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1 Tonight’s Presentation
Overview of Systems Engineering Standards Joe Vandeville Geoff Draper March 7, 2013

2 Agenda – SE Standards Overview
What are standards? Overview of standards bodies ISO, ANSI, EIA, GEIA (Tech America), IEEE, IEC, … Key Standards applicable to Systems Engineering ISO/IEC 15288; ISO/IEC 12207; ISO 9001; AS9100 ANSI/EIA 632 INCOSE SE Handbook Harmonization of SE standards Acquisition reform and revitalization DoD standards initiatives

3 References and Acknowledgments
NDIA Systems Engineering Division DoD Systems Engineering References meeting, Jan 15, 2013 Briefing: “Harmonizing Processes Across the Defense Industry: Approach and Roadmap”, Garry Roedler, NDIA Systems Engineering Division. See slides for additional references for other SE standards

4 Agenda – SE Standards Overview
What are standards? Overview of standards bodies ISO, ANSI, EIA, GEIA (Tech America), IEEE, IEC, … Key Standards applicable to Systems Engineering ISO/IEC 15288; ISO/IEC 12207; ISO 9001; AS9100 ANSI/EIA 632 INCOSE SE Handbook Harmonization of SE standards Acquisition reform and revitalization DoD standards initiatives

5 What are Standards? What is a Standard
Documented agreements containing technical specifications or other precise criteria to be used consistently as rules, guidelines, or definitions of characteristics, to ensure that materials, products, processes and services are fit for their purpose. Example The format of the credit cards, phone cards, and "smart" cards that have become commonplace is derived from an ISO International Standard. Adhering to the standard, which defines such features as an optimal thickness (0.76 mm), means that the cards can be used worldwide. International Standards thus contribute to making life simpler, and to increasing the reliability and effectiveness of the goods and services we use. “The nice thing about standards is that you have so many to choose from.“ Andrew S. Tanenbaum, Computer Networks, 2nd ed., p. 254

6 Key SE Related Standards & Guides

7 Agenda – SE Standards Overview
What are standards? Overview of standards bodies ISO, ANSI, EIA, GEIA (Tech America), IEEE, IEC, … Key Standards applicable to Systems Engineering ISO/IEC 15288; ISO/IEC 12207; ISO 9001; AS9100 ANSI/EIA 632 INCOSE SE Handbook Harmonization of SE standards Acquisition reform and revitalization DoD standards initiatives

8 What is ISO? ISO – International Organization for Standardization (so why isn’t it IOS?) ISO is a worldwide federation of national standards bodies from more than 140 countries, one from each country. ISO is a non-governmental organization established in The mission of ISO is to promote the development of standardization and related activities in the world with a view to facilitating the international exchange of goods and services, and to developing cooperation in the spheres of intellectual, scientific, technological and economic activity. Every working day of the year, an average of eight technical meetings take place somewhere in the world

9 ISO Technical Committees
Each Technical Committee (TC) has a number and can contain subcommittees (SC) and working groups (WG). The ISO technical/project committees are assigned numbers in order of their establishment, from TC 1 (1947) to PC 278 (2013) There are two joint technical committees JTC1: Information technology (1987) – ISO/IEC JTC2: Energy efficiency and renewable energy sources - Common terminology (2009) TC 1: Screw threads PC 278: Anti-bribery management system – Requirements (2013)

10 ISO Technical Committees
For example JTC 1, is the Technical Committee for standardization in the field of information technology. The following are the subcommittees in JTC 1: JTC 1/SC 2 Coded character sets JTC 1/SC 6 Telecommunications and information exchange between systems JTC 1/SC 7 Software and system engineering JTC 1/SC 11 Flexible magnetic media for digital data interchange JTC 1/SC 17 Cards and personal identification JTC 1/SC 22 Programming languages, their environments and system software interfaces JTC 1/SC 23 Optical disk cartridges for information interchange JTC 1/SC 24 Computer graphics and image processing JTC 1/SC 25 Interconnection of information technology equipment JTC 1/SC 27 IT Security techniques JTC 1/SC 28 Office equipment JTC 1/SC 29 Coding of audio, picture, multimedia and hypermedia information JTC 1/SC 31 Automatic identification and data capture techniques JTC 1/SC 32 Data management and interchange JTC 1/SC 34 Document description and processing languages JTC 1/SC 35 User interfaces JTC 1/SC 36 Learning technology JTC 1/SC 37 Biometrics JTC 1/SC 38 Distributed application platforms and services (DAPS) JTC 1/SC 39 Sustainability for and by Information Technology

11 ISO Technical Committees
JTC 1/SC7, the subcommittee for software and system engineering includes the following working groups: JTC 1/SC 7/WG 2 System software documentation JTC 1/SC 7/WG 4 Tools and environment JTC 1/SC 7/WG 6 Evaluation and metrics JTC 1/SC 7/WG 7 Life cycle management JTC 1/SC 7/WG 9 Software integrity JTC 1/SC 7/WG 10 Process assessment JTC 1/SC 7/WG 12 Functional size measurement JTC 1/SC 7/WG 13 Process measurement framework JTC 1/SC 7/WG 17 ODP - Enterprise language JTC 1/SC 7/WG 18 Quality management JTC 1/SC 7/WG 19 Open distributed processing and modeling languages JTC 1/SC 7/WG 20 Software Engineering Body of Knowledge JTC 1/SC 7/WG 21 Software assessment management

12 DoD interest

13 What is the IEC? The International Electrotechnical Commission (IEC) is an organization of 50 countries, created "to promote international cooperation on all questions of standardization and related matters, such as the verification of conformity to standards, in the fields of electricity, electronics and related technologies and thus promote international understanding." IEC does this by issuing publications, including international standards. IEC's scope is specifically electrotechnology (the electrical and electronic engineering fields). ISO standardizes all the other types of technology If the relative contribution of electrical and non-electrical technologies is not immediately evident, jurisdiction is settled by mutual agreement For example, on information technology standards, such as computer communications, ISO and IEC have formed a Joint Technical Committee Number One, JTC1. Other areas of cooperation include the environment, safety and electromagnetic radiation ISO and IEC together form a system for international standardization as a whole

14 ANSI is the official U.S. representative to ISO
What is ANSI? ANSI – American National Standards Institute (1918) A private, non-profit organization that administers and coordinates the U.S. voluntary standardization and conformity assessment system. The only accreditor of U.S. voluntary consensus standards developing organizations The Institute's mission is to enhance both the global competitiveness of U.S. business and the U.S. quality of life by promoting and facilitating voluntary consensus standards and conformity assessment systems, and safeguarding their integrity. ANSI is the official U.S. representative to the International Accreditation Forum (IAF), the International Organization for Standardization (ISO) and, via the U.S. National Committee, the International Electrotechnical Commission (IEC). ANSI is also the U.S. member of the Pacific Area Standards Congress (PASC) and the Pan American Standards Commission (COPANT). ANSI is the official U.S. representative to ISO

15 ANSI interfaces with the IEC is through the USNC
What is the USNC? US National Committee Only countries, not standards bodies, can be members of IEC and ISO. Therefore, standards bodies need to work through a member country organization when proposing international standards work or making submissions to IEC or ISO technical committees. ANSI, the American National Standards Institute, is the only dues paying U.S. member organization to ISO (ANSI is a founding member of ISO). The U.S. member to the IEC is the United States National Committee to the IEC (USNC). The ANSI interface with the IEC is through the USNC. In fact, the USNC is located at ANSI in New York. The USNC insists that IEC Standards are based on the principles of the World Trade Organization / Technical Barriers to Trade (WTO/TBT) agreement. The USNC also insists that the IEC adopts the concepts of valid justification, global relevance, consensus, openness, balance, impartiality, transparency, due process (including prompt appeal), flexibility, coherence and timeliness among IEC member countries in the work of the IEC.. ANSI interfaces with the IEC is through the USNC

16 What is the EIA? EIA was a national trade organization that includes the full spectrum of U.S. manufacturers, representing more than 80% of the $550 billion electronics industry The EIA organization ceased operations in February It used to be the Electronic Industries Alliance and before that (1997) the Electronic Industries Association EIA assigned Electronic Components Association (ECA) maintenance of all existing interconnect, passive and electro-mechanical (IP&E) and inter-department EIA standards. EIA also granted ECA the rights to develop new IP&E electronic component standards under the ANSI-designation of EIA standards. All other electronic components standards will be managed by their respective sectors. ECA joined the Electronic Components Industry Association (ECIA) with National Electronic Distributors Association (NEDA). However, the EIA standards brand will continue for IP&E standards within ECIA. CEA – The Consumer Electronics Association GEIA – The Government Electronics and Information Technology Association (became TechAmerica in 2009) JEDEC – The JEDEC Solid State Technology Association TIA – The Telecommunications Industry Association IP&E = Interconnect, Passive and Electromechanical

17 What is the EIA? ECA holds accreditation rights through ANSI, the American National Standards Institute, under the mark "EIA". Any standards committee choosing to develop an American National Standard may process the work through the ECA accreditation. The ECA Standards and Technology Department oversees the ECA's presence in the global standards-setting arena by managing a number of Technical Committee and Subcommittee Secretariats and US Technical Advisory Groups (TAGs) sponsored by the International Electrotechnical Commission (IEC) and the Joint Technical Committee on Information Technology (JTC1) that is a combined effort of the IEC and the International Organization for Standardization (ISO). IP&E = Interconnect, Passive and Electromechanical

18 What is the IEEE? Professional organization focused on science and education directed toward the advancement of the theory and practice of Electrical, Electronics, Communications and Computer Engineering, as well as Computer Science IEEE produces 30% of the world's literature in the electrical and electronics engineering and computer science fields IEEE Standards Association: With an active portfolio of nearly 1,300 standards and projects under development, IEEE is a leading developer of industry standards in a broad range of technologies. Lists of terms, definitions, or symbols, applicable to any field of science or technology within the scope of IEEE; Expositions of scientific methods of measurement or tests of the parameters or performance of any device, apparatus, system, or phenomenon associated with the art, science, or technology of any field within the scope of IEEE; Characteristics, performance, and safety requirements associated with devices, equipment, and systems with engineering installations; and/or Recommendations reflecting current state-of-the-art in the application of engineering principles to any field of technology within the scope of IEEE.

19 IEEE Standards Process
IEEE standards follow a well-defined path from concept to completion, guided by a set of five basic principles: due process, openness, consensus, balance and right of appeal. These imperatives ensure fairness and good standards practice during the development cycle, and help validate approved standards U.S. Department of Justice has held that standards organizations are responsible for the actions of their standards developers

20 How is INCOSE Involved? INCOSE has a Technical Board that is the strategic planning and management body for the technical community. Reporting to this Board are a number of Technical Committees, one of which is the Standards Technical Committee (STC). The goal of this Committee is to encourage, guide, and assess INCOSE’s participation in standards activities. This includes coordination of INCOSE’s review of standards and dissemination of information on standards and standardization activities. The STC and Technical Board maintain liaison with a number of standards organizations GEIA SSTC G-47 - Government Electronics & Information Technology Association, Systems, Standards & Technology Council, Systems Engineering Committee. ISO JTC1/SC7 - International Organization for Standardization, Joint Technical Committee, Subcommittee for Software and System Engineering In addition, the STC maintains liaison with the Object Management Group (OMG), the National Defense Industrial Association (NDIA), the Electronic Industries Alliance (EIA), the Institute for Electrical and Electronics Engineers (IEEE), and subject matter experts from around the world. Some of the international standards that STC is involved with are: ISO (System Life Cycle Processes), ISO (Systems Engineering Capability Model), and ISO AP233 (STEP, Systems Engineering Data Exchange)

21 INCOSE Products http://g2sebok.incose.org/

22 Agenda – SE Standards Overview
What are standards? Overview of standards bodies ISO, ANSI, EIA, GEIA (Tech America), IEEE, IEC, … Key Standards applicable to Systems Engineering ISO/IEC 15288; ISO/IEC 12207; ISO 9001; AS9100 ANSI/EIA 632 INCOSE SE Handbook Harmonization of SE standards Acquisition reform and revitalization DoD standards initiatives

23 ISO/IEC 12207

24 ISO/IEC/IEEE 15288 - Systems Engineering – System Life Cycle Processes
Covers systems life cycle from conception to retirement/disposal Major process groups: Enterprise, Agreement, Project, Technical Major technical processes: Stakeholder Agreements, Requirements Analysis, Architectural Design, Implementation, Integration, Verification, Transition, Validation, Operation & Maintenance, Disposal

25 ISO/IEC/IEEE 15288 Processes and Structure
Project Planning Project Assessment & Control Measurement Configuration Mgt. Risk Management Decision Mgt. Information Mgt. Project processes Planning Assessment & Control Measurement Configuration Mgt. Risk Management Decision Mgt. Information Mgt. Project processes Quality Assurance Tailoring Technical processes Implementation Architecture Def Integration Verification Transition Validation Operation Disposal Maintenance Design Def Bus & Mission Analysis Stakeholder Needs & Reqts System Reqts Def. System Analysis Implementation Stakeholder Requirements Definition Requirements Analysis Architectural Design Integration Verification Transition Validation Operation Disposal Maintenance Technical processes Hardware Implementation Software Implementation Refer to ISO/IEC 12207 Human Task Implementation Life Cycle Model Mgt. Organizational Project Enabling Processes Infrastructure Mgt. Project Portfolio Mgt. Human Resource Mgt. Quality Mgt. Knowledge Mgt. Life Cycle Model Mgt. Organizational Project Enabling Processes Infrastructure Mgt. Project Portfolio Mgt. Human Resource Mgt. Quality Mgt. ISO/IEC/IEEE 15288: Comprehensive – most orgs & domains Has 26 Processes in 4 Process Groups Includes interaction of project & org. Full life cycle – stages – holistic view Based on proven practices Acquisition Supply Agreement processes Source: Adapted from ISO/IEC JTCI/SC7/WG7 presentation on ISO/IEC

26 IEEE/EIA 12207 - Software Life Cycle Processes
Covers software life cycle from concept of ideas to retirement Primary processes: Acquisition, Supply, Development, Operation, Maintenance Supporting processes: Verification, Validation, Configuration Management, Quality Assurance, . . .

27 ISO/IEC 12207 Software Life Cycle Processes
Primary Processes Acquisition Supply Development Operation Maintenance Organizational Processes Management Infrastructure Improvement Training Documentation Configuration Quality Assurance Verification Validation Joint Review Audit Problem Resolution Support Processes

28 ANSI/EIA-632 - Processes for Engineering a System
Provides an integrated set of fundamental processes to aid a developer in engineering or reengineering a system Developed as an industry standard when the DoD determined in 1994 that MIL-STD-499B would not be released as a military standard Covers: Technical Management – Planning, Assessment of Progress, Control Acquisition & Supply System Design – Requirements Definition, Solution Definition Product Realization – Implementation, Transition to Use Technical Evaluation – System Analysis, Requirements Validation, System Verification, End Product Validation

29 EIA-632 System Engineering Taxonomy
Technical Management Planning Process Assessment Process Control Process Outcomes Management Information Dissemination Acquisition and Supply Acquisition Process Supply Process Product Realization Transition to Use Implementation Process Technical Evaluation Requirements Validation Process Systems Analysis Process System Verification Process End Products Validation Process System Design Solution Definition Requirements Definition

30 ISO 9001:2008 - Quality Management Systems
The ISO 9000 family of standards (developed in 1987) is related to quality management systems and designed to help organizations ensure that they meet the needs of customers and other stakeholders while meeting statutory and regulatory requirements related to the product. Sections Section 1: Scope Section 2: Normative Reference Section 3: Terms and definitions (specific to ISO 9001, not specified in ISO 9000) Section 4: Quality Management System Section 5: Management Responsibility Section 6: Resource Management Section 7: Product Realization Section 8: Measurement, analysis and improvement The standard specifies that the organization shall issue and maintain the following six documented procedures: Control of Documents (4.2.3) Control of Records (4.2.4) Internal Audits (8.2.2) Control of Nonconforming Product / Service (8.3) Corrective Action (8.5.2) Preventive Action (8.5.3) In addition to these procedures, ISO 9001:2008 requires the organization to document any other procedures required for its effective operation. The standard also requires the organization to issue and communicate a documented quality policy, a Quality Manual (which may or may not include the documented procedures) and numerous records, as specified throughout the standard.

31 AS 9100 - Quality Management Systems for the Aerospace Industry
AS9100C (2009) AS9100 is a widely adopted and standardized quality management system for the aerospace industry. It was released in October, 1999, by the Society of Automotive Engineers and the European Association of Aerospace Industries. AS9100 fully incorporates the entirety of the current version of ISO 9000, while adding additional requirements relating to quality and safety. Major aerospace manufacturers and suppliers worldwide require compliance and/or registration to AS9100 as a condition of doing business with them This standard is designed to be used by firms in the aviation, space, and defense industries and can be applied throughout the supply chain. It is intended for use by organizations that design, develop, and produce aviation, space, and defense products. It is also intended for use by organizations that provide post-delivery support. This includes those that provide maintenance, materials, or spare parts for their own products

32 AS 9100 - Quality Management Systems for the Aerospace Industry
7. REALIZATION REQUIREMENTS 7.1 CONTROL PRODUCT REALIZATION PLANNING -Determine objectives & requirements for product quality, safety, reliability, availability maintainability, producibility, inspectability, suitability, disposal ESTABLISH A PROJECT MANAGEMENT PROCESS, A RISK MANAGEMENT PROCESS, A CONFIGURATION MANAGEMENT PROCESS, A WORK TRANSFER CONTROL PROCESS 7.2 CONTROL CUSTOMER-RELATED PROCESSES 7.2.1 IDENTIFY YOUR UNIQUE PRODUCT REQUIREMENTS 7.2.2 REVIEW CUSTOMERS' PRODUCT REQUIREMENTS 7.2.3 COMMUNICATE WITH YOUR CUSTOMERS 7.3 CONTROL PRODUCT DESIGN AND DEVELOPMENT 7.3.1 PLAN PRODUCT DESIGN AND DEVELOPMENT 7.3.2 IDENTIFY DESIGN AND DEVELOPMENT INPUTS 7.3.3 GENERATE DESIGN AND DEVELOPMENT OUTPUTS 7.3.4 CARRY OUT DESIGN AND DEVELOPMENT REVIEWS 7.3.5 PERFORM DESIGN AND DEVELOPMENT VERIFICATIONS 7.3.6 CONDUCT DESIGN AND DEVELOPMENT VALIDATIONS MANAGE DESIGN AND DEVELOPMENT VERIFICATION AND VALIDATION TESTING DOCUMENT DESIGN AND DEVELOPMENT VERIFICATIONS AND VALIDATIONS 7.3.7 MANAGE DESIGN AND DEVELOPMENT CHANGES

33 AS 9100 - Quality Management Systems for the Aerospace Industry
7. REALIZATION REQUIREMENTS (continued) 7.4 CONTROL PURCHASING AND PURCHASED PRODUCTS 7.4.1 ESTABLISH CONTROL OF YOUR PURCHASING PROCESS 7.4.2 SPECIFY YOUR PURCHASING REQUIREMENTS 7.4.3 VERIFY YOUR PURCHASED PRODUCTS 7.5 CONTROL PRODUCTION AND SERVICE PROVISION 7.5.1 ESTABLISH CONTROL OF PRODUCTION AND SERVICE VERIFY THAT PRODUCTION PROCESS MEETS REQUIREMENTS CONTROL CHANGES IN YOUR PRODUCTION PROCESS CONTROL EQUIPMENT, TOOLS, AND SOFTWARE PROGRAMS PROVIDE POST-DELIVERY SUPPORT 7.5.2 VALIDATE PRODUCTION AND SERVICE PROVISION 7.5.3 IDENTIFY AND TRACK YOUR PRODUCTS 7.5.4 PROTECT PROPERTY SUPPLIED BY CUSTOMERS 7.5.5 PRESERVE YOUR PRODUCTS AND COMPONENTS 7.6 CONTROL MONITORING AND MEASURING EQUIPMENT

34 Agenda – SE Standards Overview
What are standards? Overview of standards bodies ISO, ANSI, EIA, GEIA (Tech America), IEEE, IEC, … Key Standards applicable to Systems Engineering ISO/IEC 15288; ISO/IEC 12207; ISO 9001; AS9100 ANSI/EIA 632 INCOSE SE Handbook Harmonization of SE standards Acquisition reform and revitalization DoD standards initiatives

35 DoD Standardization Initiatives
Acquisition reform in past decades eliminated many DoD/MIL-STDs that were often levied on contracts DOD-STD-2167A, MIL-STD-498, MIL-STD-1521B, … Replaced with industry best practices and commercial standards DoD has been re-vitalizing systems engineering practices on defense programs, led by DASD(SE) DoD seeks to restore selected standards and require adherence contractually in RFPs Systems Engineering; Configuration Management; Technical Reviews/Audits; Manufacturing Development; Logistics Plan to leverage existing industry standards ISO, IEEE, EIA, etc. with government-specific content added as appendices if needed. RFIs issued to standards development orgs. Likely standards to be applied include: ISO/IEC/IEEE (SE), (SW), potentially lower level standards

36 Defense Acquisition Guidebook (DAG)
Chapter 4: Systems Engineering https://acc.dau.mil/dag4 Referenced standards/models: ISO/IEC 15288, Systems and Software Engineering – System Life Cycle Processes ISO/IEC 12207, Systems and Software Engineering – Software Life Cycle Processes ISO/IEC 26702, Application and Management of the Systems Engineering Process CMMI-DEV, Capability Maturity Model Integration® for Development CMMI-ACQ, Capability Maturity Model Integration® for Acquisition INCOSE SE Handbook Technical Management Processes Technical Processes 1. Decision Analysis 1. Stakeholder Requirements Definition 2. Technical Planning 2. Requirements Analysis 3. Technical Assessment 3. Architecture Design 4. Requirements Management 4. Implementation 5. Risk Management 5. Integration 6. Configuration Management 6. Verification 7. Technical Data Management 7. Validation 8. Interface Management 8. Transition The DAG is also undergoing revision to integrate with DoD policy updates.

37 DoD Standardization Initiatives
DoD seeks to revitalize technical standards that were removed in acquisition reform Systems Engineering Technical Reviews/Audits Configuration Management Logistics Support Manufacturing Administered by Defense Standardization Program Office Preference to adopt existing industry standards where possible Working with SDOs to possibly add DoD-specific appendices, if necessary References: DASD(SE) briefings at NDIA Systems Engineering meetings,

38 DoD Standards of Interest
NDIA and other partners are working with DoD (DASD(SE)) to converge with industry standards updates Likely to be levied in RFPs in the not too distant future Likely candidates for consideration include: ISO/IEC/IEEE 15288 ISO/IEC/IEEE 12207 EIA 632 Some of these standards are currently undergoing revision, and may harmonize into compatible and consistent standards Reference: NDIA DoD SE References Meeting, 15 Jan 2013, NDIA Systems Engineering Division

39 Recommendations Obtain at least a high level understanding of applicable SE standards Monitor DoD SE Standardization and SDO integration efforts Start preparing your organizations for likely flow down of contractual standards in RFPs Reference: NDIA DoD SE References Meeting, 15 Jan 2013, NDIA Systems Engineering Division


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