Contents

Contributors ....................................................................................................

xiii

Preface............................................................................................................

xvii

An Introduction to Systems Engineering and Systems Management ..........

I.1 Systems Engineering ..................................................................................................

I.2 The Importance of Technical Direction and Systems Management .........................

I.3 Additional Definitions of Systems Engineering ........................................................

10

I.4 Life-cycle Methodologies, or Processes, for Systems Engineering ........................

25

I.5 The Rest of the Handbook of Systems Engineering and Management..................

33

I.6 Knowledge Map of The Systems Engineering and Management Handbook.........

50

I.7 The Many Dimensions of Systems Engineering ......................................................

51

I.8 People, Organizations, Technology, and Architectures...........................................

55

1. Systems Engineering Life Cycles: Life Cycles for Research,

Development, Test, and Evaluation; Acquisition; and Planning
and Marketing.............................................................................................

59

1.1 Introduction...............................................................................................................

59

1.2 Classification of Organizational Processes.............................................................

65

1.3 Research, Development, Test, and Evaluation Life Cycles ...................................

67

1.4 System Acquisition or Production Life Cycles.........................................................

72

1.5 The Planning and Marketing Life Cycle ..................................................................

82

1.6 Software Acquisition Life Cycle Models ..................................................................

85

1.7 Trends in Systems Engineering Life Cycles ...........................................................

93

1.8 Conclusions............................................................................................................

105

References ...................................................................................................................

106

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Contents

2. Systems Engineering Management: The Multidisciplinary

Discipline ..................................................................................................

113

2.1 Introduction.............................................................................................................

113

2.2 Defining Systems Engineering Management........................................................

114

2.3 Activities and Roles of the Systems Engineering Manager..................................

116

2.4 Toward a Comprehensive Framework for the Implementation of Systems

Engineering Management: The Two-dimensional Taxonomy .............................

118

2.5 Different Systems Engineering Management Roles for Various Project

Types .....................................................................................................................

122

2.6 The Skills, Tools, and Disciplines Involved in Systems Engineering

Management..........................................................................................................

129

2.7 Developing Educational and Training Programs in Systems Engineering

Management..........................................................................................................

131

2.8 Conclusion..............................................................................................................

134

References ...................................................................................................................

134

3. Risk Management ......................................................................................

137

3.1 The Process of Risk Assessment and Management............................................

137

3.2 The Holistic Approach to Risk Analysis.................................................................

139

3.3 Risk of Extreme Events..........................................................................................

148

3.4 The Partitioned Multiobjective Risk Method..........................................................

152

3.5 The Characteristics of Risk in Human-engineered Systems................................

161

3.6 Selected Cases of Risk-based Engineering Problems.........................................

162

3.7 Summary ................................................................................................................

170

Acknowledgement........................................................................................................

171

References ...................................................................................................................

171

4. Discovering System Requirements .........................................................

175

4.1 Introduction.............................................................................................................

175

4.2 Stating the Problem................................................................................................

176

4.3 What Are Requirements? ......................................................................................

178

4.4 Characterizations ...................................................................................................

187

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vii

4.5 Tools for Gathering Requirements ........................................................................

179

4.6 The Requirements Development Process ............................................................

188

4.7 Characteristics of a Good Requirement ................................................................

197

4.8 Related Items .........................................................................................................

201

4.9 A Heuristic Example of Requirements ..................................................................

203

Acknowledgements ......................................................................................................

205

Appendix 4A: Behavior Scenarios of ATM Transactions............................................

205

Appendix 4B: A Comparison of Some Systems Engineering Tools that Aid in

Developing and Understanding System Requirements.......................................

214

References ...................................................................................................................

218

5. Configuration Management ......................................................................

221

5.1 Introduction.............................................................................................................

221

5.2 Configuration Management Procedures ...............................................................

222

5.3 Configuration Management Responsibilities.........................................................

224

5.4 Configuration Management Activities....................................................................

225

5.5 Conclusion..............................................................................................................

231

Appendix: Applicable Standards..................................................................................

231

References ...................................................................................................................

232

Bibliography..................................................................................................................

233

6. Cost Management......................................................................................

235

6.1 Introduction.............................................................................................................

235

6.2 Life-cycle Costing...................................................................................................

235

6.3 Functional Economic Analysis...............................................................................

242

6.4 Work Breakdown Structure....................................................................................

245

6.5 Activity-based Costing ...........................................................................................

250

6.6 Cost and Effectiveness Analysis ...........................................................................

254

6.7 System Evaluation and Cost Control.....................................................................

265

6.8 Summary ................................................................................................................

267

References ...................................................................................................................

268

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Contents

7. Total Quality Management ........................................................................

269

7.1 Introduction.............................................................................................................

269

7.2 Historical Background of the Quality Movement...................................................

273

7.3 Total Quality Management Tools ..........................................................................

274

7.4 Total Quality Management Philosophies...............................................................

276

7.5 Summary ................................................................................................................

296

Appendix 7A: The ISO 9000 Standards .....................................................................

293

Appendix 7B: Malcome Baldrige Award Criteria ........................................................

296

Appendix 7C: Deming's Quality Philosophy...............................................................

299

References ...................................................................................................................

302

8. Reliability, Maintainability, and Availability.............................................

303

8.1 Introduction and Motivation....................................................................................

303

8.2 Evolution of RMA Engineering...............................................................................

304

8.3 Allocation ................................................................................................................

305

8.4 Design for Reliability ..............................................................................................

305

8.5 System Architecture...............................................................................................

306

8.6 Stress Analysis and Management.........................................................................

307

8.7 Qualification............................................................................................................

309

8.8 Reliability Testing ...................................................................................................

309

8.9 Quality Conformance .............................................................................................

311

8.10 Reliability Assessment.........................................................................................

313

8.11 System Reliability Assessment Modeling ...........................................................

315

8.12 Fault Trees ...........................................................................................................

320

8.13 Failure Modes and Effects Analysis ....................................................................

320

8.14 Design for Maintainability.....................................................................................

322

8.15 Data Collection, Classification, and Reporting....................................................

324

8.16 Warranties and Life-cycle Costs..........................................................................

325

8.17 Operational Readiness and Availability...............................................................

325

References ...................................................................................................................

326

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9. Concurrent Engineering............................................................................

327

9.1 Introduction.............................................................................................................

327

9.2 Concurrent Engineering and the Product Life Cycle ............................................

328

9.3 Building a Concurrent Engineering Environment: A Systems Engineering

Perspective ............................................................................................................

330

9.4 Managing a Concurrent Engineering Environment: Tools and Techniques ........

357

9.5 Implementation.......................................................................................................

365

9.6 Conclusion..............................................................................................................

366

Acknowledgement........................................................................................................

367

References ...................................................................................................................

367

10. The Logical Framework in a Project Management System..................

371

10.1 Introduction...........................................................................................................

371

10.2 The Logical Framework: A Tool for Breaking Down the Project Concept .........

372

10.3 The LogFrame: A Tool for Measuring Performance...........................................

380

10.4 The LogFrame: A Tool for Evaluating Projects...................................................

386

10.5 The LogFrame: A Tool for Designing Projects....................................................

390

10.6 First-order Conclusions: The LogFrame, a Formative Evaluation of the

Concept of Evaluation ...........................................................................................

400

10.7 Second-order Conclusions: The LogFrame in the Context of

Development Studies and Beyond .......................................................................

402

10.8 Conclusions..........................................................................................................

406

Appendix 10A: LogFrame Checklist ............................................................................

406

Appendix 10B: Glossary of Terms with Special Meaning in the Logical

Framework.............................................................................................................

406

References ...................................................................................................................

409

11. Standards in Systems Engineering .......................................................

413

11.1 Introduction...........................................................................................................

413

11.2 Definition...............................................................................................................

413

11.3 Historical Highlights of Standards in the United States ......................................

413

11.4 Reasons for Using Specifications and Standards ..............................................

415

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Contents
11.5 Proper Application of Specifications and Standards...........................................

417

11.6 Selection and Development of Specifications and Standards............................

418

11.7 Useful Standards in the Systems Engineering Process .....................................

424

11.8 Locating and Obtaining Specifications and Standards.......................................

424

11.9 Other Useful Web Sites for Standards ................................................................

426

12. System Architectures..............................................................................

427

12.1 Introduction...........................................................................................................

427

12.2 Definition of Architectures....................................................................................

430

12.3 Structured Analysis Approach .............................................................................

432

12.4 The Executable Model .........................................................................................

440

12.5 Physical Architecture ...........................................................................................

442

12.6 Performance Evaluation ......................................................................................

443

12.7 Object-oriented Approach....................................................................................

445

12.8 Conclusion............................................................................................................

452

Acknowledgements ......................................................................................................

452

References ...................................................................................................................

453

13. Systems Design .......................................................................................

455

13.1 Introduction: What is System Design? ................................................................

455

13.2 Steps in the Design Process ...............................................................................

455

13.3 Design Tools ........................................................................................................

465

13.4 A Brief History of Recent Design Theory ............................................................

467

13.5 Design and Concurrent Engineering ...................................................................

469

References ...................................................................................................................

479

14. Systems Integration ................................................................................

483

14.1 Introduction...........................................................................................................

483

14.2 Systems Integration in Large, Complex Engineered Systems and a

Systems Intergration Life Cycle ............................................................................

486

14.3 Systems Integration Management and Technical Skills and Training

Requirements ........................................................................................................

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490

Contents
14.4 Systems Integration Strategy for Success ..........................................................

493

14.5 The Audit Trail ......................................................................................................

501

14.6 Quality Assurance in Systems Integration ..........................................................

503

14.7 Subcontractor Management for Systems Integration .........................................

508

14.8 Subsystem Integration and Delivery....................................................................

509

14.9 Risk Management ................................................................................................

513

References ...................................................................................................................

516

15. Systematic Measurements......................................................................

519

15.1 Introduction...........................................................................................................

519

15.2 Organizational Needs for Systematic Measurement ..........................................

520

15.3 Measurement Needs ...........................................................................................

522

15.4 Organizational Measurements.............................................................................

531

15.5 Metrics from Widely Accepted Standards, Awards, and Government

Requirements ........................................................................................................

534

15.6 Selected Measurement Approaches ...................................................................

553

15.7 Systematic Measurements of Customer Satisfaction.........................................

561

15.8 Systematic Measurements of Effort and Schedule.............................................

569

15.9 Systematic Measurements of Defects.................................................................

570

15.10 Metrics Process Maturity ...................................................................................

571

15.11 Information Technology and Organizational Performance Measurement .......

576

15.12 Summary ............................................................................................................

584

References ...................................................................................................................

586

16. Human Supervisory Control ...................................................................

591

16.1 Introduction...........................................................................................................

591

16.2 Task Analysis and Function Allocation................................................................

594

16.3 The Phases of Supervisory Control.....................................................................

598

16.4 Examples of Supervisory Control Applications and Problems ...........................

608

16.5 Overview Considerations of Supervisory Control ...............................................

619

16.6 Conclusions..........................................................................................................

625

References ...................................................................................................................

626

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xii

Contents

17. Designing for Cognitive Task Performance ..........................................

629

17.1 Overview and Introduction ...................................................................................

629

17.2 Cognitive Constraints on System Design............................................................

631

17.3 Reduction to Practice...........................................................................................

644

17.4 Conclusions..........................................................................................................

653

Acknowledgements ......................................................................................................

654

References ...................................................................................................................

654

18. Organizational and Individual Decision Making ...................................

659

18.1 Introduction...........................................................................................................

659

18.2 The Individual in the Organization.......................................................................

661

18.3 The Organization..................................................................................................

670

18.4 Implications for Systems Engineering and Management ...................................

675

18.5 Conclusion............................................................................................................

676

References ...................................................................................................................

677

19. Human Error and Its Amelioration .........................................................

687

19.1 Introduction...........................................................................................................

687

19.2 Basic Definitions...................................................................................................

689

19.3 Perspectives on Error Types, Causes, and Amelioration...................................

690

19.4 Conclusions..........................................................................................................

699

Acknowledgements ......................................................................................................

701

References ...................................................................................................................

701

20. Culture, Leadership, and Organizational Change.................................

703

20.1 Introduction...........................................................................................................

703

20.2 Setting the Context: Culture.................................................................................

705

20.3 The Role of Leadership .......................................................................................

709

20.4 Applying the Change Model ................................................................................

714

20.5 Profiles in Change................................................................................................

734

20.6 Conclusion............................................................................................................

740

References ...................................................................................................................

742

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xiii

21. Model-based Design of Human Interaction with Complex

Systems ....................................................................................................

745

21.1 Introduction...........................................................................................................

745

21.2 Human Interaction with Complex Systems: The Systems, Tasks, and
Users......................................................................................................................

745

21.3 Emerging Technology and Design ......................................................................

746

21.4 Human-System Interaction Issues ......................................................................

748

21.5 Model-based Design ............................................................................................

754

21.6 Model-based Design Using the Operator Function Model .................................

768

21.7 Operator-function-model-based Design: Illustrative Applications ......................

782

21.8 Basic Research and Operational Relevance to Real-world Design...................

797

21.9 Conclusion............................................................................................................

802

Acknowledgement........................................................................................................

802

References ...................................................................................................................

803

22. Evaluation of Systems ............................................................................

811

22.1 Introduction...........................................................................................................

811

22.2 Evaluation Field....................................................................................................

811

22.3 Evaluation Framework .........................................................................................

812

22.4 Evaluation Design Elements................................................................................

816

22.5 Evaluation Modeling.............................................................................................

820

22.6 Concluding Remarks............................................................................................

823

References ...................................................................................................................

823

23. Systems Reengineering ..........................................................................

825

23.1 Introduction...........................................................................................................

825

23.2 Definition of and Perspective on Reengineering.................................................

827

23.3 An Overview of Reengineering Approaches.......................................................

833

23.4 Summary ..............................................................................................................

918

References ...................................................................................................................

924

24. Issue Formulation....................................................................................

933

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Contents
24.1 Introduction: Problem and Issue Formulation .....................................................

933

24.2 Situation Assessment ..........................................................................................

933

24.3 Problem or Issue Identification ............................................................................

937

24.4 Value System Design...........................................................................................

949

24.5 Iteration of the Design..........................................................................................

959

24.6 Generation of Potential Alternatives or Systems Analysis .................................

978

24.7 Alternatives and Feasibility Studies.....................................................................

989

24.8 Summary and Conclusions..................................................................................

992

References ...................................................................................................................

995

25. Functional Analysis.................................................................................

997

25.1 Introduction...........................................................................................................

997

25.2 Elements of Functional Analysis..........................................................................

997

25.3 Functional Decomposition ...................................................................................

998

25.4 The Systems Engineering Requirements Statement and Functional

Analysis................................................................................................................

1003

25.5 Diagrams and Software for Functional Analysis ...............................................

1016

References .................................................................................................................

1034

26. Methods for the Modeling and Analysis of Alternatives ....................

1037

26.1 Introduction.........................................................................................................

1037

26.2 Quantitative Models and Methods.....................................................................

1037

26.3 Physical System Models....................................................................................

1043

26.4 System Dynamics ..............................................................................................

1049

26.5 Discrete Event Simulation Models.....................................................................

1053

26.6 Time-series Analysis..........................................................................................

1057

26.7 Economic Models of Costs and Benefits ..........................................................

1064

26.8 Evaluation and Discussion.................................................................................

1069

Acknowledgement......................................................................................................

1073

Appendix: Modeling and Simulation Software ..........................................................

1073

References .................................................................................................................

1074

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27. Operations Research and Refinement of Courses of Action ............

xv

1077

27.1 Introduction.........................................................................................................

1077

27.2 Operations Research.........................................................................................

1077

27.3 Operations Research and Systems Engineering..............................................

1082

27.4 Operations Research Methods..........................................................................

1084

27.5 Generating and Screening Actions....................................................................

1095

27.6 Multiple-criteria Decision Making.......................................................................

1097

27.7 Multiple-participant Decision Making.................................................................

1104

27.8 Heuristic Programming ......................................................................................

1110

References .................................................................................................................

1114

28. Decision Analysis ..................................................................................

1119

28.1 Introduction.........................................................................................................

1119

28.2 Structuring Objectives........................................................................................

1119

28.3 Developing Alternatives .....................................................................................

1124

28.4 Value Analysis....................................................................................................

1128

28.5 Decisions with Uncertainty.................................................................................

1134

28.6 Multiple Objectives and Uncertainty ..................................................................

1141

28.7 Decision Analysis Software ...............................................................................

1143

28.8 Concluding Comments ......................................................................................

1143

References .................................................................................................................

1144

29. Project Planning: Planning for Action .................................................

1147

29.1 Introduction.........................................................................................................

1147

29.2 Network-based Systems Planning and Project Management..........................

1148

29.3 Pricing and Estimating .......................................................................................

1150

29.4 Risk and Cost Control ........................................................................................

1155

29.5 Maintenance and Support .................................................................................

1160

29.6 Software for Planning Support...........................................................................

1162

29.7 Presentation and Communication of Results of Systems Planning.................

1166

29.8 Project Planning Pitfalls .....................................................................................

1169

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Contents
29.9 Conclusion..........................................................................................................

1173

References .................................................................................................................

1173

Bibliography................................................................................................................

1174

30. Information Technology and Knowledge Management .....................

1175

30.1 Introduction.........................................................................................................

1175

30.2 Trends ................................................................................................................

1177

30.3 Scenarios ...........................................................................................................

1182

30.4 Ten Challenges ..................................................................................................

1185

30.5 Ecological Approaches to the Challenges ........................................................

1197

30.6 Conclusions........................................................................................................

1204

References .................................................................................................................

1205

Index .............................................................................................................

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1211