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Where have SE Standards (and Models) come from…and where are they going? INCOSE - WMA Donald J. Gantzer SAIC 703-412-3668 May 15, 2007.

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Presentation on theme: "Where have SE Standards (and Models) come from…and where are they going? INCOSE - WMA Donald J. Gantzer SAIC 703-412-3668 May 15, 2007."— Presentation transcript:

1 Where have SE Standards (and Models) come from…and where are they going? INCOSE - WMA Donald J. Gantzer SAIC May 15, 2007

2 djGantzer Objectives n To give an overall summary of key SE process standards and models n To illustrate a top level comparison of them n To indicate trends and uses (in DoD) n To briefly address one key process – Technical Planning Disclaimer: The views and information presented here are the authors alone and do not necessarily represent SAIC or DoD views.

3 djGantzer Agenda n SE Standards and Models –Overview –Evolution of Standards & Models n ISO n EIA n IEEE n CMMI - Dev n Defense Acquisition Guide/SE –Correlations across –Application to Tech Planning –Summary –Some Key References

4 djGantzer Oh…wither models & standards?! The Process Standards / Models Quagmire. Source: Systems and Software Consortium {SSCI}

5 djGantzer SE Standards and Models Trends CMM for SWSW-CMM(97)CMMII v1.1(02) CMMI-Dev v2.0(06) EIA-731 [SECM](99) SE-CMM SECAM MilStd 499 A/B GEIA-632 (99)GEIA-632A (07) IEEE-1220(99)IEEE-1220 IEEE-1220(05) EIA/IS-632 ISO 15288(02) INCOSE SE HB v2a (04) INCOSE SE HB v3 (06) CMM- Capability Maturity Mode ISO : SE-System Life Cycle Processes EIA - 632:Process for Engineering a System IEEE-1220: Application & Management of the SE Process Sources: INCOSE, SEI CMMI-Acq (07) CMMI-AMSA-CMM IEEE (04) 08? 06+

6 djGantzer Overview of SE Standards + CMMI ISO/IEC – SE – System life cycle processes Establish a common framework for describing the life cycle of systems – 25 processes; incl 7 project, 11 technical, and 7 agreement and enterprise; 62 pgs - it is a hi-level framework [descriptive] EIA – Processes for Engineering a System Provide an integrated set of fundamental processes to aid a developer in the engineering or re-engineering of a system - 33 Requirements in 13 processes; 120 pgs - it is less prescriptive, broader scope [e.g., incl enterprise environment] IEEE – Application and Management of the SE Process Defines the requirements for an enterprises total technical effort related to the development of products and processes that will provide life cycle support for the products. It prescribes an integrated technical approach to engineering a system and requires the application of management of the systems process throughout the product life cycle requirements 28; incl 14 general, 6 by LC stages, 8 in SE Process ; 87 pgs – CMMI - DEV – Capability Maturity Model Integration® - 27 process areas:11 Management, 6 Engineering, 5 Support, and 5 Process; 573 pgs

7 djGantzer SE Standards & Models Life Cycle Phases ISO 15288EIA 632IEEE 1220CMMI (informal) DoD/DAG [DoDI ] Concept Pre-system Definition Concept concept, exploration, vision Concept Development System Def., Subsystem design, Detailed design System Def., Subsystem design, Detailed design; FAIT feasibility, design, development Tech Development; System Development.& Demonstration Production End product, physical, IT&E Production production, manufacturing, delivery Production & Deployment: LRIP Utilization operations Operations & Support [O&S]: FRIP Support support, maintenance, sustainment O&S: Sustainment Retirement disposal, phase out O&S:Disposal

8 djGantzer Scope of SE Standards MIL-STD-499B EIA/IS 632 ISO/IEC EIA 632 IEEE 1220 Level of Detail Breadth of Scope (source: S. Sheard, SPC and J. Lake, SMi; 2004)

9 djGantzer SE/SW Standards Harmonization Road Map Adapted from: SC7 WG7 N0560 Systems Engineering Study Group Report 11JAN02 EIA 632 ISO/IEC JTC1/SC7 IEEE EIA Software Engineering … ISO/IEC IEEE 1220 ISO/IEC ISO/IEC An Harmonization road map JTC1/SC7 Systems Engineering SC7 Internal Harmonization Joint Standards Body Harmonization Assessment [source: SSCI]

10 djGantzer Simple Generic SE Process source: Mil Std 499A/B and DAU guidance Requirements Analysis Functional Analysis/allocation Synthesis System Analysis & Control Inputs: Outputs: Note: Applied to AFIT/CSE SE Case Studies;

11 djGantzer IEEE 1220: Systems Engineering Process – (2005) 2. Requirements Validation 3. Functional Analysis 1. Requirements Analysis 4. Functional Verification 6. Design Verification 5. Synthesis 7. Systems Analysis* 8. Control Clause 6 – The SE Process Clause 4 - General Requirements 1. SE process 2. Polices & procedures for SE 3. Planning the technical effort: Prepare/update engineering plan; schedule; tech plans. 4. Development strategies 5. Modeling & prototyping 6. Integrated repository: data, tools. 7. Integrated data package: HW, SW, LC processes, human. 8. Specification tree 9. Drawing tree 10. System breakdown structure 11. Integration of the SE effort: concurrent engr., Int. teams. 12. Technical reviews 13. Quality management 14. Product and process improvement: re- engr., self-assess., LL. Note: includes detailed flows for each activity; and an example SEMP toc [source:SSCI + mods from IEEE 1220] *Requirements/ Functional /Design trade studies & assessments

12 djGantzer EIA 632: Processes for Engineering a System (1999; reaffirmed 2003) Supply Process Acquisition Process Acquisition and Supply System Design Requirements Definition Process Solution Definition Process* Product Realization Implementation Process Transition to Use Process Technical Management Planning Process Control Process Assessment Process Technical Support Product Verification Process Product Validation Process Requirements Validation Process* Systems Analysis Process* CONOPS & Requirements Architectures/Designs Products Outcomes & Feedback Plans, Directives, & Status Acquisition Request System Products Note: provides detailed activities and outcomes for each process (source: graph from INCOSE SE Handbook v2)* Note: under revision to harmonize w ISO 15288

13 djGantzer Draft update to EIA-632 (out for internal review) EIA – 632 [1999] EIA - 632a *{source: GEIA report; R. Harwell, 11/05}; 4 domains; Systems Management, System Creation, System Evaluation, Enterprise Environment Planning AssessmentProgress Assessment Control Requirements Definition Concept Definition Solution Definition System Definition Product Realization [Implementation/Transition] System Realization Systems Analysis Mission & Systems Analysis Requirements & End products Val., System ver. System V&V Supply & Acquisition Customer & Supplier Relationship Management Enterprise SupportResources & Infrastructure Enterprise SupportGovernance Enterprise supportLC Portfolio Mngt.

14 djGantzer ISO 15288: System Life-Cycle Processes (2002) Source: INCOSE SE Handbook, v3.0 Each process has purpose, outcomes, and activities

15 djGantzer CMMI Issues DoD Sponsor Report n Programs execute at lower maturity levels than their organizations have achieved and advertised n High-maturity practices are not consistently applied at the project level after contract award n How to ensure new projects will incorporate CMMI processes n Appraisal sampling procedures – how to ensure adequate coverage of the organizational unit n Appraiser quality – training, consistency n Lack of agreement on what constitutes Levels 4 and 5 n Need to converge to a single representation n Content of appraisal disclosure statements is lacking n Inadequate training and education for acquirers n Should CMMI be used for source selection? Source: NDIA SE Conf., 10/06 K. Baldwin

16 djGantzer Summary Improvements in CMMI-Dev v1.2 [August, 2006] n New material added to CMMI v1.2 to ensure processes used at project start-up n Appraisal Disclosure Statement (ADS) improved n Sampling rules improved n High maturity appraiser certification instituted Additionally… n CMMI guide for Acquisition Orgs to leverage Suppliers efforts – 3/07 n CMMI – Acq in final draft [summer 07?] Source: NDIA SE Conf., 10/06 K. Baldwin

17 djGantzer Capability Maturity Model Integrated (CMMI- Dev) CMMI Core SE Related Examples Integrated Product and Process Development Supplier Sourcing SW Related Examples V 1.1 (2002) CMMI Core (now includes SS) SE Related Examples IPPD SW Related Examples Hardware Related Examples V 1.2 (2006) Organizational Goal (OPD) Project Goal (IPM) Source: SEI* Sources incl EIA-731(SECM)

18 djGantzer [Acq] Requirements Management [Acq] Requirements Development [Acq] Technical Solution Product Integration [Acq drops this?] Verification Validation Engineering Project Management [added Acquisition Management] Project Planning Project Monitoring and Control Supplier Agreement Management [becomes Solicitation & Supplier Agreement Management ?] Integrated Project Management) Risk Management Quantitative Project Management (4) Organizational Process Focus; Definition Organizational Training; Process Performance (4) Organizational Innovation and Deployment(5) Process Management Configuration Management Process and Product Quality Assurance Measurement and Analysis Decision Analysis and Resolution Causal Analysis and Resolution (5) Support CategoryProcess Area CMMI-Dev 1.2 Process Areas Continuous Representation (Hi maturity level) (bold is for Levels 2&3 capability; […] addresses correlation with draft CMMI-Acq )

19 djGantzer Defense Acquisition Guide (DAG) [11/04] – Chapter 4 on SE [Note: DAG/SE used ISO 15288, EIA- 632, IEEE 1220, and DAU 2001 SE Handbook as key references]

20 djGantzer Example Systems Engineering Process Architecture (SE Processes taken from DAG, Chapter 4) Tech Planning Tech Decision Risk Requirements Assessment AnalysisManagement Management Requirements Development Logical AnalysisDesign Solution Implementation Verification & Validation Interface Management Configuration & Data Management Legend: Management Engineering Support Transition Integration Technical Management Processes: Technical Support Processes: Feedback from each process Core Technical Processes: Note: this illustration was adopted from some PI work done for DISA_by author

21 djGantzer SE Standards/Models Mapping - Management ISO-15288EIA-632IEEE-1220CMMI-DEV DAG/SE Chap. 4 Project PlanningPlanningPlanning tech effort, SE integration, of SE effort Project Planning; Integrated PM; Quantitative PM Technical Planning; Interface Mngt. Project Assessment AssessmentControl Project Monitoring & Control; M&A; Quantitative PM Technical Assessment; Project ControlControl Project Monitoring & Control Interface Mngt. Decision MakingSystems Analysis Measurement & Analysis (M&A); Decision Analysis & Resolution; Quantitative PM; Causal Analysis & Resolution; Decision Analysis Risk Mngt.Systems Analysis Risk Mngt. Configuration Management (CM) CMCM; Int. repository/ data pkg. CM; Requirements Mngt. CM; Requirements Mngt. Information Mngt.Control: info dissemination Control; Integrated DB/pkg. Integrated PM; CM Technical Data Mngt. Agreement : Acquisition & Supply Acquisition & Supply Supplier Agreement Mngt.; see also draft CMMI-Acq See other DAG chapters Enterprise: Environment, Life Cycle, Resource, & Quality Mngt. Environment & Enterprise Support [e.g., investment, resource, process mngt.] QM; Product & Process Improvement Organizational processes; Process & Product QA See other DAG chapters

22 djGantzer SE Standard/Models Mapping - Technical ISO-15288EIA-632IEEE-1220CMMI-DevDAG/ Chap. 4 Stakeholder Requirements Definition Requirements Definition Requirements Analysis Requirements Development Requirements Analysis Systems Analysis (SA) Requirements & Functional Analysis; SA Requirements Development Logical Analysis Architectural Design Solution Definition Synthesis; SA; modeling, spec tree, SBS Technical Solution Design Solution Implementation Implementation; production prototyping, fabrication, assembly, production Technical Solution Implementation Integrationintegration Product Integration Integration VerificationSystem Verification Functional and Design Verification; Tech reviews Verification Verification; [+Chap 9 – IT&E] ValidationRequirements and End Products Validation Requirements Validation; Tech reviews, test Validation Validation; [+Chap, 9 – IT&E] Transition Transition to Use Product Integration; Org. Innovation & Deployment; Org. Training Transition Operation; Maintenance; and Disposal field supportsupport operations, support, maintenance, sustainment, disposal See other DAG chapters.

23 djGantzer Example: Apply practices to Technical Planning ISO EIA IEEE CMMI - Dev PM BoK & DoD(AT&L)/SSE Tech Planning considerations

24 djGantzer ISO Project Planning activities Purpose is to produce and communicate effective and workable project plans n Identify the project objectives and constraints n Define the project scope as established in the agreement n Establish a WBS based on evolving system architecture n Define and maintain a project schedule based on project objectives and work estimates n Project achievement criteria for the life cycle stage decision gates, delivery dates and major dependencies on external inputs or outputs n Define the project costs and plan a budget n Establish the structure of authorities and responsibilities for project work n Define the infrastructure and services required by the project n Plan the acquisition of materials, goods and enabling system services supplied from outside the project n Generate and communicate a plan for technical mgmt. of the project, including the reviews n Define the project measures to be generated and the associated data to be collected, validated and analyzed n Generate a project quality plan Source: Summarized from ISO 15288

25 djGantzer EIA-632 – Technical Planning n Process Implementation Strategy –stakeholders, applicable docs, process approaches, LC phases, integration, reporting requirements, implementation n Technical Effort Definition –Requirement types, db, risk mngt. process metrics, metrics/quality, cost objectives, TPMs, tasks, methods & tools, technology n Schedule & Organization –Event& calendar based schedules, resources, staffing/disciplines, team/ org structure n Technical Plans –Engineering, Risk mngt., Tech Review, V &V, other n Work Directives –Work packages, work authorizations Source: EIA-632

26 djGantzer IEEE-1220 Planning the Technical Effort Prepare and Implement the technical plans and schedules to guide the project toward accomplishment of its objectives and proper conclusion. n Engineering plan [example SEMP content] n Master and Detail Schedules n Technical plans n Developmental strategies n Modeling & prototyping n Integrated repository, Data, Tools, and Integrated data package n Hw, SW, Humans n Life cycle processes n Spec and Drawing trees; SBS n Integration the SE effort n Tech Reviews n Quality management n Product & process improvement Source: IEEE

27 djGantzer CMMI – Project Planning Purpose is to supply and maintain plans that define project activities. n Establish Estimates –Estimate scope –Establish Estimates of work products/attributes –Define life cycle –Determine effort & cost estimates n Develop Project Plan –Establish budget & schedule –Identify risks –Plan for data management, –Plan for resources; Needed knowledge & skills –Plan stakeholder involvement –Establish the Plan n Obtain commitment to the Plan –Review plans that affect project –Reconcile work & resource levels –Obtain commitment n Other key process area relationships: – Requirements Development, Monitoring & Control, Supplier Agreement Mngt. Integrated PM, Risk Mngt., Measurement & Analysis, … Source: CMMI-Dev

28 djGantzer CMMI Generic Practices for Planning process area n Perform the planning process n Establish & maintain an Org policy for planning process n Plan the planning process n Provide resources n Assign responsibility n Train people n Manage configurations n Identify and involve relevant stakeholders n Monitor and control the planning process n Objectively evaluate adherence to the planning process n Review status with higher level management [PEO?] n …

29 djGantzer PM – Book of Knowledge (PM-BoK) (Project Management) n Scope* n Integration (charter, scope statement, PMP) n Communication* n Risk* n Quality* n Human Resources* n Time (definition, sequencing, estimation) n Cost (estimation, budgeting) n Procurement (purchase, acquisition, contracting) * Apply Planning, Execution & Control to each area Source: ; 3 rd Edition, DoD PMBoK Extension (2003): SE SW Acquisition Logistics T&E Manufacturing

30 djGantzer Planning Process example [INCOSE SE Handbook v3]

31 djGantzer DoD/SSE Technical Planning emphasis n Manage a Comprehensive Set of Requirements –Define project scope w key stakeholders [FoS, SoS] –Formulate, assess, select the preferred system concept –Develop explicit and testable system/project requirements –Develop a WBS [products & process] n Resource & Staffing to the Technical Plan –Organize and staff the project team [TA, PM, LSE, IPTs] –Estimate the time and resource requirements [IMS, EVMS] –Develop a project critical path –Develop a project budget n Develop and Managing Technical Baselines –Identify, manage, and mitigate project risks [technical] –Manage project changes and customer expectations n Managing Event-based Technical Reviews n Integrating Tech Planning into overall Program Planning & Management Context [IMP/IMS, EVMS, program Risks] Source: Dinesh Verma; DoD/SSE Workshop Note: DoD is updating DAG/SE, SEP Prep Guide, and DoDI

32 djGantzer … and in summary n ISO is becoming a SE process reference model –IEEE updated per ISO–15288; IEEE adopted the w elaboration; further updates planned –EIA is being harmonized to the ISO – & CMMI –CMMI used EIA 632, 731 as sources; next version will also look at and 1220 –ISO (SW Engineering processes) is being harmonized with 15288; additionally a Life Cycle Management standard being drafted both [in draft review –INCOSE SE Handbook v3.0, 2006 is based on 15288; SE Certification will be based on it; It is to be released as a ISO tech report –Coordination also underway w ISO 9001 n DoD SE Revitalization: –DAG SE now being revised; one area being beefed up is Software; DAU is implementing a series of SE courses –DoD SoSE Guide being piloted uses the DAG/Chapter 4 –CMMI Guide for Acquirers; SE in Acquisition Contracts Guide –NDIA-SE draft Systems Assurance Guide uses ISO and EIA-632 n IEEE working on an SE guidance & certification (by specialties)

33 djGantzer SE Sources Links: n ISO 15288: n EIA 632: n IEEE 1220: n SEI-CMMI: n Systems & Software Consortium: n DAU-DAG: n DoD(AT&L) SE: n AF Center for SE; n INCOSE – Standards TC References: n SE Standards & Models Compared; J. Lake (SMi) and S. Sheard (SPC), INCOSE 2004 n Evolution of a Standard EIA-632; R. Harwell, INCOSE 2006 n Cross-Cultural Issues Associated with the Application of ISO/IEC Standard; T. Ferris, INCOSE 2006 n INCOSE Insight: Special Feature: Standards in SE, April 2007; see particularly K. Crowder, D. Kitterman, T. Doran, R. Harwell, and S. Arnold articles.

34 djGantzer Backup slides

35 djGantzer Some SE Process References n ISO/IEC 15288: System Engineering – System Life Cycle Processes; 2002 n EIA/IS 632: Processes for Engineering a System; 1998 &? n IEEE 1220: Application and Management of the Systems Engineering Process; 2005 n CMMI© – Capability Maturity Model Integration for Systems Engineering, Software Engineering, and Integrated Product and Process Development, 1.2 (2006) n Defense Acquisition Guide, Chapter 4 - Systems Engineering; Defense Acquisition University, 2004 n CMMI – Acq: Adapting CMMI for Acquisition Organizations: A Preliminary Report; 2006 n Understanding and Leveraging a Suppliers CMMI Efforts; 2007 n INCOSE Systems Engineering Handbook, v 3, 2006

36 djGantzer NDIA Top 5 SE Issues Lack of awareness of SE importance Lack of adequate qualified resources Insufficient SE tools and environments Inconsistent requirements definition Poor initial program formulation 2003 Inconsistent SE practices across all life cycle phases Insufficient quantity and quality of SE expertise Requirements not well managed or translated Insufficient SE early in the life cycle Inadequate tools and collaborative environments 2006 Source: NDIA SE Conference 10/06; M. Schaffer DUSD(A&T) SSE

37 djGantzer Taking SE to the Next Level n My challenge to you: –Instilling upfront and continuous technical rigor –Understanding Systems-of-Systems SE –Fielding capability to the warfighter sooner –Increasing combat systems fuel efficiency –Addressing growing software concerns n Sincere thanks to our partners –Industry, in particular, NDIA –Service and Agency Engineering Staffs THE WILL TO CHANGE … Source: Honorable James L. Finely, DUSD(A&T), NDIA SE, 10/06

38 djGantzer DUSD(A&T) Vision for SE... n Competencies Impaired n Elevated Stature n Raised Awareness n Positive Influence n Delivered Product Suites n World class leadership n Broaden Software Engineering and System Assurance, expanding to Systems- of- Systems n Responsive and agile, proactive to changing customer needs n Focused technical assistance, guidance, and workforce education and training Systems and Software Engineering Center of Excellence... the Technical Foundation that Enables Acquisition Excellence Systems Engineering Revitalization Source: Honorable James L. Finely, DUSD(A&T), NDIA SE, 10/06

39 djGantzer Systems Engineering JCD SPG Joint Concepts FNAFAAEOA SDD PD TD & RR MS C MS B FRP DR CPD CDD OSD/ JCS COCOM CD O&S MS A FCB EOA Rpt B1B1 OSD/JCS COCOM Support Capability Based Assessments Define relationships with related capabilities, architectures (e.g., GIG) Identify alternatives; trade cost, sched, perf Identify incremental, system specifications Determine system performance parameters and verification plans Develop, test, and assess increments of capability Demonstrate capabilities meet user needs Assess system performance against capability needs Assess portfolio performance (CAR) Integrate SoS; assess cost, sched, perf Integrate and test Sound technical planning to support warfighting capabilities Components Enterprise SoS System Operational Fully integrated SE approach: technical maturity, cost realism, risk mitigation SE is the technical foundation for building acquisition knowledge over time Source: Honorable James L. Finely, DUSD(A&T), NDIA SE, 10/06

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