NASA Systems Engineering Handbook PDF

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Hanover, MD 21076-1320 NASA/SP-2007-6105 Rev1 Systems Engineering Handbook National Aeronautics and Space Administration NASA Headquarters Washington, D.C. 20546 December 2007 To request print or electronic copies or provide comments, contact the Office of the Chief Engineer via [email protected] Electronic copies are also available from NASA Center for AeroSpace Information 7115 Standard Drive Hanover, MD 21076-1320 at http://ntrs.nasa.gov/ Table of Contents Preface...............................................................................................................................................................xiii Acknowledgments.............................................................................................................................................xv 1.0 Introduction................................................................................................................................................1 1.1 Purpose........................................................................................................................................................................ 1 1.2 Scope and Depth......................................................................................................................................................... 1 2.0 Fundamentals of Systems Engineering......................................................................................................3 2.1 The Common Technical Processes and the SE Engine.......................................................................................... 4 2.2 An Overview of the SE Engine by Project Phase.................................................................................................... 6 2.3 Example of Using the SE Engine............................................................................................................................... 7 2.3.1 Detailed Example............................................................................................................................................ 8 2.3.2 Example Premise............................................................................................................................................. 8 2.3.2.1 Example Phase A System Design Passes....................................................................................... 8 2.3.2.2 Example Product Realization Passes............................................................................................ 12 2.3.2.3 Example Use of the SE Engine in Phases B Through D............................................................. 14 2.3.2.4 Example Use of the SE Engine in Phases E and F...................................................................... 14 2.4 Distinctions Between Product Verification and Product Validation................................................................. 15 2.5 Cost Aspect of Systems Engineering...................................................................................................................... 16 3.0 NASA Program/Project Life Cycle............................................................................................................. 19 3.1 Program Formulation............................................................................................................................................... 19 3.2 Program Implementation........................................................................................................................................ 21 3.3 Project Pre-Phase A: Concept Studies................................................................................................................... 22 3.4 Project Phase A: Concept and Technology Development................................................................................... 22 3.5 Project Phase B: Preliminary Design and Technology Completion.................................................................. 24 3.6 Project Phase C: Final Design and Fabrication..................................................................................................... 25 3.7 Project Phase D: System Assembly, Integration and Test, Launch..................................................................... 25 3.8 Project Phase E: Operations and Sustainment...................................................................................................... 28 3.9 Project Phase F: Closeout........................................................................................................................................ 28 3.10 Funding: The Budget Cycle...................................................................................................................................... 29 4.0 System Design.......................................................................................................................................... 31 4.1 Stakeholder Expectations Definition...................................................................................................................... 33 4.1.1 Process Description...................................................................................................................................... 33 4.1.1.1 Inputs............................................................................................................................................... 33 4.1.1.2 Process Activities............................................................................................................................ 33 4.1.1.3 Outputs............................................................................................................................................ 35 4.1.2 Stakeholder Expectations Definition Guidance........................................................................................ 35 4.1.2.1 Concept of Operations................................................................................................................... 35 4.2 Technical Requirements Definition........................................................................................................................ 40 4.2.1 Process Description...................................................................................................................................... 40 4.2.1.1 Inputs............................................................................................................................................... 41 4.2.1.2 Process Activities............................................................................................................................ 41 4.2.1.3 Outputs............................................................................................................................................ 41 4.2.2 Technical Requirements Definition Guidance.......................................................................................... 41 4.2.2.1 Types of Requirements.................................................................................................................. 41 NASA Systems Engineering Handbook  iii Table of Contents 4.2.2.2 Human Factors Engineering Requirements................................................................................ 45 4.2.2.3 Requirements Decomposition, Allocation, and Validation...................................................... 45 4.2.2.4 Capturing Requirements and the Requirements Database....................................................... 47 4.2.2.5 Technical Standards....................................................................................................................... 47 4.3 Logical Decomposition............................................................................................................................................ 49 4.3.1 Process Description..................................................................................................................................... 49 4.3.1.1 Inputs............................................................................................................................................... 49 4.3.1.2 Process Activities............................................................................................................................ 49 4.3.1.3 Outputs............................................................................................................................................ 51 4.3.2 Logical Decomposition Guidance.............................................................................................................. 52 4.3.2.1 Product Breakdown Structure...................................................................................................... 52 4.3.2.2 Functional Analysis Techniques................................................................................................... 52 4.4 Design Solution Definition........................................................................................................................................ 55 4.4.1 Process Description......................................................................................................................................... 55 4.4.1.1 Inputs................................................................................................................................................. 55 4.4.1.2 Process Activities.............................................................................................................................. 56 4.4.1.3 Outputs.............................................................................................................................................. 61 4.4.2 Design Solution Definition Guidance.......................................................................................................... 62 4.4.2.1 Technology Assessment................................................................................................................. 62 4.4.2.2 Integrating Engineering Specialties into the Systems Engineering Process........................... 62 5.0 Product Realization.................................................................................................................................. 71 5.1 Product Implementation.......................................................................................................................................... 73 5.1.1 Process Description...................................................................................................................................... 73 5.1.1.1 Inputs............................................................................................................................................... 73 5.1.1.2 Process Activities........................................................................................................................... 74 5.1.1.3 Outputs............................................................................................................................................ 75 5.1.2 Product Implementation Guidance............................................................................................................ 76 5.1.2.1 Buying Off-the-Shelf Products..................................................................................................... 76 5.1.2.2 Heritage............................................................................................................................................ 76 5.2 Product Integration.................................................................................................................................................. 78 5.2.1 Process Description...................................................................................................................................... 78 5.2.1.1 Inputs.............................................................................................................................................. 79 5.2.1.2 Process Activities............................................................................................................................ 79 5.2.1.3 Outputs............................................................................................................................................ 79 5.2.2 Product Integration Guidance.................................................................................................................... 80 5.2.2.1 Integration Strategy........................................................................................................................ 80 5.2.2.2 Relationship to Product Implementation.................................................................................. 80 5.2.2.3 Product/Interface Integration Support........................................................................................ 80 5.2.2.4 Product Integration of the Design Solution................................................................................ 81 5.2.2.5 Interface Management................................................................................................................... 81 5.2.2.6 Compatibility Analysis.................................................................................................................. 81 5.2.2.7 Interface Management Tasks......................................................................................................... 81 5.3 Product Verification................................................................................................................................................ 83 5.3.1 Process Description...................................................................................................................................... 83 5.3.1.1 Inputs............................................................................................................................................... 83 5.3.1.2 Process Activities............................................................................................................................ 84 5.3.1.3 Outputs............................................................................................................................................ 89 5.3.2 Product Verification Guidance................................................................................................................... 89 5.3.2.1 Verification Program...................................................................................................................... 89 5.3.2.2 Verification in the Life Cycle......................................................................................................... 89 5.3.2.3 Verification Procedures................................................................................................................ 92 iv  NASA Systems Engineering Handbook Table of Contents 5.3.2.4 Verification Reports....................................................................................................................... 93 5.3.2.5 End-to-End System Testing......................................................................................................... 93 5.3.2.6 Modeling and Simulation.............................................................................................................. 96 5.3.2.7 Hardware-in-the-Loop.................................................................................................................. 96 5.4 Product Validation.................................................................................................................................................... 98 5.4.1 Process Description...................................................................................................................................... 98 5.4.1.1 Inputs............................................................................................................................................... 98 5.4.1.2 Process Activities............................................................................................................................ 99 5.4.1.3 Outputs.......................................................................................................................................... 104 5.4.2 Product Validation Guidance.................................................................................................................... 104 5.4.2.1 Modeling and Simulation............................................................................................................ 104 5.4.2.2 Software......................................................................................................................................... 104 5.5 Product Transition................................................................................................................................................ 106 5.5.1 Process Description.................................................................................................................................... 106 5.5.1.1 Inputs............................................................................................................................................. 106 5.5.1.2 Process Activities.......................................................................................................................... 107 5.5.1.3 Outputs.......................................................................................................................................... 109 5.5.2 Product Transition Guidance.................................................................................................................... 110 5.5.2.1 Additional Product Transition Input Considerations............................................................. 110 5.5.2.2 After Product Transition to the End User—What Next?........................................................ 110 6.0 Crosscutting Technical Management................................................................................................... 111 6.1 Technical Planning................................................................................................................................................. 112 6.1.1 Process Description.................................................................................................................................... 112 6.1.1.1 Inputs............................................................................................................................................. 112 6.1.1.2 Process Activities.......................................................................................................................... 113 6.1.1.3 Outputs.......................................................................................................................................... 122 6.1.2 Technical Planning Guidance................................................................................................................... 122 6.1.2.1 Work Breakdown Structure......................................................................................................... 122 6.1.2.2 Cost Definition and Modeling.................................................................................................... 125 6.1.2.3 Lessons Learned.......................................................................................................................... 129 6.2 Requirements Management................................................................................................................................... 131 6.2.1 Process Description.................................................................................................................................... 131 6.2.1.1 Inputs............................................................................................................................................. 131 6.2.1.2 Process Activities.......................................................................................................................... 132 6.2.1.3 Outputs.......................................................................................................................................... 134 6.2.2 Requirements Management Guidance..................................................................................................... 134 6.2.2.1 Requirements Management Plan............................................................................................... 134 6.2.2.2 Requirements Management Tools.............................................................................................. 135 6.3 Interface Management........................................................................................................................................... 136 6.3.1 Process Description.................................................................................................................................... 136 6.3.1.1 Inputs............................................................................................................................................. 136 6.3.1.2 Process Activities.......................................................................................................................... 136 6.3.1.3 Outputs.......................................................................................................................................... 137 6.3.2 Interface Management Guidance.............................................................................................................. 137 6.3.2.1 Interface Requirements Document............................................................................................ 137 6.3.2.2 Interface Control Document or Interface Control Drawing.................................................. 137 6.3.2.3 Interface Definition Document................................................................................................. 138 6.3.2.4 Interface Control Plan.................................................................................................................. 138 6.4 Technical Risk Management................................................................................................................................. 139 6.4.1 Process Description.................................................................................................................................... 140 6.4.1.1 Inputs............................................................................................................................................. 140 NASA Systems Engineering Handbook  v Table of Contents 6.4.1.2 Process Activities.......................................................................................................................... 140 6.4.1.3 Outputs.......................................................................................................................................... 141 6.4.2 Technical Risk Management Guidance.................................................................................................... 141 6.4.2.1 Role of Continuous Risk Management in Technical Risk Management............................. 142 6.4.2.2 The Interface Between CRM and Risk-Informed Decision Analysis.................................... 142 6.4.2.3 Selection and Application of Appropriate Risk Methods........................................................ 143 6.5 Configuration Management................................................................................................................................. 151 6.5.1 Process Description.................................................................................................................................... 151 6.5.1.1 Inputs............................................................................................................................................. 151 6.5.1.2 Process Activities.......................................................................................................................... 151 6.5.1.3 Outputs.......................................................................................................................................... 156 6.5.2 CM Guidance.............................................................................................................................................. 156 6.5.2.1 What Is the Impact of Not Doing CM?..................................................................................... 156 6.5.2.2 When Is It Acceptable to Use Redline Drawings?.................................................................... 157 6.6 Technical Data Management................................................................................................................................. 158 6.6.1 Process Description.................................................................................................................................... 158 6.6.1.1 Inputs............................................................................................................................................. 158 6.6.1.2 Process Activities......................................................................................................................... 158 6.6.1.3 Outputs.......................................................................................................................................... 162 6.6.2 Technical Data Management Guidance................................................................................................... 162 6.6.2.1 Data Security and ITAR............................................................................................................... 162 6.7 Technical Assessment............................................................................................................................................. 166 6.7.1 Process Description.................................................................................................................................... 166 6.7.1.1 Inputs............................................................................................................................................. 166 6.7.1.2 Process Activities.......................................................................................................................... 166 6.7.1.3 Outputs.......................................................................................................................................... 167 6.7.2 Technical Assessment Guidance............................................................................................................... 168 6.7.2.1 Reviews, Audits, and Key Decision Points.............................................................................. 168 6.7.2.2 Status Reporting and Assessment............................................................................................... 190 6.8 Decision Analysis.................................................................................................................................................... 197 6.8.1 Process Description.................................................................................................................................... 197 6.8.1.1 Inputs............................................................................................................................................. 198 6.8.1.2 Process Activities.......................................................................................................................... 199 6.8.1.3 Outputs.......................................................................................................................................... 202 6.8.2 Decision Analysis Guidance...................................................................................................................... 203 6.8.2.1 Systems Analysis, Simulation, and Performance...................................................................... 203 6.8.2.2 Trade Studies................................................................................................................................. 205 6.8.2.3 Cost-Benefit Analysis................................................................................................................... 209 6.8.2.4 Influence Diagrams...................................................................................................................... 210 6.8.2.5 Decision Trees............................................................................................................................... 210 6.8.2.6 Multi-Criteria Decision Analysis............................................................................................... 211 6.8.2.7 Utility Analysis.............................................................................................................................. 212 6.8.2.8 Risk-Informed Decision Analysis Process Example................................................................ 213 7.0 Special Topics......................................................................................................................................... 217 7.1 Engineering with Contracts.................................................................................................................................. 217 7.1.1 Introduction, Purpose, and Scope............................................................................................................ 217 7.1.2 Acquisition Strategy................................................................................................................................... 217 7.1.2.1 Develop an Acquisition Strategy................................................................................................ 218 7.1.2.2 Acquisition Life Cycle.................................................................................................................. 218 7.1.2.3 NASA Responsibility for Systems Engineering........................................................................ 218 7.1.3 Prior to Contract Award............................................................................................................................ 219 vi  NASA Systems Engineering Handbook Table of Contents 7.1.3.1 Acquisition Planning................................................................................................................... 219 7.1.3.2 Develop the Statement of Work.................................................................................................. 223 7.1.3.3 Task Order Contracts................................................................................................................... 225 7.1.3.4 Surveillance Plan.......................................................................................................................... 225 7.1.3.5 Writing Proposal Instructions and Evaluation Criteria.......................................................... 226 7.1.3.6 Selection of COTS Products....................................................................................................... 226 7.1.3.7 Acquisition-Unique Risks.......................................................................................................... 227 7.1.4 During Contract Performance.................................................................................................................. 227 7.1.4.1 Performing Technical Surveillance........................................................................................... 227 7.1.4.2 Evaluating Work Products........................................................................................................... 229 7.1.4.3 Issues with Contract-Subcontract Arrangements.................................................................... 229 7.1.5 Contract Completion................................................................................................................................ 230 7.1.5.1 Acceptance of Final Deliverables................................................................................................ 230 7.1.5.2 Transition Management............................................................................................................... 231 7.1.5.3 Transition to Operations and Support....................................................................................... 232 7.1.5.4 Decommissioning and Disposal................................................................................................. 233 7.1.5.5 Final Evaluation of Contractor Performance............................................................................ 233 7.2 Integrated Design Facilities................................................................................................................................... 234 7.2.1 Introduction............................................................................................................................................... 234 7.2.2 CACE Overview and Importance............................................................................................................. 234 7.2.3 CACE Purpose and Benefits...................................................................................................................... 235 7.2.4 CACE Staffing.............................................................................................................................................. 235 7.2.5 CACE Process.............................................................................................................................................. 236 7.2.5.1 Planning and Preparation............................................................................................................ 236 7.2.5.2 Activity Execution Phase............................................................................................................. 236 7.2.5.3 Activity Wrap-Up........................................................................................................................ 237 7.2.6 CACE Engineering Tools and Techniques............................................................................................. 237 7.2.7 CACE Facility, Information Infrastructure, and Staffing..................................................................... 238 7.2.7.1 Facility............................................................................................................................................ 238 7.2.7.2 Information Infrastructure.......................................................................................................... 238 7.2.7.3 Facility Support Staff Responsibilities........................................................................................ 239 7.2.8 CACE Products.......................................................................................................................................... 239 7.2.9 CACE Best Practices................................................................................................................................... 239 7.2.9.1 People............................................................................................................................................. 240 7.2.9.2 Process and Tools......................................................................................................................... 240 7.2.9.3 Facility............................................................................................................................................ 240 7.3 Selecting Engineering Design Tools...................................................................................................................... 242 7.3.1 Program and Project Considerations....................................................................................................... 242 7.3.2 Policy and Processes................................................................................................................................... 242 7.3.3 Collaboration............................................................................................................................................... 242 7.3.4 Design Standards........................................................................................................................................ 243 7.3.5 Existing IT Architecture............................................................................................................................ 243 7.3.6 Tool Interfaces............................................................................................................................................. 243 7.3.7 Interoperability and Data Formats........................................................................................................... 243 7.3.8 Backward Compatibility............................................................................................................................ 244 7.3.9 Platform........................................................................................................................................................ 244 7.3.10 Tool Configuration Control....................................................................................................................... 244 7.3.11 Security/Access Control............................................................................................................................. 244 7.3.12 Training........................................................................................................................................................ 244 7.3.13 Licenses........................................................................................................................................................ 244 7.3.14 Stability of Vendor and Customer Support............................................................................................. 244 7.4 Human Factors Engineering................................................................................................................................. 246 NASA Systems Engineering Handbook  vii Table of Contents 7.4.1 Basic HF Model........................................................................................................................................... 247 7.4.2 HF Analysis and Evaluation Techniques................................................................................................. 247 7.5 Environmental, Nuclear Safety, Planetary Protection, and Asset Protection Policy Compliance............... 256 7.5.1 NEPA and EO 12114.................................................................................................................................. 256 7.5.1.1 National Environmental Policy Act........................................................................................... 256 7.5.1.2 EO 12114 Environmental Effects Abroad of Major Federal Actions................................... 257 7.5.2 PD/NSC-25.................................................................................................................................................. 257 7.5.3 Planetary Protection................................................................................................................................... 258 7.5.4 Space Asset Protection............................................................................................................................... 260 7.5.4.1 Protection Policy.......................................................................................................................... 260 7.5.4.2 Goal................................................................................................................................................ 260 7.5.4.3 Scoping........................................................................................................................................... 260 7.5.4.4 Protection Planning..................................................................................................................... 260 7.6 Use of Metric System............................................................................................................................................ 261 Appendix A: Acronyms.................................................................................................................................. 263 Appendix B: Glossary.................................................................................................................................... 266 Appendix C: How to Write a Good Requirement......................................................................................... 279 Appendix D: Requirements Verification Matrix.......................................................................................... 282 Appendix E: Creating the Validation Plan (Including Validation Requirements Matrix)......................... 284 Appendix F: Functional, Timing, and State Analysis................................................................................. 285 Appendix G: Technology Assessment/Insertion......................................................................................... 293 Appendix H: Integration Plan Outline......................................................................................................... 299 Appendix I: Verification and Validation Plan Sample Outline................................................................... 301 Appendix J: SEMP Content Outline.............................................................................................................. 303 Appendix K: Plans......................................................................................................................................... 308 Appendix L: Interface Requirements Document Outline........................................................................... 309 Appendix M: CM Plan Outline...................................................................................................................... 311 Appendix N: Guidance on Technical Peer Reviews/Inspections............................................................... 312 Appendix O: Tradeoff Examples................................................................................................................... 316 Appendix P: SOW Review Checklist............................................................................................................. 317 Appendix Q: Project Protection Plan Outline............................................................................................. 321 References....................................................................................................................................................... 323 Bibliography................................................................................................................................................... 327 Index................................................................................................................................................................ 332 viii  NASA Systems Engineering Handbook Table of Contents Figures 2.0‑1 SE in context of overall project management....................................................................................................... 4 2.1‑1 The systems engineering engine............................................................................................................................. 5 2.2-1 A miniaturized conceptualization of the poster-size NASA project life-cycle process flow for flight and ground systems accompanying this handbook.................................................................................. 6 2.3‑1 SE engine tracking icon........................................................................................................................................... 8 2.3‑2 Product hierarchy, tier 1: first pass through the SE engine................................................................................. 9 2.3‑3 Product hierarchy, tier 2: external tank............................................................................................................... 10 2.3‑4 Product hierarchy, tier 2: orbiter.......................................................................................................................... 10 2.3‑5 Product hierarchy, tier 3: avionics system........................................................................................................... 11 2.3‑6 Product hierarchy: complete pass through system design processes side of the SE engine......................... 11 2.3‑7 Model of typical activities during operational phase (Phase E) of a product................................................ 14 2.3‑8 New products or upgrades reentering the SE engine........................................................................................ 15 2.5‑1 The enveloping surface of nondominated designs............................................................................................. 16 2.5‑2 Estimates of outcomes to be obtained from several design concepts including uncertainty....................... 17 3.0‑1 NASA program life cycle....................................................................................................................................... 20 3.0‑2 NASA project life cycle.......................................................................................................................................... 20 3.10‑1 Typical NASA budget cycle............................................................................................................................... 29 4.0‑1 Interrelationships among the system design processes..................................................................................... 31 4.1-1 Stakeholder Expectations Definition Process..................................................................................................... 33 4.1-2 Product flow for stakeholder expectations......................................................................................................... 34 4.1-3 Typical ConOps development for a science mission......................................................................................... 36 4.1-4 Example of an associated end-to-end operational architecture..................................................................... 36 4.1-5a Example of a lunar sortie timeline developed early in the life cycle............................................................. 37 4.1-5b Example of a lunar sortie DRM early in the life cycle..................................................................................... 37 4.1-6 Example of a more detailed, integrated timeline later in the life cycle for a science mission...................... 38 4.2-1 Technical Requirements Definition Process....................................................................................................... 40 4.2-2 Characteristics of functional, operational, reliability, safety, and specialty requirements............................ 43 4.2-3 The flowdown of requirements............................................................................................................................. 46 4.2-4 Allocation and flowdown of science pointing requirements............................................................................ 47 4.3-1 Logical Decomposition Process........................................................................................................................... 49 4.3-2 Example of a PBS.................................................................................................................................................... 52 4.3-3 Example of a functional flow block diagram...................................................................................................... 53 4.3-4 Example of an N2 diagram................................................................................................................................... 54 4.4-1 Design Solution Definition Process..................................................................................................................... 55 4.4-2 The doctrine of successive refinement.................................................................................................................. 56 4.4-3 A quantitative objective function, dependent on life-cycle cost and all aspects of effectiveness................. 58 5.0-1 Product realization................................................................................................................................................. 71 5.1-1 Product Implementation Process......................................................................................................................... 73 5.2-1 Product Integration Process................................................................................................................................. 78 5.3-1 Product Verification Process................................................................................................................................ 84 5.3-2 Bottom-up realization process............................................................................................................................. 90 5.3-3 Example of end-to-end data flow for a scientific satellite mission.................................................................. 94 5.4-1 Product Validation Process................................................................................................................................... 99 5.5-1 Product Transition Process................................................................................................................................. 106 6.1-1 Technical Planning Process................................................................................................................................ 112 6.1-2 Activity-on-arrow and precedence diagrams for network schedules........................................................... 116 6.1-3 Gantt chart............................................................................................................................................................ 118 6.1-4 Relationship between a system, a PBS, and a WBS......................................................................................... 123 6.1-5 Examples of WBS development errors.............................................................................................................. 125 6.2-1 Requirements Management Process.................................................................................................................. 131 6.3-1 Interface Management Process........................................................................................................................... 136 NASA Systems Engineering Handbook  ix Table of Contents 6.4-1 Technical Risk Management Process................................................................................................................. 140 6.4-2 Scenario-based modeling of hazards................................................................................................................. 141 6.4-3 Risk as a set of triplets........................................................................................................................................ 141 6.4-4 Continuous risk management............................................................................................................................ 142 6.4-5 The interface between CRM and risk-informed decision analysis................................................................ 143 6.4-6 Risk analysis of decision alternatives................................................................................................................. 144 6.4-7 Risk matrix............................................................................................................................................................ 145 6.4-8 Example of a fault tree......................................................................................................................................... 146 6.4-9 Deliberation.......................................................................................................................................................... 147 6.4-10 Performance monitoring and control of deviations...................................................................................... 149 6.4-11 Margin management method........................................................................................................................... 150 6.5-1 CM Process........................................................................................................................................................... 151 6.5-2 Five elements of configuration management................................................................................................... 152 6.5-3 Evolution of technical baseline........................................................................................................................... 153 6.5-4 Typical change control process........................................................................................................................... 155 6.6-1 Technical Data Management Process................................................................................................................ 158 6.7-1 Technical Assessment Process............................................................................................................................ 166 6.7-2 Planning and status reportingfeedback loop.................................................................................................... 167 6.7-3 Cost and schedule variances............................................................................................................................... 190 6.7-4 Relationships of MOEs, MOPs,and TPMs........................................................................................................ 192 6.7-5 Use of the planned profile method for the weight TPM with rebaseline in Chandra Project................... 194 6.7-6 Use of the margin management method for the mass TPM in Sojourner................................................... 194 6.8-1 Decision Analysis Process................................................................................................................................... 198 6.8-2 Example of a decision matrix............................................................................................................................ 201 6.8-3 Systems analysis across the life cycle................................................................................................................. 203 6.8-4 Simulation model analysis techniques.............................................................................................................. 204 6.8-5 Trade study process.............................................................................................................................................. 205 6.8-6 Influence diagrams............................................................................................................................................... 210 6.8-7 Decision tree......................................................................................................................................................... 211 6.8-8 Utility function for a “volume” performance measure.................................................................................... 213 6.8-9 Risk-informed Decision Analysis Process........................................................................................................ 214 6.8-10 Example of an objectives hierarchy................................................................................................................. 215 7.1-1 Acquisition life cycle.......................................................................................................................................... 218 7.1-2 Contract requirements development process................................................................................................... 223 7.2-1 CACE people/process/tools/facility paradigm................................................................................................. 234 7.4-1 Human factors interaction model...................................................................................................................... 247 7.4-2 HF engineering process and its links to the NASA program/project life cycle........................................... 248 F-1 FFBD flowdown...................................................................................................................................................... 286 F-2 FFBD: example 1..................................................................................................................................................... 287 F-3 FFBD showing additional control constructs: example 2.................................................................................. 287 F-4 Enhanced FFBD: example 3................................................................................................................................... 288 F-5 Requirements allocation sheet.............................................................................................................................. 289 F-6 N2 diagram for orbital equipment...................................................................................................................... 289 F-7 Timing diagram example....................................................................................................................................... 290 F-8 Slew command status state diagram..................................................................................................................... 291 G-1 PBS example............................................................................................................................................................ 294 G-2 Technology assessment process............................................................................................................................ 295 G-3 Architectural studies and technology development.......................................................................................... 296 G-4 Technology readiness levels.................................................................................................................................. 296 G-5 The TMA thought process.................................................................................................................................... 297 G-6 TRL assessment matrix.......................................................................................................................................... 298 N-1 The peer review/inspection process..................................................................................................................... 312 x  NASA Systems Engineering Handbook Table of Contents N-2 Peer reviews/inspections quick reference guide................................................................................................ 315 Tables 2.3‑1 Project Life-Cycle Phases........................................................................................................................................ 7 4.1‑1 Typical Operational Phases for a NASA Mission.............................................................................................. 39 4.2-1 Benefits of Well-Written Requirements.............................................................................................................. 42 4.2‑2 Requirements Metadata........................................................................................................................................ 48 4.4-1 ILS Technical Disciplines....................................................................................................................................... 66 6.6‑1 Technical Data Tasks........................................................................................................................................... 163 6.7-1 Program Technical Reviews................................................................................................................................ 170 6.7‑2 P/SRR Entrance and Success Criteria................................................................................................................ 171 6.7‑3 P/SDR Entrance and Success Criteria............................................................................................................... 172 6.7‑4 MCR Entrance and Success Criteria.................................................................................................................. 173 6.7‑5 SRR Entrance and Success Criteria.................................................................................................................... 174 6.7‑6 MDR Entrance and Success Criteria................................................................................................................. 175 6.7‑7 SDR Entrance and Success Criteria................................................................................................................... 176 6.7‑8 PDR Entrance and Success Criteria................................................................................................................... 177 6.7‑9 CDR Entrance and Success Criteria.................................................................................................................. 178 6.7‑10 PRR Entrance and Success Criteria................................................................................................................. 179 6.7‑11 SIR Entrance and Success Criteria................................................................................................................... 180 6.7‑12 TRR Entrance and Success Criteria................................................................................................................. 181 6.7‑13 SAR Entrance and Success Criteria................................................................................................................. 182 6.7‑14 ORR Entrance and Success Criteria............................................................................................................... 183 6.7‑15 FRR Entrance and Success Criteria................................................................................................................ 184 6.7‑16 PLAR Entrance and Success Criteria............................................................................................................. 185 6.7‑17 CERR Entrance and Success Criteria.............................................................................................................. 186 6.7‑18 PFAR Entrance and Success Criteria............................................................................................................... 186 6.7‑19 DR Entrance and Success Criteria................................................................................................................... 187 6.7‑20 Functional and Physical Configuration Audits............................................................................................ 189 6.7‑21 Systems Engineering Process Metrics............................................................................................................. 196 6.8‑1 Consequence Table.............................................................................................................................................. 199 6.8‑2 Typical Information to Capture in a Decision Report................................................................................... 202 7.1-1 Applying the Technical Processes on Contract................................................................................................ 220 7.1-2 Steps in the Requirements Development Process.......................................................................................... 224 7.1‑3 Proposal Evaluation Criteria.............................................................................................................................. 227 7.1‑4 Risks in Acquisition............................................................................................................................................. 228 7.1‑5 Typical Work Product Documents.................................................................................................................... 230 7.1‑6 Contract-Subcontract Issues............................................................................................................................... 231 7.4-1 Human and Organizational Analysis Techniques.......................................................................................... 249 7.5‑1 Planetary Protection Mission Categories.......................................................................................................... 259 7.5‑2 Summarized Planetary Protection Requirements........................................................................................... 259 D-1 Requirements Verification Matrix....................................................................................................................... 283 E-1 Validation Requirements Matrix.......................................................................................................................... 284 G-1 Products Provided by the TA as a Function of Program/Project Phase......................................................... 294 H-1 Integration Plan Contents..................................................................................................................................... 300 M-1 CM Plan Outline................................................................................................................................................... 311 O-1 Typical Tradeoffs for Space Systems.................................................................................................................... 316 O-2 Typical Tradeoffs in the Acquisition Process..................................................................................................... 316 O-3 Typical Tradeoffs Throughout the Project Life Cycle........................................................................................ 316 NASA Systems Engineering Handbook  xi Table of Contents Boxes System Cost, Effectiveness, and Cost-Effectiveness...................................................................................................... 16 The Systems Engineer’s Dilemma................................................................................................................................... 17 Program Formulation....................................................................................................................................................... 21 Program Implementation................................................................................................................................................. 21 Pre-Phase A: Concept Studies......................................................................................................................................... 22 Phase A: Concept and Technology Development......................................................................................................... 23 Phase B: Preliminary Design and Technology Completion........................................................................................ 24 Phase C: Final Design and Fabrication.......................................................................................................................... 26 Phase D: System Assembly, Integration and Test, Launch........................................................................................... 27 Phase E: Operations and Sustainment............................................................................................................................ 28 Phase F: Closeout.............................................................................................................................................................. 28 System Design Keys.......................................................................................................................................................... 32 Example of Functional and Performance Requirements............................................................................................. 43 Rationale............................................................................................................................................................................. 48 DOD Architecture Framework....................................................................................................................................... 51 Prototypes.......................................................................................................................................................................... 67 Product Realization Keys................................................................................................................................................. 72 Differences Between Verification and Validation Testing............................................................................................ 83 Types of Testing................................................................................................................................................................. 85 Types of Verification......................................................................................................................................................... 86 Differences Between Verification and Validation Testing............................................................................................ 98 Types of Validation......................................................................................................................................................... 100 Examples of Enabling Products and Support Resources for Preparing to Conduct Validation........................... 102 Model Verification and Validation................................................................................................................................ 104 Crosscutting Technical Management Keys.................................................................................................................. 111 Gantt Chart Features....................................................................................................................................................... 117 WBS Hierarchies for Systems........................................................................................................................................ 126 Definitions........................................................................................................................................................................ 132 Typical Interface Management Checklist..................................................................................................................... 138 Key Concepts in Technical Risk Management........................................................................................................... 139 Example Sources of Risk................................................................................................................................................ 145 Limitations of Risk Matrices.......................................................................................................................................... 145 Types of Configuration Change Management Changes............................................................................................ 154 Warning Signs/Red Flags (How Do You Know When You’re in Trouble?)............................................................. 156 Redlines Were identified as One of the Major Causes of the NOAA N-Prime Mishap........................................ 157 Inappropriate Uses of Technical Data........................................................................................................................... 160 Data Collection Checklist.............................................................................................................................................. 162 Termination Review........................................................................................................................................................ 169 Analyzing the Estimate at Completion........................................................................................................................ 191 Examples of Technical Performance Measures.......................................................................................................... 193 An Example of a Trade Tree for a Mars Rover............................................................................................................ 207 Trade Study Reports........................................................................................................................................................ 208 Solicitations...................................................................................................................................................................... 219 Source Evaluation Board................................................................................................................................................ 226 Context Diagrams........................................................................................................................................................... 292 xii  NASA Systems Engineering Handbook Preface Since the writing of NASA/SP-6105 in 1995, systems bottom-up infusion of guidance from the NASA prac- engineering at the National Aeronautics and Space Ad- titioners in the field. The approach provided the oppor- ministration (NASA), within national and international tunity to obtain best practices from across NASA and standard bodies, and as a discipline has undergone rapid bridge the information to the established NASA sys- evolution. Changes include implementing standards tems engineering process. The attempt is to commu- in the International Organization for Standardization nicate principles of good practice as well as alternative (ISO) 9000, the use of Carnegie Mellon Software Engi- approaches rather than specify a particular way to ac- neering Institute’s Capability Maturity Model® Integra- complish a task. The result embodied in this handbook is tion (CMMI®) to improve development and delivery of a top-level implementation approach on the practice of products, and the impacts of mission failures. Lessons systems engineering unique to NASA. The material for learned on systems engineering were documented in re- updating this handbook was drawn from many different ports such as those by the NASA Integrated Action Team sources, including NASA procedural requirements, field (NIAT), the Columbia Accident Investigation Board center systems engineering handbooks and processes, as (CAIB), and the follow-on Diaz Report. Out of these well as non-NASA systems engineering textbooks and efforts came the NASA Office of the Chief Engineer guides. (OCE) initiative to improve the overall Agency systems This handbook consists of six core chapters: (1) systems engineering infrastructure and capability for the efficient engineering fundamentals discussion, (2) the NASA and effective engineering of NASA systems, to produce program/project life cycles, (3) systems engineering pro- quality products, and to achieve mission success. In ad- cesses to get from a concept to a design, (4) systems engi- dition, Agency policy and requirements for systems en- neering processes to get from a design to a final product, gineering have been established. This handbook update (5) crosscutting management processes in systems en- is a part of the OCE-sponsored Agencywide systems en- gineering, and (6) special topics relative to systems en- gineering initiative. gineering. These core chapters are supplemented by ap- pendices that provide outlines, examples, and further In 1995, SP-6105 was initially published to bring the information to illustrate topics in the core chapters. The fundamental concepts and techniques of systems engi- handbook makes extensive use of boxes and figures to neering to NASA personnel in a way that recognizes the define, refine, illustrate, and extend concepts in the core nature of NASA systems and the NASA environment. chapters without diverting the reader from the main in- This revision of SP-6105 maintains that original philos- formation. ophy while updating the Agency’s systems engineering body of knowledge, providing guidance for insight into The handbook provides top-level guidelines for good current best Agency practices, and aligning the hand- systems engineering practices; it is not intended in any book with the new Agency systems engineering policy. way to be a directive. The update of this handbook was twofold: a top-down NASA/SP-2007-6105 Rev1 supersedes SP-6105, dated compatibility with higher level Agency policy and a June 1995. NASA Systems Engineering Handbook  xiii Acknowledgments Primary points of contact: Stephen J. Kapurch, Office Amy Epps, NASA/Marshall Space Flight Center  of the Chief Engineer, NASA Headquarters, and Neil E. Chester Everline, NASA/Jet Propulsion Laboratory  Rainwater, Marshall Space Flight Center. Karen Fashimpaur, Arctic Slope Regional Corporation  ◆ The following individuals are recognized as contributing Orlando Figueroa, NASA/Goddard Space Flight Center practitioners to the content of this handbook revision: Stanley Fishkind, NASA/Headquarters Core Team Member (or Representative) from Center, Brad Flick, NASA/Dryden Flight Research Center Directorate, or Office Marton Forkosh, NASA/Glenn Research Center ◆ Integration Team Member Dan Freund, NASA/Johnson Space Center  Subject Matter Expert Team Champion Greg Galbreath, NASA/Johnson Space Center   Subject Matter Expert Louie Galland, NASA/Langley Research Center  Arden Acord, NASA/Jet Propulsion Laboratory  Yuri Gawdiak, NASA/Headquarters  Danette Allen, NASA/Langley Research Center  Theresa Gibson, NASA/Glenn Research Center  Deborah Amato, NASA/Goddard Space Flight Center  Ronnie Gillian, NASA/Langley Research Center  Jim Andary, NASA/Goddard Space Flight Center  ◆ Julius Giriunas, NASA/Glenn Research Center  Tim Beard, NASA/Ames Research Center  Ed Gollop, NASA/Marshall Space Flight Center  Jim Bilbro, NASA/Marshall Space Flight Center  Lee Graham, NASA/Johnson Space Center  Mike Blythe, NASA/Headquarters Larry Green, NASA/Langley Research Center  Linda Bromley, NASA/Johnson Space Center ◆  Owen Greulich, NASA/Headquarters Dave Brown, Defense Acquisition University  Ben Hanel, NASA/Ames Research Center  John Brunson, NASA/Marshall Space Flight Center  Gena Henderson, NASA/Kennedy Space Center  Joe Burt, NASA/Goddard Space Flight Center  Amy Hemken, NASA/Marshall Space Flight Center  Glenn Campbell, NASA/Headquarters  Bob Hennessy, NASA/NASA Engineering and Safety Joyce Carpenter, NASA/Johnson Space Center  Center  Keith Chamberlin, NASA/Goddard Space Flight Center  Ellen Herring, NASA/Goddard Space Flight Center  Peggy Chun, NASA/NASA Engineering and Safety Renee Hugger, NASA/Johnson Space Center  Center ◆  Brian Hughitt, NASA/Headquarters  Cindy Coker, NASA/Marshall Space Flight Center  Eric Isaac, NASA/Goddard Space Flight Center Nita Congress, Graphic Designer ◆ Tom Jacks, NASA/Stennis Space Center  Catharine Conley, NASA/Headquarters  Ken Johnson, NASA/NASA Engineering and Safety Shelley Delay, NASA/Marshall Space Flight Center  Center  Rebecca Deschamp, NASA/Stennis Space Center  Ross Jones, NASA/Jet Propulsion Laboratory Homayoon Dezfuli, NASA/Headquarters  John Juhasz, NASA/Johnson Space Center  Olga Dominguez, NASA/Headquarters  Stephen Kapurch, NASA/Headquarters ◆ Rajiv Doreswamy, NASA/Headquarters Jason Kastner, NASA/Jet Propulsion Laboratory  Larry Dyer, NASA/Johnson Space Center  Kristen Kehrer, NASA/Kennedy Space Center  Nelson Eng, NASA/Johnson Space Center  John Kelly, NASA/Headquarters  Patricia Eng, NASA/Headquarters  Kriss Kennedy, NASA/Johnson Space Center  NASA Systems Engineering Handbook  xv Acknowledgments Steven Kennedy, NASA/Kennedy Space Center  Tracey Kickbusch, NASA/Kennedy Space Center Steve Robbins, NASA/Marshall Space Flight Center  Dennis Rohn, NASA/Glenn Research Center  ◆ Casey Kirchner, NASA/Stennis Space Center  Jim Rose, NASA/Jet Propulsion Laboratory  Kenneth Kumor, NASA/Headquarters  Janne Lady, SAITECH/CSC  Arnie Ruskin,* NASA/Jet Propulsion Laboratory  Harry Ryan, NASA/Stennis Space Center  Jerry Lake, Systems Management international  Kenneth W. Ledbetter, NASA/Headquarters George Salazar, NASA/Johnson Space Center  Steve Leete, NASA/Goddard Space Flight Center  Nina Scheller, NASA/Ames Research Center William Lincoln, NASA/Jet Propulsion Laboratory  Pat Schuler, NASA/Langley Research Center  Dave Littman, NASA/Goddard Space Flight Center  Randy Seftas, NASA/Goddard Space Flight Center  John Lucero, NASA/Glenn Research Center  Joey Shelton, NASA/Marshall Space Flight Center  Paul Luz, NASA/Marshall Space Flight Center  Robert Shishko, NASA/Jet Propulsion Laboratory  ◆ Todd MacLeod, NASA/Marshall Space Flight Center  Burton Sigal, NASA/Jet Propulsion Laboratory  Roger Mathews, NASA/Kennedy Space Center  Sandra Smalley, NASA/Headquarters  Bryon Maynard, NASA/Stennis Space Center  Richard Smith, NASA/Kennedy Space Center  Patrick McDuffee, NASA/Marshall Space Flight Center  John Snoderly, Defense Acquisition University  Mark McElyea, NASA/Marshall Space Flight Center  Richard Sorge, NASA/Glenn Research Center  William McGovern, Defense Acquisition University ◆ Michael Stamatelatos, NASA/Headquarters Colleen McGraw, NASA/Goddard Space Flight Tom Sutliff, NASA/Glenn Research Center  Center  ◆ Todd Tofil, NASA/Glenn Research Center  Melissa McGuire, NASA/Glenn Research Center  John Tinsley, NASA/Headquarters  Don Mendoza, NASA/Ames Research Center  Rob Traister, Graphic Designer ◆ Leila Meshkat, NASA/Jet Propulsion Laboratory  Clayton Turner, NASA/Langley Research Center Elizabeth Messer, NASA/Stennis Space Center  Paul VanDamme, NASA/Jet Propulsion Laboratory  Chuck Miller, NASA/Headquarters  Karen Vaner, NASA/Stennis Space Center  Scott Mimbs, NASA/Kennedy Space Center  Lynn Vernon, NASA/Johnson Space Center  Steve Newton, NASA/Marshall Space Flight Center  Tri Nguyen, NASA/Johnson Space Center  Linda Voss, Technical Writer ◆ Chuck Niles, NASA/Langley Research Center  Britt Walters, NASA/Johnson Space Center Tommy Watts, NASA/Marshall Space Flight Center  Cynthia Null, NASA/NASA Engineering and Safety Center  Richard Weinstein, NASA/Headquarters  John Olson, NASA/Headquarters  Katie Weiss, NASA/Jet Propulsion Laboratory  Tim Olson, QIC, Inc.  Martha Wetherholt, NASA/Headquarters  Sam Padgett, NASA/Johnson Space Center  Becky Wheeler, NASA/Jet Propulsion Laboratory  Christine Powell, NASA/Stennis Space Center ◆ Cathy White, NASA/Marshall Space Flight Center  Steve Prahst, NASA/Glenn Research Center  Reed Wilcox, NASA/Jet Propulsion Laboratory  Pete Prassinos, NASA/Headquarters Barbara Woolford, NASA/Johnson Space Center  Mark Prill, NASA/Marshall Space Flight Center  Felicia Wright, NASA/Langley Research Center  Neil Rainwater, NASA/Marshall Space Flight Center ◆ Robert Youngblood, ISL Inc.  Ron Ray, NASA/Dryden Flight Research Center  Tom Zang, NASA/Langley Research Center  Gary Rawitscher, NASA/Headquarters  Joshua Reinert, ISL Inc.  Norman Rioux, NASA/Goddard Space Flight Center  *In memory of. xvi  NASA Systems Engineering Handbook 1.0 Introduction 1.1 Purpose large and small NASA programs and projects. NASA has defined different life cycles that specifically address This handbook is intended to provide general guidance the major project categories, or product lines, which and information on systems engineering that will be are: Flight Systems and Ground Support (FS&GS), Re- useful to the NASA community. It provides a generic de- search and Technology (R&T), Construction of Facili- scription of Systems Engineering (SE) as it should be ap- ties (CoF), and Environmental Compliance and Resto- plied throughout NASA. A goal of the handbook is to in- ration (ECR). The technical content of the handbook crease awareness and consistency across the Agency and provides systems engineering best practices that should advance the practice of SE. This handbook provides per- be incorporated into all NASA product lines. (Check spectives relevant to NASA and data particular to NASA. the NASA On-Line Directives Information System This handbook should be used as a companion for im- (NODIS) electronic document library for applicable plementing NPR 7123.1, Systems Engineering Processes NASA directives on topics such as product lines.) For and Requirements, as well as the Center-specific hand- simplicity this handbook uses the FS&GS product line books and directives developed for implementing sys- as an example. The specifics of FS&GS can be seen in tems engineering at NASA. It provides a companion ref- the description of the life cycle and the details of the erence book for the various systems engineering related milestone reviews. Each product line will vary in these courses being offered under NASA’s auspices. two areas; therefore, the reader should refer to the ap- plicable NASA procedural requirements for the specific requirements for their life cycle and reviews. The en- 1.2 Scope and Depth gineering of NASA systems requires a systematic and The coverage in this handbook is limited to general disciplined set of processes that are applied recursively concepts and generic descriptions of processes, tools, and iteratively for the design, development, operation, and techniques. It provides information on systems en- maintenance, and closeout of systems throughout

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