ISO 11354-2:2015

INTERNATIONAL ISO
STANDARD 11354-2
First edition
2015-07-01
Advanced automation technologies
and their applications —
Requirements for establishing
manufacturing enterprise process
interoperability —
Part 2:
Maturity model for assessing
enterprise interoperability
Technologies d’automatisation avancées et leurs applications —
Exigences relatives à l’établissement d’un processus d’interopérabilité
pour les entreprises de fabrication —
Partie 2: Modèle de maturité pour l’évaluation de l’interopérabilité
d’entreprise
Reference number
ISO 11354-2:2015(E)
©
ISO 2015

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ISO 11354-2:2015(E)

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ISO 11354-2:2015(E)

Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Abbreviated terms . 3
5 Conformity with this part of ISO 11354 . 3
6 Basic concepts of enterprise interoperability . 3
6.1 Enterprise interoperability . 3
6.2 Framework for enterprise interoperability . 3
7 The maturity model for enterprise interoperability (MMEI) . 4
7.1 Scope of model . 4
7.2 Overview of the levels of interoperability maturity . 4
8 Specification of the five maturity levels . 6
8.1 Maturity level 0 — Unprepared . 6
8.2 Maturity level 1 — Defined . 7
8.3 Maturity level 2 — Aligned . 7
8.4 Maturity level 3 — Organized . 8
8.5 Maturity level 4 — Adaptive. 9
9 Concern-based assessment of maturity levels . 9
9.1 Approach . 9
9.2 Maturity assessment guidelines .10
9.3 Illustrative data .12
9.4 Graphical representation of maturity level by concern and barrier .13
Bibliography .16
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ISO 11354-2:2015(E)

Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any
patent rights identified during the development of the document will be in the Introduction and/or on
the ISO list of patent declarations received (see www.iso.org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation on the meaning of ISO specific terms and expressions related to conformity
assessment, as well as information about ISO’s adherence to the WTO principles in the Technical Barriers
to Trade (TBT) see the following URL: Foreword - Supplementary information
ISO 11354-2 was prepared by the European Committee for Standardization (CEN) Technical Committee
CEN/TC 310, Advanced automation technologies and their applications (as CEN/TS 16658:2014) and was
adopted, under a special “fast-track procedure”, by ISO/TC 184 Automation systems and integration,
Subcommittee SC 5, Interoperability, integration, and architectures for enterprise systems and automation
applications, in parallel with its approval by the ISO member bodies.
ISO 11354 consists of the following parts, under the general title Advanced automation technologies and
their applications — Requirements for establishing manufacturing enterprise process interoperability:
— Part 1: Framework for enterprise interoperability
— Part 2: Maturity model for assessing enterprise interoperability
The following parts are planned:
— Part 3: Requirements for information and communication technology-enabled enterprise interoperability
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ISO 11354-2:2015(E)

Introduction
This part of ISO 11354 is based on ISO 11354-1, which describes the background and motivation
for ISO 11354, and provides a framework for enterprise interoperability (FEI) for describing and
representing concerns, barriers and approaches to enabling enterprise interoperability. It identifies
four levels of concern (business, process, services, data) and three kinds of barriers (conceptual,
technological, organizational) that are significant for enterprise interoperability, and specifies three
approaches (integrated, unified, federated) to address these concerns and overcome these barriers.
[9],[10]
This part of ISO 11354 is also based on work carried out in European projects such as ATHENA
[14]
and INTEROP NoE .
The barriers and concerns identified in ISO 11354-1 are used to characterize five levels of interoperability
maturity. For each combination of barriers and concerns, for all levels of interoperability maturity,
mechanisms are specified to enable an enterprise to assess its interoperability capabilities, and to
evaluate these against characterizations of maturity level. Two methods are then specified for overall
assessment:
a) by concern and barrier, or
b) by maturity level.
An illustrative method is provided to show how concern and barrier assessments can be combined
into a graphical representation, so providing an overall indication of existing enterprise capability to
interoperate with others (“as is”). Additionally this analysis and representation can identify where
capabilities that are needed to achieve desired higher levels of interoperability are insufficient and
consequently investment or reengineering is required (“to be”).
ISO 11354 focuses on, but is not restricted to, enterprise (manufacturing or service) interoperability. It is
intended for use by people who are concerned to assess capabilities for enterprise interoperability and
identify areas where those might need to be improved to meet the needs and ambitions of the enterprise.
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INTERNATIONAL STANDARD ISO 11354-2:2015(E)
Advanced automation technologies and their
applications — Requirements for establishing
manufacturing enterprise process interoperability —
Part 2:
Maturity model for assessing enterprise interoperability
1 Scope
This part of ISO 11354 specifies:
— levels to represent the capability of an enterprise to interoperate with other enterprises;
— measures for assessing the capability of a specific enterprise to interoperate with other enterprises;
— methods for combining these measures into two kinds of overall assessment:
— maturity level by concern and barrier, and
— assessment relative to four designated maturity levels;
— a method for representing concern and barrier overall assessments in a graphical form and for
identifying where capabilities are required to achieve desired higher levels of interoperability.
2 Normative references
The following documents, in whole or in part, are normatively referenced in this document and are
indispensable for its application. For dated references, only the edition cited applies. For undated
references, the latest edition of the referenced document (including any amendments) applies.
ISO 11354-1:2011, Advanced automation technologies and their applications — Requirements for establishing
manufacturing enterprise process interoperability — Part 1: Framework for enterprise interoperability
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
3.1
enterprise
one or more organizations sharing a definite mission, goals, and objectives to offer an output such as a
product or service
Note 1 to entry: This term includes related concepts such as extended enterprise or virtual enterprise.
[SOURCE: ISO 15704:2000, 3.6]
3.2
enterprise interoperability
ability of enterprises and entities within those enterprises to communicate and interact effectively
Note 1 to entry: Interoperability is considered as significant if the interactions can take place in at least one of the
four areas of interoperability concerns: data, service, process and business.
[SOURCE: ISO 11354-1:2011, 2.1]
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ISO 11354-2:2015(E)

3.3
enterprise interoperation
interactions between enterprise entities
3.4
maturity level
decimal in the range of 0 to 4 providing a numeric representation of the highest level of enterprise
interoperability maturity achieved for a particular combination of interoperability concern and
interoperability barrier
Note 1 to entry: A maturity level represents the degree of ability of the set of enterprise ICT-related capabilities
that determine the ability of the enterprise to interoperate with other enterprises. Other enterprises may be
suppliers, customers, partners, subsidiaries or others.
Note 2 to entry: The five maturity level integer values of 0, 1, 2, 3 and 4 are designated to have the following
meanings: 0 – unprepared, 1 – defined, 2 – aligned, 3 – organized, 4 – adaptive, possibly with intermediate values
representing partial and intermediate states between these levels. These five level values are further specified
in 7.2.
3.5
interoperability approach
manner in which interoperability problems are solved and barriers are overcome
Note 1 to entry: ISO 11354-1 defines three interoperability approaches: integrated, unified and federated.
[SOURCE: ISO 11354-1:2011, 2.4]
3.6
interoperability barrier
incompatibility between entities within the enterprise that obstructs the exchange of information and
other items, the utilization of services or the common understanding of exchanged items
Note 1 to entry: ISO 11354-1 defines three categories of barriers: conceptual, technological and organizational.
[SOURCE: ISO 11354-1:2011, 2.2]
3.7
interoperability concern
aspect of interaction or interoperation that is of interest to an enterprise stakeholder
Note 1 to entry: ISO 11354-1 defines four areas of interoperability concerns: data, service, process and business.
[SOURCE: ISO 11354-1:2011, 2.3]
3.8
interoperability practice measure
assessment, evaluated relative to each of the five specific maturity level values 0 to 4, for each of the
four kinds of interoperability concern (business, process, service and data) of an enterprise’s practices
and hence capability to overcome each of the three kinds of interoperability barrier (conceptual,
technological, organizational), expressed in terms of the most appropriate interoperability level
3.9
interoperability practice classification
enterprise practice classification corresponding to each combination of concern, barrier and level
3.10
maturity model
representation of degree of the ability of the set of enterprise ICT-related capabilities to interoperate
with other enterprises
Note 1 to entry: The model will cover only those parts (entities) of the enterprise, which are to be involved in the
information exchange.
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ISO 11354-2:2015(E)

4 Abbreviated terms
ATHENA Advanced Technologies for Heterogeneous Enterprise Networks and their Applications
FEI Framework for Enterprise Interoperability
ICT Information and Communication Technology
INTEROP Interoperability Research for Networked Enterprises Applications and Software
SME Small or Medium size Enterprise
5 Conformity with this part of ISO 11354
In order to claim conformity with this part of ISO 11354, any particular interoperability solution shall
address the normative requirements of Clauses 7, 8 and 9.
6 Basic concepts of enterprise interoperability
6.1 Enterprise interoperability
The concept of enterprise interoperability refers to the ability of enterprises (or part of them) to interact
with other enterprises (or other parts of the same enterprise) through the exchange of information and
other items such as material objects, energy, etc. Interoperability is seen as a necessary support to allow
business collaboration to happen, but interoperability is only a means and not the business collaboration
itself. It should also be noted that the concept of enterprise interoperability generally applies to both
inter- and intra-enterprise activities and includes extended enterprise, virtual enterprise and sub-
systems of one enterprise, be they distributed, networked or located in a single site, and whatever their
type (discrete or continuous production), nature (for example manufacturing or service) or scale (large
companies or SMEs).
NOTE 1 Enterprise interoperability is not an all or nothing situation. There are different extents and different
kinds of enterprise interoperability. It is not appropriate to say that enterprise A is interoperable but that
enterprise B is not. One needs to say how much interoperability (what extent? which functionality?) exists or is
needed within the appropriate business context and the tasks on hand.
NOTE 2 Enterprise interoperability is not aiming at providing interchange ability for the enterprise system as
a whole, but at providing the necessary means only for those parts directly involved in the interaction.
A high level of interoperability cannot be achieved for free. It is generally costly and time consuming.
Each enterprise shall define its needed interoperability requirements and the maturity level to reach.
It is not recommended that all enterprises seek to reach the highest interoperability level regardless
of their needs. An enterprise will need to carry out an assessment of the benefits, costs and impacts of
making such a move, and the particular need to consider environmental aspects in that assessment by
reference to the CEN environmental checklist and similar documents.
6.2 Framework for enterprise interoperability
ISO 11354-1 defines a three-dimensional framework (illustrated in Figure 1) that allows one to identify
and relate causes and effects of interoperability problems, and to identify relevant approaches and
potential solutions for those problems.
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ISO 11354-2:2015(E)

Figure 1 — Framework for enterprise interoperability
7 The maturity model for enterprise interoperability (MMEI)
7.1 Scope of model
The MMEI covers the two main dimensions of the Framework for Enterprise Interoperability (four kinds
of interoperability concern and three kinds of interoperability barrier). It also considers relations to the
dimension of the interoperability approach (integrated, unified or federated).
7.2 Overview of the levels of interoperability maturity
Enterprise interoperability maturity can be evaluated in two situations:
a) a priori, where the evaluation relates to the interoperability potentiality (i.e. with a possible future
other enterprise whose identity is not known at the moment of evaluation), or
b) a posteriori, where interoperation between known other enterprises is needed and the assessment
is concerned with the existing interoperability situation (i.e. considering the incompatibilities
between two known systems).
The five specific levels of enterprise interoperability maturity shall be defined as shown in the Table 1
and further detailed in Clause 8. Each level identifies a certain degree of capability required to establish
or improve interoperability.
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Enterprise interoperability maturity can be represented in two different ways:
— relative to each combination of concern and barrier, or
— relative to each of the five specific maturity level values of 0 to 4.
Table 1 — Enterprise interoperability maturity levels
Maturity level Capability for interoperation
Level 0 - Unprepared The enterprise has no capability for or intention to enable interoperation
Level 1 - Defined The enterprise is capable of properly modelling and describing its systems to prepare for
limited interoperation
Level 2 - Aligned The enterprise is capable of making necessary changes to align its operation to common
formats or standards
Level 3 - Organized The enterprise is capable of using meta modelling to achieve the mappings needed to inter-
operate with other compatible enterprises
Level 4 - Adaptive The enterprise is capable of negotiating with and dynamically accommodating any other
enterprise
Levels 0 and 1 correspond to the situation where there are no or only ad hoc interoperations. From
levels 2 to 4, levels of maturity are defined corresponding to the interoperability approach dimension of
the FEI (integrated, unified and federated).
Table 2 shows the mapping between maturity levels and interoperation environments created according
to the different approaches identified in the framework.
Table 2 — Maturity levels vs. interoperation environments
Maturity level Interoperation environments
Level 0 - Unprepared Isolated: The interoperation environment can exchange information only through manual
mechanisms (document, fax, etc.)
Level 1 - Defined Connected: In the interoperation environment information can be exchanged only though
simple electronic exchange such as messaging
Level 2 - Aligned Integrated: The interoperation environment has a commonly agreed format (or standard)
to which all other enterprises can build their systems or components thereof
Level 3 - Organized Unified: The interoperation environment uses meta-models, so allowing heterogeneous
systems to be mapped one to another
Level 4 - Adaptive Federated: The interoperation environment has no pre-defined format or meta-models,
instead interoperation can adjust and accommodate dynamically using information which
has been defined a priori (e.g. available capability and capacity, entity profiles)
Each level of maturity also corresponds to a degree of interoperability ranging from no interoperability
to full interoperability as shown in Table 3.
Table 3 — Maturity levels and degree of interoperability
Maturity level Interoperability degree
Level 0 - Unprepared Interoperability is non-existent or required manual intervention
Level 1 - Defined Interoperability is limited with only some ad hoc interoperations
Level 2 - Aligned Interoperability is restricted to peer-to-peer relations that use a common format or
standard
Level 3 - Organized Interoperability is extended, allowing many-to-many relations with multiple hetero-
geneous other enterprises
Level 4 - Adaptive Interoperability is generally achieved, allowing full interoperability with many other
enterprises
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Table 4 gives one high level view of the MMEI characterizing the different kinds of interoperability
barriers.
Table 4 — Characterizing the kinds of interoperability barriers
Conceptual Technological Organizational
Different concepts for entity representa- Discontinuities in the entity exchange Inability of management to accommo-
tion (incompatibilities in graphics, path (incompatible interfaces, exchange date changes sufficiently in a timely
syntactics, semantics and semiotics) protocols, services, and data storage fashion
devices)
Table 5 gives another view of the MMEI showing the kind of capability characterizing each maturity
level for each kind of interoperability barrier. Characterizations are further detailed in Clause 8.
Table 5 — Characterizing MMEI levels by enterprise capabilities for interoperation
→Maturity barriers Conceptual Technological Organizational
Maturity levels ↓
Level 0 – Unprepared Unidentified entities Inaccessible platforms Undefined authorities/ responsibil-
and applications ities
Level 1 – Defined Described and modelled Connectable platforms Specified authorities and responsi-
entities and applications bilities
Level 2 – Aligned Accepted enterprise con- Arranged infrastruc- Coordinated organization (aligned
cepts (commonly repre- ture (pre-configured organization structures enabling
sented and understood or resources which enable coherent management of interoper-
understandable by other information exchange) ation)
enterprises)
Level 3 – Organized Established relations (meta Harmonized infrastruc- Harmonized organizations (meta
modelling for mapping ture (meta modelling modelling for mapping between
between relevant enter- for mapping between organizational structures)
prises’ concepts) components – an open
architecture)
Level 4 – Adaptive Accommodated concepts Dynamically reconfigur- Agile and proactive management
(preconceived or mutually able infrastructure (the (capable of fast organizational
agreed adoption of enabling communication paths reconfiguration to accommodate
concepts) are adjusted automati- changes)
cally)
In the following clauses, each maturity level is defined by a table based on the FEI dimensions of
interoperability concern and interoperability barrier. Each cell lists capabilities that are necessary
to reach a particular interoperability maturity level. The transition from one level to a higher one
corresponds generally to a removal of interoperability barriers and satisfaction of requirements.
NOTE A lower interoperability maturity for a company does not mean a systematic dysfunction at all levels
and for all functions of the company. The maturity is only evaluated from the interoperability point of view and
cannot be applied for other purpose.
8 Specification of the five maturity levels
8.1 Maturity level 0 — Unprepared
The lowest level of interoperability maturity shall be characterized by the proprietary and heterogeneous
nature of systems. None of the system resources is intended to be shared with other systems. Systems
modelling and description are not complete or even non-existent. The organizational structure and
responsibilities are not explicitly specified. There is in general no collaboration and, in particular, no
interoperation with other enterprises. Communication with others remains mainly through manual
exchange. Systems run stand-alone and are not prepared for interoperation.
The level 0 of interoperability maturity is characterized in Table 6.
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Table 6 — Description of the interoperability maturity level 0
Conceptual Technological Organizational
Level 0 - Unpre- Business Heterogeneous visions, Islands of automation.
pared strategies, and policies, not lacking enterprise wide
described or modelled ICT infrastructures or
platforms
Process Heterogeneous processes, Manual processes with- Responsibilities and author-
not properly described out ICT support ities not explicitly defined,
or not identifiable by other
enterprises
Service Heterogeneous services, Stand-alone services and
not described or modelled applications
Data Heterogeneous data, not Data storage devices not
described or modelled interconnected, only
manual data exchange
8.2 Maturity level 1 — Defined
This level of interoperability maturity shall be characterized by the limited extent of possible
interoperations and ability to interconnect. Although the actual or envisaged systems are still entirely
distinct, some ad hoc interoperations can take place but the interoperability remains very limited.
Some basic ICT devices are connectable. Simple electronic data exchange becomes possible. In general,
systems and organizations are defined and possibly modelled. Modelling tools may be in place and used
at design time when specifying systems, but these tools are technology dependent and can run only on
specific platforms. Responsibilities and authorities to define, model, update and maintain data, services
and processes are also explicitly defined and formally documented.
The description of this level is characterized in Table 7.
Table 7 — Description of interoperability maturity level 1
Conceptual Technological Organizational
Level 1 - Defined Business Described and docu- Installed and in-use basic ICT
mented business strate- infrastructure and platforms
gies and policies
Process Defined and documented Limited ICT support for pro- Defined and established
processes cesses, enabling ad hoc process organizational struc-
information exchange tures
Service Defined and documented Connectable services and Identified responsibili-
services applications, providing ad hoc ties and authorities
information exchange
Data Defined and documented Connectable data storage
data models devices, enabling simple elec-
tronic exchange
8.3 Maturity level 2 — Aligned
This level of
...