Automotive SPICE Process Reference Model

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Title:Automotive SPICE Process Reference ModelAuthor(s):Automotive utomotive SIGFile Ref:\tpf\automotivesig\prm\v4.5 The SPICE User Group 2005-20101

Copyright NoticeThis document reproduces relevant material fromISO/IEC 15504:2003 Information Technology – Process Assessment –Part 2: Performing an assessment andISO/IEC 15504:2006 Information Technology – Process Assessment –Part 5: An exemplar Process Assessment ModelISO/IEC 15504 Part 2 provides the following copyright release:‘Users of this part of ISO/IEC 15504 may freely reproduce relevant material aspart of any Process Assessment Model, or as part of any demonstration ofconformance with this international standard, so that it can be used for itsintended purpose.’ISO/IEC 15504 Part 5 provides the following copyright release:‘Users of this part of ISO/IEC 15504 may freely reproduce the detaileddescriptions contained in the exemplar assessment model as part of any toolor other material to support the performance of process assessments, so thatit can be used for its intended purpose.’Permission has been obtained from ISO to incorporate the relevant materialunder the copyright release notice. The SPICE User Group 2005-2010 The SPICE User Group 2005-20102

DistributionThe Automotive SPICE PAM may be distributed under the followingconditions:Distribution: The document must be distributed in whole as-is and at no cost.Derivative WorksDerivative works: You may not alter, transform, or build upon this work withoutthe prior consent of The SPICE User Group. Such consent may be givenprovided ISO copyright is not infringed.The detailed descriptions contained in this document may be incorporated aspart of any tool or other material to support the performance of processassessments, so that this Process Assessment Model can be used for itsintended purpose, provided that any such material is not offered for sale.TrademarksAutomotive SPICE is a registered trademark of the Verband derAutomobilindustrie e.V. (VDA). The SPICE User Group 2005-20103

For further information about Automotive SPICE visitwww.automotivespice.com or contact automotivespice@spiceusergroup.com .The Procurement ForumRond Point Schuman 6B-1040 BrusselsBelgiumThe SPICE User Group6 Wilmslow Road, Unit 50Manchester M14 5TDUnited KingdomAUDI AG85045 IngolstadtGermanyBMW AG80788 MunichGermanyDaimler AG70435 StuttgartGermanyFiat Auto S.p.A.Corso Agnelli 20010100 TorinoItalyFord Werke GmbH50725 KölnGermanyJaguar/Land RoverBanbury RoadGaydonWARWICKCV35 0RRUnited KingdomDr. Ing. h.c. F. PorscheAktiengesellschaft70435 StuttgartGermanyVolkswagen AG38436 WolfsburgGermanyVolvo Car CorporationSE-405 31 GöteborgSweden The SPICE User Group 2005-20104

Document HistoryVersion: Date:By:Notes:4.0ADDRAFT RELEASE2005-05-02pending final editorial review4.12005-06-24ADEditorial review comments implemented4.22005-08-21ADFinal checks implementedFORMAL RELEASE4.32007-05-05ADRevision following CCBFORMAL RELEASE4.42008-08-01ADRevision following CCBFORMAL RELEASE4.52010-05-08ADRevision following CCBFORMAL RELEASERelease NotesVersion 4.5 of the Process Reference Model incorporates changes regarding emphasising the use of this document in conjunction with theterminology in ISO/IEC 15504-1 significant editorial changes to the Software construction process(ENG.6) registered trademark notice.Version 4.5 of the Process Reference Model replaces version 4.4 of theProcess Reference Model with immediate effect.Version 2.5 of the Process Assessment Model has been released at the sametime and is aligned with Version 4.5 of the Process Reference Model.Any problems or change requests should be reported through the definedmechanism at the www.automotivespice.com web site. These will beaddressed by the Change Control Board which meets every 6 months. The SPICE User Group 2005-20105

Table of Contents1Scope . 81.1 Introduction . 81.2 Purpose . 81.3 Definitions . 91.4 Terminology . 91.5 Applicable Documents. 101.6 Warning . 102Statement of compliance . 112.1 Introduction . 112.2 Primary Life Cycle Processes category . 122.3 Supporting Life Cycle Processes category . 142.4 Organizational Life Cycle Processes category. 153Process descriptions . 163.1 Acquisition Process Group (ACQ) . 163.1.1ACQ.3 Contract agreement . 163.1.2ACQ.4 Supplier monitoring . 163.1.3ACQ.11 Technical requirements . 173.1.4ACQ.12 Legal and administrative requirements . 183.1.5ACQ.13 Project requirements . 193.1.6ACQ.14 Request for proposals. 203.1.7ACQ.15 Supplier qualification . 203.2 Supply Process Group (SPL) . 213.2.1SPL.1 Supplier tendering . 213.2.2SPL.2 Product release . 213.3 Engineering Process Group (ENG) . 223.3.1ENG.1 Requirements elicitation . 223.3.2ENG.2 System requirements analysis . 233.3.3ENG.3 System architecture design . 243.3.4ENG.4 Software requirements analysis . 253.3.5ENG.5 Software design . 263.3.6ENG.6 Software construction . 27 The SPICE User Group 2005-20106

3.3.73.3.83.3.93.3.10ENG.7 Software integration test . 28ENG.8 Software testing . 29ENG.9 System integration test . 30ENG.10 System testing . 313.4 Supporting Process Group (SUP) . 323.4.1SUP.1 Quality assurance . 323.4.2SUP.2 Verification. 323.4.3SUP.3 Joint review . 333.4.4SUP.7 Documentation . 343.4.5SUP.8 Configuration management. 353.4.6SUP.9 Problem resolution management . 353.4.7SUP.10 Change request management . 363.5 Management Process Group (MAN) . 373.5.1MAN.3 Project management . 373.5.2MAN.5 Risk management . 383.5.3MAN.6 Measurement . 393.6 Process Improvement Process Group (PIM) . 403.6.1PIM.3 Process improvement . 403.7 Reuse Process Group (REU) . 413.7.1REU.2 Reuse program management. 41Annex A - Terminology . 42Annex B - Key Concepts Schematic . 47Annex C - Reference Standards . 48 The SPICE User Group 2005-20107

1Scope1.1IntroductionThe Automotive SPICE Process Reference Model (PRM) has beendeveloped by consensus of the car manufacturers within the AutomotiveSpecial Interest Group (SIG) of the joint Procurement Forum/SPICE UserGroup under the Automotive SPICE initiative.The Automotive SPICE PRM defined in this document is derived from AnnexF and H of ISO/IEC 12207 AMD1: 2002 and ISO/IEC 12207 AMD2: 2004. Itcontains a sub set of the total processes with minor editorial changes togetherwith a number of other changes to reflect consistency in use of terminologyand application in the automotive sector.The FULL scope of Automotive SPICE contains ALL the processes from theISO/IEC 15504 Process Reference Model (PRM). The fact that someprocesses have not been included within the Automotive SPICE PRM doesnot mean that they are not valid.Supplier organisations should address all processes relevant to their businessneeds within their organisation. Where a process is not included within theAutomotive SPICE Process Reference Model (PRM) then the relevantprocess should be included from the ISO/IEC 15504 exemplar ProcessAssessment Model. The manufacturers will however focus on the set ofprocess defined within the Automotive SPICE PRM when performingsupplier capability assessments.1.2PurposeThe Automotive SPICE PRM, used with the process capability attributes andrating scheme defined in ISO/IEC 15502-2, provides a common framework forassessing the software process capability of automotive suppliers.The Automotive SPICE PRM is used in conjunction with the AutomotiveSPICE Process Assessment Model (PAM) when performing an assessment.The Automotive SPICE PAM provides additional indicators of processperformance and process capability tailored to the needs of performingassessments of software process capability of automotive suppliers. The SPICE User Group 2005-20108

1.3PAMPRMSIGSPICE1.4DefinitionsProcess Assessment ModelProcess Reference ModelSpecial Interest GroupSoftware Process Improvement and Capability dEterminationTerminologyAutomotive SPICE follows the following precedence for use of terminology:a. English dictionary for common termsb. ISO/IEC 15504-1 :2004 for assessment related terminologyc. IEEE 630 and BS 7925-1 terminology (as contained in Annex A)This document should be read in conjunction with ISO/IEC 15504-1 :2004.Many terms from ISO/IEC 15504-1 :2004 are used throughout the document.Other terminology used is defined belowElementIntegrated softwareitemProcess ReferenceModelOne of the parts that makes up a system. Anelement may comprise hardware, software,mechanical or manual operations.A set of components that are integrated into a largerassembly for the purpose of integration testing.A model comprising definitions of processes in a lifecycle described in terms of process purpose andoutcomes, together with an architecture describingthe relationships between the processesAnnex B provides a schematic of key concepts used in the terminology. The SPICE User Group 2005-20109

1.5Applicable Documentsa. ISO/IEC 12207 AMD 1: 2002, Software Engineering - Software life cycleprocesses.b. ISO/IEC 12207 AMD2: 2004, Information Technology - Software life cycleprocesses.c. ISO/IEC 15504-1: 2004, Software Engineering - Process assessment –Part 1: Concepts and Vocabularyd. ISO/IEC 15504-2: 2003, Information Technology - Process assessment –Part 2: Performing an Assessmente. ISO/IEC 15504-5: 2006, Information Technology - Process assessment –Part 5: An Exemplar Process Assessment Modelf. IEEE 610.12-1990, IEEE Standard Glossary of Software EngineeringTerminologyg. BS 7925-1, Glossary of Terms used in Software Testingh. Automotive SPICE Process Assessment Model1.6WarningThis document is subject to revision. The SPICE User Group 2005-201010

2Statement of compliance2.1IntroductionISO/IEC 15504-2 requires that processes included in a PRM satisfy thefollowing:"The fundamental elements of a process reference model are the set ofdescriptions of the processes within the scope of the model. These processdescriptions shall meet the following requirements:a) A process shall be described in terms of its Purpose and Outcomes.b) In any description the set of process outcomes shall be necessary andsufficient to achieve the purpose of the process.c) Process descriptions shall be such that no aspects of the measurementframework as described in clause 5 of this International Standard beyond level 1are contained or implied."As processes are derived directly from ISO/IEC 12207 AMD 1 – Annex F andH supplemented by the ISO/IEC 12207 AMD 2, these requirements aresatisfied.The PRM includes processes, which are grouped in three process categories,identical to the process categories defined in ISO/IEC 12207 AMD 1, whichare: the Primary life cycle processes category; the Supporting life cycle processes category; the Organizational life cycle processes category.Within a process category, processes are grouped at a second levelaccording to the type of activity they address. The processes included in thesame group have a logical relationship as their capabilities are related andcontribute to a complementary problematic. The SPICE User Group 2005-201011

2.2Primary Life Cycle Processes categoryThe Primary life cycle processes category consists of processes in the PRMthat may be used by the customer when acquiring products from a supplier,and by supplier when responding and delivering products to the customerincluding the engineering processes needed for specification, design,development, integration and testing.The primary life cycle processes category consists of the following groups: the Acquisition process group; the Supply process group; the Engineering process group;The Acquisition process group (ACQ) consists of processes that areperformed by the customer, or by the supplier when acting as a customer forits own suppliers, in order to acquire a product and/or service.Any contract performed will be managed by processes in the Managementprocess group (MAN) and executed by the processes in the Engineeringprocess group (ENG).Table 1 — Primary Life Cycle Processes – ACQ process groupProcessIdentificationPRM Process nameSourceACQ.3Contract agreementISO/IEC 12207 Amd.2 (§F1.2.2)ACQ.4Supplier monitoringISO/IEC 12207 Amd.1 (Annex F;§F.1.1.3)ACQ.11Technical requirementsISO/IEC 12207 Amd.1 (Annex H;§H1.4)ACQ.12Legal and administrativerequirementsISO/IEC 12207 Amd.1 (Annex H;§H1.5)ACQ.13Project requirementsISO/IEC 12207 Amd.1 (Annex H;§H1.7)ACQ.14Request for proposalsISO/IEC 12207 Amd.1 (Annex H;§H1.8)ACQ.15Supplier qualificationISO/IEC 12207 Amd.1 (Annex H;§H1.9)The Supply process group (SPL) consists of processes performed by thesupplier in order to supply a product and/or a service. The SPICE User Group 2005-201012

Table 2 — Primary Life Cycle Processes – SPL process groupProcessIdentificationPRM Process nameSourceSPL.1Supplier tenderingISO/IEC 12207 Amd.2 (§F1.2.1)SPL.2Product releaseISO/IEC 12207 Amd.2 (§F1.2.3)The Engineering process group (ENG) consists of processes that directlyelicit and manage the customer's requirements, specify, implement, ormaintain the software product, its relation to the system.Table 3 — Primary Life Cycle Processes – ENG process groupProcessIdentificationPRM Process nameSourceENG.1Requirement elicitationISO/IEC 12207 Amd.1 (Annex F;§F.1.3.1)ENG.2System requirements analysisISO/IEC 12207 Amd.1 (Annex F;§F.1.3.2)ENG.3System architectural designISO/IEC 12207 Amd.1 (Annex F;§F.1.3.3)ENG.4Software requirements analysisISO/IEC 12207 Amd.1 (Annex F;§F.1.3.4)ENG.5Software designISO/IEC 12207 Amd.1 (Annex F;§F.1.3.5)ENG.6Software constructionISO/IEC 12207 Amd.1 (Annex F;§F.1.3.6)ENG.7Software integration testISO/IEC 12207 Amd.1 (Annex F;§F.1.3.7)ENG.8Software testingISO/IEC 12207 Amd.1 (Annex F;§F.1.3.8)ENG.9System integration testISO/IEC 12207 Amd.1 (Annex F;§F.1.3.9)ENG.10System testingISO/IEC 12207 Amd.1 (Annex F;§F.1.3.10) The SPICE User Group 2005-201013

2.3Supporting Life Cycle Processes categoryThe Supporting life cycle processes category consists of processes in thePRM that may be employed by any of the other processes at various points inthe life cycle.Table 4 — Supporting Life Cycle processes - SUP process groupProcessIdentificationPRM Process nameSourceSUP.1Quality assuranceISO/IEC 12207 Amd.1 (Annex F;§F.2.3)SUP.2VerificationISO/IEC 12207 Amd.1 (Annex F;§F.2.4)SUP.4Joint reviewISO/IEC 12207 Amd.1 (Annex F;§F.2.6)SUP.7Documentation managementISO/IEC 12207 Amd.1 (Annex F;§F.2.1)SUP.8Configuration managementISO/IEC 12207 Amd.2 (§F2.2)SUP.9Problem resolution managementISO/IEC 12207 Amd.2 (§F2.8)SUP.10Change request managementISO/IEC 12207 Amd.2 (§F2.11) The SPICE User Group 2005-201014

2.4Organizational Life Cycle Processes categoryThe Organizational life cycle processes category consists of processes in thePRM that establish the business goals of the organization and developprocess, product, and resource assets which, when used by projects in theorganization, will help the organization achieve its business goals.The organizational life cycle processes category consists of the followinggroups: the Management process group; the Process Improvement process group; the Reuse process group.The Management process group (MAN) consists of processes that containpractices that may be used by anyone who manages any type of project orprocess within the life cycle.Table 5 — Organizational Life Cycle Processes - MAN process groupProcessIdentificationPRM Process nameSourceMAN.3Project managementISO/IEC 12207 Amd.1 (Annex F;§F.3.1.3)MAN.5Risk managementISO/IEC 12207 Amd.2 (§F3.1.5)MAN.6MeasurementISO/IEC 12207 Amd.1 (AnnexF§F.3.1.6)The Process Improvement process group (PIM) consists of processesperformed in order to define, deploy and improve the processes performed inthe organizational unit.Table 6 — Organizational Life Cycle Processes - PIM process groupProcessIdentificationPIM.3PRM Process nameProcess improvementSourceISO/IEC 12207 Amd.2 (§F3.3.3)The Reuse process group (REU) consists of processes performed in order tosystematically exploit reuse opportunities in organization’s reuse programs.Table 7 — Organizational Life Cycle Processes - REU process groupProcessIdentificationREU.2PRM Process nameReuse program management The SPICE User Group 2005-2010SourceISO/IEC 12207 Amd.2 (§F3.6)15

3Process descriptions3.1Acquisition Process Group (ACQ)3.1.1ACQ.3 Contract agreementProcess IDProcess NameProcess PurposeProcess Outcomes3.1.2ACQ.3Contract agreementThe purpose of Contract agreement process is to negotiate andapprove a contract/agreement with the supplier.As a result of successful implementation of this process:1) a contract/agreement is negotiated, reviewed, approved andawarded to the supplier(s);2) the contract/agreement clearly and unambiguously specifies theexpectations, responsibilities, work products/deliverables and liabilitiesof both the supplier(s) and the acquirer;3) mechanisms for monitoring the capability and performance of thesupplier(s) and for mitigation of identified risks are reviewed andconsidered for inclusion in the contract conditions; and4) proposers/tenderers are notified of the result of proposal/tenderselection.ACQ.4 Supplier monitoringProcess IDProcess NameProcess PurposeProcess OutcomesACQ.4Supplier monitoringThe purpose of the Supplier monitoring process is to monitor theperformance of the supplier against agreed requirements.As a result of successful implementation of this process:1) joint activities between the customer and the supplier are performedas needed;2) all information, agreed upon for exchange, is transferred betweenthe supplier and the customer;3) information on progress is exchanged regularly with the supplier;4) performance of the supplier is monitored against the agreedrequirements; and5) changes to the agreement, if needed, are negotiated between thecustomer and the supplier and documented with the agreement.NOTE: Joint activities to be performed should be mutually agreedbetween the cutomer and the supplier. The SPICE User Group 2005-201016

3.1.3ACQ.11 Technical requirementsProcess IDProcess NameACQ.11Technical RequirementsProcess PurposeThe purpose of the Technical requirements process is to establish thetechnical requirements of the acquisition. This involves the elicitationof functional and non-functional requirements that consider thedeployment life cycle of the products so as to establish a technicalrequirement baseline.Process OutcomesAs a result of successful implementation of this process:1) the technical requirements, including environment effect evaluation,safety and security requirements where appropriate, are defined anddeveloped to match needs and expectations;2) the current and evolving acquisition needs are gathered anddefined;3) the requirements and potential solutions are communicated to allaffected groups;4) a mechanism is established to incorporate changed or newrequirements into the established baseline;5) a mechanism for identifying and managing the impact of changingtechnology to the technical requirements is defined; and6) the requirements include compliance with relevant standards,including environment effect evaluation, safety and security standardswhere appropriate.NOTE: ISO/IEC 9126 may be a useful model to elicit technicalrequirements. The SPICE User Group 2005-201017

3.1.4ACQ.12 Legal and administrative requirementsProcess IDProcess NameACQ.12Legal and administrative requirementsProcess PurposeThe purpose of the Legal and administrative requirements process isto define the awarding aspects – expectations, liabilities, legal andother issues and which comply with national and international laws ofcontract.Process OutcomesAs a result of successful implementation of this process:1) a contractual approach is defined which is compliant with relevantnational, international and regulatory laws, guidance and policies;2) an agreement (contractual) terms and conditions is defined todescribe how the supplier will meet the needs and expectations;3) acceptance criteria and mechanisms for handling of breaches to thefulfillment of contract are established;4) the rights of the acquirer to assume, modify or evaluate, directly orindirectly Intellectual Property Rights are established;5) warranties and service level agreements are provided for whereapplicable;6) provision for the suppliers to deliver other requirements (e.g. qualityplan, escrow arrangements etc.) is defined; and7) recognized criteria for proprietary, regulatory and other productliabilities issues are established. The SPICE User Group 2005-201018

3.1.5ACQ.13 Project requirementsProcess IDProcess NameProcess PurposeProcess OutcomesACQ.13Project requirementsThe purpose of the Project requirements process is to specify therequirements to ensure the acquisition project is performed withadequate planning, staffing, directing, organizing and control overproject tasks and activities.As a result of successful implementation of this process:1) consistency between financial, technical, contract and projectrequirements is established;2) requirements for the organisational, management, controlling, andreporting aspects of a project are defined;3) requirements for adequate staffing of projects by a competent team(e.g. legal, contractual, technical, project competent resources) withclear responsibilities and goals are defined;4) the needs for exchanging information between all affected partiesare established;5) requirements for the completion and acceptance of interim workproducts and release of payments are established;6) potential risks are identified;7) requirements for ownership of interactions and relationships withsuppliers are defined;8) rights for use and distribution of the product by the customer andsupplier are defined; and9) support and maintenance requirements are established. The SPICE User Group 2005-201019

3.1.6ACQ.14 Request for proposalsProcess IDProcess NameACQ.14Request for proposalsProcess PurposeThe purpose of the Request for proposals process is to prepare andissue the necessary acquisition requirements. The documentation willinclude, but not be limited to, the contract, project, finance andtechnical requirements to be provided for use in the Call For Proposals(CFP)/Invitation To Tender (ITT).Process OutcomesAs a result of successful implementation of this process:1) rules are defined for proposal/tender invitation and evaluation whichcomply with the acquisition policy and strategy;2) the baseline technical and non-technical requirements areassembled to accompany the CFP/ITT;3) the agreement (contractual) terms of reference and conditions forCFP/ITT are established;4) the financial terms of reference for costs and payments for CFP/ITTare defined;5) the project terms of reference for CFP/ITT are defined;6) the technical terms of reference for CFP/ITT are defined; and7) a CFP/ITT is prepared and issued in accordance with acquisitionpolicies and which complies with relevant national, international andregulatory laws, requirements, and policies.3.1.7ACQ.15 Supplier qualificationProcess IDProcess NameProcess PurposeProcess OutcomesACQ.15Supplier qualificationThe purpose of the Supplier qualification process is to evaluate anddetermine if the potential supplier(s) have the required qualification forentering the proposal/tender evaluation process. In this process, thetechnical background, quality system, servicing, user supportcapabilities and etc. will be evaluated.As a result of successful implementation of this process:1) criteria are established for qualifying suppliers;2) supplier capability determination is performed as necessary;3) the suppliers which possess required qualification are short-listedfor tender solution(s) evaluation;4) any shortfalls in capability are identified and evaluated; and5) any corrective action required by the acquirer is evaluated andperformed. The SPICE User Group 2005-201020

3.2Supply Process Group (SPL)3.2.1SPL.1 Supplier tenderingProcess IDProcess NameProcess PurposeProcess Outcomes3.2.2SPL.1Supplier tenderingThe purpose of Supplier tendering process is to establish an interfaceto respond to customer inquiries and requests for proposal, prepareand submit proposals, and confirm assignments through theestablishment of a relevant agreement/contract.As a result of successful implementation of this process:1) a communication interface is established and maintained in order torespond to customer inquiries and requests for proposal;2) request for proposal are evaluated according to defined criteria todetermine whether or not to submit a proposal;3) the need to undertake preliminary surveys or feasibility studies isdetermined;4) suitable staff are identified to performed the proposed work;5) a supplier proposal is prepared in response to the customerrequest; and6) formal confirmation of agreement is obtained.SPL.2 Product releaseProcess IDProcess NameProcess PurposeProcess OutcomesSPL.2Product releaseThe purpose of Product release process is to control the release of aproduct to the intended customer.As a result of successful implementation of this process:1) the contents of the product release are determined;2) the release is assembled from configured items;3) the release documentation is defined and produced;4) the release delivery mechanism and media is determined;5) release approval is effected against defined criteria;6) the product release is made available to the intended customer; and7) confirmation of release is obtained. The SPICE User Group 2005-201021

3.3Engineering Process Group (ENG)3.3.1ENG.1 Requirements elicitationProcess IDProcess NameENG.1Requirements elicitationProcess PurposeThe purpose of the Requirements elicitation process is to gather,process, and track evolving customer needs and requirementsthroughout the life of the product and/or service so as to establish arequirements baseline that serves as the basis for defining the neededwork products.Process OutcomesAs a result of successful implementation of this process:1) continuing communication with the customer is established;2) agreed customer requirements are defined and baselined;3) a change mechanism is established to evaluate and incorporatechanges to customer requirements into the baselined requirementsbased on changing customer needs;4) a mechanism is established for continuous monitoring of customerneeds;5) a mechanism is established for ensuring that customers can easilydetermine the status and disposition of their requests; and6) changes arising from changing technology and customer needs areidentified, the associated risks assessed and their impact managed.NOTE 1: Requirements elicitation may involve the customer and thesupplier.NOTE 2: The agreed customer requirements and evaluation of anychanges may be based on feasibility studies and/or cost and timeanalyses.NOTE 3: An information management system may be needed tomanage, store and reference any information gained and needed indefining a

F and H of ISO/IEC 12207 AMD1: 2002 and ISO/IEC 12207 AMD2: 2004. It contains a sub set of the total processes with minor editorial changes together with a number of other changes to reflect consistency in use of terminology and application in the automotive sector. The FULL scope

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