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Where have SE Standards

(and Models) come from…


and where are they going?

INCOSE - WMA
Donald J. Gantzer
SAIC
gantzerd@saic.com

703-412-3668

May 15 , 2007
Objectives

 To give an overall summary of key SE process standards


and models
 To illustrate a top level comparison of them
 To indicate trends and uses (in DoD)
 To briefly address one key process – Technical Planning

Disclaimer: The views and information presented here are the


author’s alone and do not necessarily represent SAIC or DoD views.

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Agenda
 SE Standards and Models
– Overview
– Evolution of Standards & Models
 ISO - 15288
 EIA - 632
 IEEE - 1220
 CMMI - Dev
 Defense Acquisition Guide/SE
– Correlations across
– Application to Tech Planning
– Summary
– Some Key References

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

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SE Standards and Models Trends

SA-CMM CMMI-AM CMMI-Acq (07)

CMM for SW SW-CMM(97) CMMII v1.1(02)


CMMI-Dev v2.0(06)

SE-CMM
SECAM EIA-731 [SECM](99)

MilStd 499 A/B EIA/IS-632


GEIA-632 (99) GEIA-632A (07)

ISO 15288(02)
08?
IEEE-15288 (04) 06+

IEEE-1220 IEEE-1220(99) IEEE-1220(05)

CMM- Capability Maturity Mode


ISO -15288: SE-System Life Cycle Processes INCOSE SE HB v3 (06)
INCOSE SE HB v2a (04)
EIA - 632:Process for Engineering a System
IEEE-1220: Application & Management of the SE Process

95 5 00 05
djGantzer Sources: INCOSE, SEI 5-2-07
Overview of SE Standards + CMMI
ISO/IEC - 15288 – 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 - 632 – 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 - 1220 – Application and Management of the SE Process
“Defines the requirements for an enterprise’s 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.” - 28 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

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SE Standards & Models Life Cycle Phases
DoD/DAG
ISO 15288 EIA 632 IEEE 1220 CMMI (informal)
[DoDI 5000.2]
Concept Pre-system Concept concept, Concept
Definition exploration,
Development
vision
Development System Def., feasibility, Tech
System Def., design,
Subsystem Development;
Subsystem development
design,
design, System
Detailed design
Detailed design; Development.&
FAIT Demonstration

Production End product, Production production, Production &


physical, manufacturing,
Deployment:
IT&E delivery LRIP
Utilization Utilization operations Operations &
Support [O&S]:
FRIP

Support Support support, O&S:


maintenance, Sustainment
sustainment

Retirement Retirement disposal, O&S:Disposal


7 phase out
djGantzer 5-2-07
Scope of SE Standards

IEEE 1220

EIA 632
Level of Detail

MIL-STD-499B
EIA/IS 632

ISO/IEC 15288

Breadth of Scope

(source: S. Sheard, SPC and J. Lake, SMi; 2004)

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SE/SW Standards Harmonization Road Map

[source: SSCI]
An Harmonization road map

ISO/IEC
IEEE EIA
JTC1/SC7

Systems ISO/IEC 15288 IEEE 1220 EIA 632


Engineering

Software
Engineering
ISO/IEC 12207 Joint Standards Body
Harmonization
SC7 Internal
Assessment ISO/IEC 15504
Harmonization

Adapted from: SC7 WG7 N0560 Systems Engineering Study Group Report 11JAN02

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Simple Generic SE Process
source: Mil Std 499A/B and DAU guidance

Inputs:

Requirements System Analysis


Analysis & Control

Functional
Analysis/allocation

Synthesis

Outputs:

Note: Applied to AFIT/CSE SE Case Studies; http://www.afit.edu/cse/

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IEEE 1220: Systems Engineering Note: includes

Process – (2005) detailed flows for


each activity; and an
example SEMP toc
Clause 4 - General Requirements Clause 6 – The SE Process
1. SE process
2. Polices & procedures for SE
1. Requirements
3. Planning the technical effort:
Prepare/update engineering plan; schedule;
Analysis
tech plans.
2. Requirements
4. Development strategies Validation
5. Modeling & prototyping
3. Functional
6. Integrated repository: data, tools. Analysis
7. Integrated data package: HW, SW, LC
processes, human. 4. Functional
Verification
8. Specification tree
9. Drawing tree 5. Synthesis
10. System breakdown structure
11. Integration of the SE effort: concurrent 6. Design
engr., Int. teams. Verification
12. Technical reviews *Requirements/
Functional 7. Systems
13. Quality management /Design Analysis*
trade studies &
14. Product and process improvement: re- assessments
engr., self-assess., LL. 8. Control
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djGantzer [source:SSCI + mods from IEEE 1220] 5-2-07
EIA 632: Processes for Engineering a
System (1999; reaffirmed 2003)

Technical Management
Planning Assessment Control
Process Process Process

Plans, Outcomes
Directives, Acquisition and Supply &
& Status Supply Process Feedback
Acquisition Process
CONOPS & Requirements
System Design
Requirements Definition Process System
Acquisition
Solution Definition Process* Products
Request
Architectures/Designs
Product Realization Note: provides
Note: under Implementation Process
revision to detailed activities
‘harmonize’ w ISO
Transition to Use Process and outcomes for
each process
15288 Products
Technical Support
Systems Requirements Product Product
Analysis Validation Verification Validation
Process* Process* Process Process
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djGantzer (source: graph from INCOSE SE Handbook v2)* 5-2-07
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 Planning
Assessment Progress Assessment
Control Control
Requirements Definition Concept Definition
Solution Definition System Definition
Product Realization System Realization
[Implementation/Transition]
Systems Analysis Mission & Systems Analysis
Requirements & End products Val., System V&V
System ver.
Supply & Acquisition Customer & Supplier Relationship
Management
Enterprise Support Resources & Infrastructure
Enterprise Support Governance
Enterprise support 13
LC Portfolio Mngt.
djGantzer 5-2-07
ISO 15288: System Life-Cycle Processes
(2002)
ENTERPRISE & SYSTEM LIFE CYCLE PROCESSES
AGREEMENT
PROCESSES PROJECT PROCESSES

Enterprise Environment Planning Assessment Control


Management

Configuration Information
Decision-making Risk Management
Investment Management Management
Management

System Life Cycle


Processes TECHNICAL PROCESSES
Management
Stakeholder Requirements
Requirements Architectural Design
Resource Analysis
Definition
Management

Quality Implementation Integration


Management

Verification Transition Validation

Acquisition

Operation Maintenance
Acquisition
Supply

Disposal

Each
Eachprocess
processhas
haspurpose,
purpose,outcomes,
outcomes,and andactivities
Figure1-1 System Life Cycle Process Overview per ISO/IEC 15288
activities Source: INCOSE SE Handbook, v3.0

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

Source: NDIA SE Conf., 10/06 K. Baldwin

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Summary Improvements in CMMI-Dev
v1.2 [August, 2006]

 New material added to CMMI v1.2 to ensure processes used


at project start-up
 Appraisal Disclosure Statement (ADS) improved
 Sampling rules improved
 High maturity appraiser certification instituted

Additionally…
 CMMI guide for Acquisition Orgs to leverage Supplier’s
efforts – 3/07
 CMMI – Acq in final draft [summer 07?]

Source: NDIA SE Conf., 10/06 K. Baldwin

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Capability Maturity Model Integrated
(CMMI- Dev)

V 1.1 (2002) V 1.2 (2006)


Supplier
Sourcing
Integrated Product and Organizational Goal
Process Development IPPD
(OPD)
Project Goal (IPM)

SE SE
Related Related
Examples Examples Hardware
SW SW Related
Related Related Examples
Examples Examples

CMMI Core CMMI Core (now includes SS)


* Sources incl EIA-731(SECM) Source: SEI
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CMMI-Dev 1.2 Process Areas— Continuous
Representation
Category Process Area
Project [added Acquisition Management]
(bold is for Levels 2&3 capability; […]
Management Project Planning
Project Monitoring and Control addresses correlation with draft CMMI-Acq )
Supplier Agreement Management
[becomes Solicitation & Supplier Agreement
Management ?]
Integrated Project Management)
Risk Management
Quantitative Project Management (4)
Support
Configuration Management
Process and Product Quality Assurance
Measurement and Analysis
Decision Analysis and Resolution
Causal Analysis and Resolution (5)

Engineering [Acq] Requirements Management


[Acq] Requirements Development
[Acq] Technical Solution
Product Integration [Acq drops this?]
Verification
Validation
Process Organizational Process Focus; Definition
Management Organizational Training;
Process Performance (4)
Organizational Innovation and Deployment(5) (Hi maturity level)

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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]

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Example Systems Engineering Process Architecture
(SE Processes taken from DAG, Chapter 4)

Technical Management Processes:


Tech Tech Decision Risk Requirements
Planning Assessment Analysis Management Management

Core Technical Processes:

Requirements Development Legend:


Managemen
t
Engineering
Logical Analysis Design Solution Support

Feedback from each


Implementation process

Note: this illustration was adopted Integration


from some PI work done for
DISA_by author

Technical Support Processes:


Transition

Verification & Validation Interface Management Configuration & Data Management

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SE Standards/Models Mapping - Management
ISO-15288 EIA-632 IEEE-1220 CMMI-DEV DAG/SE Chap. 4
Project Planning Planning Planning tech effort, Project Planning; Technical Planning;
SE integration, of SE Integrated PM;
effort Interface Mngt.
Quantitative PM
Project Assessment Assessment Control Project Monitoring & Technical Assessment;
Control; M&A;
Quantitative PM
Project Control Control Control Project Monitoring & Interface Mngt.
Control
Decision Making Systems Analysis Systems Analysis Measurement & Decision Analysis
Analysis (M&A);
Decision Analysis &
Resolution;
Quantitative PM; Causal
Analysis & Resolution;
Risk Mngt. Systems Analysis Systems Analysis Risk Mngt. Risk Mngt.

Configuration CM CM; CM; CM;


Management (CM) Int. repository/ data Requirements Mngt. Requirements Mngt.
pkg.
Information Mngt. Control: info Control; Integrated Integrated PM; Technical Data Mngt.
dissemination DB/pkg.
CM
Agreement : Acquisition & Supplier Agreement See other DAG chapters
Acquisition & Supply Supply
Mngt.; see also draft
CMMI-Acq

Enterprise: Environment & QM; Organizational See other DAG chapters


Environment, Life Enterprise Support Product & Process processes;
Cycle, Resource, & [e.g., investment, Improvement
Quality Mngt. resource, process Process & Product QA
mngt.]

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SE Standard/Models Mapping - Technical
ISO-15288 EIA-632 IEEE-1220 CMMI-Dev DAG/ Chap. 4

Stakeholder Requirements Requirements Requirements Requirements


Analysis
Requirements Definition Development Development
Definition
Requirements Systems Analysis Requirements & Requirements Logical Analysis
Analysis (SA) Development
Functional
Analysis; SA

Architectural Solution Definition Synthesis; SA; Technical Solution Design Solution


Design modeling, spec
tree, SBS
Implementation; prototyping, Technical Solution
Implementation fabrication, Implementation
production assembly,
production

Product Integration
Integration integration Integration
Verification System Verification Functional and Verification Verification;
Design Verification; [+Chap 9 – IT&E]
Tech reviews
Validation Requirements and Requirements Validation Validation;
End Products Validation; Tech
Validation reviews, test [+Chap, 9 – IT&E]
Product Integration; Transition
Transition
Transition to Use Org. Innovation &
Deployment; Org.
Training

Operation; field support support operations, See other DAG


support,
Maintenance; and maintenance, chapters.
Disposal sustainment,
disposal
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Example: Apply practices to Technical
Planning

ISO - 15288
EIA - 632
IEEE - 1220
CMMI - Dev
PM BoK
&
DoD(AT&L)/SSE Tech Planning considerations

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

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EIA-632 – Technical Planning

 Process Implementation Strategy


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

Source: EIA-632

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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.”
 Engineering plan [example SEMP content]
 Master and Detail Schedules
 Technical plans
 Developmental strategies
 Modeling & prototyping
 Integrated repository, Data, Tools, and Integrated data package
 Hw, SW, Humans
 Life cycle processes
 Spec and Drawing trees; SBS
 Integration the SE effort
 Tech Reviews
 Quality management
 Product & process improvement

Source: IEEE - 1220

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

Source: CMMI-Dev

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

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

Source: www.PMI.org ; 3rd Edition, 2004

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Planning Process example [INCOSE SE Handbook v3]
Controls
-Enterprise Strategic Plan
-Enterprise Policies &
Standards

Activities Outputs
Inputs - Define Scope, Objectives, and
- Project WBS &
-Proposals Data Dictionary
Constraints - SEP, tailored CMP, IMP,
-Project Constraints - Define WBS,
- Roles & Responsibilities RMP & QMP
Work Packages, - Key Personnel
- Resource Requirements Schedules & Budgets & Resources
Forecast -Prepare Project Plans - Project Performance
-Establish Project Structure, Roles & Measures
Responsibilities

Enablers
- Enterprise Project Procedures
& Processes
-Enterprise Infrastructure

Figure 5-2 Context Diagram for the Project Planning Process

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DoD/SSE Technical Planning emphasis
 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]
 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
 Develop and Managing Technical Baselines Note: DoD is updating DAG/SE, SEP
– Identify, manage, and mitigate project risks [technical] Prep Guide, and DoDI 5000.2
– Manage project changes and customer expectations
 Managing Event-based Technical Reviews
 Integrating Tech Planning into overall Program Planning &
Management Context [IMP/IMS, EVMS, program Risks]

Source: Dinesh Verma; DoD/SSE Workshop


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… and in summary
 ISO - 15288 is becoming a SE process ‘reference’ model
– IEEE - 1220 updated per ISO–15288; IEEE ‘adopted’ the 15288 w elaboration;
further updates planned
– EIA - 632 is being ‘harmonized’ to the ISO – 15288 & CMMI
– CMMI used EIA 632, 731 as sources; next version will also look at 15288 and 1220
– ISO 12207 (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
 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 15288 and EIA-632
 IEEE working on an SE guidance & certification (by specialties)

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SE Sources
Links:
 ISO 15288: http://www.15288.com/
 EIA 632: http://www.geia.org/index.asp?bid=552
 IEEE 1220: http://www.software.org/quagmire/descriptions/ieee1220.asp
 SEI-CMMI: http://www.sei.cmu.edu/cmmi/models/models.html#modules
 Systems & Software Consortium: http://www.systemsandsoftware.org/
 DAU-DAG: http://akss.dau.mil/dag/
 DoD(AT&L) SE: http://www.acq.osd.mil/se/index.html
 AF Center for SE; http://www.afit.edu/cse/
 INCOSE – Standards TC http://www.incose.org/practice/techactivities/standards.aspx
References:
 “SE Standards & Models Compared”; J. Lake (SMi) and S. Sheard (SPC), INCOSE 2004
 “Evolution of a Standard EIA-632”; R. Harwell, INCOSE 2006
 “Cross-Cultural Issues Associated with the Application of ISO/IEC Standard”; T. Ferris, INCOSE
2006
 “INCOSE Insight: Special Feature: Standards in SE”, April 2007; see particularly K. Crowder, D.
Kitterman, T. Doran, R. Harwell, and S. Arnold articles.

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Backup slides

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Some SE Process References

 ISO/IEC 15288: System Engineering – System Life Cycle Processes; 2002


 EIA/IS 632: Processes for Engineering a System; 1998 &?
 IEEE 1220: Application and Management of the Systems Engineering
Process; 2005
 CMMI© – Capability Maturity Model Integration for Systems Engineering,
Software Engineering, and Integrated Product and Process Development,
1.2 (2006)
 Defense Acquisition Guide, Chapter 4 - Systems Engineering; Defense
Acquisition University, 2004
 CMMI – Acq: Adapting CMMI for Acquisition Organizations: A Preliminary
Report; 2006
 Understanding and Leveraging a Supplier’s CMMI Efforts; 2007
 INCOSE Systems Engineering Handbook, v 3, 2006

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NDIA Top 5 SE Issues
Source: NDIA SE Conference 10/06; M. Schaffer DUSD(A&T) SSE

2003 2006
Inconsistent SE
Lack of awareness of
practices across all life
SE importance
cycle phases
Insufficient quantity
Lack of adequate
and quality of SE
qualified resources
expertise
Inadequate tools and
Insufficient SE tools
collaborative
and environments
environments

Inconsistent Requirements not well


requirements definition managed or translated

Poor initial program Insufficient SE early in


formulation the life cycle
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djGantzer 5-2-07
Taking SE to the Next Level
Source: Honorable James L. Finely, DUSD(A&T), NDIA SE, 10/06

 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
 Sincere thanks to our partners
– Industry, in particular, NDIA
– Service and Agency Engineering Staffs

“THE WILL TO CHANGE …”


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djGantzer 5-2-07
DUSD(A&T) Vision for SE . . .
Source: Honorable James L. Finely, DUSD(A&T), NDIA SE, 10/06

Systems and Software


Engineering
Center of Excellence

Systems World class leadership


Engineering Broaden Software Engineering and
Revitalization System Assurance, expanding to Systems-
of- Systems
Competencies Impaired Responsive and agile, proactive to changing
Elevated Stature customer needs
Raised Focused technical assistance, guidance,
Awareness
and workforce education and training
Positive Influence
Delivered Product Suites

. . . the Technical Foundation


djGantzer
that Enables Acquisition Excellence
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5-2-07
Systems Engineering
MS A MS B MS C
CD

EOA B1
Joint JCD EOA TD & CDD SDD CPD O&S
SPG FAA FNA Rpt PD
Concepts RR

FRP DR
OSD/
COCOM FCB
JCS

Operational
Support Capability Demonstrate capabilities
OSD/JCS COCOM meet user needs
Based Assessments Sound technical
Define relationships with Enterprise planning to Assess portfolio
related capabilities, support performance (CAR)
architectures (e.g., GIG) warfighting
Identify alternatives; SoS
capabilities Integrate SoS;
trade cost, sched, perf assess cost, sched, perf

Determine system System Assess system


performance parameters performance against
and verification plans capability needs
Components
Identify incremental, Integrate and test
system specifications

SE is the technical foundation Fully integrated SE approach:


Develop, test, and assess
for building acquisition increments of capability technical maturity, cost
knowledge over time realism, risk mitigation

Source: Honorable James L. Finely, DUSD(A&T), NDIA SE, 10/06


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