INCOSE Systems Engineering Handbook: A Guide For System .
Systems EngineeringHandbook
SYSTEMS ENGINEERINGHANDBOOKA GUIDE FOR SYSTEM LIFE CYCLEPROCESSES AND ACTIVITIESFOURTH EDITIONINCOSE-TP-2003-002-042015Prepared by:International Council on Systems Engineering (INCOSE)7670 Opportunity Rd, Suite 220San Diego, CA, USA 92111‐2222Compiled and Edited by:David D. Walden, ESEPGarry J. Roedler, ESEPKevin J. Forsberg, ESEPR. Douglas HamelinThomas M. Shortell, CSEP
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contentSIncose Notices viiHistory of Changes viii3Generic Life Cycle Stages 2525262732List of Figures xList of Tables xii3.13.23.33.43.513.6Preface ix1 Systems Engineering Handbook Scope 1.11.21.31.41.5Purpose Application Contents Format Definitions of Frequently Used Terms 2 Systems Engineering Overview 2.12.22.32.42.52.62.7111345Introduction 5Definitions and Concepts of a System 5The Hierarchy within a System 7Definition of Systems of Systems 8Enabling Systems 10Definition of Systems Engineering 11Origins and Evolution ofSystems Engineering 122.8 Use and Value of Systems Engineering 132.9 Systems Science and Systems Thinking 172.10 Systems Engineering Leadership 212.11 Systems Engineering ProfessionalDevelopment 224Introduction Life Cycle Characteristics Life Cycle Stages Life Cycle Approaches What Is Best for Your Organization,Project, or Team? Introduction to Case Studies Technical Processes 947Business or Mission AnalysisProcess 49Stakeholder Needs and RequirementsDefinition Process 52System Requirements DefinitionProcess 57Architecture DefinitionProcess 64Design Definition Process 70System Analysis Process 74Implementation Process 77Integration Process 79Verification Process 83Transition Process 88Validation Process 89Operation Process 95Maintenance Process 97Disposal Process 101v
vi5contentSTechnical Management Processes 1045.1 Project Planning Process 1045.2 Project Assessment and ControlProcess 1085.3 Decision Management Process 1105.4 Risk Management Process 1145.5 Configuration Management Process 1225.6 Information Management Process 1285.7 Measurement Process 1305.8 Quality Assurance Process 1359.49.59.69.79.89.9Object‐Oriented SystemsEngineering Method 193Prototyping 197Interface Management 197Integrated Product and ProcessDevelopment 199Lean Systems Engineering 203Agile Systems Engineering 20710 Specialty Engineering Activities 21110.16Agreement Processes 1396.1 Acquisition Process 6.2 Supply Process 1401427 Organizational Project‐Enabling Processes 1457.17.27.37.47.57.68Life Cycle Model Management Process Infrastructure Management Process Portfolio Management Process Human Resource Management Process Quality Management Process Knowledge Management Process Tailoring process and Applicationof Systems Engineering 8.1 Tailoring Process 8.2 Tailoring for Specific Product Sectoror Domain Application 8.3 Application of Systems Engineeringfor Product Line Management 8.4 Application of Systems Engineeringfor Services 8.5 Application of Systems Engineeringfor Enterprises 8.6 Application of Systems Engineeringfor Very Small and Micro Enterprises 1451491511541561581621631651701711751799 Cross‐Cutting Systems EngineeringMethods 1809.1 Modeling and Simulation 1809.2 Model‐Based Systems Engineering 1899.3 Functions‐Based Systems EngineeringMethod 190Affordability/Cost‐Effectiveness/Life Cycle Cost Analysis 21110.2 Electromagnetic Compatibility 21910.3 Environmental Engineering/ImpactAnalysis 22010.4 Interoperability Analysis 22110.5 Logistics Engineering 22210.6 Manufacturing and ProducibilityAnalysis 22510.7 Mass Properties Engineering 22510.8 Reliability, Availability,and Maintainability 22610.9 Resilience Engineering 22910.10 System Safety Engineering 23110.11 System Security Engineering 23410.12 Training Needs Analysis 23710.13 Usability Analysis/Human SystemsIntegration 23710.14 Value Engineering 241Appendix A: References 246Appendix B: Acronyms 257Appendix C: Terms and Definitions 261Appendix D: N2 Diagram of SystemsEngineering Processes 267Appendix E: Input/Output Descriptions 269Appendix F: Acknowledgements 284Appendix G: Comment Form 286Index 287
INCOSE NoticesThis International Council on Systems Engineering(INCOSE) Technical Product was prepared by theINCOSE Knowledge Management working group. It isapproved by INCOSE Technical Operations Leadershipfor release as an INCOSE Technical Product.Copyright 2015 by INCOSE, subject to the following restrictions:Author Use: Authors have full rights to use their contributions unfettered, with credit to the INCOSEtechnical source, except as noted in the following text.Abstraction is permitted with credit to the source.INCOSE Use: Permission to reproduce and use thisdocument or parts thereof by members of INCOSE and toprepare derivative works from this document for INCOSEuse is granted, with attribution to INCOSE and theoriginal author(s) where practical, provided this copyright notice is included with all reproductions andderivative works. Content from ISO/IEC/IEEE 15288 andISO/IEC TR 24748‐1 is used by permission, and is not tobe reproduced other than as part of this total document.External Use: This document may not be shared ordistributed to any non‐INCOSE third party. Requests forpermission to reproduce this document in whole or inpart, or to prepare derivative works of this document forexternal and/or commercial use, will be denied unlesscovered by other formal agreements with INCOSE.Copying, scanning, retyping, or any other form ofreproduction or use of the content of whole pages orsource documents are prohibited, except as approved bythe INCOSE Administrative Office, 7670 OpportunityRoad, Suite 220, San Diego, CA 92111‐2222, USA.Electronic Version Use: All electronic versions (e.g.,eBook, PDF) of this document are to be used for personalprofessional use only and are not to be placed on non‐INCOSE sponsored servers for general use. Any additional use of these materials must have written approvalfrom the INCOSE Administrative Office.General Citation Guidelines: References to this handbook should be formatted as follows, with appropriateadjustments for formally recognized styles:INCOSE (2015). Systems Engineering Handbook:A Guide for System Life Cycle Process and Activities(4th ed.). D. D. Walden, G. J. Roedler, K. J. Forsberg,R. D. Hamelin, and, T. M. Shortell (Eds.). San Diego,CA: International Council on Systems Engineering.Published by John Wiley & Sons, Inc.vii
History of ChangesRevisionRevision dateChange description and rationaleOriginalJun 19941.0Jan 19982.0Jul 20002.0AJun 20043.0Jun 20063.1Aug 20073.2Jan 20103.2.1Jan 20113.2.24.0Oct 2011Jan 2015Draft Systems Engineering Handbook (SEH) created by INCOSE members fromseveral defense/aerospace companies—including Lockheed, TRW, Northrop Grumman,Ford Aerospace, and the Center for Systems Management—for INCOSE reviewInitial SEH release approved to update and broaden coverage of SE process. Includedbroad participation of INCOSE members as authors. Based on Interim Standards EIA632 and IEEE 1220Expanded coverage on several topics, such as functional analysis. This version wasthe basis for the development of the Certified Systems Engineering Professional(CSEP) examReduced page count of SEH v2 by 25% and reduced the US DoD‐centric materialwherever possible. This version was the basis for the first publically offered CSEPexamSignificant revision based on ISO/IEC 15288:2002. The intent was to create a country‐and domain‐neutral handbook. Significantly reduced the page count, with elaboration tobe provided in appendices posted online in the INCOSE Product Asset Library (IPAL)Added detail that was not included in SEH v3, mainly in new appendices. This versionwas the basis for the updated CSEP examUpdated version based on ISO/IEC/IEEE 15288:2008. Significant restructuring of thehandbook to consolidate related topicsClarified definition material, architectural frameworks, concept of operationsreferences, risk references, and editorial corrections based on ISO/IEC reviewCorrection of errata introduced by revision 3.2.1Significant revision based on ISO/IEC/IEEE 15288:2015, inputs from the relevantINCOSE working groups (WGs), and to be consistent with the Guide to the SystemsEngineering Body of Knowledge (SEBoK)viii
PrefaceThe objective of the International Council on SystemsEngineering (INCOSE) Systems Engineering Handbook(SEH) is to describe key process activities performed bysystems engineers. The intended audience is the systemsengineering (SE) professional. When the term systemsengineer is used in this handbook, it includes the new sys tems engineer, a product engineer or an engineer in anotherdiscipline who needs to perform SE, or an experiencedsystems engineer who needs a convenient reference.The descriptions in this handbook show what each SEprocess activity entails, in the context of designing forrequired performance and life cycle considerations. Onsome projects, a given activity may be performed veryinformally; on other projects, it may be performed veryformally, with interim products under formal configurationcontrol. This document is not intended to advocate anylevel of formality as necessary or appropriate in all situa tions. The appropriate degree of formality in the executionof any SE process activity is determined by the following:1. The need for communication of what is being done(across members of a project team, across organi zations, or over time to support future activities)2. The level of uncertainty3. The degree of complexity4. The consequences to human welfareOn smaller projects, where the span of required commu nications is small (few people and short project lifecycle) and the cost of rework is low, SE activities can beconducted very informally and thus at low cost. On largerprojects, where the span of required communications islarge (many teams that may span multiple geographiclocations and organizations and long project life cycle)and the cost of failure or rework is high, increased for mality can significantly help in achieving project oppor tunities and in mitigating project risk.In a project environment, work necessary to accom plish project objectives is considered “in scope”; allother work is considered “out of scope.” On everyproject, “thinking” is always “in scope.” Thoughtful tai loring and intelligent application of the SE processesdescribed in this handbook are essential to achieve theproper balance between the risk of missing projecttechnical and business objectives on the one hand andprocess paralysis on the other hand. Chapter 8 providestailoring guidelines to help achieve that balance.Approved for SEH v4:Kevin Forsberg, ESEP, Chair, INCOSE Knowledge Manage ment Working GroupGarry Roedler, ESEP, Co‐Chair, INCOSE Knowledge Manage ment Working GroupWilliam Miller, INCOSE Technical Director (2013–2014)Paul Schreinemakers, INCOSE Technical Director (2015–2016)Quoc Do, INCOSE Associate Director for Technical ReviewKenneth Zemrowski, ESEP, INCOSE Assistant Director forTechnical Informationix
List of Figures1.1. System life cycle processes per ISO/IEC/IEEE152881.2. Sample of IPO diagram for SE processes2.1. Hierarchy within a system2.2. Example of the systems and systems of systemswithin a transport system of systems2.3. System of interest, its operational environment,and its enabling systems2.4. Committed life cycle cost against time2.5. Technology acceleration over the past 140 years2.6. Project performance versus SE capability2.7. Cost and schedule overruns correlated with SEeffort2.8. Systems science in context2.9. SE optimization system2.10. Professional development system3.1. Generic business life cycle3.2. Life cycle model with some of the possibleprogressions3.3. Comparisons of life cycle models3.4. Importance of the concept stage3.5. Iteration and recursion3.6. Vee model3.7. Left side of the Vee model3.8. Right side of the Vee model3.9. IID and evolutionary development3.10. The incremental commitment spiral model(ICSM)3.11. Phased view of the generic incremental commitment spiral model processx4.1. Transformation of needs into requirements4.2. IPO diagram for business or mission analysisprocess4.3. Key SE interactions4.4. IPO diagram for stakeholder needs and requirements definition process4.5. IPO diagram for the system requirementsdefinition process4.6. IPO diagram for the architecture definition process4.7. Interface representation4.8. (a) Initial arrangement of aggregates; (b) finalarrangement after reorganization4.9. IPO diagram for the design definition process4.10. IPO diagram for the system analysis process4.11. IPO diagram for the implementation process4.12. IPO diagram for the integration process4.13. IPO diagram for the verification process4.14. Definition and usage of a verification action4.15. Verification level per level4.16. IPO diagram for the transition process4.17. IPO diagram for the validation process4.18. Definition and usage of a validation action4.19. Validation level per level4.20. IPO diagram for the operation process4.21. IPO diagram for the maintenance process4.22. IPO diagram for the disposal process5.1. IPO diagram for the project planning process5.2. IPO diagram for the project assessment andcontrol process5.3. IPO diagram for the decision management process
LIST OF FIGURES5.4. IPO diagram for the risk management process5.5. Level of risk depends on both likelihood andconsequences5.6. Typical relationship among the risk categories5.7. Intelligent management of risks and opportunities5.8. IPO diagram for the configuration managementprocess5.9. Requirements changes are inevitable5.10. IPO diagram for the information managementprocess5.11. IPO diagram for the measurement process5.12. Measurement as a feedback control system5.13. Relationship of technical measures5.14. TPM monitoring5.15. IPO diagram for the quality assurance process6.1. IPO diagram for the acquisition process6.2. IPO diagram for the supply process7.1. IPO diagram for the life cycle model managementprocess7.2. Standard SE process flow7.3. IPO diagram for the infrastructure managementprocess7.4. IPO diagram for the portfolio management7.5. IPO diagram for the human resource managementprocess7.6. IPO diagram for the quality management process7.7. IPO diagram for the knowledge managementprocess8.1. Tailoring requires balance between risk and process8.2. IPO diagram for the tailoring process8.3. Product line viewpoints8.4. Capitalization and reuse in a product 10.8.10.9.10.10.xiProduct line return on investmentService system conceptual frameworkOrganizations manage resources to createenterprise valueIndividual competence leads to organizational,system and operational capabilityEnterprise SE process areas in the context of theentire enterpriseSample model taxonomySysML diagram typesFunctional analysis/allocation processAlternative functional decomposition evaluationand definitionOOSEM builds on established SE foundationsOOSEM activities in context of the systemdevelopment processOOSEM activities and modeling artifactsSample FFBD and N2 diagramExamples of complementary integrationactivities of IPDTsLean development principlesContextual nature of the affordability trade spaceSystems operational effectivenessCost versus performanceAffordability cost analysis frameworkLife cycle cost elements (not to scale)Process for achieving EMCSupportability analysisReliability program plan developmentResilience event modelSample Function Analysis System Technique(FAST) diagram
List of Tables2.1.2.2.2.3.2.4.3.1.Important dates in the origins of SE as a disciplineImportant dates in the origin of SE standardsCurrent significant SE standards and guidesSE return on investmentGeneric life cycle stages, their purposes, anddecision gate options4.1. Examples of systems elements and physicalinterfacesxii5.1. Partial list of decision situations (opportunities)throughout the life cycle8.1. Standardization‐related associations and automotive standards8.2. Attributes of system entities9.1. Types of IPDTs and their focus and responsibilities9.2. Pitfalls of using IPDT
1Systems Engineering Handbook Scope1.1PurposeThis handbook defines the discipline and practice of systems engineering (SE) for students and practicingprofessionals alike and provides an authoritative reference to understand the SE discipline in terms of contentand practice.1.2ApplicationThis handbook is consistent with ISO/IEC/IEEE15288:2015, Systems and software engineering—Systemlife cycle processes (hereafter referred to as ISO/IEC/IEEE 15288), to ensure its usefulness across a widerange of application domains—man‐made systems andproducts, as well as business and services.ISO/IEC/IEEE 15288 is an international standard thatprovides generic top‐level process descriptions andrequirements, whereas this han
derivative works. Content from ISO/IEC/IEEE 15288 and ISO/IEC TR 24748‐1 is used by permission, and is not to be reproduced other than as part of this total document. External Use: This document may not be shared or distributed to any non‐
INCOSE Systems Engineering Handbook v. 3. Acknowledgments. The INCOSE Systems Engineering Handbook version 3 development team owes a debt of gratitude to all the contributors to prior editions (versions 1, 2, and 2a). The framework they provided gave a solid basis for moving ahead with this version.
INCOSE Systems Engineering Handbook V4, to provide students with a unique learning experience will enable them to comfortably sit the INCOSE CSEP examination. Understand the significance of the CSEP certification. Apply processes from the INCOSE Systems Engineering Handbook. Define an
1962 Publication of Arthur D. Hall - A Methodology for Systems Engineering 1989 EIA recognizes SE as importan part of system development 1990 NCOSE is founded 1990-2000 Release of SE standards IEEE 1220, EIA 632 1994 NCOSE renamed to INCOSE 2002 Release of ISO/IEC 15288 2008 App. 6500 INCOSE members worldwide
Professional Engineer INCOSE Certified Systems Engineering Professional (CSEP) Past President, INCOSE SA Chapter INCOSE Ambassador Past convenor of SABS/TC 0001/SC 07/WG 07 on Life Cycle Management and member of South African delegation to ISO/IEC JTC
CSEP/ASEP Exam Basis o INCOSE SE Handbook v3.2.2 (or 3.2.1, 3.2) o Free download available to INCOSE members Exam is o 2 hours in length o 120 questions o Administered electronically at world-wide Prometric locations o Pass/Fail results provided immediately upon exam completion Ca
the concept framework is built upon six assertions, the first of which references INCOSE’s process of stakeholder consideration. INCOSE’s phase of concept exploration is covered by the remaining five assertions dedicated to solution-neutral information, and to solution-specific information, all formulated at the level of an integrated concept.
INCOSE-TP-2010-006-02.1 30 une 201 GUIDE FOR WRITING REQUIREMENTS Document No.: INCOSE-TP-2010-006-02.1 . CAPPENDIX C. COMMENT FORM 86 . document was based on inputs from numerous INCOSE contributors, was edited by Jeremy Dick and published in draft form in December 2009 for internal IN
INCOSE Guide for Writing Requirements 25 Nov 2019 INCOSE‐SD Requirements Tutorial 2019 Caltech Requirements Validation (My Definition) Determining the extent to which the requirements reflect user needs The goal of requirements validation is to seek out and correct .
