 24: Activity Diagram "Preparing System Implementation, Integration and Evaluation
Concept" ..................................................................................................................................6-136
Figure 25: Logistic Support Hierarchy ........................................................................................6-146
Figure 26: Activity Diagram "Performing a Process Model Assessment" ...................................6-160
Figure 27: Activity Diagram "Preparing, Introducing and Maintaining an Org.-Specific PM" . .6-164

Part 7: V-Modell Reference Mapping to
Standards
V-Modell® XT


Part 7: V-Modell Reference Mapping to Standards 7-3
Table of Contents
1 Introduction..................................................................................................................................7-4
1.1 Objectives...............................................................................................................................7-4
1.2 Audience.................................................................................................................................7-4
2 Mapping to other Standards.......................................................................................................7-5
2.1 Mapping to AQAP-150...........................................................................................................7-5
2.2 Mapping to CMMI®.............................................................................................................7-11
2.3 Mapping to ISO 15288.........................................................................................................7-26
2.4 Mapping to ISO 9001:2000..................................................................................................7-35
2.5 Mapping to V-Modell 97......................................................................................................7-43
3 List of Figures.............................................................................................................................7-54

7-4 Part 7: V-Modell Reference Mapping to Standards
1 Introduction
1.1 Objectives
The system development project environment requires increasingly the use of national or internatio-
nal conventions (norms, de-facto standards, regulations). The conventions that have to be used may
be specified and/or it may be possible to select them. It is essential, however, that the conventions
used are compatible with each other and do not contradict each other. For this purpose it is necessa-
ry to know and understand the objectives of the conventions and their mutual connections.
The »V-Modell Reference Mapping to Standards therefore deals with a number of conventions
whose most important contents are related to elements of the V-Modell. Thus it indicates to what
extent the V-Modell covers these conventions or to what extent it is compatible with them.
1.2 Audience
This V-Modell Reference addresses in particular all people who are already familiar with another
standard and either want to classify this standard in relation with the V-Modell or seek a quick lead-
in from this standard to the V-Modell. Beyond that this V-Modell Reference also provides clues for
an approach for retraining persons, who are familiar with one of the described conventions, to the
V-Modell.

This V-Modell Reference takes a look at the following conventions:
● AQAP 150 (Allied Quality Assurance Publication, NATO Quality Assurance Requirements
for Software Development)
● CMMI® (Capability Maturity Model Integration)
● ISO 15288 (Life Cycle Management - System Life Cycle Processes)
● »ISO 9001:2000 (Quality Management Systems - Requirements)
● V-Modell 97 (Development Standard for German Federal IT Systems, Process Model as of
June 1997)
In each of these »Mapping to Standards at first a brief presentation is given of the contents and the
objective of the standard considered. The further breakdown is then made depending on the struc-
ture of the standard discussed. There is a short introduction to each group of topics of the standard.
In the actual representation of the standard the topics of the standard to be represented are listed on
the left side and opposite to them on the right side those elements of the V-Modell that cover or ful-
fill these topics.

2 Mapping to other Standards 7-5
2 Mapping to other Standards
2.1 Mapping to AQAP-150

The NATO standard AQAP-150 (Allied Quality A ssurance Publication) was published in March
1993. In September 1997 the second edition was presented. In this comparison with the V-Modell
the German version of this second edition was used.
For NATO (North Atlantic Treaty O rganization) software projects, regulations require the AQAP
standards. In addition to AQAP-150 there is also the standard AQAP-2110, whose structure is iden-
tical with that of ISO 9001and which fully integrates the latter and supplements it with additional
NATO requirements. AQAP-2110 thus defines in accordance with ISO 9001 requirements concer-
ning the definition and implementation of a quality management system at the organizational level.
AQAP-150 establishes requirements for the planning, execution and control of software projects
and supplements AQAP-2110 with the project-specific point of view. AQAP-150 requires the deve-
lopment of a software quality system and project-specific software quality management activities.
The task of AQAP-150 is to make sure that high quality software is developed by establishing re-
quirements for the development process. In this context quality requirements relate not only to the
softwar to be developed itself, but also to software required within the framework of the develop-
ment process and to off-the-shelf products that are integrated into the software.
This objective corresponds exactly to that of the V-Modell. The latter, however, is not limited to
software development, but considers systems in general. The V-Modell covers the requirements
established in AQAP-150. Since the V-Modell is a generic process model, however, when adapting
the V-Modell to a specific project, it has to be taken into consideration that some specific require-
ments of the AQAP-150 are considered and documented in the project manual. Further details are
described in the individual subsections of this »Mapping to Standards.
2.1.1 Software Quality System (SQS)

AQAP-150 requires that the supplier uses in his project a documented, operational and effective
software quality system. This project-specific quality system, which may be part of an organization-
wide quality management system, has to be reviewed regularly and systematically in order to gua-
rantee its effectiveness. The project-specific software quality system must include a complete quali-
ty management process that must used during the entire duration of the contract. It is to contribute
to an early identification and elimination of negative influences on the quality of the results.
Quality assurance is one of the main tasks of fhe V-Modell. The requirements for a software quality
system and the regular review of its effectiveness established by AQAP-150 are fully met by the V-
Modell.
Element of the standard Is fulfilled by
Software Quality System Process module: Introduction and Maintenance of an

(SQS) Organization-Specific Process Model,
Subject: Project-Specific V-Modell

2.1.2 Project-related Software Quality Management Activities

AQAP-150 requires from the supplier the planning and execution of effective software quality ma-
nagement activities. Those include both management-related and technical processes for the deve-
lopment of quality software. Starting with the contractual requirements, these processes have to en-
sure that the requirements can be traced down to software units and the elements of the configurati-
on management system. They also have to guarantee that software quality is both verified and vali-
dated and that risk management is carried out. In this process the activities of the software quality
system have to be based on standards and procedures in the organization-wide software quality sys-
tem.
In addition to these general requirements, there are further requirements concerning the following
points:
Software Project Quality Plan (SPQP)
AQAP-150 includes the following requirement: "The supplier shall document the software quality
management activities as related to the project in a SPQP. The SPQP may be a discrete document or
part of another plan that is prepared under the »Contract. The SPQP shall carry the signature of ap-
proval of those organizational elements having responsibilities identified in the SPQP, and be placed
under configuration control. If stipulated in the contract, the SPQP shall be offered to the purchaser
for agreement. Once agreed by the purchaser, the SPQP shall form part of the contract."
Identification and Review of Software Requirements
According to the AQAP, the supplier shall identify and review the software requirements and deve-
lopment constraints, have them approved by the responsible authorities and manage them in the
configuration management system. If they are developed by the supplier as part of a system con-
tract, they shall be offered to the purchaser, who may disapprove them, subject to the conditions of
the contract.
In the V-Modell the acquirer is responsible for preparing the »Requirements Specification for the
system to be developed. These requirements are part of the contract (»Contract (Acquirer)). From
this the supplier derives the »Overall System Specification and subsequently refines the require-
ments step by step. If the system includes software units, a »Software Specification is prepared for
them within the framework of the step-by-step refinement. The acquirer may determine in the con-
tract that he is offered the software requirements and that he may disapprove them.
The quality of all requirements is assured by the regulations in the V-Modell.
Management
This part of the AQAP-150 deals with the management of the software project. It combines require-
ments related to the following topics:
● Software development process
● Organization
● Non-conforming Software
● Corrective Action
● Subcontractor Management

● Software Configuration Management (SCM)

● Off-the-Shelf Software
● Non-deliverable Software
● Quality Records
● Documentation Retention
● Handling and Storage of Software Media
● Replication and Delivery
Software Engineering
For software development and maintenance activities AQAP-150 requires the use of recognized me-
thods, procedures and validated tools
Evaluation, Verification and Validation (EVV)
The supplier has to plan, define and implement a process for the evaluation of software methods,
techniques, tools, procedures and activities, a process for the evaluation of software items and pro-
ducts and a process for the provision of follow-up action to ensure that necessary changes are made
and for subsequent reverification. This EVV process has to be an integral part of the development
process and define the roles, objects, implementation criteria, methods and tools and the documen-
tation to be produced.
Maintenance
If required, the supplier has to plan and implement an approach for planning and carrying out main-
tenance.
These requirements are met by the V-Modell. When preparing the »Project Manual, however, care
must be taken that all objects that have to be subjected to configuration management under
AQAP-150 actually are subject to configuration management. Examples of this are the »Project
Manual, the »Project Plan and specifications and elements of the »Enabling System. In addition, the
»Metrics required in AQAP-150, such as fault statistics and testing efficiency, have to be defined in
the »Project Manual. The contractually defined requirements of AQAP-150 have to be met also by
the »Sub-Suppliers. This has to be specified therefore accordingly in the topics »Directives for the
Project Manual of the Supplier and »Directives for the QA Manual of the Supplier. The V-Modell
contains recommendations for methods and tool classes. The selection and evaluation of particular
methods/tools, however, has to be made with regard to the specific project or the organization. For
the topic »Evaluation of Off-the-Shelf Products the requirements of AQAP-150 have to be taken
into account for example with regard to documentation and the rights concerning data protection.

General Process module: Project Management,

Process module: Quality Assurance,
Process module: Introduction and Maintenance of an
Organization-Specific Process Model,
Discipline: Evaluation,
Product: Risk List,
Product: Project Manual,
Subject: Requirements Tracing to Requirements Specification
Software Project Quality Plan Process module: Problem and Change Management,
(SPQP) Product: Project Manual,
Product: QA Manual,
Product: Project Plan,
Product: Contract,
Subject: Configuration Management - Organization and Directives
Identifying and Checking Process module: Specification of Requirements,

Software Requirements Discipline: Requirements and Analyses,
Software Development Chapter: Decision Gates,

Process Product: Project Manual,
Product: Organization-Specific Process Model,
Product: Project Management Infrastructure,
Product: QA Manual,
Subject: Experience Base
Organization Chapter: Roles,

Role: QA Manager,
Role: Inspector
Nonconforming Software Section: Quality Assurance and Product State Model,

Product: Project Status Report (Supplier),
Product: Delivery
Corrective Action Process module: Measurement and Analysis,

Process module: Problem and Change Management,
Discipline: Reporting,
Discipline: Evaluation

Subcontractor Management Process module: Delivery and Acceptance (Acquirer),

Product: Risk List
Software Configuration Process module: Configuration Management,

Management (SCM) Product: Project Management Infrastructure
Off-the-Shelf Software Process module: Evaluation of Off-the-Shelf Products,

Product: Project Status Report,
Software that is not to be Discipline: Evaluation,

Delivered Product: Enabling System,
Quality Recording Process module: Measurement and Analysis,

Storing the Documentation Process module: Configuration Management
Handling and Storing Data Process module: Configuration Management,

Carriers Product: Project Management Infrastructure
Replicating and Delivering Process module: Configuration Management,

Product: Statement of Acceptance,
Aktivity: Preparing and Making a Delivery
Software Technology Chapter: Method References,

Chapter: Tool References,
Discipline: Requirements and Analyses,

Evaluation, Verification and Chapter: Method References,

Validation (EVV) Chapter: Tool References,
Section: Quality Assurance and Product State Model,
Process module: Measurement and Analysis,
Product: QA Manual,
Product: Enabling System,
Product: In-Service Documentation,
Product: System Implementation, Integration and Evaluation
Concept,
Role: Quality Manager
Servicing and Maintaining Process module: Integrated Logistic Support,

Process module: Configuration Management,
Projekt type variant: Project (Acquirer) Including System
Maintenance
2.1.3 Capabilites and Training of Personnel

To ensure that all participants in the project have the knowledge required for their tasks, training
courses have to be conducted.
This requirement is fully implemented by the V-Modell.
Capabilities and Training of Product: Project Plan,

Personnel Subject: Experience Base,
Subject: Training Plan
2.1.4 Access and Participation of the Acquirer

The supplier has to support the acquirer in every way in the evaluation of the software quality sys-
tem and the verification and validation of the products. "The purchaser shall be afforded unrestric-
ted opportunity to verify conformance of the supplies with contractual requirements. The support
tools necessary for evaluation, verification and validation purposes shall be made available for rea-
sonable use by the purchaser." These activities of the acquirer do not represent an acceptance in the
legal sense and do not exonerate the supplier from his evaluation, verification and validation activi-
ties.

In the V-Modell the cooperation of the acquirer in the preparation and review of the contractually
agreed performances may be stipulated in the »Contract. In the topic »Cooperation and Provisions
of the Acquirer in the project manual the requirements from the AQAP-150 have to be agreed accor-
dingly.
Access and Participation of Discipline: Evaluation,

the Acquirer Product: Enabling System,
Product: Contract,
Subject: Cooperation and Provisions of the Acquirer,
Subject: Directives for the Project Manual of the Supplier,
Subject: Directives for the QA Manual of the Supplier
2.2 Mapping to CMMI®

Version 1.1 of the Capability Maturity Model Integration® (in the following called briefly
CMMI®) was developed by the Software Engineering Institute of the Carnegie Mellon University,
Pittsburgh, PA, to be able to carry out interdisciplinary developments, in particular software and
system development projects faster and better and to obtain at the same time high quality products.
In this process models for software development, system development, integrated product and pro-
cess development and procurement from suppliers, which previously existed separately, were inte-
grated in a combined model. The history of the original models lead to two layouts with different
structures, the stepped layout and the continuous layout. In this »Mapping to Standards only the
stepped variant is considered, because it determines the degree of maturity of an organization over
all process areas and thus corresponds more closely to the view of the V-Modell. The main structu-
ral element of the stepped layout are the process area that are assigned to the maturity levels 2 to 5.
In each process area one or more "Specific Goals" exist that have to be achieved in order to comply
with the process area. This is done by mastering the "Specific Practices" assigned to the Specific
Goals. Beyond that there are also "Generic Goals", one for the maturity level 2 and one for the ma-
turity levels 3 to 5. The "Generic Practices" of those goals have to be complied with for each pro-
cess area depending on the desired degree of maturity. In principle the essential thing is that for
achieving a certain maturity level it is required to achieve the specific and generic goals of all pro-
cess areas assigned to this and to the lower maturity levels.
At the maturity level 1 the processes mostly do not exist, are "chaotic" or ad hoc. This means that
although processes may exist, neither a project-specific nor a company-wide use of these processes
is possible. Thus the success of a company depends on the competence or the "heroism" of indivi-
dual persons. Organizations of the maturity level 1 therefore frequently exceed the budget and sche-
dule of their projects. Successes due to good products are possible, but frequently they cannot be re-
peated.
In organizations of maturity level 2 the project staff is tasked with the management of requirements
and the planning, control, administration and review of processes. The process areas considered at
maturity level 2 guarantee that existing procedures are used also during times of stress. At defined
points the management is able to reconstruct the progress made in the projects. The operating re-
sults are reviewed and monitored and they meet the specified requirements, standards and objecti-
ves.

A company of maturity level 3 has a standard process defined across the organization which is con-
tinuously improved and adapted by the project staff by »Tailoring. In addition ot process descripti-
ons this standard process includes also tools, a lessons learned database and an organization-wide
collection of »Metrics that can be used by the individual projects. The standard process is introdu-
ced across the organization and imparted to all employees by way of follow-on training. During uti-
lization it is important to recognize and document the potential for improvement of the processes in
the projects and to incorporate it by taking appropriate measures.
An organization of maturity level 4 is required to greatly strengthen the field of measurement and
analysis with one focus being the development and maintenance of an organization-wide metric da-
tabase. It is necessary to collect information that can be analyzed not only qualitatively, but also sta-
tistically and quantitatively. For this purpose the performance of important subprocesses that signi-
ficantly contribute to process performance is measured. Based on the knowledge gained from this
information, the processes are improved. In the projects both the processes and the objectives are
derived from those of the organization and placed under statistical/quantitative control.
Maturity level 5 organizations continually improve their process performance. Starting with the ob-
jectives of the organization and the numbers the processes provide predictable results so that the
company can react quickly to chances and changes. Another aspect of the process area is the conti-
nuous fault analysis. It is used to identify faults that are caused by regular variations of the proces-
ses. On the basis of the results, the causes of the faults have to be determined and eliminated.
Both CMMI® and the V-Modell have the objective to standardize and thus facilitate the interdisci-
plinary development of systems consisting of software, hardware and externally produced items.
The introduction of processes that are standardized across the company improves the development
results.
However, the two models use a different approach. The CMMI® process model includes a large
number of requirements for processes of an organization that are used to evaluate the processes and
to make suggestions for improvement on the basis of the results. By comparison the V-Modell re-
presents a standard process, which can be adapted to the specific project by tailoring. It is also pos-
sible to introduce a standard process on the basis of the V-Modell across the organization. The V-
Modell offers finished »Templates for documents and includes suggestions for the methods and
tools to be used. By comparison the CMMI® process model provides abstracted Best Practices.
Since CMMI® poses requirements on the processes of an organization, the following considerations
are based on the assumption that the organization has introduced an organization-wide standard pro-
cess based on the V-Modell, communicated the resulting expectations of the management and infor-
med all roles about the benefits of the processses. Statements on the fulfilment or non-fulfilment of
CMMI® requirements always refer to this standard process. As seen from the perspective of
CMMI®, the definition of this standard process and the project-specfic tailoring must ensure that all
modules necessary for fulfilling the CMMI® requirements are taken into account. Thus, CMMI®
does not regard - for example - the module Measurement and Analysis as mandatory.
Since the V-Modell is based on a complex model with dependencies between the elements, some re-
quirements of the CMMI® are not dirctly covered in the V-Modell by individual products or activi-
ties, but by products/activities with multiple applications, automatisms of the model or general re-
gulations mostly described in the introductory chapters, such as:
● Stakeholder Involvement and Commitment is mainly covered by the role model. On top of
that, on some points, for example in the project plan, the consent of all stakeholders is expli-
citly obtained and documented.

● The review, for example of CM activities, is carried out within the framework of the generic
activity »Evaluating Process.
● Methods have to be developed when the V-Modell is introduced into the organization or
when the project starts. This is supported by the V-Modell with a method pool.
● There is a product state model (see »Quality Assurance and Product State Model ) which
guarantees that after the implementation of changes all products directly affected by the
change and also all products depending on those products are again subjected to a test.
Another basic difference is that the V-Modell XT makes a distinction between acquirer and supplier
projects. The activities of the process area "Requirements Management" are therefore for example
distributed among two different projects.
In the CMMI® representation only the process areas of the maturity levels 2 and 3 are examined,
because the V-Modell does not cover the maturity levels 4 and 5. The V-Modell achieves the Gene-
ric Objectives for all process areas that are relevant in the V-Modell. Therefore, contrary to the usu-
al description, they are removed from the process areas and treated like separate process areas.
2.2.1 Requirements Management

The process area "Requirements Management" deals with the management of all requirements. In
this process also inconsistencies between all kinds of requirements, plans and results should be
identified. Over the entire duration of the project, but in particular at the start, it is important that all
participants have a common understanding of the requirements that all commit themselves bindin-
gly to these »Determining Requirements. In the further course of the project changes have to be ma-
naged and the bidirectional traceability of changes has to be ensure across all levels. This makes it
also possible to identify differences between plans, operating results and requirements in time and
to initiate appropriate countermeasures.
Since in contrast to CMMI® the V-Modell separates strictly between acquirer and supplier projects,
the activities of this process area are distributed among two projects. In the V-Modell the acquirer is
responsible for the »Requirements Specification that are part of the contract. From these require-
ments the supplier derives the technical view, possibly adds further requirements of his own organi-
zation and documents these requirements in the »Overall System Specification.
In the V-Modell only a unidirectional tracing of the requirements is implemented. Thus only the
greater part of the process area is covered.
Manage Requirements Section: Quality Assurance and Product State Model,

Discipline: System Specifications,
Discipline: Planning and Control,
Product: Requirements Specification,
Product: Problem Report / Change Request,
Product: Contract Addendum,
Product: Evaluation Report Document,
Product: Contract,
Product: Requirements Specification Overall Project,
Subject: Evaluation Plan Documents

2.2.2 Project Planning

The task of project planning is to establish »Estimations and plans, to update those plans and to ob-
tain commitment to those plans from all participants. On the basis of the requirements, the scope,
the expenditures and the costs are estimated and a suitable life cycle model is selected. In addition
to the budget and the risks, the project plan also includes the scheduling and plans for resources,
training courses, data management and the cooperation of all participants. Before the commitment
to the project plan can be obtained from all participants, the plan has to be reviewed by all partici-
pants, and the required resources have to be coordinated. The project plan forms the basis for the
execution and control of the project.
These requirements are covered by the V-Modell.
Establish Estimates Chapter: Project Type Variants,

Product: Estimation,
Product: Life Cycle Cost Calculation,
Aktivity: Assigning a Work Order
Develop a Project Plan Chapter: Decision Gates,

Chapter: Roles,
Product: Life Cycle Cost Calculation,
Product: Project Management Infrastructure,
Subject: Identified Risks
Obtain Commitment to the Product: Project Plan,

Plan Activity step: Coordinating Project Plan with Stakeholders
2.2.3 Project Monitoring and Control

The process area "Project Monitoring and Control" monitors and controls the execution of a project.
In this process deviations from the planning are identified. In addition to project planning parame-
ters, also risks, data management and the integration of all participants are monitored. Periodically
and when milestones are reached the progress and the results of the project are reviewed. If necessa-
ry, control and corrective measures have to be initiated and monitored.
The process area "Project Monitoring and Control" is completely covered by the V-Modell.

Monitor Project Against Plan Chapter: Decision Gates,

Product: Risk List,
Product: Project Progress Decision
Manage Corrective Actions to Product: Project Status Report

Closure
2.2.4 Supplier Agreement Management

Supplier agreement management deals with the selection and integration of externally procured pro-
ducts. This may be off-the-shelf products, complete developments by »Sub-Suppliers or mixed
forms. In this process area not only the well-founded selection of the right product and suitable sup-
pliers, but also the planning and integration of the delivered product into the overall product and the
continuing and good cooperation with the supplier down to the acceptance of the product is import-
ant.
Supplier Agreement Management is completely covered by the V-Modell.
Establish Supplier Agreements Product: Make-or-Buy Decision,

Product: Offer (Supplier),
Product: Criteria Catalog for Assessment of Offers,
Product: Offer Assessment,
Product: Contract
Satisfy Supplier Agreements Product: Market Survey for Off-the-Shelf Products,

Product: Make-or-Buy Decision,
Product: Contract Addendum,
Product: Evaluation Specification Delivery,
Product: Evaluation Report Delivery,
Product: External Unit,
Product: External Hardware Module,
Product: External Software Module,
Subject: Cooperation and Provisions of the Acquirer
2.2.5 Measurement and Analysis

The process area "Measurement and Analysis" serves for the collection and processing of numeri-
cally measurable project information required by the management or by the persons in charge of the
project for decision-making. This involves defining appropriate »Metric es after the selection of the

measurement targets. For the collection, storage and analysis of the »Measurement Data that belong
to the metrices suitable procedures have to be developed. In the course of the project those procedu-
res are used, and a graphic description of the measurement results is provided.
The process area "Measurement and Analysis" is completely covered by the V-Modell.
Align Measurement and Product: Project Management Infrastructure,

Analysis Activities Subject: Measurements and Analyses - Organization and
Directives,
Subject: Metrics Catalog,
Provide Measurement Results Product: Measurement Data,

Product: Metrics Analysis
2.2.6 Process and Product Quality Assurance

The process area "Process and Product Quality Assurance" deals with the review of processes and
work results in order to provide the staff and the management with an objective insight in processes
and associated work results. For this purpose processes and work results have to be evaluated
against the associated process descriptions, standards and approaches. Deviations from the specifi-
cations that are identified in this process are documented, communicated to the stakeholders, cor-
rected and solved.
Process and Product Quality Assurance is covered completely by the V-Modell.
Objectively Evaluate Discipline: Evaluation,

Processes and Work Products Product: Quality Status Report,
Product: QA Manual,
Product: Qualification Record
Provide Objective Insight Product: Qualification Record,

Product: Quality Status Report,
Product: Final Project Report,
Product: Project Diary
2.2.7 Configuration Management

The objective of configuration management is to achieve and maintain the integrity of work results.
As a preliminary step those work results are selected that are to be subject to configuration manage-
ment, and a configuration and change management procedure is introduced. »Product Configurati-
ons are defined on which a further buildup is possible and on which it is possible to fall back upon

any time. Changes made to all work results that are subject to configuration management are always
tracked and regularly reviewed. The integrity of product configurations is guaranteed by way of re-
gular reviews.
Configuration Management is covered completely by the V-Modell, with the limitation that the
"Configuration Audit" method is proposed, but not mandatory. In order to achieve CMMI® confor-
mity in this point, the execution of "Configuration Audits" must be determined at the beginning of a
project.
Establish Baselines Section: Quality Assurance and Product State Model,

Product: Product Library,
Product: Product Configuration,
Track and Control Changes Process module: Problem and Change Management,
Product: Change Status List,
Product: Product Configuration
Establish Integrity Section: Quality Assurance and Product State Model,

Aktivity: Evaluating Process,
Aktivity: Evaluating Document,
Activity step: Preparing CM Evaluations
2.2.8 Requirements Development

The process area "Requirements Development" deals with the proactive identification and analysis
of requirements. Requirements, expectations, framework conditions and interfaces of the acquirer
are analyzed until they are completely understood. The information obtained in this process is trans-
lated into acquirer requirements and documented. Now the technical requirements are derived from
the acquirer requirements and assigned to the product components. In the next step the interface re-
quirements between the different product components are determined.
All requirements, both the acquirer requirements and the technical requirements, are analyzed. For
this purpose operating concepts and scenarios are prepared and on this basis the desired functionali-
ty of the product is determined and the necessity and completeness of the requirements is reviewed.
Subsequently the requirements and framework conditions of all persons affected have to be harmo-
nized, and a comprehensive validation has to be carried out so that the requirements lead to an end
product that works as desired in the environment in which it is used.
The process area "Requirements Development" is covered by the V-Modell.

Develop Customer Product: Requirements Specification,

Requirements Product: Overall System Specification,
Product: Requirements Specification Overall Project
Develop Product Discipline: System Specifications,

Requirements Product: Hardware Architecture,
Product: Software Architecture,
Product: System Architecture,
Product: Enabling System Architecture
Analyze and Validate Product: Requirements Specification,

Requirements Product: System Specification,
Product: Requirements Evaluation,
Product: Requirements Specification Overall Project,
Subject: Design Evaluation,
Activity step: Analyzing Quality of Requirements,
Method Reference: Requirements Analysis
2.2.9 Technical Solution

The task of the "Technical Solution" is to translate the requirements into products and product com-
ponents. The decision criteria are used to select the best variant from the different approaches that
were examined in detail. The focus of this process area is on the development of the design of the
product be created or of the product component. The collected design documents together with the
requirements documents are combined in the so-called technical data package.
During the whole design process again and again decisions have to be made whether the whole pro-
duct or product components are to be bought-out as off-the-shelf product or awarded as a develop-
ment contract or whether existing products or components are to be re-used. Based on the design,
the product components are implemented and tested and the appropriate documentation is written.
The "Technical Solution" is covered completely by the V-Modell.
Select Product Component Discipline: System Specifications,

Solutions Product: Hardware Architecture,
Product: Enabling System Architecture

Develop the Design Discipline: System Specifications,

Product: Hardware Architecture,
Product: Enabling System Architecture,
Product: Product Configuration,
Product: Hardware Implementation, Integration and Evaluation
Concept,
Product: Software Implementation, Integration and Evaluation
Concept,
Concept,
Product: Enabling System Implementation, Integration, and
Evaluation Concept,
Product: Make-or-Buy Decision
Implement the Product Design Process module: Integrated Logistic Support,

Discipline: System Elements
2.2.10 Product Integration

The task of product integration is to integrate components to the desired end product, to ensure the
functional efficiency of the end product and to deliver the product. For this purpose procedures for
carrying out the integration and criteria for the start of the integration have to be defined, and it has
to be specified in which order the components are to be integrated. Also the environment required
for the integration has to be prepared.
The compatibility of the interfaces is ensured by checking the interface descriptions for correctness
and completeness, by solving problems if this should be necessary and by providing the interface
descriptions to all stakeholders. Finally the product has to be assembled iteratively from its com-
ponents. For this purpose the predefined requirements for the start of the integration have to be met.
The result has to be verified and validated before the off-the-shelf product or the product compo-
nent can be delivered.
Product Integration is covered completely by the V-Modell.
Prepare for Product Product: Enabling System,

Integration Product: Hardware Implementation, Integration and Evaluation
Concept,
Concept,
Concept,
Evaluation Concept

Ensure Interface Compatibility Process module: Problem and Change Management,

Product: Evaluation Specification Document,
Concept,
Concept,
Concept,
Evaluation Concept,
Subject: Interface Overview
Assemble Product Section: Quality Assurance and Product State Model,

Components and Deliver the Discipline: System Elements,
Product Product: Product Configuration,
Product: Delivery,
Concept,
Concept,
Concept,
Evaluation Concept,
Aktivity: Evaluating System Element
2.2.11 Verification
Verification is to ensure that selected work results meet their requirements. At the start of a project it
has to be determined which work results are to be verified. It is required to define a verification pro-
cedure and to set up the necessary verification environment. Then the work results are verified, the
results are analyzed and, if necessary, measures for the correction of errors are initiated. The most
important methods for performing the verification are tests and peer reviews.
Verification is covered by the V-Modell with the exception of the requirements concerning peer re-
views. The peer reviews, which are important in the CMMI®, are suggested as a method, but not
mandatory. To achieve conformity with the CMMI® in this point, different peer review methods
must be defined for the introduction of an organization-specific process. At the start of the project,
suitable methods must be selected, and execution and scope of peer reviews must be specified and
planned.

Prepare for Verification Discipline: Evaluation,

Product: QA Manual,
Concept,
Concept,
Concept,
Evaluation Concept,
Product: Enabling System
Perform Peer Reviews Discipline: Evaluation,

Verify Selected Work Products Discipline: Evaluation
2.2.12 Validation
The objective of validation is to show that a product or a product component works as desired in its
planned target environment. For this purpose the products or product components to be validated
are selected, the validation environment is set up and procedures for the performance of the validati-
on are defined. After the performance of the validation the results are analyzed and, if necessary, de-
ficiencies are identified. On this basis it has to be decided whether changes to the requirements or
the design are necessary. Auf dieser Basis muss entschieden werden, ob Änderungen an den Requi-
rements oder am Design notwendig sind.
The process are "Validation" is covered completely by the V-Modell.
Prepare for Validation Discipline: Evaluation,

Product: QA Manual,
Concept,
Concept,
Concept,
Evaluation Concept,
Validate Product and Product Discipline: Evaluation

Components

2.2.13 Organizational Process Focus

This process area serves for the identification of potential for improvement and for the planning and
implementation of process improvement measures within an organization. To identify process im-
provement possibilities, the needs of the organization with regard to their processes are determined,
and the current processes are evaluated. Within the scope of process evaluation, a profile of strengt-
hs and weaknesses of the organization-wide processes and suggestions for improvement measures
are prepared. Subsequently the suggested improvement measures are prioritized and those measures
that are to be implemented are selected. The implementation is planned and executed. Before the
new or revised processes are introduced organization-wide, the quality of these processes in
checked in pilot projects.
The process area "Organizational Process Focus" is covered completely by the V-Modell.
Determine Process Product: Process Model Improvement Concept,

Improvement Opportunities Product: Assessment of a Process Model
Plan and Implement Process Product: Process Model Improvement Concept,

Improvement Activities Product: Project Plan,
Product: Organization-Specific Process Model,
Subject: Lessons Learned,
Subject: Objectives and Management Support,
2.2.14 Organizational Process Definition

The task of the organizational process definition is the definition and maintenance of organizational
process elements that can be adapted and used by the individual projects. In addition to process des-
criptions, process elements include also supporting tools, document templates and training material.
Beyond that life cycle models for the project and the system, a metrics database and guidelines for
project-specific »Tailoring have to be defined. This information and additional supporting elements
are brought together in a library and provided to all staff members of the organization.
The project area "Organizational Process Definition" is covered completely by the V-Modell.
Establish Organizational Chapter: Project Type Variants,

Process Assets Chapter: Directives and Instructions for Tailoring,
Chapter: Tailoring-Related Product Dependencies,
Chapter: Decision Gates,
Process module: Integrated Logistic Support,
Product: Organization-Specific Process Model

2.2.15 Organizational Training

The process area "Organizational Training" deals with everything that concerns the training and fol-
low-on training of the staff and refers to general abilities of the staff members that are required in-
dependently of specific projects and for the implementation of the objectives of the organization.
For this purpose, the demand for organizational training is identified, a training plan and the ne-
cessary »Training Documentation are prepared and the training courses are performed. In order to
be able to employ the staff members according to their knowledge level, it is recorded who success-
fully completed which training courses. A process for the evaluation of the effectiveness of organi-
zation-wide training has to be defined and implemented.
The process area "Organizational Training" is implemented in the »Process Module »Introduction
and Maintenance of an Organization-Specific Process Model.
Establish an Organizational Subject: Training Concept,

Training Capability Subject: Training Documentation
Provide Necessary Training Subject: Training Concept,

Subject: Training Documentation,
Subject: Experience Base,
Activity step: Performing Roll Out
2.2.16 Integrated Project Management

Integrated Project Management integrates the activities of all project management topics into the or-
ganization. For this purpose a process suitable for the project is derived from the organizational pro-
cess. On the basis of this process and the experience-based data from the metrics database the pro-
ject activities are planned. All plans are combined to an integrated project plan, which is the basis
on which the project is monitored and controlled. Since the organization is to learn from the activi-
ties of the individual projects, »Measurement Data and lessons learned from the project are provi-
ded to the organizational »Experience Base.
Another focus of Integrated Project Management is the cooperation and coordination of all stake-
holders. For this purpose critical dependencies have to be identified, considered in the planning pro-
cess, coordinated with all stakeholders and documented. Problems regarding the coordination bet-
ween the stakeholders have to be solved.
The process area "Integrated Project Management" is covered completely by the V-Modell.

Use the Project's Defined Product: Project Status Report,

Process Product: Project Diary,
Product: Project Progress Decision,
Product: Metrics Analysis,
Product: Final Project Report,
Subject: Project-Specific V-Modell,
Coordinate and Collaborate Chapter: Roles,

with Relevant Stakeholders Product: Project Plan,
Subject: Cooperation and Provisions of the Acquirer,
Subject: Project Management - Organization and Directives
2.2.17 Risk Management

The task of risk management is to identify potential risks and to initiate preventive measures in time
to avoid a negative impact on the success of the project. For this purpose possible risk sources are
identified and risk parameters and »Risk Classes are defined in order to permit a classification of
risks. Also a strategy for the identification, monitoring and treatment of risks is determined.
Risks are regularly identified, analyzed and classified. This results in a list of risks that are sorted
according to risk classes. For important risks the strategy that was determined has to be used to
identify, plan and if necessary implement measures preventing the occurrence of those risks or miti-
gating their effects.
Risk management requirements are covered completely by the V-Modell.
Prepare for Risk Management Subject: Risk Management - Organization and Directives,
Subject: Identified Risks,
Aktivity: Managing Risks
Identify and Analyze Risks Subject: Identified Risks
Mitigate Risks Subject: Risk Mitigation Measures
2.2.18 Decision Analysis and Resolution

Decision Analysis and Resolution support all other process areas when important decisions are
made. A formal process is used to evaluate possible alternatives on the basis of defined criteria and
to select one alternative. At the start of the project, it is determined for which decisions such a for-
mal process will have to be carried out.

Decision-making starts with the definition of the decision criteria. After the identification of diffe-
rent alternatives, evaluation methods will be selected. Based on the criteria and methods, the alter-
natives are now balanced one against the other and a solution is selected.
The process area "Decision Analysis and Resolution" is covered completely by the V-Modell.
Evaluate Alternatives Product: Organization-Specific Process Model,

Product: Project Progress Decision
2.2.19 Institutionalize a Managed Process

The task of the generic objective "Institutionalize a Managed Process" is to make sure that projects
are sensibly planned and executed, that the necessary resources are available, that staff members are
trained as required by their roles and that the projects are monitored and controlled in accordance
with the process descriptions.
In order to cover the generic objective "Institutionalize a Managed Process" completely for the pro-
cesses managed by the V-Modell, the QA Manual must specify which activities will be subjected to
a process evaluation. In this connection, it should be ensured that the activities selected for the eva-
luation cover all process areas and are adapted to the current requirements in the organization.
In the V-Modell the generic objective "Institutionalize a Managed Process" is covered completely
for the process areas that are handled.
Establish an Organizational Product: Organization-Specific Process Model

Policy
Plan the Process Section: Project Plan,

Product: Project Plan
Provide Resources Subject: Resource Planning
Assign Responsibility Chapter: Roles
Train People Subject: Training Plan
Manage Configurations Process module: Configuration Management,


Identify and Involve Relevant Chapter: Roles,

Stakeholders Activity step: Coordinating Project Plan with Stakeholders,
Activity step: Coordinating the Project Manual with all
Stakeholders
Monitor and Control the Product: Project Status Report

Process
Objectively Evaluate Product: Evaluation Report Process,

Adherence Product: QA Manual
Review Status with Higher Chapter: Decision Gates,

Level Management Product: Project Progress Decision
2.2.20 Institutionalize a Defined Process

The task of the generic objective "Institutionalize a Defined Process" is to make sure that project-
specific processes are derived from an organizational process in accordance with the »Tailoring gui-
delines. The process descriptions have to be maintained and lessons learned, »Measurement Data
and suggestions for improvement have to be provided to the organizational process library.
In the V-Modell the generic objective "Institutionalize a Defined Process" is covered completely for
the process areas that are handled.
Establish a Defined Process Subject: Project-Specific V-Modell
Collect Improvement Subject: Lessons Learned,

Information Subject: Experience Base
2.3 Mapping to ISO 15288

The international standard ISO/IEC 15288 "Life Cycle Management - System Life Cycle
Processes" (in the following briefly called ISO 15288) in the version dated October 2002 provides a
framework of processes that cover the whole life cycle of a system. Its objective and orientation is
similar to that of the V-Modell. ISO 15288 uses the basic principles and terms from the standard
ISO 12207; the descriptions are similar and differ only in detail.
Compared to the V-Modell, the descriptions of the activities are much less detailed. It is limited
mainly to a listing of the activities without examining how to proceed during the individual activi-
ties. ISO 15288 also does not know any products, as the V-Modell does, but limits itself to provi-
ding so-called "Outcomes" that are the expected results of the processes. For these "Outcomes" neit-

her explicitly required contents nor any designations and formats are specified. The standard further
contains no role concept, no references concerning decision gates and project execution strategies
and also no support as regards the methods to be used.
As a result, ISO 15288 is not suitable for the direct use in an actual project, but it provides a frame-
work that permits to classify national standards or to perform corresponding detailings or concreti-
zations (including tailoring) of the processes/activities and "Outcomes" in order to arrive at a pro-
cess model that can be used in practice.
ISO 15288 may be used in the following areas:
● It covers the entire life cycle of a system, including concept, development, production, ser-
vice use, updating, maintenance and deactivation of systems; the specified processes may be
used for a system and its elements iteratively, recursively or competitively.
● It describes all processes required for the life cycle of a system. In this context it does not
matter what the objective, the field of application, the complexity, the size or the degree of
innovation of the system is. It also does not play a role whether the system is produced as a
one-of-a-kind-item, in mass production or by way of adaptation.
● It may be used by organizations both in their role as acquirer and as supplier. Acquirers and
suppliers may belong to the same or to different organizations, and the acquirer-supplier-re-
lationship may extend from an informal arrangement to a formal contract.
● It may be used as a basis for the establishment, evaluation and improvement of an organiza-
tional business and process model.
In all ISO 15288 (cf. Figure 1) contains 25 processes that form the following four process groups:
● Agreement Processes,
● Enterprise Processes,
● Project Processes and
● Technical Processes.

Figure 1: Process Groups of the ISO/IEC 15288 Standard

Each of these processes is described by
● a Name used for identification,
● a Purpose that describes the global objective of the process at a relatively high level,
● a list of so-called Outcomes that indicate what results are expected in case of a successful
execution of the process, and
● a list of Activities that are used for the structural decomposition of the process and that have
to be carried out during the application of the process.
An initial mapping of the V-Modell on ISO 15288 at process group level yields the following allo-
cation, in which one process group of ISO 15288 is covered by several »Disciplines of the V-Mo-
dell:
Process Group of ISO 15288 (Figure 1) Disciplines of the V-Modell
Agreement Processes: »Aquisition and Contracting, »Supply and Contracting
Enterprise Processes: »Process Improvement
Project Processes: »Planning and Control , »Reporting, » Configuration and Change Management
Technical Processes: »Evaluation , »Requirements and Analyses, » System Specifications,
»System Design, » Logistic Conception, »System Elements, » Logistic Elements

In the following, more detailed mapping of the V-Modell on ISO 15288 the description is also based
on the process group structure of ISO 15288. Within a process group each ISO 15288 process is as-
signed the V-Modell activities - possibly also the process modules or disciplines - that cover this
process. In this context "assignment" does not mean equivalence with regard to contents, since the
contents of ISO processes and V-Modell activities are distributed differently in the two development
standards, but coverage with regard to contents.
For the sake of clarity no V-Modell products (or topics) are shown in the figure. These may be de-
termined simply by way of the V-Modell activities listed.
2.3.1 Agreement Processes

There are two Agreement Processes. The purpose of the
● Acquisition Process is to obtain a product or service in accordance with acquirer require-
ments;
● Supply Process is to deliver to the acquirer a product or a service that meets his require-
ments.
The Agreement Processes are intended for the establishment of an acquirer/supplier or contract
awarder-supplier relationship. The Agreement Processes are the basis for the initialization of other
project processes. The Agreement Processes may be used for various purposes, e. g.
● to negotiate and conclude a »Contract between an acquirer and a supplier for system deve-
lopment work;
● to wind up a concluded contract, e. g. for the procurement of a system or the performance of
a service;
● to place work orders to »Sub-Suppliers, consultants or teams within the project;
● to terminate a contract after the delivery of a system or after the work was completed and
the payment was made.
The processes Acquisition and Supply are covered completely by the V-Modell.
Acquisition Process Discipline: Acquisition and Contracting,

Aktivity: Coming to a Project Progress Decision
Supply Process Discipline: Supply and Contracting,

2.3.2 Enterprise Processes

There are five Enterprise Processes. The purpose of the
● Enterprise Environment Management Process is to define and update the business policy
and processes of an organization with regard to ISO 15288;

● Investment Management Process is to initiate suitable (internal) projects to achieve the ob-
jectives of the organization;
● System Life Cycle Processes Management Process is to guarantee that effective life cycle
processes that can be used by the organization are available;
● Resource Management Process is to provide necessary resources for projects;
● Quality Management Process is to achieve that products, services and process implementati-
on meet the quality targets of the organization and to ensure acquirer satisfaction.
The Enterprise Processes are intended for that part of the management of a company that is in char-
ge of business policy and the establishment of projects. With these processes the organization provi-
des services that directly or indirectly both specify framework conditions and provide support for
the execution of projects. Enterprise Processes have to achieve specific goals, such as
● Providing the appropriate environment so that the projects can achieve their goals;
● Ensuring that a procedure exists that regulates the start and discontinuation of projects as
well as project changes;
● Ensuring that a company policy and documented procedures are defined that conform with
ISO 15288 and are also applicable in the projects;
● Ensuring that appropriate methods and tools are determined and available for an efficient
and effective execution of the projects;
● Ensuring that the projects have sufficient resources so that the cost, time and performance
requirements can be met within an acceptable risk area and that the project staff is adequate-
ly trained;
● Ensuring that delivery items for the acquirer are of an appropriate quality.
The objective of the Enterprise Processes surpasses the actual scope of application of the V-Modell
as a development standard for systems. However, even those processes at the organizational level
can also be covered by »Process Modules of the V-Modell if they are adapted and understood accor-
dingly from the aspect of the execution of organization-wide projects. From this point of view the
following statements can be made:
The process Enterprise Environment Management is covered completely and the process System
Life Cycle Processes Management is covered mostly by the V-Modell.
The processes Investment Management and Resource Management can be realized by a specific ad-
aptation of the V-Modell.
The process Quality Management can be covered for the most part by the disciplines Planning and
Control and Reporting of the V-Modell.
Enterprise Environment Discipline: Process Improvement

Management Process

Investment Management Discipline: Planning and Control,

Process Discipline: Requirements and Analyses,
Discipline: Configuration and Change Management,
System Life Cycle Processes Discipline: Process Improvement

Management Process
Resource Management Discipline: Planning and Control,

Process Discipline: Configuration and Change Management,
Aktivity: Preparing, Introducing and Maintaining an Organization-
Specific Process Model,
Aktivity: Preparing Training Documentation,
Aktivity: Preparing Logistic Support Specification
Quality Management Process Discipline: Planning and Control,

Discipline: Reporting
2.3.3 Project Processes

There are seven Project Processes. The purpose of the
● Project Planning Process is to prepare effective and realistic project plans;
● Project Assessment Process is to determine the project state;
● Project Control Process is to control the execution of the project and to make sure that the
project is within the planned time frame and budget and that the technical objectives are
achieved;
● Decision-making Process is to evaluate alternatives and select the best possible approach;
● Risk Management Process is to minimize the impact of possible events that may be reflected
in changes in quality, costs, time or technical characteristics;
● Configuration Management Process is to ensure the integrity of all results of a project or
process and to make them available to the relevant personnel;
● Information Management Process is to pass on relevant information during - and if necessa-
ry also after - the life cycle of the system to the right recipient early, completely and reliably.
The Project Processes are used for the management of the activities of the Technical Processes and
for the satisfactory winding up of a »Contract. The results of the Project Processes are the preparati-
on and updating of planning, the monitoring of project progress with regard to adherence to the
plans and the implementation of system requirements, the control of the expenditures, the making of
decisions, risk management and reporting. They support and influence the implementation of the
Technical Processes.

In development projects Project Processes are carried out at each level of the system structure. The-
se processes are used when Enterprise Processes or activities concerning one phase in the life cycle
of the system, including service use, maintenance and deactivation, are carried out.
If several projects are to be carried out at the same time in a company, Project Processes have to be
defined in a way that their implementation is possible jointly for all those projects.
In the V-Modell the Project Processes are covered completely by V-Modell activities and the con-
cept of the »Decision Gates, although there is no general decision-making process in the V-Modell.
Project Planning Process Discipline: Planning and Control
Project Assessment Process Discipline: Reporting,

Project Control Process Process module: Problem and Change Management,

Aktivity: Preparing the Project Manual,
Aktivity: Planning Project,
Decision-making Process Aktivity: Preparing the Project Manual,

Aktivity: Deciding on Changes,
Aktivity: Coming to a Project Progress Decision,
Aktivity: Keeping a Project Diary,
Aktivity: Preparing Project Status Report
Risk Management Process Aktivity: Preparing the Project Manual,

Aktivity: Managing Risks
Configuration Management Process module: Configuration Management,

Process Aktivity: Preparing the Project Manual
Information Management Aktivity: Preparing the Project Manual,

Process Aktivity: Preparing Project Status Report,
Aktivity: Preparing Commercial Project Status Report,
Aktivity: Keeping a Project Diary,
Aktivity: Managing Product Library
2.3.4 Technical Processes

There are eleven Technical Processes. The purpose of the

● Stakeholder Requirements Definition Process is to define the requirements for a system and
to include all stakeholders in the process;
● Requirements Analysis Process is to transform the professional point of view of the require-
ments into a technical point of view;
● Architectural Design Process is to work out a solution that meets the system requirements;
● Implementation Process is to realize a specified system element;
● Integration Process is to use elements to prepare a system that corresponds to the architectu-
ral design;
● Verification Process is to verify that all requirements are met by the system;
● Transition Process is to transition the system to operational service use;
● Validation Process is to show that the system meets the expectations of the users when it is
in service use;
● Operation Process is to use the system to deliver the expected performance;
● Maintenance Process is to maintain the capability of the system to deliver the required per-
formance;
● Disposal Process is to end the existence of the system as such.
The Technical Processes are applicable across all phases of the life cycle of a system.
The following processes have to be carried out when developing a system: Stakeholder Require-
ments Definition Process, Requirements Analysis Process, Architectural Design Process, Implemen-
tation Process, Integration Process, Verification Process, Transition Process and Validation Pro-
cess.
These processes should be carried out to create the preconditions for entering a new phase of the
life cycle or for its end. They may be used for example in the early phases to develop a system con-
cept, to determine technological necessities and to plan future development costs, schedules and
risks. In the intermediate phases they may be used to define and realize a new system. In the later
phases they may be used to introduce new technologies in the in-service phase or to perform modi-
fications.
The other three Technical Processes (Operation Process - Maintenance Process - Disposal Process)
may be used in any phase of the life cycle to achieve the objectives of the phase and to support the
system development processes. The Operation and the Maintenance Process may be carried out for
example to support a special version of the system. The Disposal Process may be carried out to de-
activate legacy system (parts) or to dispose of undesired by-products of the service use of the sys-
tem.
The processes Stakeholder Requirements Definition, Requirements Analysis, Architectural Design,
Implementation, Integration, Validation and Verification are covered completely by the V-Modell.
In the process Maintenance it has to be taken into account that in the V-Modell maintenance is co-
vered within the scope of a separate project and that the related approach is covered by a separate
»Project Execution Strategy (Servicing and Maintaining Systems).

For the processes Transition, Operation und Disposal the V-Modell determines only the require-
ments for the performance of the tasks that are necessary in these processes, but not the performan-
ce of the tasks themselves (the V-Modell requires for example an operating concept, but it does not
determine how the operating concept is to be implemented).
Stakeholder Requirements Discipline: Requirements and Analyses

Definition Process
Requirements Analysis Discipline: Requirements and Analyses,

Process Discipline: System Specifications,
Aktivity: Preparing Logistic Support Specification
Architectural Design Process Discipline: System Design,

Aktivity: Preparing Logistic Support Specification,
Aktivity: Performing Market Survey for Off-the-Shelf Products,
Aktivity: Performing Make-or-Buy Decision,
Aktivity: Performing and Evaluating Safety and Security Analysis
Implementation Process Discipline: System Design,

Discipline: System Elements,
Aktivity: Performing Logistic Calculations and Analyses,
Activity step: Initializing and Updating Configuration
Integration Process Discipline: System Elements,

Discipline: System Design,
Aktivity: Integrating into Logistic Support Documentation,
Aktivity: Managing Product Configuration,
Activity step: Initializing and Updating Configuration
Verification Process Process module: Measurement and Analysis,

Aktivity: Preparing the QA Manual
Transition Process Discipline: Logistic Conception,

Discipline: Logistic Elements
Validation Process Discipline: Evaluation

Operation Process Aktivity: Preparing Logistic Support Specification,

Aktivity: Defining In-Service Documentation,
Aktivity: Preparing Training Documentation,
Aktivity: Preparing Problem Report/Change Request,
Aktivity: Maintaining Change Status List,
Aktivity: Preparing Logistic Support Concept
Maintenance Process Process module: Problem and Change Management,

Projekt type variant: Project (Acquirer) Including System
Maintenance,
Discipline: Logistic Conception,
Discipline: Logistic Elements,
Aktivity: Preparing Project Status Report
Disposal Process Aktivity: Preparing Logistic Support Specification,

Aktivity: Preparing Logistic Support Concept,
Aktivity: Managing Product Configuration
2.4 Mapping to ISO 9001:2000

The international standard »ISO 9001:2000 (in the following briefly called ISO 9001) determines
requirements for the quality management system whose introduction is a strategic decision made by
an organization. The transposition of ISO 9001 to an European Norm (EN) was performed by the
CEN management center and supported by CEN/BT WG 107. In this process the text of the interna-
tional standard was approved by CEN without any changes.
If a contract-awarder requires a quality management system according to ISO 9001, this may be de-
monstrated on the side of the supplier by submitting the appropriate valid certificate from an accre-
dited certification body.
If a supplier or an organization wants to obtain a certificate according to ISO 9001, it has to run and
maintain a quality management system. In this context it has to be noted that such a certificate may
also be issued to individual parts of a company. If a contract requires a certificate as a precondition
it therefore has to be made sure that all parts of the company of the supplier that participate in the
project are certified.
To obtain a ISO 9001 certificate, among other things all processes in the certified area have to be re-
gulated by documented procedures. The V-Modell is such a documented procedure for methodical
system development that covers the entire system life cycle. In contrast to other documented proce-
dures, the V-Modell represents a very comprehensive documented procedure that integrates many
subprocesses. It meets the requirements of ISO 9001 for the technical product development process.
In addition to the V-Modell, however, there will be also other processes in an organization - as for
example production processes - that will have to be considered within the framework of ISO 9001.
Thus the V-Modell describes only one part of the variety of processes that can be found in an orga-
nization. To obtain a ISO 9001 certificate, the organization therefore has to make sure that also for
these processes the requirements of ISO 9001 are met.

ISO 9001 requires a quality management system at organizational level. In contrast to this, the V-
Modell defines procedures and approaches for projects. Here the project-specific process model is
derived from an organization-specific process model on the basis of the V-Modell (see »Introducti-
on and Maintenance of an Organization-Specific Process Model). Thus ISO 9001 and the V-Modell
have different objectives. As a result, the V-Modell does not cover requirements of ISO 9001 that
apply to more than one project, such as the establishment and the maintenance of a quality manage-
ment system or the definition of an organization-wide quality policy. The V-Modell ensures, howe-
ver, that the organization-wide requirements, as far as they concern the product development pro-
cess, are implemented in the projects.
Starting with the points of the structure of ISO 9001, this »Mapping to Standards considers to what
extent the requirements described in the ISO 9001 are met by the V-Modell at project level or -
when the introduction, measurement and improvement of processes is concerned - by the »Process
Module »Introduction and Maintenance of an Organization-Specific Process Model at the organiza-
tional level.
2.4.1 Quality Management System

ISO 9001 requires the establishment, the documentation, the maintenance and the continuous im-
provement of a quality management system in an organization. This requires identifying the ne-
cessary processes, determining the interaction between these processes and ensuring their executi-
on, control and continuous improvement. For this purpose the processes have to be monitored, mea-
sured, and analyzed, and the necessary resources and information have to be provided. If one of the-
se processes is outsourced from the organization, control of this process has to be ensured and it
must be recognizable in the quality management system that this process was outsourced.
The documentation of the quality management system includes the quality policy and a quality ma-
nagement manual. A process for the control of documents and records must be available, i. e. the
quality of the documents has to be assured and their management and availability must be guaran-
teed.
The V-Modell is one of the system development processes considered within the framework of the
quality management system. For this subprocess the general requirements with regard to definition,
execution, control and improvement of processes and the documentation requirements are fulfilled.
The introduction of a quality management system itself, however, is not the function of the V-Mo-
dell.
Quality Management System - Process module: Introduction and Maintenance of an

General Requirements Organization-Specific Process Model,
Process module: Measurement and Analysis,
Documentation Requirements Process module: Project Management,

- General Process module: Quality Assurance,

Quality Management Manual Product: QA Manual
Document Management Chapter: Basic Concepts of the V-Modell,

Section: Quality Assurance and Product State Model,
Aktivity: Evaluating Document
Record Management Process module: Configuration Management,

Product: Qualification Record,
Product: QA Manual
2.4.2 Responsibility of Management

In this context emphasis is placed on the obligation and responsibility of top management with re-
gard to the development and realization of a quality management system. Of special importance in
this process are the aspects acquirer orientation, quality policy, planning of the quality management
system, definition of the responsibility and authority, communication within the organization and
evaluation of the quality management system by top management.
Due to its concept, the V-Modell makes a major contribution to acquirer orientation. It is guaranteed
that the quality policy defined by top management is implemented by the organization-specific and
project-specific process model defined on the basis of the V-Modell. Because of the role concept
and the reporting regulations, the requirements with regard to responsibilities, authority and com-
munication for the process controlled by the V-Modell are met. The »Process Module »Introduction
and Maintenance of an Organization-Specific Process Model defines a method for the evaluation
and continuous improvement of the organization-specific process model. Regular improvement pro-
jects on this basis have to be initiated by top management, however. The definition of the quality
policy itself and the implementation of the requirements defined in this chapter for all processes that
- apart from the V-Modell - also belong to the quality management system (such as the production
process) are not part of the V-Modell.
Commitment of Management Product: QA Manual,

Product: Process Model Improvement Concept
Customer Orientation Process module: Specification of Requirements,

Process module: System Development,

Quality Policy Product: QA Manual,

Product: Process Model Improvement Concept
Quality Targets Product: QA Manual
Planning of the Quality

Management System
Responsibility, Authority and Chapter: Roles,

Communication Product: Project Plan
Representative of Top Role: Quality Manager

Management
Internal Communication Discipline: Reporting
Management Evaluation - Product: Assessment of a Process Model

General
Evaluation Input Discipline: Reporting,

Product: Assessment of a Process Model,
Evaluation Results Product: Process Model Improvement Concept
2.4.3 Resource Management

The organization must provide personnel resources and the necessary infrastructure to realize and
maintain the quality management system and to increase acquirer satisfaction by the implementati-
on of acquirer requirements. The staff must be appropriately trained and they must be aware of the
importance of their work and their contribution to the achievement of the quality targets.
For that part of the quality management system that is governed by the V-Modell these requirements
are met.
Allocating Resources Chapter: Roles,

Product: Project Management Infrastructure

Personnel Resources - General Chapter: Roles,

Product: Project Plan
Capability, Awareness and Product: Project Plan,

Training Subject: Training Concept,
Infrastructure Product: Project Management Infrastructure,

Work Environment Product: Project Management Infrastructure,

2.4.4 Product Realization

The range of topics concerning product realization deals with the planning of product realization,
acquirer-related processes, development, procurement, production and delivery of services and the
control of monitoring and measuring tools.
The planning of product realization includes defining quality targets and requirements, introducing
and implementing processes, determining test activities that include verification and validation and
also the documentation required for product realization.
Requirements for acquirer-related processes deal with the identification and evaluation of require-
ments for the product and with the communication with the acquirer.
The range of topics concerning development includes the planning, input, results, evaluation, verifi-
cation and validation of the development work and the control of development changes.
The procurement process has to make sure that the procured product meets the requirements. The
requirements for the product to be procured and for the quality management system of the supplier
have to be determined. Suppliers have to be selected on the basis of their capabilities to deliver the
product in accordance with the requirements of the organization. The criteria for supplier selection
have to be defined and the selection of the suppliers has to be documented.
The topic product and service process combines the following aspects: control of production and
delivery of services, validation of the processes for production and delivery of services, marking
and traceability, acquirer property and product preservation.
The organization has to identify the necessary monitoring and measuring tools required for the veri-
fication of he conformity of the product. It also has to monitor and measure the products appropria-
tely to check their conformity and to initiate countermeasures in case of deviations.
The V-Modell is not focused on production processes. Production requirements and the related ne-
cessary monitoring and measuring tools are thus not part of the V-Modell. All other requirements
are covered by the V-Modell.

Planning Product Realization Product: Project Plan,

Product: QA Manual
Determining the Requirements Product: Overall System Specification,

with Regard to the Product Product: Contract (Acquirer),
Product: Contract Addendum (Acquirer)
Evaluation of Requirements Product: Requirements Evaluation,

with Regard to the Product Product: Assessment of Request for Proposal
Communication with the Product: Offer,

Customer Product: Contract (Acquirer),
Product: Contract Addendum (Acquirer),
Product: Statement of Acceptance
Development Planning Product: Project Plan,

Product: QA Manual
Development Input Product: Overall System Specification
Development Results Product: System,

Product: Segment,
Product: Hardware Unit,
Product: Software Unit,
Product: External Unit,
Product: Delivery,
Product: External Hardware Module,
Product: External Software Module
Development Evaluation Product: Project Progress Decision
Development Verification Discipline: Evaluation
Development Validation Discipline: Evaluation
Managing Development Process module: Problem and Change Management,

Changes Product: Contract Addendum
Procurement Processes Process module: Delivery and Acceptance (Acquirer),

Process module: Evaluation of Off-the-Shelf Products

Procurement Information Product: Request for Proposal
Verifying Procured Products Product: Evaluation Report Delivery,

Product: Evaluation Specification Delivery
Managing Production and the

Supply of Services
Validating the Processes for

Production and for the Supply
of Services
Identification and Traceability Process module: Configuration Management
Customer Property
Preserving Products
Managing Monitoring and

Measuring Tools
2.4.5 Measuring, Analyzing and Improving

The organization is required to plan and realize an approach for the monitoring, measuring, analysis
and improvement both of products and of the quality management system. This ensures that the pro-
ducts meet the requirements, that the processes of the quality management system deliver the desi-
red results and that acquirer satisfaction is guaranteed. Also audits of the quality management sys-
tem should be performed in defined intervals. A product that does not meet the requirements has to
be marked, and its unintended use or delivery have to be prevented. The analysis of the measured
data must make possible statements about acquirer satisfaction, the satisfaction of product require-
ments, process and product features and suppliers. On the basis of these statements, the organization
of the quality management system must be continuously improved. The organization must take cor-
rective measures to eliminate failure causes. Possible failures are prevented with preventive measu-
res. The measures must be in a reasonable proportion to the impact of possible failures.
The V-Modell includes the »Process Modules »Introduction and Maintenance of an Organization-
Specific Process Model und »Measurement and Analysis. Those process modules describe a process
for defining »Metrics and for determining and analyzing the accompanying data for the evaluation
and improvement of that part of the quality management system that is being realized by the V-Mo-
dell. It is the responsibility of the organization to execute in regular intervals improvement projects
that are based on this approach.
The quality assurance measures defined in the V-Modell make sure that a product developed in ac-
cordance with the V-Modell will meet the requirements and that the greatest possible acquirer satis-
faction will be achieved. The process module »Safety and Security includes an approach that in case

of critical products helps to avoid or minimize risks that may arise from the operation of the pro-
duct. Thus the V-Modell guarantees that the requirements of ISO 9001 concerning the topics measu-
rement, analysis, product improvement and product development process are met. However, corre-
sponding processes will have to be defined additionally for all other processes of the quality mana-
gement system, such as the production process.
Measuring, Analyzing and Process module: Measurement and Analysis,

Improving - General Process module: Introduction and Maintenance of an
Customer Satisfaction Product: Statement of Acceptance,

Activity step: Validating System Element
Internal Audit Product: Evaluation Report Process,

Product: Quality Status Report,
Product: Assessment of a Process Model
Monitoring and Measuring Product: Evaluation Report Process,

Processes Product: Assessment of a Process Model,
Product: QA Manual
Monitoring and Measuring the Discipline: Evaluation,

Product Product: QA Manual
Management of Defective Chapter: Management Mechanisms of the V-Modell,

Products Section: Quality Assurance and Product State Model,
Product: Problem Report / Change Request
Data Analysis Product: Project Diary,

Product: Assessment of a Process Model,
Product: Metrics Analysis,
Product: Measurement Data,
Activity step: Validating System Element
Continuous Improvement Product: Assessment of a Process Model
Corrective Actions Process module: Introduction and Maintenance of an


Preventive Measures Process module: Introduction and Maintenance of an

Process module: Safety and Security
2.5 Mapping to V-Modell 97

The V-Modell 97, which is part of the development standard for Federal IT systems, is the predeces-
sor of the M-Model XT. Its objective, to regulate the approach for the development of IT systems,
was similar to that of the V-Modell XT. But in contrast to the V-Modell 97, which is focused on ac-
tivities, the V-Modell XT is focused on products.
The most important novelties in the V-Modell XT as regards contents are regulations for hardware
development, logistics, commercial project management and process improvement. Regulations that
existed already in the V-Modell 97 have been elaborated further, taking into account the state of the
art. In this context in particular the fact should be mentioned that the interfaces between contract
awarder and supplier projects are described explicitly.
Furthermore, a number of additional concepts have been introduced in the V-Modell XT, for exam-
ple the »Project Execution Strategy and the »Decision Gates. Also major changes were made to the
tailoring concept.
With regard to their structure, there are considerable differences between the V-Modell 97 and the
V-Modell XT. The V-Modell XT is composed of so-called process modules and the V-Modell 97 is
subdivided into four submodels (see Figure 2 ):
● Project Management submodel (PM)
● Quality Assurance submodel (QS)
● Configuration Management submodel (KM)
● System Development submodel (SE)


Figure 2: Structure of the V-Modell 97

In this standard mapping the terms of the individual submodels of the V-Modell 97 are mapped on
corresponding model elements of the V-Modell XT.
2.5.1 Project Management Submodel (PM)

The Project Management Submodel regulates the tasks and functions of the technical project mana-
gement in the development process. These regulations do not affect any organizational definitions.
The activities defined in the PM submodel include the planning and control of project-internal acti-
vities, the assignment of project-internal roles and the installation of an interface with project-exter-
nal units (supplier).
Products and activities of the Project Management Submodel may be mapped on the products and
activities of the »Process Module »Project Management in the V-Modell XT; only some products,
such as the memorandum or the internal notice, do not have a direct counterpart in the V-Modell
XT, where they are covered by the »Reporting system. And although the activities Staff Training
and Training/Instruction can be recorded in the »Project Plan of the V-Modell XT, they are not ex-
plicitly listed as activities in the V-Modell XT.
Project Management Process module: Project Management

Submodel (PM)
Activity PM 1 - Project Aktivity: Preparing the Project Manual,

Initialization Aktivity: Planning Project
Activity PM 2 - Discipline: Acquisition and Contracting

Awarding/Procurement
Activity PM 3 - Contractor Product: Project Status Report (Supplier),

Management Product: Project Progress Decision,
Product: Change Status List
Activity PM 4 - Detailed Aktivity: Planning Project

Planning
Activity PM 5 - Cost-Benefit Aktivity: Coming to a Project Progress Decision,

Analysis Aktivity: Performing Make-or-Buy Decision
Activity PM 7 - Risk Aktivity: Coming to a Project Progress Decision

Management

Activity PM 7 - Risk Aktivity: Managing Risks

Management
Activity PM 8 - Project Aktivity: Preparing Project Status Report,

Control Aktivity: Coming to a Project Progress Decision
Activity PM 9 - Information Aktivity: Preparing Project Status Report

Service/Reporting
Activity PM 10 - Training/Job Aktivity: Planning Project

Familiarization
Activity PM 11 - Providing Aktivity: Coming to a Project Progress Decision

the Resources
Activity PM 12 - Placing Aktivity: Assigning a Work Order

Work Orders
Activity PM 13 - Aktivity: Assigning a Work Order

Familiarization of the Staff
Activity PM 14 - Project Aktivity: Concluding Project

Completion
Product PM - Memorandum Discipline: Reporting
Product PM - Evaluation of Product: Offer Assessment

Offers
Product PM - Work Order Product: Work Order
Product PM - Invitation Product: Meeting Document
Product PM - Internal Note Discipline: Reporting
Product PM - Cost-Benefit Product: Project Proposal,

Analysis Product: Make-or-Buy Decision
Product PM - Final Project Product: Final Project Report

Report

Product PM - Project Manual Product: Project Manual
Product PM - Project Plan Product: Project Plan
Product PM - Minutes Product: Meeting Document
Product PM - Factual Report Discipline: Reporting,

Product: Market Survey for Off-the-Shelf Products
Product Report - Status Report Product: Project Status Report
2.5.2 Quality Assurance Submodel (QS)

The Submodel QS manages the quality assurance tasks and functions in the system and software de-
velopment process. In contrast to the informal evaluations in the Submodel SE, it is demonstrated in
this submodel that specified requirements are met. This is done within the framework of a verificati-
on and so that it is objectively traceable. These requirements can be found in the documents User
Requirements and Technical Requirements of the Submodel SE.
The Quality Assurance Submodel is partly mapped on the V-Modell-XT-»Process Module »Quality
Assurance. Beyond that the system-related parts of the Quality Assurance Submodel turn up again
in the process module »System Development of the V-Modell XT, because this is where the deve-
lopment of the evaluation specifications for system elements and the testing of the system elements
is located.
Quality Assurance Submodel Process module: Quality Assurance,

(QS) Process module: System Development,
Process module: Project Management,
Process module: Usability and Ergonomics,
Activity QS 1 - QA Aktivity: Preparing the QA Manual,

Initialization Aktivity: Planning Project
Activity QS 2 - Preparation Aktivity: Preparing Evaluation Specification Document,

for Testing Aktivity: Preparing Evaluation Specification Process,
Aktivity: Preparing Evaluation Specification System Element,
Aktivity: Preparing Evaluation Specification Usability,
Aktivity: Preparing Evaluation Specification Delivery,
Aktivity: Realizing Evaluation Procedure System Element

Activity QS 3 - Process Aktivity: Evaluating Process

Control of Activities
Activity QS 4 - Testing Aktivity: Evaluating Document,

Products Aktivity: Evaluating System Element,
Aktivity: Evaluating Usability,
Aktivity: Evaluating Delivery
Activity QS 5 - QA Reporting Aktivity: Preparing Quality Status Report
Product QS - Test Plan Product: Project Plan
Product QS - Test Protocol Product: Evaluation Report System Element,

Product: Evaluation Report Usability,
Product: Evaluation Report Process,
Product: Evaluation Report Delivery,
Product: Evaluation Report Document
Product QS - Test Procedure Product: Evaluation Procedure System Element
Product QS - Test Product: Evaluation Specification Usability,

Specification Product: Evaluation Specification Document,
Product: Evaluation Specification Delivery,
Product: Evaluation Specification Process,
Product: Evaluation Specification System Element
Product QS - QA Plan Product: QA Manual
2.5.3 Configuration Management Submodel (KM)

The Submodel KM makes sure that products can be unambiguously identified, connections and dif-
ferences between different versions of a configuration remain recognizable and product changes can
be made only in a controlled way.
That part of configuration management that deals with versionizing of products and »Product Con-
figurations, can be mapped on the »Process Module »Configuration Management of the V-Modell
XT. In the V-Modell XT configuration management is less extensive, because today configuration
management is usually supported by tools.
In the V-Modell XT the products and activities dealing with the controlled implementation of chan-
ges may be mapped on elements of the process module »Problem and Change Management.
Beyond that, this process module is also in charge of fault management.

Configuration Management Process module: Configuration Management,

Submodel (KM) Process module: Problem and Change Management,
Activity KM 1 - Planning Aktivity: Preparing the Project Manual
Activity KM 2 - Product and Aktivity: Managing Product Configuration

Configuration Management
Activity KM 3 - Change Process module: Problem and Change Management

Management (Configuration
Control)
Activity KM 4 - KM Services Process module: Configuration Management
Product KM - Change Product: Problem Report / Change Request

Request/Problem Report
Product KM - Change Order Product: Change Decision
Product KM - Change Product: Change Status List,

Message Product: Product Configuration
Product KM - Change Status Product: Change Status List

List
Product KM - Change Product: Problem/Change Evaluation

Proposal
Product KM - KM Plan Product: Project Manual
Product KM - Configuration Product: Product Configuration

Identification Document
Product KM - Project History Product: Project Diary
2.5.4 System Development Submodel (SE)

The Submodel SE combines all activities that are used directly for system development and the re-
spective development documents.

For the most part these activities turn up again in the V-Modell XT in the »Process Module »System
Development and in the process module »Software Development. Only some products, such as in-
formation about the user manual, information about the operation manual and information about the
diagnosis manual and the software problem and change concept, are mapped on the process module
»Integrated Logistic Support.
In the V-Modell XT the product Technical Requirements of the V-Modell 97 is already covered also
in the specifications, for example in the »System Specification and the »Hardware Specification.
System development Process module: System Development,

Submodel (SE) Process module: Integrated Logistic Support,
Process module: Software Development,
Activity SE 1 - System Discipline: Requirements and Analyses,

Requirements Analysis Aktivity: Preparing Overall System Specification
Activity SE 2 - System Design Aktivity: Preparing System Architecture,

Aktivity: Preparing System Specification,
Aktivity: Preparing External Unit Specification,
Aktivity: Preparing Enabling System Architecture,
Aktivity: Preparing System Implementation, Integration and
Evaluation Concept,
Aktivity: Performing and Evaluating Safety and Security Analysis
Activity SE 3 - SW/HW Aktivity: Preparing Software Specification,

System Requirements Aktivity: Preparing Hardware Specification,
Analysis Aktivity: Preparing Software Implementation, Integration and
Evaluation Concept,
Aktivity: Preparing Hardware Implementation, Integration and
Evaluation Concept,
Aktivity: Preparing External Hardware Module Specification,
Aktivity: Preparing External Software Module Specification
Activity SE 4-SW - Aktivity: Preparing Database Design,

Preliminary SW Design Aktivity: Preparing Software Architecture
Activity SE 5-SW - Detailed Aktivity: Preparing Database Design,

SW Design Aktivity: Preparing Software Architecture
Activity SE 6-SW - SW Aktivity: Realizing Software Module

Implementation

Activity SE 7-SW - SW Aktivity: Integrating into Software Unit,

Integration Aktivity: Integrating into Software Component
Activity SE 8 - System Aktivity: Integrating into System,

Integration Aktivity: Integrating into Segment,
Aktivity: Defining In-Service Documentation,
Aktivity: Preparing Repair Documentation
Activity SE 9 - Transition to Aktivity: Preparing Logistic Support Specification

Use
Product SE - User Product: Overall System Specification,

Requirements Product: Requirements Specification,
Product: Safety and Security Analysis,
Product: Requirements Specification Overall Project
Product SE - Data Catalog Product: Database Design
Product SE - Implementation Product: Software Implementation, Integration and Evaluation

Documents Concept,
Concept
Product SE - User Manual Product: In-Service Documentation

Information
Product SE - Operation Product: In-Service Documentation

Manual Information
Product SE - Diagnosis Product: Repair Documentation

Manual Information
Product SE - Integration Plan Product: Software Implementation, Integration and Evaluation

Concept,
Concept
Product SE - Interface Product: Software Specification,

Description Product: System Specification,
Product: External Unit Specification,
Product: External Software Module Specification

Product SE - Interface Product: Software Architecture,

Overview Product: System Architecture
Product SE - Other Product: Training Documentation,

Operational Information Product: Logistic Support Concept,
Product: Maintenance Documentation,
Product: Spare Parts Catalog
Product SE - SW Architecture Product: Software Architecture
Product SE - SW Design Product: Software Specification
Product SE - Software Process module: Problem and Change Management,

Problem and Change Concept Projekt type variant: Project (Acquirer) Including System
Maintenance,
Product: Logistic Support Concept
Product SE - System Product: System Architecture,

Architecture Product: Safety and Security Analysis
Product SE - Technical Product: Software Specification,

Requirements Product: System Specification,
Product: External Unit Specification,
Product: External Software Module Specification
2.5.5 Manual Collection

The Manual collection of the V-Modell 97 includes explanations of various topics. The manuals are
to assist in the work with the V-Modell. Accordingly they do not have the character of a regulation.
The individual manuals may be mapped on different parts of the V-Modell XT. Beyond that, the
HW Manual - Building of Hardware may be assigned to the »Process Module »Hardware Develop-
ment. The manuals "SEC - Application of V-Modell and ITSEC" and "SI - Security and Criticality"
are mapped in the V-Modell XT by the process module »Safety and Security. The manual "SZ -
Scenarios" corresponds in the V-Modell XT to the »Project Execution Strategy for system develop-
ment.
The manuals "FAO - Meeting the Minimum IT Requirements of the FAO by the V-Modell" and
"BPR - Connection between Business Process Reengineering and V-Modell" cannot be mapped on
the V-Modell XT. Mapping of the manual "RE - Reverse Engineering" was not examined.
HW Manual - Hardware Process module: Hardware Development

development

ISO Manual - The V-Modell in Convention Mapping: Mapping to ISO 15288,

an ISO and AQAP Convention Mapping: Mapping to AQAP-150
Environment
OOS Manual - Making Process module: Software Development

Allowances for Object-
Oriented Languages
R Manual - Role Concept in V-Modell Part: V-Modell Reference Roles

the V-Model
SEC Manual - Application of Process module: Safety and Security

V-Modell and ITSEC
SI Manual - Security and Process module: Safety and Security

Criticality
SZ Manual - Scenarios Chapter: Project Type Variants
T Manual - Tailoring and V-Modell Part: V-Modell Reference Tailoring

Project-Specific V-Modell
UMF Manual - Integration of V-Modell Part: Fundamentals of the V-Modell

the V-Modell into its
Environment

3 List of Figures
Figure 1: Process Groups of the ISO/IEC 15288 Standard.............................................................7-28

Figure 2: Structure of the V-Modell 97 ..........................................................................................7-45

Part 8: Annex
V-Modell® XT


Part 8: Annex 8-3
Table of Contents
1 Method References.......................................................................................................................8-4
1.1 Business Process Modeling....................................................................................................8-4
1.2 Cost-Benefit Analysis.............................................................................................................8-5
1.3 Database Modeling.................................................................................................................8-6
1.4 Design Verification.................................................................................................................8-6
1.5 Estimation Models..................................................................................................................8-7
1.6 Evaluation Process..................................................................................................................8-9
1.7 Fault/Reliability Analysis.....................................................................................................8-10
1.8 Logistic Support Analysis.....................................................................................................8-11
1.9 Process Analysis...................................................................................................................8-12
1.10 Project Planning and Control..............................................................................................8-14
1.11 Prototyping.........................................................................................................................8-15
1.12 Requirements Analysis.......................................................................................................8-15
1.13 Review................................................................................................................................8-17
1.14 RFP Support.......................................................................................................................8-19
1.15 Simulation...........................................................................................................................8-20
1.16 System Analysis..................................................................................................................8-20
1.17 System Design....................................................................................................................8-23
1.18 Test......................................................................................................................................8-23
2 Tool References...........................................................................................................................8-25
2.1 Change Request Management..............................................................................................8-25
2.2 CM Tool................................................................................................................................8-25
2.3 Compiler...............................................................................................................................8-26
2.4 Construction/Simulation.......................................................................................................8-26
2.5 GUI Tools.............................................................................................................................8-26
2.6 Integrated Development Environment.................................................................................8-27
2.7 Modeling Tool......................................................................................................................8-27
2.8 Project Planning....................................................................................................................8-28
2.9 Requirements Management..................................................................................................8-28
2.10 Test Tool.............................................................................................................................8-29
3 Glossary.......................................................................................................................................8-31
4 Abbreviations..............................................................................................................................8-47
5 List of References.......................................................................................................................8-49

8-4 Part 8: Annex
1 Method References
1.1 Business Process Modeling

Usage
Determining Requirements
Reference
BG03
Purpose
The objectives of business process modeling include the specification and optimization of business
processes. For business process modeling the following methods may be used:
Business Process Optimization
In a business process the goals of third parties (such as acquirers, citizens etc.) are to be achieved,
who therefore are to be made to "stakeholders" in the process. Essential characteristics of a business
process are
● acquirer orientation (this means also the internal "acquirers" of the administration) and
● that a payoff (for the acquirers and the organization itself) is achieved.
There are two fundamentally different approaches to business process optimization:
● the radical method of Business (Process)Reengineering (BPR) according to Hammer and
Champy
● and the gentler approach of the continuous improvement process (CIP).
Business Reengineering
Business Reengineering according to Hammer and Champy is a fundamental rethinking and radical
redesign of companies or essential business processes. In this context "fundamental" means that the
question "what and why" has to be put before the question "how". Also the reorganization is to app-
ly not only to certain sectors, but to the whole company or at least to the main business processes.
"Radical" means for Hammer and Champy principally "to start from scratch" and that existing pro-
cesses and structures have to be fundamentally called into question. The approach offers important
ideas, methods and "food for thought", which are or may also be of importance in all other forms of
(company) reorganization.
Continuous Improvement Process (CIP)
The theory on which the CIP is based is the European version of the so-called "Japanese
Way" (KAIZEN). It describes a systematic approach to the identification and elimination the waste
of resources and to the improvement of the work processes and the work environment. According to
the German saying "Der Weg ist das Ziel " ("The way is the goal"), CIP focuses on continuing small
improvements of the business processes instead of a fundamental innovation or reorganization. This

1 Method References 8-5
distinguishes CIP from BPR. The thing that it has in common with the BPR, and thus the novelty
compared to traditional organizational processes, however, is its process orientation and thus the de-
parture from function-oriented thinking.
The approach of the CIP is neither revolutionary nor radical, but was shaped on the basis of many
years' experience. In this respect the approach is considerably more practical than that of the BPR
and takes into account to a greater degree the problems occurring during the reorganization of com-
pany processes.
Use Case Modeling
See paragraph "Use Case Modeling" in method reference »Requirements Analysis.
1.2 Cost-Benefit Analysis

Usage
Performing Life Cycle Cost Calculation
Reference
Röt01
Purpose
The »Cost-Benefit Analysis does not evaluate the profit to be gained from a measure, but compares
the monetary benfit with the costs of the measure. Therefore, the cost-benefit analysis should be
used for projects which are not focussed on gaining a profit. This is the case in the public sector,
non-profit enterprises and internal projects.
The cost-benefit analysis examines and evaluates the economic effectiveness of projects in advance.
The results are the basis for the selection of the projects which enable the respective organizational
unit to pursue their strategic goals most effectively.
Cost-Effectiveness Considerations
IT cost-effectiveness considerations (cost-effectiveness considerations for information technology
projects) can be used to evaluate and document IT projects and to present them in a project portfo-
lio. Each project is tested on a criteria catalog. The cost-effectiveness considerations distinguish bet-
ween two kinds of cost-effectiveness: monetary cost-effectiveness and cost-effectiveness in a broa-
der sense.
In this concept the monetary cost-effectiveness is the result of the costs and benefits that can be
quantified in monetary values. When compiling the costs and benefits, the net present value method
is taken as a basis to adequately take into account the chronological sequence of the accrouing costs
and benefits. In the cost-effectiveness considerations, the monetary criteria are subdivided for this
process into two groups. The first group includes criteria concerning the the development costs and
development benefits. These are normally non-recurring costs and accrue prior to the introduction
of a IT project, and they are strictly speaking the capital investments that are paid in and out. In this
process the monetary benefit is generated mostly from the savings when the previous procedure is
replaced. The second group of criteria are the criteria related to operating costs and benefits. They
usually accrue after the introduction of the IT project in the form of running costs and benefits and
have to be determined for the period of the expected service life. The standard period assumed in
the cost-effectiveness considerations is five years.

8-6 Part 8: Annex
For many IT projects it is often not possible to furnish proof of cost-effectiveness in a narrower sen-
se. Therefore the cost-effectiveness considerations provide not only an examination according to the
net present value method, but in addition also an evaluation for which the utility analysis is used. In
this process two evaluation areas are formed, the urgency values and the qualitative-strategic values.
1.3 Database Modeling

Usage
Preparing Database Design
Reference
KE04
Purpose
● the representation of entity types, relation types and cardinalities with accordingly different
graphical symbols, and
● the indication of the names of all entity types and relation types in the diagram.
Database modeling consists of several submethods: ER Modeling In Entity Relationship Modeling
(„ER Modeling“) within the scope of a specified terms of reference a »Data Model is prepared that
is based in general only on technical factors and the view of the users and not on the realization of
the IT system. The aim of ER Modeling is to describe the objects that are represented by data in an
information processing system and their mutual relations. The ER Model is prepared in a top-down
approach where in each design step more detailed and refined structures emerge. For the description
of ER Modeling, the ER diagram is used. An ER diagram mainly consists of the following
Data Navigation Modeling
The method "Data Navigation Modeling" is used to generate a database-management-oriented
(DBMS) data structure from an entity-relationship-model (ER Model). Data Navigation Modeling is
helpful in particular for the generation of powerful hierarchical and network-like database structu-
res.
Normalization
The aim of "normalization" is the formation of data structures (entity types with attributes) so that
specific regularities, so-called normalization rules, are observed, which have, among other things,
the following effects:
● Elimination of redundancies,
● Elimination of anomalies that may occur when inserting, deleting or modifying data in data
structures.
1.4 Design Verification

Usage
Preparing Hardware Architecture, Preparing Software Architecture, Preparing System Architecture,
Performing and Evaluating Safety and Security Analysis

Reference
THE03
Purpose
The aim of the design verification is to furnish a mathematically exact proof that the refined specifi-
cation continues to meet the requirements of the initial specification. It uses the tools of formal lo-
gic to verify that a formal specification (refined specification) is a refinement of the initial specifi-
cation and that also it meets all requirements for the initial specification. A specification is refined
by a further detailing and concretization of the statements and conditions.
For the design verification the following methods may be used:
Software Architecture Analysis Method (SAAM)
SAAM is one of the simpler methods for scenario-based architecture evaluation, which was the first
to be published. SAAM is suitable for the testing of software architectures with regard to quality at-
tributes (qualitative requirements), such as
● Modifiability,
● Portability,
● Growth Potential,
● Performance,
● Reliability,
but also for the evaluation of the functionality (functional requirements) of a software architecture.
In a SAAM evaluation basically scenarios are developed, prioritized and assigned to those parts of
the software architecture to be tested that are affected by them. This may be sufficient to indicate
problems in the architecture.
Architecture Tradeoff Analysis Method (ATAM)

ATAM is used to review the design decisions of the architecture. It is checked whether the design
decisions satisfactorily support the requirements concerning quality. Risks and compromises inclu-
ded in the architecture are identified and documented.
The process includes two phases. In the first phase the necessary components are presented. Then
the architecture is checked and analyzed. In the second phase it is tested whether the analysis and
the test were correct and complete. Then the results are summed up.
1.5 Estimation Models

Usage
Performing Life Cycle Cost Calculation, Performing an Estimation
Reference
BF04, Bur03

8-8 Part 8: Annex
Purpose
Estimation models form the basis of an »Estimation that is as objective and realistic as possible.
The method that is used is to guarantee a traceable, reliable and accurate »Estimation of the Scope
and »Estimation of Effort .
At first, the estimation objects must be specified and characterized as accurately as possible. On the
basis of the structuring of the project in clear subtasks, the criteria for the impact on the estimation
have to be determined and evaluated. This concerns product, project, personnel and technological
characteristics. There is a large number of estimation models; however, hardly any of these models
is universally valid, i. e. applicable to a variety of projects, systems and companies and at the same
time sufficiently reliable and accurate for each of these fields of application.
In the following, some usual methods will be described briefly:
Estimation Formulas
The effort of an estimation object will be calculated by means of formulas that are based on empiri-
cal values.
● Function Point Analysis: This method breaks the software system to be examined down
into its functional structure. The transactions (inputs, outputs, or queries) and files (external
or internal data inventory) of each function shall be counted. Afterwards, a function value
shall be determined based on the complexity of the individual functions. Based on learning
curves, the effort can be derived from this function values, taking into account defined influ-
encing factors.
● COCOMO: COCOMO is employed in the field of software developments and derives the
effort of an estimation object from the estimated scope and defined influencing factors by
means of a formula.
● PRICE: PRICE comprises a collection of estimation methods which can not only be em-
ployed in the software sector, but also in the hardware sector. The software variant is similar
to COCOMO.
Expert Estimation
In this method, scope and effort of the estimation objects shall be estimated by experts. In the »Esti-
mation of the Scope, estimation objects are derived from the »Product Structure of the project to be
examined, in the estimation of effort, they are derived from the project structure. In every expert
estimation, the 4-eyes principle should be observed, i.e., the person responsible for the estimation
object estimates scope and effort and coordinates this with an experienced expert.
A special and widely used form of the expert estimation is the Closed Estimation Meeting, which
is conducted with the participation of 3 to 7 experienced estimators. These experts will estimate
scope and effort of the estimation objects independently, discuss the causes of larger deviations and
agree on a joint estimation value. Signficant assumptions, like risks or degree of reuse of the estima-
tion object, shall be documented. In a final discussion, the settling of open questions shall be speci-
fied. It is also possible to decide that the estimation values will be verified by a plausibility check,
e.g., COCOMO or the Function Point Method. In a Closed Estimation Meeting, the accuracy of the
estimation largely depends on the experience of the participating estimators. Thus, it is very import-
ant to select the suitable category of persons.
Percentage Method

The Percentage Method determines the effort for individual phases and activities by means of a pro-
jection based on average or recommended portions - the so-called empircal values - of the overall
effort. For example, 3 percent of the overall effort of the development project will be required for
configuration management. The Percentage Method is only suitable for rough estimations.
1.6 Evaluation Process

Usage
Preparing Requirements Evaluation, Performing Market Survey for Off-the-Shelf Products, Perfor-
ming Make-or-Buy Decision, Peparing Criteria Catalog for Assessment of Offers
Reference
Kon96, Schw04, Wil75, Wan02, PD99, LMTC01, AF02
Purpose
Within the framework of IT projects, there is an increasing demand for procedures that permit a
qualitative and quantitative evaluation of specifications – like the »Requirements Specification, the
»Evaluation of Off-the-Shelf Products, or the »Overall System Specification – based on transparent
and repeatable criteria. In the course of the past 10 years, some standard modules have been develo-
ped for this purpose.
Weighted Scoring Model (WSM)
One of these standard modules is the Weighted Scoring Model (WSM) [»Schw04]. In a first step,
this model defines assessment criteria, which are then weighted in accordance with their significan-
ce for the overall system (e.g., essential, very important, important, nice-to-have, or 10, 7, 5, or 3
points). In the evaluation, the model will assign scores to the individual criteria, e.g., 70 % degree
of fulfilment. The total weighted scores are obtained by multiplying the score with the weights of
the individual criteria, e.g., 70 % * 7 points = 4.9 points. The total of all evaluated criteria indicates
the weighted score of the subject to be evaluated. The result can than be compared with the results
of the other points. In addition, minimum scores may be defined, which lead to appropriate conse-
quences for the overall project (e.g. if the weighted scoring for off-the-shelf products shows that the
acquisition of these products is no realistic possibility, the development of individual products is the
only way).
Analytic Hierarchy Process (AHP)
A similar procedure is the AHP procedure, which is also based on a decision matrix. The criteria are
arranged in hierarchy levels in accordance with their relevance, and the scores can be calculated
from pair-wise comparisons (cf. »Kon96 et al.).
Both methods, but particularly the AHP, pose the risk that the overall model becomes inconsistent
due to wrong weightings, thus loosing its informative value. The complexity of the model should be
limited - also considering the effort connected with the evaluation.
Special Case: COTS Software

8-10 Part 8: Annex
The evaluation of standard software and standard software components is intended to develop and
apply comparison methods and criteria, which permit the evaluation and selection of off-the-shelf
products. The subject has been discussed at international level since approx. 1990. Since that time,
the commercial use of IT has no longer aimed primarily at individual system developments, but at
the use and integration of standard applications.
Transaction Cost Analysis
The subject was first developed for industrial production, but was soon also transferred to the IT
sector: Is it more economic and effective, to produce a sub-product or end product within the enter-
prise or to purchase it from a third party? For this purpose, the transaction cost theory (TCT)
[»Wil75, »Wan02] was developed, which at first evaluates the assets based on their specificity for
the respective process: the more specific an asset is, the more recommendable is the production wi-
thin the enterprise, and the less specific an asset is, the more sensible is the purchase from third par-
ties. Second, the approach evaluates the uncertainties, the risks, followed by the frequency of use
and the reputation of the supplier. These are the criteria for the decision as to whether the asset
should be produced within the enterprise or purchased from a third party.
Meanwhile, numerous models have been developed, which propagate a combination of different
evaluation processes [for a small selection, refer to »Kon96, »PD99, »LMTC01, »AF02].
1.7 Fault/Reliability Analysis

Usage
Preparing Hardware Architecture, Preparing Hardware Specification, Performing Logistic Calcula-
tions and Analyses, Performing and Evaluating Safety and Security Analysis
Reference
Sta95, Ebe02
Purpose
The objective of the »Fault/Reliability Analysis is the identification of faults and the checking of the
reliability of a system. For the fault/reliability analysis the following methods may be used:
Failure Mode Analysis (FMEA/FMECA)
FMEA/FMECA is a methodical integrated part of system development and quality assurance. It is
used to increase the functional reliability and the reliability of »Work Products or processes and to
minimize the impact of faults. In addition to the functional and physical impact, this includes also
the life cycle costs (warranty or courtesy costs, maintenance concept, product liability).
Within the framework of the analysis, a team of experienced experts from different disciplines will
discuss possible failure modes, their causes, their effects and importance to the project for each in-
dividual technical or functional structural element.
Fault Tree Analysis

The fault tree analysis (according to the German standard DIN 25424) is a proven multi-purpose
analysis method. It is used for modeling the functional system and quantifying the reliability of the
system. Starting with the "undesired event" (system failure), the functions/failure modes of the
components and the actions required to operate a system are determined "top down". The result is
the Boolean model (the fault tree) that is quantified by using reliability parameters.
Reliability Models
A reliability model serves for the identification, compaction and verification of reliability require-
ments. Based on the user-oriented requirements and the operational environment, the system has to
be described by the model completely or adaptively.
The reliability model should not only be able to provide information about the achievement of the
quality targets of the users, but also about the related criteria and the intermediate objectives that
have to be achieved (increase in reliability) and the impact of technical changes.
Reliability Prediction of Electronic Equipment (MIL-HDBK 217)
For many years, MIL-HDBK-217 has been a standard method for reliability prediction. The hand-
book includes a number of empirically developed failure rate models that are based on historical
component part failure rates for a broad range of component types. Models are available for practi-
cally all electric/electronic parts and also for some electromechanical parts. All models predict relia-
bility in relation to failures per million operating hours and assume an exponential distribution (con-
stant failure rate) that permits the addition of failure rates in order to determine higher equipment
reliabilities. The handbook includes two prediction models (the component load technique and the
component counting technique) and takes into account 14 different work environments, such as at-
tached to the ground or observed on-board. Typical factors for determining the component failure
rate include a temperature factor, a performance factor, a load factor, a quality factor and an envi-
ronmental factor in addition to the basic failure rate.
1.8 Logistic Support Analysis

Usage
Performing Logistic Calculations and Analyses
Reference
MIL-STD 1388-1A
Purpose
The Logistic Support Analysis (LSA) is an iterative and goal-directed analysis process that accom-
panies the development in real time and a systematic sequence of individual analysis tasks with the
following objectives:
● Recording logistic product characteristics and the logistic product environment,
● Influencing the product development to realize and guarantee the required logistic product
characteristics,
● Determining the personnel and capital resources.
The inputs for the LSA are:

8-12 Part 8: Annex
● Technical documentation, such as mechanical and electrical engineering documents (for ex-
ample circuit diagrams, internal wiring and assembly diagrams),
● Basic material data, such as bills of material, information about components and bought-out
components (e. g. manufacturer, price, size, weight, order number), components with a long
lead time or similar characteristics (e. g. single source components), prices of all parts (form
components to the complete equipment),
● If necessary, additional required special tooling for manufacturing, testing, troubleshooting
and repair, information about dismantling and assembly, results of reliability, fault analysis
and security and safety analysis that also require input from the development process.
The method of the Logistic Support Analysis is defined in MIL-STD 1388-1A/2B.
1.9 Process Analysis

Usage
Performing a Process Model Assessment, Preparing Hardware Implementation, Integration and
Evaluation Concept, Evaluating Process, Preparing Evaluation Specification Process
Reference
Kne03, Car02, CMMI®, SPICE, DW88, Lev86, MIL-STD 1629A, EFQM, ISO DIS 10011, MIL-
STD 1521 B, IEEE-STD 1028-1988, ANSI-Norm N45, Sta95, Car93, Car98, Phi86
Purpose
Process analysis is the evaluation of organization-specific processes, the identification of faults and
deficiencies in the development process and the determination of deviations from given standards,
guidelines and approaches. Process analysis may be carried out with the following methods:
Assessment Methods:
The assessment method is used to evaluate processes in an organization. For this purpose various
assessment models and methods may be used, such as:
1. »V-Modell XT Assessment
2. »V-Modell XT Compliance Test
3. CMMI®: »CMMI® (C apability Maturity Model Integration) is an improved version of the
Capability Maturity Model that combines various other frameworks prepared by the Softwa-
re Engineering Institute. CMMI® allows not only to support software development proces-
ses, but is also related to risk management and structured decision-making. It also permits
the effective integration of human capability aspects within the software development.
4. SPICE (ISO 15504): The »SPICE ( Software Process Improvement Capability dE termina-
tion) project is an international initiative for the development of a software process assess-
ment standard. Approximately 40 countries participated actively in the development of this
standard, which was headed by the Working Group 10 at ISO (ISO/IEC JTC1/SC7/WG10).
The SPICE project is subdivided into six phases that are connected with each other: project
initialization, product development, testing, product revision, knowledge and technology
transfer, conclusion. The standard includes process evaluation, process improvement and
performance evaluation. The primary goals of the standard are to further predictable product

quality, to make improvements so that maximum productivity is achieved, to further a repli-

cable software process and continuous process improvement through periodic consistency
checks.
5. EFQM: The »EFQM -Methodology (European Foundation of Quality Management) is
used for the evaluation of a company as a whole. EFQM may be used to evaluate processes,
but it provides mostly qualitative and not quantitative information. In the EFQM method
also interfaces to not development-relevant business processes are evaluated. A self-check is
made by the persons in charge of the businesses. The objective is to identify strengths and
improvement potentials through improvement measures and a new self-check after, for ex-
ample, one year. The EFQM methodology originated from the TQM concept (Total Quality
Management). It forces people to consider the company as a whole, takes as a basis a gene-
rally accepted business excellence model and offers a generally accepted measure of effec-
tiveness, for example a possibility to make Europe-wide comparisons.
Defect Causal Analysis:
The Defect Causal Analysis is a method that records faults of the product and deficiencies in the
preparation process immediately after their occurrence and tests them systematically for their cau-
ses. This results in suggestions for corrective measures concerning the process and its environment.
The suggested measures are reviewed by the management and their implementation is initiated. Af-
ter their implementation the measures are tested and their effectiveness is measured. Successful
measures will lead to process improvements that are introduced on a broad basis.
Categories of failure causes are:
● Communication problems (e. g. the responsibilities/tasks in the project/team are not clearly
defined, points of contact not available because people are absent (vacation, extension trai-
ning), inadequate communication between participating groups (software/software, softwa-
re/hardware, development/acquirer, multi-site development),
● Implementation problems (tools, time management),
● Lack of orientation, lack of knowledge (e. g. the design is not understood, knowledge of the
programming language is lacking),
● Procedural problems (e. g. the process is not suited for the product, there is a lack of mecha-
nisms for the processing of change requests, etc.)
● Problems caused by unplanned extensions.
Audit:
The objective of the audit is to determine deviations from specified standards, guidelines and ap-
proaches when carrying out activities. The task of an audit is in particular to point to possibilities
for improvement. The audit is based on the principle that a team led by a audit team leader checks
and evaluates on the basis of defined evaluation criteria how the activities are carried out. For tests
and evaluations, human faculty of judgment and the interview technique are used. Depending on the
extent of the test it is sufficient to have the audit performed not by a team but by an individual per-
son.
FMEA/FMCEA:
For the description of FMEA/FMCEA, see »Fault/Reliability Analysis.

8-14 Part 8: Annex
1.10 Project Planning and Control

Usage
Preparing Commercial Project Status Report, Planning Project
Reference
Bal00, Röt01, PMI
Purpose
The objective of project planning and control is the definition of projects and to monitor their pro-
gress towards a specific goal. Project planning and control may be performed with the following
methods:
Gantt Chart and Network Planning Technique
The goal of the network planning technique is to schedule activities and at the same time take into
account their dependencies. "Dependency" means for example that an activity may start only when
another activity is finished.
As a notation for project plans, the "Gantt chart" is used. Gantt charts exist in different forms, as a
so-called Meta Potential Method, as Program Evaluation and Review Technique or as Critical Path
Method. These different notations are integrated by modern project planning tools.
As a basis for time scheduling, the network planning technique offers varying calculation methods:
When entering the dependencies of the activities on each other, the durations of the activities and
the earliest and latest project starting and end dates, it is for example possible to calculate critical
paths. Critical paths consist of activities that depend on each other and whose delay will lead to an
overall delay of the project.
Milestone Trend Analysis
A Milestone Trend Analysis (MTA) illustrates graphically the changed assessment of planned va-
lues at the various reporting times and the changed ratio between planned and actual values.
Earned Value Method
The "Earned Value Method" graphically presents a comparison between planned and actual values
of the schedule and cost situation related to the progress of the work in a project. It combines per-
formance progress measurement methods with cost tracking and time control.
In the EVV diagram three different views of the project progress are compared with each other:
● Planned value: Budget value of the planned performance,
● Actual Value: Actual value of the performance provided,
● Performance: Budget value of the performance provided.
From this parameters the value variance (actual value minus performance) and the performance va-
riance (planned value minus performance) on a key day are determined.
Cost-Benefit Analysis
See the description of »Cost-Benefit Analysis .

1.11 Prototyping
Usage
Preparing Software Architecture, Preparing System Architecture, Preparing System Specification
Reference
Geb02, Mac99
Purpose
Prototyping is a method for testing or refining new systems, programs or information management
systems. For this purpose a model of the system to be tested is developed and used for tests or stu-
dies.
When in rapid succession again and again slightly improved prototypes are planned and not much
time is spent on planning a "perfect" prototype, people are talking of so-called "Rapid Prototy-
ping" .
In Explorative Prototyping a prototype is developed as a means of communication ("showpiece
prototype"). In a direct exchange of views with the user, the prototype is then used to refine, com-
plete and clarify user requirements.
1.12 Requirements Analysis

Usage
Determining Requirements, Preparing External Hardware Module Specification, Preparing Logistic
Support Specification, Preparing External Software Module Specification, Preparing External Unit
Specification, Preparing Overall System Specification, Preparing System Specification
Reference
Rup04, Coc00
Purpose
The objective of the analysis of requirements is the identification, description and quality assurance
of requirements. For the analysis of requirements the following methods may be used:
Use Case Modeling
The objective of this method is to collect and present the functional requirements for a system from
the point of view of external operating units ("actors"). The requirements have to be described in the
form of use cases. A use case may be concretized in a number of scenarios. External operating units
(for example staff, »Project Leader or administrator) represent roles that may be played by actual
persons, machines, computer tasks or other systems.
A use case will be initiated by an operating unit, and its description will contain the dialogs or inter-
actions between this operating unit and the system that are "required" to work on a task. For the de-
scription of the interactions a sequence of actions and events is defined that are triggered by the in-

8-16 Part 8: Annex
itiating operating unit, the system or other operating units. Only those actions or events have to be
defined that are visible from the point of view of the operating unit, but not details that describe
how the system is intended to work internally.
The »System Specified use cases represent as a whole the application-oriented functional require-
ments for the system. For a complete description, if possible all identified use cases should be speci-
fied in this form.
Interview Technique
One possibility for the identification of the requirements is the interview technique. It is used to
question future users in a specified and formalized process. It is assumed that with this interview
technique it is possible to form different groups and to inquire about utilization potentials that are
difficult to quantify, that are quantifiable and that are supplementary. For such an approach the in-
volvement and active cooperation of all areas concerned is absolutely necessary for the quantificati-
on of the utilization potentials. Although it is possible to assume in advance fictitious values when
this cooperation is lacking, those values subsequently may be questioned very easily by the affected
areas. A defined interview method is the "Structured Hierarchical Interviewing for Requirement
Analysis" (SHIRA), which sets in very early. SHIRA tries to understand the concrete meaning of
product attributes, such as "simple", "innovative", "controllable" or "impressive", for a possible
software product.
Dialog Design Modeling
The aim of "Dialog Design Modeling" is to model the structure of a user dialogue with screen
masks, leaving the layout of the screen masks out of consideration. The masks may only be typified
(the type may be for example an input mask).
System Behavior Models
The aim of the preparation of system behavior models is to use a model to specify the requirements
for the dynamic behavior of a system considering in particular the influence of (external) events on
the system and possible concurrencies within the system. This model is used in particular for the
alignment with the requirements of the user and the exact definition with regard to completeness,
unambiguity etc.
Cost-Benefit Analysis for Requirements
In the analysis of requirements often a cost-benefit analysis for the prioritization of the requirements
is made. This is an analysis with the goal to make a recommendation whether the expected benefit
of the realization of an requirement will justify the expected costs. This makes it easier to eliminate
requirements of lesser importance.
Use of facilitation techniques
Sometimes, an unconventional approach is necessary in order to successfully deal with the hetero-
geneity of the stakeholders participating in the elicitation of requirements. Facilitation techniques
serve the purpose of enabling the develompent of unusual creative ideas. However they are not sui-
ted to elicit detailed descriptions of the precise behaviour of a system. Albeit facilitation techniques
can serve to overcome obstacles which the own way of thinking and the missing familiarity with so-
meone elses thinking can pose to the elicitation of requirements.
The following facilitation techniques may be apt depending on the situation:
● Brainstorming,

● Brainstorming paradox (results, which are not to be achieved, are collected),

● 6-3-5 method (Brainstorming in writing: 6 participants develop 6 ideas each, these are distri-
buted until each participant has posessed each card once),
● Change of perspective (each participant considers the problem from a different previously
defined perspective),
● Walt Disney method (the participants are classified into the groups dreamer/visionary, realist
and critic),
● Bionic/biosociation (finding of proper associations to the problem and discussion of solution
possibilities for the analogon).
Use of observation techniques
The user has the most knowledge of how tasks of his daily work can be tackled. Nevertheless it
happens often that the user - consciously or unconsciously - does not provide suitable descriptions
of his activities. Observation techniques are used to give the requirements engineer an insight into
the world of the user. These techniques may be very time consuming, but they offer the potential for
the requirements engineer to really understand the tasks the user has to cope with and thus for the
requirements engineer to phrase his own requirements to support these tasks.
The following observation techniques may be used:

● Field observation (the requirements engineer observes the user in his daily work),
● Apprenticing (the requirements engineer learns the tasks of the user and applies them).
1.13 Review
Usage
Evaluating Document, Preparing Evaluation Specification Document, Preparing Software Imple-
mentation, Integration and Evaluation Concept, Integrating into Logistic Support Documentation
Reference
FW90, Bal00
Purpose
A Review is a scheduled, critical, systematic and documented content check of the results of the
work at the end of defined work steps. The Review is characterized by a defined approach that is
put down in writing. In the review testing is performed on the basis of defined specifications (e. g.
reference documents, evaluation criteria). In the test tools (such as forms and checklists) are used,
and the results of the review are evaluated and documented in a protocol. CMMI® calls for so-cal-
led Peer Reviews. Those are reviews performed by peers, i. e. knowledgeable colleagues.
The goals of the Reviews are:
● Checking results on the basis of objective evaluation criteria,
● Detecting and eliminating faults in the results of the work at an early stage,
● Ensuring compliance with guidelines, standards and other specifications,

8-18 Part 8: Annex
● Avoiding that work performed in earlier phases is repeated,

● Minimizing the costs of the elimination of faults,
● Obtaining »Measurement Data Types for the evaluation of the quality of results and the pro-
cess,
● Disclosing deficiencies in the development process,
● Gaining experience so that in the future faults can be avoided.
The Review starts with preliminary work that includes an introductory meeting (depending on the
method) and the preparation of the review meeting (e. g. selection of the date and the location).
Then the Review is performed in accordance with a previously defined procedure. The faults and
suggestions for improvement for the review object (e. g. document, code, drawing or process) that
were documented during the review are worked over by the author of the review object. Then the
review object may be released.
The following requirements apply to the review procedures that are to be used:
● The schedule, the individual steps and the »Roles and their tasks have been defined and des-
cribed.
● All steps that have to be performed have been planned and the persons in charge and the
evaluation criteria have been determined.
● The results of the Review are recorded, the fault data and expenditures are documented and
analyzed.
There are some basic review procedures that vary in their structure and schedule and in the roles
(including tasks) that are used:
● In the "Comment Technique" procedure (for example an opinion) the review is performed
separately by the »Inspectors; there is no meeting.
● In "Meeting Technique" procedures, such as a walkthrough, peer review or one-to-one
talk, the faults found during the preparation are discussed in the meeting.
● In Inspections, such as intensive inspection of code or documents, the contents of the ob-
jects to be tested are systematically discussed.
● In "Combined Procedures" different procedures from written comments and the review
meeting are combined.
Review Methods:
Inspection or Walkthrough
The walkthrough is a formalized review technique with defined approach and role allocation in the
review meeting. The objective of the review procedures inspection and walkthrough is to identify
existing faults or fault-prone situations and to measure quality. The object of the review procedure
is the source text of the program (in connection with the specification), the document or the dra-
wing.

A walkthrough is recommended for objects of high complexity or with a high fault density. The
number of persons participating in the review may be between three and seven. A larger number of
participants usually requires additional efforts that are not matched by an additional benefit in the
form of a larger number of detected faults; also tight moderation of a meeting with eight or more
participants is no longer possible.
A walkthrough or an inspection of a document, a code or a drawing is performed mostly in a team
of about four persons. In addition to the developer, this team includes one moderator and some ex-
perts. The developer explains the program logic statement by statement or the document sentence
by sentence. The team members ask questions and identify faults. The recommended duration of a
meeting is approximately two hours.
One-to-One Talk
The one-to-one talk is a special form of the walkthrough; by limiting the participation to only two
persons the effort required for the review is to be kept small. However, to ensure an intensive re-
view and that if possible all faults are found, in this technique the functions to be performed and the
sequential steps are specified in concrete terms and on top of that, with the reader, a special function
is provided. Because of the smaller number of persons, however, it is possible that important experi-
ence and know-how of those staff members who are not involved may be lost.
Combined Procedures
In those cases in which as many participants as possible are to be involved in the review, which, ho-
wever, would exceed the planned maximum number of participants in one meeting, a combination
of two review techniques is practical. This is for example the case if the review object has to be
considered from many different points of view or if it affects a large number of authorities.
The combination includes, firstly, written comments provided by staff members who cannot or are
not to take part in the meeting in connection with a walkthrough and, secondly, a walkthrough. In a
first phase the review object is checked by all possible participants in order to seek as many com-
ments as possible. This is followed by a walkthrough in which only selected staff members (for ex-
ample those who are primarily affected by the review object) or those staff members who are
available at the time of the meeting will take part.
1.14 RFP Support

Usage
Assessing and Selecting Offers, Preparing Request for Proposal, Determining RFP Concept, Pepa-
ring Criteria Catalog for Assessment of Offers
Reference
UfAP IV
Purpose
An important method, in particular in the public sector, is »UfAB III ("Unterlage für die Ausschrei-
bung und Bewertung von IT-Leistungen" (Document for the » Request for Proposal and for the
Evaluation of IT Services)). This method supports the public »Purchaser in the procurement of IT

8-20 Part 8: Annex
equipment and services. It represents a standard for a standardized evaluation of »Offers. With the
help of this document an objective, transparent and reconstructible evaluation of IT offers, be it
software, hardware or other services, is possible.
It describes the process and the necessary contents of the RFP and evaluation of offers for all EU
and national procedures.
1.15 Simulation
Usage
Evaluating System Element
Reference
Sch03, Hof97
Purpose
The goal of a simulation is to indicate system behavior from dynamic aspects. The dynamic effects
are generated respectively estimated by including an operational scenario or a sequence of events in
the model. The use of the simulation method is in particular practical for the evaluation of the follo-
wing characteristics:
● Fulfillment of quality requirements,
● Response behavior for specific input data,
● Use of the CPU,
● Storage use/capacity,
● Fulfillment of operational/operating period constraints,
● Man-Machine interaction and response behavior.
1.16 System Analysis

Usage
Preparing External Hardware Module Specification, Preparing Hardware Specification, Preparing
Logistic Support Specification, Preparing External Software Module Specification, Preparing Soft-
ware Specification, Preparing External Unit Specification, Preparing Overall System Specification,
Preparing System Specification
Reference
BRL99, You92, Mor99
Purpose
The objective of the system analysis is the identification, modeling and evaluation of systems. The
following methods may be used:
Object-oriented Analysis (OOA)

For the OOA, resources of the UML method family may be used:
1. Use Case Modeling
The objective of this method is to identify and describe the functional requirements for a system
made from the point of view of external operating units ("actors"). The requirements have to be des-
cribed in the form of use cases. A use case may be put into more concrete terms in a number of sce-
narios. External operating units (for example staff, the »Project Leader or the administrator) repre-
sent »Roles that may be played by actual persons, machines, computer tasks or other systems.
2. Class/Object Modeling
This method is used for object-oriented system development, which requires the modeling of clas-
ses, associated attributes and operations and the relations between the classes. It is the task of class
modeling to determine the static class structure in class models. With regard to the design of a sys-
tem, a class is statical and defines the structure and behavior of similar objects. Objects have to be
modeled as instances of classes.
In object-oriented development, class/object modeling may be used both in the analysis and in the
design phase. In the analysis phase, the class structures and the object structures have to be modeled
from the point of view of the user in order to express what a system does. In the design, these struc-
tures have to be refined, and it has to be determined how things are done by the system.
In class modeling, attributes have to be used to model identifying, descriptive and referencing infor-
mation in a class. The development results may be refined using additional modeling options, such
as for example determining the visibility, allocating role names, assigning constraints, describing
derived attributes and using higher order relations.
Class modeling concepts may also be used to define the statical aspects of interfaces of classes and
subsystems and their application. Those parts of classes (attributes, operations) or subsystems (clas-
ses, relations) that are defined as interfaces may be marked once again in separate interface models.
3. Interaction Modeling
This method is used for object-oriented system development. The objective is to use interaction mo-
dels to describe interactions between objects and their order. Interactions may be used to express the
occurrence of events or the exchange of messages. The method may be used for formalizing scena-
rios (succession of events and the related system behavior) and for modeling the dynamic sequence
of operations. In this process sequence diagrams are used to concentrate on modeling and visuali-
zing the sequence-oriented order of the interactions between objects. For a more detailed modeling
of the relations of the interactions and in order to place emphasis on the software structure, mainly
interaction graphs ("collaboration diagrams") are used. During the modeling of the interactions, the
time required for communication is not directly considered; it is possible, however, to model time
limits. Concurrencies can be modeled. Development results may be refined by modeling signatures,
synchronous and asynchronous sequences, time, sequence and synchronization conditions, bran-
chings, iterations and recursions and by generating and deleting objects.
4. Activtiy Diagrams
Activity diagrams may be used as a concretization of the use cases by applying activity diagrams to
use cases, thus describing dependencies, concurrent processes and decision/branching points. Acti-
vity diagrams also may be used as a special kind of state diagram, which shows exclusively activi-
ties and transitions between those activities. An activity is assigned to a state and represents a conti-
nuing internal action.

8-22 Part 8: Annex
5. State Modeling
The objective of state modeling in the field of object-oriented system development is to model the
dynamic behavior of a system. The most important area of application is the modeling of the dyna-
mic behavior of objects of significant, event-controlled classes. Such classes usually specify "acti-
ve" objects.
The behavior of the objects of a class has to be abstracted as a life cylcle and is modeled in a state
model. The state model is to define all states that an object may take on, the possible state transiti-
ons, the events that may effect state transitions, the conditions that have to be fulfilled in addition to
the events so that a state transition can occur, and the actions that have to be taken because of state
transitions.
The states are used to determine data values that may assumed by the attributes of an object of a
class and possible connections with other objects. The state transition that occurs for an object of a
class in a concrete situation is unambiguously defined by the current state of the object, the event
that occurred and specified conditions.
In a state model, a path represents a sequence of events. It must be possible to model scenarios that
are frequently used during the analysis to formulate desired sequences of events on the paths of the
specified state models.
Struktured Analysis (SA)
The structured analysis consists of the combination of the following methods:
1. Data Flow Modeling
The objective of "data flow modeling" is to specify the functional structure of a system by the com-
bined examination of functions and data. In this process the data flows form the interfaces between
the functions. Data flow modeling abstracts from the physical conditions of a planned system.
In a top-down approach, more and more detailed levels of the future systems will be specified. The
starting point is a layout diagram ("context diagram") that shows only the system's data flows from
and to its environment. When refining the data flow model, the functions identified in the functional
hierarchy are refined with the help of a data flow diagram of the corresponding level.
A data flow diagram of a specific hierarchical level may be described as an interplay between pro-
cesses that are connected via data flows. A refinement of the data is always carried out in coordina-
tion with the corresponding refinement of the functional hierarchy. When modeling the data flows,
it is important to find a logical internal structure of the planned system, which is stable and indepen-
dent of design decisions and hardware factors.
2. Functional Modeling
The objective of functional modeling is to break down a system step-by-step, starting with the view
on the main functions of the system over the intermediate levels down to the elementary function le-
vel. At each level abstraction from details of the next lower level is performed. Together the sub-
functions yield completely the function that was broken down (functional hierarchy).
Formal Specification
The formal specification is a specification that follows strict rules. A distinction is made between
two classes of formal specifications: the abstract specification (which is neutral with regard to the
implementation, reflects a black box view and is an algebraic specification) and the model-based
specification, in which the change of the state of the system is described on the basis of one or more

operations (an example of this is the Z specification). The objective of a formal specification is a
short and accurate description with the possibility to translate it directly into code. It is desirable to
be able to verify the system so that faults can be detected and to have a proof for the correctness of
the program on the basis of the specification. The disadvantage of a formal specification is its diffi-
cult and costly preparation, which is mastered only by a few developers or project leaders, and the
fact that it is impossible to understand for the acquirer (i. e. it cannot be used as a basis for commu-
nication) and that it is limited to some functional requirements (e. g. mathematical calculations).
Sine it seems to be hardly possible to realize a purely formal specification, a mixture of formal and
semi-formal or informal specification is the optimum solution. It should be used for everything that
can be formally specified. The remainder will be handled with a different specification variant.
1.17 System Design

Usage
Preparing Software Architecture, Preparing System Implementation, Integration and Evaluation
Concept, Preparing System Architecture
Purpose
»System Design may be specified
● object-oriented,
● function-oriented or
● formally.
Object-Oriented Specification
In the object-oriented design methods the same methods from the family of UML methods may be
used as in the »System Analysis.
Function-Oriented Specification
The "Structured Design" method is mainly used in connection with the structured analysis. This me-
thod dates from the seventies and is today mostly still used for maintaining legacy systems. A struc-
tured design is a design method that leads to a software architecture consisting of functional process
modules. The structure of the architecture is a tree or an acyclic network, which is described with
the help of structure diagrams. This method is used both for the preliminary design and the detailed
design of software. In the preliminary design, the objective of this method is to structure both the
higher control sequences and the actual processing functions in the form of a process module hierar-
chy.
Formal Specification
The formal specification is described in the section »System Analysis.
1.18 Test
Usage

8-24 Part 8: Annex
Preparing Hardware Implementation, Integration and Evaluation Concept, Preparing Software Im-
plementation, Integration and Evaluation Concept, Preparing System Implementation, Integration
and Evaluation Concept, Preparing Evaluation Specification System Element, Evaluating System
Element, Integrating into Logistic Support Documentation
Reference
Bal00, Tha02
Purpose
The objective of the test is to detect faults and to prove that specified requirements have been met.
A distinction is made between various structural tests, White Box Tests and Black Box Tests.
In structural testing tests, the internal structure is known during the tests. In this context, an import-
ant »Role is played by the coverage, which indicates how intensively the structure was tested.
Black box tests are performed without knowing the internal structure with regard to the require-
ments. They have different objectives and include various test types, such as:
● Functional Test,
● Volume Test,
● Stress and Performance Test,
● Resources Test,
● Recovery Test,
● Usability Test,
● System Test,
● RegressionTest.

2 Tool References 8-25
2 Tool References
2.1 Change Request Management

Usage
Deciding on Changes, Maintaining Change Status List, Assessing Problem Report/Change Request,
Preparing Problem Report/Change Request
Purpose
● record problem reports and change messages,
● classify problem reports and change messages according to urgency and impact,
● describe the state and state of fault processing (change control and state reporting).
Tools for supporting the change request management are toFrequently change request management
tools are combined with configuration management tools, but sometimes they may also be separate.
2.2 CM Tool
Usage
Managing Product Library, Managing Product Configuration, Preparing Software Implementation,
Integration and Evaluation Concept, Preparing System Implementation, Integration and Evaluation
Concept
Purpose
In the daily routine of a project, transparency and traceability are crucial requirements. For this pur-
pose »CM Tools are used. This means that, during the whole lifetime of the software product, it is
must be possible to permanently keep track of and to control its structure and components. In the
simplest case, a file system is used for this purpose. More practical, however, is the use of special
tools that support orderly filing. It must be possible to identify connections and differences between
earlier configurations and the current configuration at any time with the help of the CM tool. Fur-
thermore, it has to be ensured with the help of the CM tool that it is always possible to access both
the current version and previous versions. There are some open source CM management tools, but
the majority of these tools is proprietary.
Typical characteristics of CM systems are:
● Version tracking,
● Variant tracking,
● Build management,
● Change management and dependency tracking,
● Bug tracking,
● Documentation tracking, distribution tracking etc.

8-26 Part 8: Annex
2.3 Compiler
Usage
Preparing Software Implementation, Integration and Evaluation Concept
Purpose
A compiler is a computer program that converts a program written in a source language into a se-
mantically equivalent program in a target language. Usually this is the translation of a source text
written by a programmer in a programming language into assembler language or computer langua-
ge.
As a rule, a compiler does not generate a finished program that can be directly executed, but an ob-
ject file. One or more object files may be connected with a link program for an executable program,
even if they were generated in different languages or even by an assembler. Compilation is a single
event, i. e. it does not have to be repeated for each run of the program, because the "translation" is
stored.
2.4 Construction/Simulation
Usage
Preparing External Hardware Module Specification, Preparing Hardware Architecture, Preparing
Hardware Specification, Preparing Hardware Implementation, Integration and Evaluation Concept,
Preparing External Software Module Specification, Preparing System Implementation, Integration
and Evaluation Concept, Integrating into Logistic Support Documentation, Performing and
Evaluating Safety and Security Analysis
Purpose
CAE/CAD tools for logic circuit design usually have the following functions:
● Design of a circuit in the form of a circuit diagram,
● Verification of the function,
● Simulation under different tolerance conditions,
● Generation of package and component libraries,
● Conversion of the circuit diagram to a layout,
● Manufacturing of exposure masks for production,
● Derivation of data that are important to production, such as parts lists and test plans.
Related to this is the design of programmable building blocks, such as gate arrays, GALs and other
types of Programmable Logic Devices (PLDs). Programs for finite element analysis simulations
have to be referred to as a special case of CAD development.
2.5 GUI Tools

Usage

Preparing Style Guide for Man-Machine Interface
Purpose
Software ergonomics deals with the aspects of the design of user interfaces (Graphical User Inter-
face, in short GUI). With the help of the GUI tool, the graphical user interface of a software, the
man-machine interface, is designed. GUI design characterizes what the user of the software sees, i.
e. what goes beyond its simple functioning. In this context special attention is paid to human per-
ception and information processing. During the GUI design, the user interface is planned and tested.
This development stage includes the definition of user actions (the possible actions of the users), the
representation of the system functionality and the feedback.
2.6 Integrated Development Environment

Usage
Preparing External Hardware Module Specification, Preparing Hardware Specification, Preparing
External Software Module Specification, Preparing External Unit Specification, Preparing Overall
System Specification, Preparing System Implementation, Integration and Evaluation Concept,
Preparing System Specification, Developing Migration Concept
Purpose
An integrated development environment is a universal platform for the development and testing of
software. Usually the terms Integrated Design Environment and Integrated Development Environ-
ment (both abbreviated IDE) are used. IDEs may be combined functionally to a group and usually
include the following components:
● Text Editor,
● Compiler and/or Interpreter,
● Linker/Binder,
● Testing Aid (Debugger).
In most cases IDEs have a common database and make it possible to work under a coherent graphi-
cal user interface. This allows it to automate frequently occurring work steps, and it is no longer ob-
vious when there is a change in the individual program (for example between editor/compiler/linker
or debugger/editor). Furthermore, more comprehensive IDEs may have additional useful com-
ponents, such as version management, project management or the option of an easy generation of
GUIs.
2.7 Modeling Tool

Usage

8-28 Part 8: Annex
Preparing External Hardware Module Specification, Preparing Hardware Architecture, Preparing

Hardware Specification, Preparing Hardware Implementation, Integration and Evaluation Concept,
Preparing Logistic Support Specification, Preparing External Software Module Specification,
Preparing Software Architecture, Preparing Software Specification, Preparing External Unit
Specification, Preparing Overall System Specification, Preparing System Implementation,
Integration and Evaluation Concept, Preparing System Architecture, Preparing System Specification
Purpose
Modeling is a central task in many areas of software technology, such as when determining require-
ments, structuring application domains and developing software and process architectures. It is sup-
ported by modeling tools that model the methods with an emphasis on the UML-based modeling
techniques or the conventionally structured methods.
Modeling tools may be part of an integrated development environment (IDE) or a pure stand-alone
modeling tool.
Graphic modeling tools make it possible to design simulation models on the screen even without
extensive knowledge of details and initially without relationships described in formulas. In this pro-
cess, the model is generated interactively on the screen as a network of effects by taking symbols
for the elements, state variables, incremental values, functions and constants from a palette and lin-
king them on the screen with the mouse, using the drag-and-drop method.
2.8 Project Planning

Usage
Preparing Logistic Support Concept, Planning Project, Performing an Estimation
Purpose
● the monitoring of milestones,
● project control by way of work orders and
● quantitative project planning and control (expenditures, costs and time, planned/actual com-
parison).
Project planning tools support the scheduling of activities that have to be carried out and their de-
pendencies as well as the resource planning. In addition, the following aspects may be supported:
2.9 Requirements Management

Usage

Determining Requirements, Preparing External Hardware Module Specification, Preparing

Hardware Specification, Preparing Logistic Support Specification, Preparing External Software
Module Specification, Preparing External Unit Specification, Preparing Overall System
Specification, Preparing System Implementation, Integration and Evaluation Concept, Preparing
Purpose
In the course of a project it is necessary to record new requirements, to import them if required from
other documents and to change and to manage them. When there is a large number of requirements,
only a tool-based management is possible. The requirements management tools should perform the
following tasks:
● Recording the requirements;
● Building up and managing requirements structures (e. g. hierarchical and loose structures,
reference to the appropriate test requirement);
● Refining the requirements;
● Managing the history;
● Tracking requirements (for example to determine whether the requirement has already been
processed or how long it took to process the requirement),
● Analyzing and tracing the requirements (e.g. to design objects and evaluation cases),
● Supporting the impact analysis (how large will be the expenditure in case of a change in the
requirement and what additional requirements will be affected by that),
● Database-supported requirements management, if possible in several database platforms,
● »Determining Requirements attributes (including for example priority, processing state, im-
plementation costs, action officer).
2.10 Test Tool

Usage
Preparing Hardware Implementation, Integration and Evaluation Concept
Purpose
A test is a demonstration, which can be repeated any time, that a software product has the required
functions and performance and that it complies with the agreed interfaces. The tools are used to
support process module, integration and system testing. They are to support both black and white
box tests and have (more or less) the following characteristics:
● Test planning,
● Test design,
● Test case definition,
● Test case archiving,
● Test execution,

8-30 Part 8: Annex
● Test reports,
● Test management.
This includes the execution of the following types of tests:
● Functional test,
● Interface test,
● Performance test,
● GUI tests,
● Safety and security tests,
● Regression test.

3 Glossary 8-31
3 Glossary
Acquirer The user is understood to be the acquirer in a contract, i. e. the

recipient of a »Work Product provided by the »Supplier (DIN EN
ISO 8402).
Acquirer/Supplier Interface The »Acquirer/Supplier Interface describes explicitly which »Work
Products are exchanged between the user and the supplier V-Modell
project. These products are called »Interface Products.
Activity A distinction is made between the »Activity Type and the »Activity
Instance. In the context of the V-Modell the term Activity generally
denotes an »Activity Type.
Activity Group see »Discipline.
Activity Instance An »Activity Instance is understood to be the concrete form of an
»Activity Type, for example the realization of a certain software
unit.
Activity Structure The term »Activity Structure is understood to be the quantity of
»Activity Instance of a project and their relations.
Activity Type An »Activity Type (in the following briefly called "activity")
describes »Activity Instance that may be executed during a
Activities are part of exactly one »Discipline and thus always
assigned to a »Process Module. Each »Work Product is assigned to
an activity by which it is processed. Thus activities modify
products. Product used only as an input for an activity are not
explicitly assigned to an activity. When a product is finished, it is in
the »Product State »Finished, and the finishing conditions assigned
to the product apply. Activities are further subdivided in sub-
activities.
Advanced V-Modell See »V-Modell, Advanced.
Application Profile An »Application Profile indicates the values adopted for the
individual »Project Characteristics in concrete projects. On the
basis of this application profile an initial »Tailoring is performed.
Component-Based see »Development, Component-Based.
Development
Consistency State A »Work Product assumes one of the two consistency states
Consistency Checked or Consistency Unclear. This state is assigned
to the product depending on whether the conditions defined within
the framework of a »Product Dependency are fulfilled.
Content-Related Product See »Product Dependencies, Content-Related.
Dependencies

8-32 Part 8: Annex
Contributor The term Contributor describes those roles whose consultation is

absolutely necessary for the processing of a »Work Product.
Data Protection The purpose of data protection is to protect the individual against
his right to privacy being impaired through the handling of his
personal data. (Reference: Bundesdatenschutzgesetz (Federal Data
Protection Act)).
Decision Gate At a »Decision Gate a decision is made whether a »Project Progress
Stage is reached. This decision is made on the basis of the
»Finished »Work Products defined for the decision gate.
The order in which the decision gates have to be passed through in
a project is determined in the »Project Execution Strategy.
Degree of Risk Within the framework of risk management, the »Degree of Risk is
the »Risk Damage weighted with the »Risk Probability.
Degree of Risk = Risk Probability * Risk Damage
Development, Component- The develoopment strategy »Component-Based Development is
Based based on the idea that the new system will largely be developed by
integrating existing system elements. A »System Element intended
for integration (e.g. a segment or a hardware/software unit) has a
clearly defined external interface, includes design and
implementation and can be connected to other system elements. It
is functionally and technically independent and has a certain size
(i.e. economic value).
Generally a system element intended for integration must have the
following characteristics:
● Availability of clear, accurately defined interfaces
● Communication with the environment (e.g. other
components) exclusively via the defined interfaces
● Adaptation to certain application environments
(Customizing) exclusively via the interfaces
● Realization specifications not visible for the user
(Blackbox)

3 Glossary 8-33
Development, Incremental Development strategy which at first defines the overall system in
an »Overall System Specification . Afterwards, the system will be
continually refined in accordance with the Divide & Conquer
principle until the »Software Specification has been developed,
which will then be implemented and integrated by means of a
suitable »Software Architecture.
The Supplier designs, realizes and delivers the system in individual
steps, which are also called »Increment. Each increment will be
accepted individually by the Acquirer and laid down contractually
in advance, or additional contracts on the development of
complementing increments will be concluded. Before an increment
will be delivered to the Acquirer, the Supplier may complete
several internal iterations.
Within the framework of this development strategy, the Acquirer
should avoid changes within one increment. Changes should be
integrated into the following increment by means of change
management procedures. The Supplier should be informed as soon
as possible about important changes which may have a significant
influence, e.g., on the architecture of the system. For the Acquirer,
this approach has the advantage that he will have an early
preliminary system which already realizes the basic functionalities
of the entire system.
This development strategy is particulary suitable if the system
requirements are regarded as relatively stable and the technological
risks are rather low. It is possible to use off-the-shelf products, but
the main portion of the system will be developed within the
framework of the project.
Development, Prototypic The »Prototypic Development Strategy is based on the knowledge
that it is frequently impossible to define the system requirements in
advance. In addition, it ensures that nothing will be specified unless
it has proven its feasibility. Therefore, this strategy is used
particularly if the project includes realization risks. Changes of the
requirements will be managed by the Problem and Change
Management.
Another typical feature of this development strategy is the fact that
the Acquirer is present at the site of the Supplier during the
development. This enables the Acquirer to directly express his
change proposals. The Supplier designs, realizes and delivers the
system in individual steps, which is similar to the development
strategy »Incremental Development. Each step will be accepted
individually by the Acquirer. For the Acquirer, this approach has
the advantage that he will have an early operable system which
already realizes most important the basic functionalities. In
addition, this strategy enables the Acquirer to give an early
feedback, which minimizes the development risks of the Supplier.

8-34 Part 8: Annex
Development Standards for See the »V-Modell.

IT Systems of the Federal
Republic of Germany
Discipline The »Work Products and »Activity of the »V-Modell are
hierarchically structured. At the highest level are Disciplines. A
Discipline is a grouping of a number of products that, with regard
to contents, are closely connected with each other and of activities
that prepare the respective products.
Examples of Disciplines include »Supply and Contracting and
»System Design. Each Discipline is unambiguously assigned to one
»Process Module.
Earlier V-Modell XT versions represented Disciplines by means of
Product Groups and Activity Groups. This subdivision is no longer
used.
Dynamic Tailoring Dynamic »Tailoring is understood to be the tailoring activities that
are carried out during the project duration to further adjust the list
of the activities to be carried out and the products to be prepared,
which is drawn up at the start of the project, to the project.
External Hardware Module see »Hardware Module, External
External Product See »Work Product, External.
External Software Module see »Software Module, external
External Unit The Product »External Unit comprises system elements which are
not developed within the scope of the project. An »External Unit
may be an off-the-shelf product, a unit furnished by the user, a re-
usable system or segment developed in advance, an adjacent
system or the result of a sub-contract. An external unit may
comprise hardware and software portions.
Finished Defines a »Product State of a »Work Product that is finished. For
the term "finished" frequently also the term "released" or "valid".
This product state is set in the »Product Library.
finishes An »Activity finishes a »Work Product. An »Activity Instance is
only finished, when the corresponding »Product Instance is in the
»Product State »Finished.
Functional Safety Functional safety comprises procedural or operational safety and
the aspects of reliability, fault tolerance and correctness. This status
depends on measures limiting the risk of a personal injury or
material or immaterial damage to an acceptable level.
Generative Product See »Product Dependency, Generative.
Dependency

3 Glossary 8-35
Hardware Element The term »Hardware Element is a generic term which may
designate all system elements beginning with the »Hardware Unit
level in the hierarchy of »System Elements: »Hardware Unit,
»Hardware Component, »Hardware Module, and »External
Hardware Module.
Hardware Module, The product »External Hardware Module comprises system
External elements (»Hardware Modules , »Hardware Components) which
are not developed within the scope of the project. An »External
Hardware Module is a functional element which can be described
autonomously. An external hardware module may be an off-the-
shelf product, a unit furnished by the supplier, a re-usable
component developed in advance, an adjacent system or the result
of a sub-contract.
Increment In the »Project Type Variant »Project (Acquirer) Including
Development, Enhancement or Migration , the software/hardware
item to be prepared will be developed by a step-by-step approach.
The development is conducted in » Iterations, i.e., the steps will be
developed successively. Since the contents of each »Increment is
largely independent of the other increments, an operational
»System will be available if a completed » Increment is delivered.
An »Increment may be subject of an »Iteration.
Incremental Development see »Development, Incremental.
Information Security Information security describes the condition, which ensures the
confidentiality, integrity, authenticity, and availability of
information. This condition is achieved by suitable technical,
personal, material (including structural) and organizational
measures.
Initial Product See »Work Product, Initial.
In Processing Defines a »Product State of a »Work Product that is currently being
processed. This product state is set in the »Product Library.
Integrity Integrity is the state that excludes unauthorized and forbidden
modifications of information and IT systems or components.
Interface between V-Modell See »Acquirer/Supplier Interface.
Projects
Interface Product A »Work Product that is exchanged between the »V-Modell
Projects of the »Acquirer and the »Supplier is called an »Interface
Product. Interface products are defined in the »Acquirer/Supplier
Interface.
Iteration An »Iteration designates one system development cycle. An
iterative approach leads to periodically recurring similar system
development tasks, with the subject either chainging in each
»Iteration (e.g. development of different sub-systems in successive
»Increment s) or being refined in successive »Iterations (e.g. the
step-by-step refinement and further development of systems).

8-36 Part 8: Annex
Mapping to Standards »Mapping to Standards represents the connection of the »V-Modell

to current (quasi-) standards and regulations.
For this purpose, »Mapping to Standards relates the terms defined
in the standard to the system of concepts of the V-Modell.
Measurement Data Type Synonymous to: basic data, measurable quantities
Each measurement data type describes a measure that is directly
determined (e. g. by counting faults, counting hours, measuring a
duration) and that is entered as an actually measured value
(measurement datum) in the determination of a »Metric.
Measurement data types
● are absolute values,
● are obtained by measurements on the project, product or
process,
● may refer for example to times, phases, products or
organizational areas.
»Measurement Data Types may also be "soft", i. e. they result from
informal surveys and individual assessments, for example »Risk
Probability low/medium/high.
Measurement Data Types See »Measurement Data Types.
Method Reference A »Method Reference describes a class of methods that may be
used to carry out activities or prepare products.
Metric Synonymous to: characteristic numbers
A »Metric describes a quantitative measure for a feature of a
project, a »Work Product or a process.
● Metrics are derived from »Measurement Data Types or
other metrics (e. g. formulas, percentages, comparisons).
● A measurement data type may also be a metric.
Organization-Specific See »Process Model, Organization-Specific.

Process Model
Process Compliant to the V- A process is said to be compliant to the V-Modell if it fulfills the
Modell quality requirements of the V-Modell XT with regard to description
techniques, results and sequences. The expected results and the
requirements posed on the sequences are determined by the V-
Modell XT »Reference Model. The »V-Modell®XT Konformität is
demonstrated within the framework of a »V-Modell XT
Compliance Test.
Processed A »Work Step processes a topic, i. e. it participates in its
completion.

3 Glossary 8-37
Process Model, The Organization-Specific Process Model is used to introduce,

Organization-Specific establish and continuously improve a process improvement method
in an organization. The approach defined at this point is used in two
situations:
1. During the initial introduction of organization-wide process
descriptions and their implementation.
2. During repeated execution of an organization-wide process
improvement program.
The continuous improvement process is based on the »V-Modell
with all its subprocesses, »Work Products and Activities. Within the
framework of the introduction of an Organization-Specific Process
Model, the V-Modell may be adapted to the organization and also
supplemented by the organization's own processes. The units that in
this connection belong to the organization have to be determined at
the start of the improvement project.
Process Module The modular unit of the »V-Modell. The V-Modell consists of
»Process Modules. Process Modules are also used to prepare a
project-specific or »Organization-Specific Process Model.
A process module combines different activity process modules to a
modular unit. Therefore also »Work Products are indirectly
assigned to a process module, because these products are in turn
unambiguously assigned to continuing activities or to finishing
activities.
Process Module Map In the »Process Module Map the dependencies of the individual
»Process Modules are graphically visualized to give the user
quickly a general idea.
Product Dependencies, A content-related product dependency describes the connection
Content-Related between several »Work Products with regard to contents. A
»Content-Related Product Dependencies exists for example if a
change of a »Work Product will entail a change of another product.
Product Dependency A »Product Dependency describes a condition that two or more
»Work Products have to meet to be consistent. A product
dependency may exist both within a »Process Module and between
products of different process modules.
A distinction is made between tailoring-related product
dependencies, generative product dependencies, relevant product
dependencies, structural product dependencies and content-related
product dependencies.
Product Dependency, Based on an initial product, a generative product dependency
Generative describes a condition; when this condition occurs, a target product
has to be generated.
Product Dependency, A »Product Dependency is called relevant, if the »Work Products
Relevant concerned have the state »Finished. Besides only those product
dependencies are considered that are included in the selected
»Process Modules.

8-38 Part 8: Annex
Product Dependency, Structural product dependencies (also called structural

Structural dependencies) structure products and relate them to each other.
Thus there is for example a structural dependency that states that a
»Software Unit consists of »Software Components.
Product Dependency, Tailoring Product Dependencies describe the relations of »Work
Tailoring-Related Products to process modules that are relevant to »Tailoring. Thus
for example the identification of hardware parts within the
framework of system design entails the use of the »Process Module
»Hardware Development.
Product Group see »Discipline.
Product Instance A Product Instance is understood to be a concrete occurrence of a
product type, for example a specific document. Refer to »Product
Type for an example.
Product State »Work Products have a product state that may be changed by
activities. A distinction is made between the three product states »In
Processing, »Submitted and »Finished.
Product Structure The term »Product Structure is understood to be the number of
»Product Instances of a project and their relations.
Product Type A Product Type generically describes »Product Instance that may
emerge during a development process.
Example: The product (more exact: Product Type) Meeting
Document describes all meeting documents created within the
project. A single minutes of a meeting document is a product
instance of the product type Meeting Document.
Product Version The Product Version is an identifyable and reproducable processing
state of a product artefact. A Product Version has exactly one
product state.
Project According to »IPMA, a project is understood to be a singular
entirety of coordinated activities with specific starting and end
points that are carried out by a person or organization with the aim
to achieve specific targets with regard to schedule, cost and
performance.
Project Characteristic A project is characterized by several »Project Characteristics. For
the preparation of an »Application Profile, a value that has to be
selected from a number of possible values is inserted into each
Project Characteristic. Examples of Project Characteristics include
»Security (Acquirer) or »Subject of the Project. The selected
»Project Type and the selected »Project Type Variant determine if
the »V-Modell User must assign a value to the respective Project
Characteristic during the Tailoring process.
Project Compliant to the V- A project is said to be compliant to the V-Modell, if it includes at
Modell least the »Process Modules and »Work Products of the »V-Modell
Core and if it takes into account each »Relevant Product
Dependency during the development.

3 Glossary 8-39
Project Execution Strategy A »Project Execution Strategy defines a sequence in which the
»Decision Gates relevant to the project have to be passed through.
It is determined based on the selection of a »Project Type Variant
and the assignment of all conditional »Project Characteristics.
Project Progress Stage A »Project Progress Stage characterizes a particular time in the
project at which a specific decision is made and thus a »Project
Section is finished. Therefore a Project Progress Stage is always
achieved when a »Decision Gate is successfully passed through.
Project Section A »Project Section is the period of time between two successive
»Decision Gates.
Project-Specific Adaptation See »Tailoring.
of the V-Modell
Project-Specific V-Modell See »Tailoring Result.
Project Stage A »Project Stage is the time interval between two (partial)
deliveries by a supplier.
Project Type In the V-Modell essentially a distinction is made between four
different »Project Types:
● System Development Project (Acquirer),
● System Development Project (Supplier),
● System Development Project (Acquirer/Supplier) - aquirer
and supplier within the same organization (without
contract),
● Introduction and maintenance of an organization-specific
process model.
The Project Type also determines the minimum quantity of project
characteristcs, which must be provided with a value during the
Tailoring process.
Project Type Variant A Project Type Variant shapes a »Project Type . In the Tailoring
process, the selection of the Project Type Variant finally determines
the selection of the »Process Module , »Project Characteristic and
sequence of operations (components of the »Project Execution
Strategy ), which complement the Project Type.
Prototypic Development see »Development, Prototypic.
Reference Model The V-Modell XT Reference Model defines the minimum contents
and relations required to ensure compliance, which must be
covered by a process compliant to the V-Modell.
Relevant Product See »Product Dependency, Relevant.
Dependency
Residual Risk In risk management the risk that remains after the implementation
of appropriate preventive measures is called »Residual Risk.

8-40 Part 8: Annex
Responsible Person The term responsible is used for such »Role, which are responsible
for the contents of a »Work Product and are liable for the decisions
documentet within those products. Upon creation the responsible
person assumes the main role in coordination and distribution of
the necessary tasks and in tracing product state.
Responsible for an »External Product are those roles, which are
responsible for the reception of the product and their further
distribution within the Project.
Risk Class »Risk Class es permit the priorization of potential risks. They are
determined individually in an organization or a project. Risk classes
facilitate the decision on whether and what measures are to be
selected as a reaction to risks. Within the framework of risk
management, risk classes are frequently based on the degree of risk
and the project volume. Typical risk classes are for example:
● Tolerable: the degree of risk involved is less than 0.1
percent of the project volume,
● Undesirable: the degree of risk involved is larger than 0.1
percent and lesser than 1 percent of the project volume,
● Critical: the degree of risk involved is larger than 1 percent
and lesser than 10 percent of the project volume,
● Catastrophic: the degree of risk involved is larger than 10
percent of the project volume.
Risk Damage The »Risk Damage is the estimated damage connected with a risk
in the project in case of damage. The possible damage is shown in
monetary units (e. g. in T). Damage that cannot be estimated in
monetary units (for example image loss) is to be monetarized to the
maximum extent by using auxiliary quantities, e. g. image loss may
lead to a drop in sales that can be expressed in monetary units.
Risk Probability The »Risk Probability is the estimated probability of the occurrence
of a risk.
Role A role is a description of a number of tasks and responsibilities
within the framework of a project and an organization.
By defining roles it is achieved that the »V-Modell is independent
of the organizational and project-specific framework conditions.
The assignment of organizational units and people to the roles is
made at the start of a project.
Safety See »Functional Safety.

3 Glossary 8-41
Safety and Security The term Safety and Security includes the terms functional safety
(Safety), information security (Security) and data protection.
In this context Safety stands for procedural or operational safety
and the aspects of reliability, fault tolerance and correctness. This
status depends on measures limiting the risk of a personal injury or
material or immaterial damage to an acceptable level.
On the other hand, Security describes the state that ensures the
availability, integrity, authenticity and confidentiality of
information when IT systems are used. This state results from IT
measures and personal, material and organizational measures. In
this context
● availability is the state that guarantees the required usability
of information, IT systems and components;
● integrity is the state that excludes unauthorized and
forbidden modifications of information and IT systems or
components;
● authenticity is the state in which required or assured
characteristics or features of information and physical
connections can be both authentically identified by the user
and proven to third parties;
● confidentiality is the state that excludes unauthorized
collection or gathering of information.
The purpose of data protection is to protect the individual against
his right to privacy being impaired through the handling of his
personal data. (Reference: Bundesdatenschutzgesetz (Federal Data
Protection Act)).

8-42 Part 8: Annex
Safety and Security Level A safety and security level is a level which is assigned to a unit
considered (physical system/system element or logic
function/functional chain) and provides a discrete measure
● for a potential hazard (towards the outside) for persons,
environment or goods during the operation of or in case of a
loss of availability (failure, non-accessibility, etc.) or
malfunction of the respective unit considered and
● for the threat to the system (from the outside) during
operation if the unit considered is attacked by espionage,
sabotage, manipulation etc. in combination with the
sensitivity (the value) of the information to be protected,
which is handled (processed, transmitted, stored) by the unit
considered.
In addition to the known hazards resulting from failures or
malfunctions, the operation of a system alone may already pose a
hazard: Due to their design and function, vehicles, rocket launchers
or X-ray machines endanger operators, bystanders and environment
even if they function properly.
The sensitivity of informationen can be specified by laws (Data
Protection Act etc.) or official regulations (protection of classified
material etc.) or result from business operations (e.g. account data
in banks or insurance companies, patent administrations in a
research enterprise). In any case, it is important to protect (high)
material and immaterial values against (significant) risks
(manipulation, misuse, espionage, etc.).
Security See »Information Security .
Segment A »Segment is an important part of a »System, presenting a
hierarchy level below the »System itself. It is the realization of a
part of the »System. »Segments may be subdivided hierarchically
into additional »Segments.
Software Element The term »Software Element is a generic term which may designate
all system elements beginning with the »Software Unit level in the
hierarchy of »System Elements: »Software Unit, »Software
Component, »Software Module, and »External Software Module.
Software Module, external The product »External Software Module comprises system
elements (»Software Module , »Software Component) which are
not developed within the scope of the project. An »External
Software Module is a functional element which can be described
autonomously. An external software module may be an off-the-
shelf product, a unit furnished by the supplier, a re-usable
component developed in advance, an adjacent system or the result
of a sub-contract.
Static Tailoring Static »Tailoring are the tailoring activities carried out during
project initialization in order to draw up as soon as the projects
starts a list that includes the activities to be carried out and the
products to be prepared and that is clear and can be handled.

3 Glossary 8-43
Structural Product See »Product Dependency, Structural.

Dependency
Sub-Acquirer A »Supplier is called a »Sub-Acquirer if he himself awards parts of
the subject matter of the contract as »Acquirer to a »Sub-Supplier
in order to fulfill the »Contract with his »Acquirer.
Submitted This defines a »Product State of a »Work Product that is submitted
for evaluation through independet quality assurance. Depending on
the results of the evaluation, the subsequent product state is set in
the »Product Library.
Sub-Supplier A »Sub-Supplier is the supplier in a contract, i. e. the organization
that provides a »System Element or subsystem to the »Sub-
Acquirer (DIN EN ISO 8402).
Supplier A supplier is understood to be the supplier in a contract, i. e. the
organization that provides the »Acquirer with a »Work Product
(DIN EN ISO 8402).
System The system is an integral whole with the capability to meet
specified requirements or targets. It represents the subject matter of
the order agreed between the acquirer and the supplier. The system
consists of descriptions and/or realizations of hardware, software
and/or logistic elements.
System Element The term »System Element is a generic term which may designate
all elements to be realized during »System Development. This may
include »System, »Enabling System, »Segment, »External Unit,
»Hardware Unit , »Software Unit, »Hardware Component,
»Software Component, »Hardware Module, and »Software
Module.
Tailoring Beyond the literal meaning of the term itself, »Tailoring means in
the context of the»V-Modell not only "cutting off" parts, but also
"adapting" the V-Modell. Usually the V-Modell is adapted to a
concrete project by adding »Process Modules. Adaptations within
the process modules are to be considered exceptions to the rule. In
addition to the selection of the process modules, the Tailoring
process also determines the »Project Execution Strategy . The
selection of the »Project Type and a »Project Type Variant
determine the selection of the process modules and the project
execution strategy.
Depending on the progress of the project, a distinction is made
between
● »Static Tailoring, i. e. Tailoring during the project
initialization phase and
● »Dynamic Tailoring, i. e. Tailoring in the further course of
the project.
Tailoring-Related Product See »Product Dependency, Tailoring-Related.
Dependency

8-44 Part 8: Annex
Tailoring Result The »Tailoring Result determines the »Process Modules that are to
be used in the project. The Tailoring Result may be both a result of
the static »Tailoring at the start of the project and a changed
Tailoring Result caused by »Dynamic Tailoring during the
execution of the project.
Test Tests are regarded as special form of evaluation which evaluates the
execution behavior of »Software Elements.
Test case A test case is a special form of evaluation case intended to evaluate
the execution behavior of »Software Element s.
Tool Reference A »Tool Reference describes a class of tools that may be used for
carrying out activities or preparing products.
Topic A topic is unambiguously assigned to a »Work Product, which for
its part may consist of any number of topics. A topic is content-
related and complete in itself. The topics of a product have to be
seen as a listing of the essential contents of the product. Topics are
processed by »Work Step.
Topics See »Topics.
Trigger A »Trigger describes an event that triggers an »Activity. Triggers
are used for example during the planning and execution of risk
avoidance and risk reduction measures.
V-Modell The V-Modell is a guideline for the planning and execution of
development projects, which takes into account the whole life cycle
of the system. In this process the V-Modell defines the results that
have to be prepared in a project and describes the concrete
approaches that are used to achieve these results. The V-Modell
also defines the responsibilities of the individual participants in the
project.

3 Glossary 8-45
V-Modell, Advanced For the maintenance and the further development of the »V-Modell
a procedure is defined that consists of two stages. The V-Modell
may be changed and extended in comparatively short intervals that
are suitable for the short innovation cycles of information
technology.
For this purpose accordingly to the preparation of an organization-
specific process model an advanced V-Modell, respectively parts of
an advanced V-Modell, is developed. These change proposals and
suggestions for further development are submitted to the »V-
Modell Change Conference (Änderungskonferenz des V-Modells
(Äko)). »Äko then decides whether the changes are adopted in the
V-Modell. In this process changes and extensions may only affect
»Process Modules, Project Execution Strategies, »Decision Gates,
»Project Characteristics and »Mapping to Standards.
Changes that go beyond these limits, such as changes to these
»Fundamentals of the V-Modell, fall under the second stage of this
procedure. Such changes have to be made in a separate review and
coordination process together with the »V-Modell Users within the
framework of an update project.
V-Modell Core The »V-Modell Core forms the basis of each »Application Profile.
It determines a number of »Process Modules that have to be used in
each »Project Compliant to the V-Modell.
V-Modell Project A »V-Modell Project is a project that is executed as »Project
Compliant to the V-Modell .
V-Modell Reference A V-Modell Reference defines a specific grouping of the contents
of the »V-Modell. The descriptions and relations of the individual
»Work Products, Activities, »Roles etc. do not change. However,
they are regrouped within the framework of their dependencies and,
if required, presented in a shortened form. Thus adapted
presentations of the same contents can be provided for different
application purposes.
V-Modell References are implemented in the printed version of the
V-Modell in different parts of the V-Modell.
V-Modell User Persons who are concerned with the execution of »V-Modell
Projects, i. e. who are involved in V-Modell projects, are called »V-
Modell Users.
V-Modell XT The addendum "XT" to »V-Modell stands for "extreme tailoring" or
for "extendable".
V-Modell XT Assessment The V-Modell XT Assessment checks if a »Process Compliant to
the V-Modell of an organization is really applied. Thus, it provides
the practical part, which is not included in the »V-Modell XT
Compliance Test. After successful completion of an assessment, the
certificate "V-Modell XT Pur" (cf. »Zertifizierungsprogramm) will
be awarded.

8-46 Part 8: Annex
V-Modell XT Compliance A V-Modell XT Compliance Test is intended to check the »V-

Test Modell®XT Konformität of a process deviating from the
(Standard) V-Modell XT. If the process is compliant to the V-
Modell XT, it may be used - in consultation with the Acquirer -
instead of the V-Modell XT in projects, for which the V-Modell XT
is required.
In the Compliance Test, a questionnaire is used in order to
determine if the respective process fulfills the quality requirements
of the V-Modell XT with regard to description techniques, results
and sequences. The expected results and the requirements posed on
the sequences are determined by V-Modell XT »Reference Model.
Weit e.V. The Weit e.V. is a registered association. The main focus of this
assosiation lies in the maintenance and further development of the
V-Modell XT. The Weit e.V. was foundet in 2008 by the "Weit"
development project partners. Members of the Weit e.V. consist of
representatives of industry, government institutions and
universities.
Work Package A »Work Package is a project-specific grouping of activity models
with regard to contents.
For example, configuration management »Activity Instance may be
grouped into a work package, because a detailed scheduling of
these activity models may possibly not be necessary.
Work Product A distinction is made between »Product Type and »Product
Instance. The exact meaning of the term Work Product depends on
the context it is used in. Not only the system to be developed, but
also all documents, evaluation protocols, software modules, in
short: All kinds of artefacts are named Product Type or even just
Product within the context of the V-Modell XT.
Work Product, External »Work Products (e.g. »External Unit, »External Hardware Module,
or »External Software Module) that may be prepared outside the
framework of the »V-Modell Project. The »V-Modell XT defines
responsible »Role for external products, but it does not necessarily
define participating roles and activities.
Work Product, Initial The term »Initial Product stands for a »Work Product that has to be
prepared in each case and exactly once.
Work Step A Work Step belongs to exactly one »Process Module and is always
assigned to an »Activity. Work Steps process »Work Products and
»Topics. A Work Step is a description of how a task, which
typically turns up in a project or an organization, has to be
performed. Thus Work Steps are comparable with a work
instruction that has to be executed fully for the processing of one or
more product process modules.

4 Abbreviations 8-47
4 Abbreviations
Äko Änderungskonferenz des V-Modells (V-Modell Change

Conference)
ANFE Anforderungsfestlegung (»Specification of Requirements)
ANG Delivery und Abnahme (AN) (»Delivery and Acceptance
(Supplier))
AUF Delivery und Abnahme (AG) (»Delivery and Acceptance
(Acquirer))
BVB Besondere Contractsbedingungen für die Beschaffung von DV-
Leistungen (Special Contract Terms for the Procurement of DP
Services)
COTS Commercial off the shelf
DIN Deutsche Industrienorm (German DIN Standard)
ERGO Benutzbarkeit und Ergonomie (»Usability and Ergonomics )
EVB-IT Ergänzende Contractsbedingungen für die Beschaffung von
Informationstechnik bzw. informationstechnischen
(Dienst-)Leistungen (Supplementing Contract Terms for the
Procurement of Information Technology and Information
Technology Services)
FP Evaluierung von Fertigprodukten (»Evaluation of Off-the-Shelf
Products)
FPGA Field-Programmable Gate Array
GOTS Government off the shelf
GWB Gesetz gegen Wettbewerbsbeschränkungen (Act against Restraints
of Competition)
HHM Haushaltsmittel (budgetary funds)
HW Hardware
HWE HW-Entwicklung (»Hardware Development )
IEC International Engineering Consortium
IPMA International Project Management Association
ISO International Organization for Standardization
IT Information Technology
KM Konfigurationsmanagement (»Configuration Management)
KPM Kaufmännisches Projektmanagement (»Life Cycle Cost
Management)
LOG Logistikkonzeption (»Integrated Logistic Support)

8-48 Part 8: Annex
MESS Messung und Analyse (»Measurement and Analysis)

MIG Weiterentwicklung und Migration von Altsystemen (»Enhancement
and Migration of Legacy Systems)
OVM Einführung und Pflege eines organisationsspezifischen
Vorgehensmodells (»Introduction and Maintenance of an
Organization-Specific Process Model)
PM »Project Management
PROB »Problem and Change Management
QS Qualitätssicherung (»Quality Assurance )
SE Systemerstellung (»System Development)
SI Sicherheit (»Safety and Security)
SW Software
SWE Softwareentwicklung (»Software Development)
UfAB III Unterlage für die Request for Proposal und Project Evaluation von
IT-Leistungen (Teil III) (Document for the Tendering and
Evaluation of IT Services (Part III))
VDE Verband der Elektrotechnik Elektronik Informationstechnik
(Association of German Electrical Engineers)
VgV VergabeVerordnung (Regulation on the Award of Public Contracts)
VOB Verdingungsordnung für Bauleistungen (Conditions Concerning
Contracts for Public Works)
VOF Verdingungsordnung für freiberufliche Leistungen (Conditions
Concerning Contracts for Freelance Services)
VOL Verdingungsordnung für Leistungen (Conditions Concerning
Contracts for Professional Services)
WiBe 21 WiBe 21- Recommendation zur Durchführung von Analysis of
Cost-Effectivenessen in der Bundesverwaltung, insbesondere beim
Einsatz der IT (WiBe 21 Recommendation for Cost Effectiveness
Considerations in the Federal Administration, in particular for the
Use of IT)

5 List of References 8-49
5 List of References
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8-50 Part 8: Annex
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Geb02 Andreas Gebhardt, Rapid Prototyping, Hanser Fachbuch 2002
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Dienstvorschriften (TDv) im Materialverantwortungsbereich des
Heeres (ausgenommen Teil 5), Erlassen durch: Bundesministerium
der Verteidigung, Inspekteur des Heeres, Erlassen am: 27. März
1975
Hof97 Josef Hoffmann, MATLAB und SIMULINK. Beispielorientierte
Einführung in die Simulation dynamischer Systeme, Addison-
Wesley 1997
IEEE-STD 1028-1988 IEEE-STD 1028-1988, IEEE Standard for Software Reviews and
Audits, 1998, Webseite: http://www.ieee.org
ISO/IEC 12119 ISO (International Organization for Standardization) / IEC
( International Electrotechnical Commission) 12119: "Information
technology - Software packages - Quality requirements and
testing."
( International Electrotechnical Commission) 12207: "Information
Technology—Software Life-Cycle Processes"
( International Electrotechnical Commission) 15288: "Systems
engineering -- System life cycle processes"

8-52 Part 8: Annex
ISO 13407 ISO (International Organization for Standardization) 13407:

"Human centered design processes for interactive systems"
ISO 15408 BSI, Gemeinsame Kriterien für die Prüfung und Project Evaluation
der Sicherheit von Informationstechnik / Common Criteria for
Information Technology Security Evaluation (CC), Version
2.1,1999
ISO 9001:2000 ISO (International Organization for Standardization) 9001:2000:
"Quality management systems -- Requirements"
ISO DIS 10011 ISO DIS 10011: "Guidelines for Auditing Quality Systems", 1989
ITIL Information Technology Infrastructure Library, Webseite:
http://www.tso.co.uk/itil/, Stand 20.06.2004
ITSEC BSI, "Information Technology Security Evaluation Criteria –
ITSEC", 1998, Webseite: http://www.bsi.de/zertifiz/itkrit/itsec.htm
KE04 Alfons Kemper, Andre Eickler, Datenbanksysteme, Oldenbourg
Verlag, 2004
Kne03 Ralf Kneuper, CMMI®, Verbesserung von Softwareprozessen mit
Capability Maturity Model Integration; dpunkt.verlag, 2003
Heidelberg
Kon96 Jyrki Kontio: A Case Study in Applying a Systematic Method for
COTS Selection, Proceedings of ICSE-18 (1996), 201-209
Lev86 N. G. Leveson: Software Safety: What, Why and How, ACM
Computing Surveys Vol 18 No 2, June 1986
LMTC01 Patricia Lawlis, Kathryn Mark, Deborah Thomas, Terry Courtheyn:
A Formal Process for Evaluating COTS-Software Products,
Computer, (May 2001), 58-63
Mac99 Michael Macht, Ein Vorgehensmodell für den Einsatz von Rapid
Prototyping, Herbert Utz Verlag, 1999
MIL-STD 1388-1A MIL-STD 1388-1A: Logistic Support Analysis; Department of
Defense, Washington, D. C. 1984.
MIL-STD 1388-2B DoD Requirements for a Logistic Support Analysis Record (S/S
BY MIL-PRF-49506), Department of Defense, Washington, D. C.
1996
MIL-STD 1521 B MIL-STD-1521 B: Technical Reviews and Audits for Systems
Equipment and Computer, Software, 1985
MIL-STD 1629A MIL-STD 1629A: Failure Mode, Effects and Criticality Analysis;
Department of Defense, Washington, D. C. 1980.
Mor99 Jörn Mordau, Die Integration formaler Methoden zur Spezifikation
von Informationssystemen, Verlag Kovac, 1999
PD99 Jose M. Padillo, Moustapha Diaby: A multiple-criteria decision
methodology for the make-or-buy problem, International Journal of
Production Research, 1999, 37(14), 3203-3229

Phi86 Ronald T. Philips, An Approach to Software Causal Analysis and

Defect Extinction, IBM Corporation, 1986
PMI Project Management Institute; “A Guide to the Project
Management Body of Knowledge” (2000 Edition), Newtown
Square, Pennsylvania USA, December 2003
RD02 Chris Rupp, Jürgen Dallner. Mustergültige Requirements.
OBJEKTspektrum Nr. 3. 2001.
Röt01 Röthig, P: WiBe 21 - Recommendation zur Durchführung von
Analysis of Cost-Effectivenessen in der Bundesverwaltung
insbesondere beim Einsatz der IT. KBSt-Schriftenreihe Band 52,
Berlin 2001.
RTCA/DO-178B/ED12B Considerations in Airborne Systems and Equipment Certification,
Radio Technical Commission for Aeronautics Software (RTCA),
1992
Rup04 Chris Rupp, SOPHIST GROUP, Requirements-Engineering und
Management. Professionelle, iterative Requirements Analysis für
die Praxis, 3. neu bearbeitete Auflage Hanser Fachbuch, 2004
Sch03 E. Scherf, Modellbildung und Simulation dynamischer Systeme,
Oldenbourg, 2003
Schw04 Kathy Schwalbe: Information Technology Project Management,
Thomson, 3. Aufl. 2004
SPICE Software Process Improvement Capability dEtermination (ISO
15504)
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dEtermination) Projekt ist eine internationale Initiative zur
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Die Entwicklung wurde geleitet durch die Arbeitsgruppe 10 bei der
ISO (ISO/IEC JTC1/SC7/WG10).
Sta95 D. H. Stamatis, Failure Mode and Effect Analysis, Hardcover
Published 1995, ISBN 087389300x
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Based Architecture Evaluation", ICSE 2003 Workshop: Workshop
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2003.
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V-Modell®XT Konformität V-Modell XT-Konformität (Compliance to the V-Modell XT)
Wan02 E.T.G Wang: Transaction attributes and software outsourcing
success: an empirical investigation of transaction cost theory, Info
Systems Journal 2002, (12) 153-181

8-54 Part 8: Annex
Wil75 O.E. Williamson: Markets and Hierarchies, Free Press New York
1975
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zur modernen Systemanalyse, VMI Buch AG, 1992
Zertifizierungsprogramm Webseite des Zertifizierungsprogramms (Website of Certification
Program)

Part 9: Templates
V-Modell® XT


Part 9: Templates 9-3
Table of Contents
1 Introduction..................................................................................................................................9-4
1.1 Objectives...............................................................................................................................9-4
1.2 Audience.................................................................................................................................9-4
1.4 Nomenclature.........................................................................................................................9-4
2 Basics about Product Templates.................................................................................................9-5
2.1 Purpose...................................................................................................................................9-5
2.2 Work Products without Templates..........................................................................................9-5
2.3 How to get Product Templates................................................................................................9-5
3 Contents and Structure of Product Templates..........................................................................9-7
3.1 Title Page................................................................................................................................9-7
3.2 Additional Product Information..............................................................................................9-8
3.3 History of Change and Review List.....................................................................................9-12
3.4 Introduction..........................................................................................................................9-13
3.5 Subjects.................................................................................................................................9-13
3.6 Directives for Evaluating this Document.............................................................................9-13

9-4 Part 9: Templates
1 Introduction
1.1 Objectives
The objective of this document is to illustrate the contents and the setup of the product templates
that are available with the V-Modell and to provide an example of their use. This is to ensure that
templates - also independently of the project - are uniformly used and completed.
1.2 Audience
The target group of this document are all members of a project staff who are responsible for pro-
ducts, contribute to the preparation of products or evaluation a product.

This document includes the following chapters:
»Basics about Product Templates
In this chapter information about the product templates in general is provided.
»Contents and Structure of Product Templates
In this chapter an example is used to explain how to handle product templates in order to use them
for the preparation of concrete »Product Instances.
1.4 Nomenclature
For the understanding of this part it is absolutely necessary to make a distinction between the terms
»Work Product/»Product Type and »Product Instance. In this context product templates are always
»Templates for a specific product type.

2 Basics about Product Templates 9-5
2 Basics about Product Templates

This chapter provides answers to fundamental questions about product templates:
● What are product templates and for what purpose are they required?
● For which products do product templates exist?
● Where do you obtain product templates from?
2.1 Purpose
A product template is a RTF file that contains all relevant contents of the V-Modell with regard to a
concrete »Product Type, e.g. product name, »Discipline, the responsible »Roles, the contributing ro-
les, the description of products and subjects.Generally all information relevant to the preparation of
a » Product Instance can be found in the »V-Modell Reference Work Products. The added value of
product templates is based on the fact that this information is already incorporated into the corre-
sponding file, e. g. all topics are already set up as points of a breakdown. Thus the member of the
project staff is not required to use "Copy &Paste" to copy parts from the V-Modell reference, but
can start with the work on the contents immediately after the file was opened. Also all product tem-
plates follow a standard layout.
2.2 Work Products without Templates

Most products of the V-Modell correspond to a document; thus also an appropriate product template
is available. The other products for which no template exists are divided into the following classes:
System Elements
System Elements (e. g. »Hardware Module or »Software Module) are component groups or pro-
gram codes.
External Interface Products
Products such as the contract exist both at the acquirer (as »Contract) and at the supplier (as »Con-
tract (Acquirer)). However, they are of course not prepared twice, but exchanged (in the form of a
file, letter, fax etc.) via the »Acquirer/Supplier Interface.
Product Library, »Delivery, etc.
There are additional products, such as the »Product Library or the delivery. Although these are pre-
pared in the course of the project, they are neither documents nor part of the system.
2.3 How to get Product Templates

There are in principle two possibilities to use product templates.
Delivered Product Templates
The individual Word files are provided together with the V-Modell (i. e. on the V-Modell CD or on
the V-Modell website »www.V-Modell-xt.de ). Those are product templates that were not tailored to
a concrete project, but contain the contents of the V-Modell completely. Thus in each product tem-
plate for the project manual the topic »Safety and Security - Organization and Directives is inclu-

ded, regardless whether the »Process Module »Safety and Security was selected in the concrete pro-
ject or not. In this case the product template has to be adapted to the concrete project by deleting the
appropriate chapter.
Self-Generated Product Templates
Moreover, with the V-Modell there is also a tool available for the preparation of one's own project-
or organization-specific product templates. It is thus possible to include in the product templates for
example one's own project logos, organization-specific formattings or file storage information. Fur-
thermore it is possible to adapt the product templates in accordance with the project-specific »Tailo-
ring.

3 Contents and Structure of Product Templates 9-7
3 Contents and Structure of Product Templates

The following chapter describes the contents and the structure of the product templates delivered to-
gether with the V-Modell. To provide assistance to the user, the specifications from the V-Modell
for the respective products were integrated into the products as hidden text.
3.1 Title Page

The Title Page contains the most important information about the » Product Instance. First of all
these are the product name and the corresponding discipline, followed by additional information,
which should be updated by the person responsible for the product when he prepares the product
model for the first time, providing in particular the name of the person responsible for the product.

Figure 1: Example of a Title Page of a System Specification
3.2 Additional Product Information

This section of the product template contains further V-Modell-specific product information.

Under Contributing all roles can be found that may contribute to the preparation of a model of this
product type. the names of the persons actually contributing to the preparation of the product model
have to be listed according to the respective roles. Roles that may contribute, but are not involved in
the preparation of the product model, have to be marked as "not involved". Roles that do not appear
in the project because of the tailoring have to be deleted.
Under Generation all generative product dependencies that may be used to generate this product
type can be found. Here a distinction has to be made between the following three cases:
1. The product is an »Initial Product or an »External Product. In this case there is no generative pro-
duct dependency.
2. There is exactly one generative product dependency that may be used to generate this product
type. In this case the file name of the source product model or the file names of the source product
models have to be indicated.
3. There are several generative product dependencies that may be used to generate this product type.
For the concrete product model, however, only exactly one dependency applies and all other gene-
rative product dependencies that do not apply have to be deleted. Then proceed as described under
point 2.
Figure 2 and Figure 3 show the corresponding part in the delivered product template and an exem-
plary implementation in the project. The roles »Safety Manager and »Ergonomics Manager were
deleted, since the corresponding »Process Module were not selected during »Tailoring. Although
the roles "Developer for Logistics" and "Logistic Manager" may contribute, they actually did not do
it. Since this »System Specification is a specification of a concrete »Segment in a »Enabling System
that has to be developed, the corresponding »Generative Product Dependency were selected and all
others were deleted.

Figure 2: The Section "Further Product Information" in a Product Template

Figure 3: The Section "Further Product Information" in a concrete Product Model

3.3 History of Change and Review List

To make it possible to trace the preparation of the document, careful maintenance of the Change
List is important. Also the reviews of the documents have to be traceable. For this purpose a corre-
sponding entry has to be made for each successful review that results in the document having the
state »Finished. If the product is not identified in the »QA Manual under »Products to Be Evaluated
as a product that has to be tested, the section Evaluation List may be deleted.
The exact guidelines for the development of entries to these tables are defined in the »Project Ma-
nual in chapter »Configuration Management - Organization and Directives.
Figure 4: »History of Change and Review List in a Sample Document

3.4 Introduction
Under Introduction the role this document plays in the project should be described. This includes
the reasons for the existence of the document and what is to be achieved with the document.
3.5 Subjects
The individual topics of the project were inserted as separate chapters within the document and
have to be processed accordingly. In this context it should be taken into consideration that some to-
pics are defined in »Process Modules that were not selected for the project. Of course those topics
have to be deleted. Also subchapters may be used to structure topics when they are edited.
3.6 Directives for Evaluating this Document

This part is intended only as information source and help for the editors and »Inspectors of the do-
cument. At this point it is once more put down in writing which dependencies as regards content
exist between this product and other products. Those dependencies have to be checked before this
»Product Instance can be transferred to the state "finished".
In this context it is highly important that this information is at »Product Type level. This means for
example that it is not necessary to keep a »System Specification for a concrete »Segment consistent
with all »Software Specifications prepared in the project, but only with the software specifications
for the »Software Units in the segment concerned.

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Part 1: Fundamentals of the V-Modell

This document was created based on:

Export environment Version 2.1.3

V-Modell XT V-Modell® XT, Version 1.3

V-Modell® XT, Version 1.3

1.3 Contents and Structure

V-Modell® XT, Version 1.3

2 Objectives and Structure of the V-Modell

2.1 V-Modell 97 as Origin

V-Modell® XT, Version 1.3

2.2 The V-Modell XT as the successor of the V-Modell 97

2.3 Objectives of the V-Modell

V-Modell® XT, Version 1.3

2.4 Limits of the V-Modell

2.5 Audience of the V-Modell

2.6 Contents and Structure of the V-Modell

V-Modell® XT, Version 1.3

Figure 1: Target Groups of the V-Modell Sections

V-Modell® XT, Version 1.3

V-Modell® XT, Version 1.3

3 Basic Concepts of the V-Modell

3.1 Overall Structure of the V-Modell

V-Modell® XT, Version 1.3

3.2 Project Types

V-Modell® XT, Version 1.3

Figure 3: Classification of Projects and Subdivision into Project Types

V-Modell® XT, Version 1.3

3.3 Project Type Variant

Abbildung 4: Assignment of Project Type Variants to Project Types

3.4 Process Modules

V-Modell® XT, Version 1.3

V-Modell® XT, Version 1.3

3.5 V-Modell Core and Process Module Map

V-Modell® XT, Version 1.3

Figure 6: »Process Module Map

V-Modell® XT, Version 1.3

3.6 Project Execution Strategy

3.7 Decision Gates

Figure 7: Project Execution Strategy, Decision Gates and Products

V-Modell® XT, Version 1.3

V-Modell® XT, Version 1.3

Figure 8: Decision Gates of the Project Execution Strategies

3.8 Overview of Basic Concepts

V-Modell® XT, Version 1.3

V-Modell® XT, Version 1.3

4 Management Mechanisms of the V-Modell

Figure 9: Tailoring of a V-Modell

V-Modell® XT, Version 1.3

4.2 Project Organization

V-Modell® XT, Version 1.3

4.3 Project Planning

Figure 10: Project-Specific Development of the Project Execution Strategy

V-Modell® XT, Version 1.3

4.4 Risk-Minimizing Project Control

V-Modell® XT, Version 1.3

Figure 11: »Decision Gate and Project Progress Decision

4.5 Quality Assurance and Product State Model

V-Modell® XT, Version 1.3

Figure 12: Product State Model

3.2 Project Progress Decision "Project Approved"

4.3 Project Progress Decision "Project Defined"