SYSTEMS ENGINEERING

PRINCIPLES AND PRACTICE

WILEY SERIES IN SYSTEMS ENGINEERING AND MANAGEMENT

William Rouse, Series EditorAndrew P. Sage, Founding Editor

A complete list of the titles in this series appears at the end of this volume.

SYSTEMS ENGINEERING PRINCIPLES AND

PRACTICETHIRD EDITION

Alexander Kossiakoff†

Samuel J. SeymourDavid A. FlaniganSteven M. Biemer

This third edition first published 2020© 2020 John Wiley & Sons, Inc.

Edition HistoryJohn Wiley & Sons, Inc. (1e, 2003)John Wiley & Sons, Inc. (2e, 2011)

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The right of Alexander Kossiakoff, Samuel J. Seymour, David A. Flanigan, and Steven M. Biemer to be identified as the authors of this work has been asserted in accordance with law.

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Library of Congress Cataloging-in-Publication Data

Names: Kossiakoff, Alexander, 1914–2005, author. | Biemer, Steven M., author. | Seymour, Samuel J., author. | Flanigan, David A., author.

Title: Systems engineering : principles and practice / Alexander Kossiakoff, Steven M. Biemer, Samuel J. Seymour, David A. Flanigan.

Description: Third edition. | Hoboken, NJ : John Wiley & Sons, Inc., 2020. | Series: Wiley series in systems engineering and management | Revised edition of: Systems engineering : principles and practice / Alexander Kossiakoff ... [et al.]. 2011. | Includes bibliographical references.

Identifiers: LCCN 2020002852 (print) | LCCN 2020002853 (ebook) | ISBN 9781119516668 (hardback) | ISBN 9781119516675 (adobe pdf) | ISBN 9781119516705 (epub)

Subjects: LCSH: Systems engineering. Classification: LCC TA168 .K68 2020 (print) | LCC TA168 (ebook) | DDC

620.001/171–dc23 LC record available at https://lccn.loc.gov/2020002852LC ebook record available at https://lccn.loc.gov/2020002853

Cover Design: WileyCover Images: Blue geometric lines © Westend61/Getty Images, chart © John Wiley & Sons, Inc.

Set in 10/12pt Times by SPi Global, Pondicherry, India

Printed in the United States of America

10 9 8 7 6 5 4 3 2 1

To Alexander Kossiakoff

who never took “no” for an answer and refused to believe that anything was impossible. He was an extraordinary problem solver, instructor, mentor,

and friend.

Samuel J. Seymour

David A. Flanigan

Steven M. Biemer

viivii

LIST OF ILLUSTRATIONS XV

LIST OF TABLES XIX

PREFACE TO THE THIRD EDITION XXI

PREFACE TO THE SECOND EDITION XXV

PREFACE TO THE FIRST EDITION XXIX

PART I FOUNDATIONS OF SYSTEMS ENGINEERING 1

1 SYSTEMS ENGINEERING AND THE WORLD OF MODERN SYSTEMS 31.1 What is Systems Engineering? 31.2 The Systems Engineering Landscape 51.3 Systems Engineering Viewpoint 91.4 Perspectives of Systems Engineering 121.5 Examples of Systems Requiring Systems Engineering 161.6 Systems Engineering Activities and Products 201.7 Systems Engineering as a Profession 201.8 Systems Engineer Career Development Model 241.9 Summary 27 Problems 29 References 30 Further Reading 30

2 STRUCTURE OF COMPLEX SYSTEMS 332.1 System Elements and Interfaces 33

2.2 Hierarchy of Complex Systems 34

CONTENTS

viii Contents

2.3 System Building Blocks 38

2.4 The System Environment 43

2.5 Interfaces and Interactions 51

2.6 Complexity in Modern Systems 54

2.7 Summary 57

Problems 58

Reference 59

Further Reading 60

3 THE SYSTEM DEVELOPMENT PROCESS 613.1 Systems Engineering Through the System Life Cycle 61

3.2 System Life Cycle 62

3.3 Evolutionary Characteristics of the Development Process 74

3.4 The Systems Engineering Method 81

3.5 Testing Throughout System Development 94

3.6 Summary 96

Problems 98

Reference 99

Further Reading 99

4 SYSTEMS ENGINEERING MANAGEMENT 1014.1 Managing System Development 101

4.2 Work Breakdown Structure 103

4.3 Systems Engineering Management Plan 108

4.4 Organization of Systems Engineering 111

4.5 Summary 115

Problems 116

Further Reading 116

PART II CONCEPT DEVELOPMENT STAGE 119

5 NEEDS ANALYSIS 1215.1 Originating a New System 121

5.2 Systems Thinking 130

5.3 Operations Analysis 132

5.4 Feasibility Definition 143

5.5 Needs Validation 145

5.6 Summary 149

Problems 150

Contents ix

References 151 Further Reading 151

6 REQUIREMENTS ANALYSIS 1536.1 Developing the System Requirements 1536.2 Requirements Development and Sources 1576.3 Requirements Features and Attributes 1606.4 Requirements Development Process 1636.5 Requirements Hierarchy 1676.6 Requirements Metrics 1756.7 Requirements Verification and Validation 1776.8 Requirements Development: TSE vs. Agile 1796.9 Summary 179 Problems 181 Further Reading 181

7 FUNCTIONAL ANALYSIS 1837.1 Selecting the System Concept 1837.2 Functional Analysis and Formulation 1887.3 Functional Allocation 1947.4 Functional Analysis Products 1977.5 Traceability to Requirements 2027.6 Concept Development Space 2047.7 Summary 206 Problems 207 Further Reading 208

8 EVALUATION AND SELECTION 2098.1 Evaluating and Selecting the System Concept 2098.2 Alternatives Analysis 2108.3 Operations Research Techniques 2148.4 Economics and Affordability 2188.5 Events and Decisions for Consideration 2228.6 Alternative Concept Development and Concept Selection 2248.7 Concept Validation 2298.8 Traditional vs. Agile SE Approach to Concept Evaluation 2308.9 Summary 231 Problems 233 References 234 Further Reading 234

x Contents

9 SYSTEMS ARCHITECTING 2359.1 Architecture Introduction 235

9.2 Types of Architecture 236

9.3 Architecture Frameworks 241

9.4 Architectural Views 244

9.5 Architecture Development 246

9.6 Architecture Traceability 247

9.7 Architecture Validation 248

9.8 Summary 249

Problems 251

Further Reading 251

10 MODEL‐BASED SYSTEMS ENGINEERING (MBSE) 25310.1 MBSE Introduction 253

10.2 MBSE Languages 259

10.3 MBSE Tools 260

10.4 MBSE Used in the SE Life Cycle 262

10.5 Examples 263

10.6 Summary 267

Problems 272

References 273

Further Reading 273

11 DECISION ANALYSIS AND SUPPORT 27511.1 Decision Making 276

11.2 Modeling Throughout System Development 282

11.3 Modeling for Decisions 282

11.4 Simulation 287

11.5 Trade‐Off Analysis 296

11.6 Evaluation Methods 313

11.7 Summary 321

Problems 324

References 324

Further Reading 325

12 RISK MANAGEMENT 32712.1 Risk Management in the SE Life Cycle 327

12.2 Risk Management 328

Contents xi

12.3 Risk Traceability/Allocation 337

12.4 Risk Analysis Techniques 338

12.5 Summary 345

Problems 346

Reference 346

Further Reading 347

PART III ENGINEERING DEVELOPMENT PHASE 349

13 ADVANCED DEVELOPMENT 35113.1 Reducing Uncertainties 351

13.2 Requirements Analysis 356

13.3 Functional Analysis and Design 361

13.4 Prototype Development as a Risk Mitigation Technique 367

13.5 Development Testing 376

13.6 Risk Reduction 385

13.7 Summary 387

Problems 388

References 390

Further Reading 391

14 SOFTWARE SYSTEMS ENGINEERING 39314.1 Components of Software 394

14.2 Coping with Complexity and Abstraction 394

14.3 Nature of Software Development 398

14.4 Software Development Life Cycle Models 403

14.5 Software Concept Development: Analysis and Design 412

14.6 Software Engineering Development: Coding and Unit Test 424

14.7 Software Integration and Test 432

14.8 Software Engineering Management 435

14.9 Summary 442

Problems 445

References 446

Further Reading 446

15 ENGINEERING DESIGN 44915.1 Implementing the System Building Blocks 449

15.2 Requirements Analysis 454

xii Contents

15.3 Functional Analysis and Design 456

15.4 Component Design 460

15.5 Design Validation 473

15.6 Configuration Management 478

15.7 Summary 481

Problems 483

Further Reading 483

16 SYSTEMS INTEGRATION 48516.1 Integrating the Total System 485

16.2 System Integration Hierarchy 488

16.3 Types of Integration 492

16.4 Integration Planning 494

16.5 Integration Facilities 494

16.6 Summary 496

Problems 497

References 498

Further Reading 498

17 TEST AND EVALUATION 49917.1 Testing and Evaluating the Total System 499

17.2 Developmental System Testing 509

17.3 Operational Test and Evaluation 515

17.4 Human Factors Testing 523

17.5 Test Planning and Preparation 524

17.6 Test Traceability 529

17.7 System of Systems Testing 529

17.8 Summary 530

Problems 533

References 534

Further Reading 534

PART IV POST‐DEVELOPMENT STAGE 537

18 PRODUCTION 53918.1 Systems Engineering in the Factory 539

18.2 Engineering for Production 541

18.3 Transition from Development to Production 545

Contents xiii

18.4 Production Operations 549

18.5 Acquiring a Production Knowledge Base 554

18.6 Summary 557

Problems 559

References 560

Further Reading 560

19 OPERATION AND SUPPORT 56119.1 Installing, Maintaining, and Upgrading the System 561

19.2 Installation and Test 564

19.3 In‐Service Support 569

19.4 Major System Upgrades: Modernization 573

19.5 Operational Factors in System Development 577

19.6 Summary 580

Problems 581

Reference 582

Further Reading 582

20 SYSTEM OF SYSTEMS ENGINEERING 58320.1 System of Systems Engineering 583

20.2 Differences Between SOS and TSE 584

20.3 Types of SOS 587

20.4 Attributes of SOS 590

20.5 Challenges to System of Systems Engineering 591

20.6 Summary 593

Problems 595

References 595

Further Reading 596

PART V SYSTEMS DOMAINS 597

21 ENTERPRISE SYSTEMS ENGINEERING 59921.1 Enterprise Systems Engineering 599

21.2 Definitions of Enterprise Systems Engineering 600

21.3 Processes and Components of Enterprise Systems Engineering 603

21.4 Enterprise Systems Engineering Applications to Domains 605

21.5 Challenges to Enterprise Systems Engineering 606

21.6 Summary 607

xiv Contents

Problems 607

References 608

Further Reading 609

22 SYSTEMS SECURITY ENGINEERING 61122.1 Systems Security Engineering 611

22.2 Types of Security 613

22.3 Security Applications to Systems Engineering 616

22.4 Security Applications to Domains 619

22.5 Security Validation and Analysis 621

22.6 Summary 621

Problems 623

Further Reading 624

23 THE FUTURE OF SYSTEMS ENGINEERING 62723.1 Introduction and Motivation 627

23.2 Areas to Apply the Systems Engineering Approach 630

23.3 Education for the Future Systems Engineer 632

23.4 Concluding Remarks 634

23.5 Summary 635

Problems 636

Further Reading 636

INDEX 639WILEY SERIES IN SYSTEMS ENGINEERING AND MANAGEMENT 000

xvxv

1‐1 The ideal missile design from the viewpoint of various specialists 111‐2 Systems engineering principles and practice 141‐3 Systems engineering 151‐4 Examples of systems engineering components 161‐5 Examples of systems engineering approaches 171‐6 Career opportunities and growth 221‐7 Systems engineering career elements derived from quality work

experiences 251‐8 Components of employer development of systems engineers 251‐9 “T” model for systems engineer career development 262‐1 Knowledge domains of systems engineer and design specialist 372‐2 Context diagram 452‐3 Context diagram for an automobile 472‐4 Environments of a passenger airliner 492‐5 Functional interactions and physical interfaces 522‐6 Pyramid of system hierarchy 553‐1 DoD system life cycle model 633‐2 System life cycle model 653‐3 Principal stages in system life cycle 673‐4 Concept development phases of system life cycle 683‐5 Engineering development phases in system life cycle 713-6 Principal Participants in Typical Aerospace System Development 783‐7 Systems engineering method’s top‐level flow diagram 823‐8 Systems engineering method flow diagram 843‐9 Spiral model of the system life cycle 934‐1 Systems engineering as a part of project management 1024‐2 System product WBS partial breakdown structure 1054‐3 Place of SEMP in program management plans 1095‐1 Needs analysis phase in the system life cycle 123

LIST OF ILLUSTRATIONS

xvi List of  iLLustrations

5‐2 Needs analysis phase flow diagram 1295‐3 Objectives tree structure 1355‐4 Example objectives tree for an automobile 1365‐5 Triumvirate of conceptual design 1385‐6 Hierarchy of scenarios 1405‐7 Analysis pyramid 1476‐1 Concept exploration phase in system life cycle 1556‐2 Concept exploration phase flow diagram 1586‐3 Simple requirements development process 1647‐1 Concept definition phase in system life cycle 1847‐2 Concept definition phase flow diagram 1887‐3 IDEF0 functional model structure 1917‐4 Functional block diagram of a standard coffee maker 1927‐5 Example functional to subsystem allocation matrix 1967‐6 Function category vs. functional media 1987‐7 Functional block diagram development from internal view first 1997‐8 Functional block diagram development from external view first 2007‐9 Functional flow diagram example 2017‐10 Coffee maker functional flow diagram 2017‐11 Coffee maker sequence diagram 2028‐1 Assignment problem to minimize number of machines used 2158‐2 Decision tree example 2168‐3 Decision path 2178‐4 Decision tree solved 2178‐5 Nonmonetary benefits example 2198‐6 Scatterplot of performance and cost comparison 2208‐7 Example context diagram of healthcare costs 2219‐1 Glucose meter example functional architecture 2389‐2 Glucose meter example physical architecture 2399‐3 Glucose meter example allocated architecture 2419‐4 DODAF Version 2.0.2 viewpoints 24310‐1 SysML block definition diagram of NASA’s Apollo spacecraft 26410‐2 Relation map of NASA’s Apollo spacecraft 26510‐3 Apollo part decomposition matrix 26610‐4 Apollo launch vehicle part properties 26710‐5 Internal block diagram 26810‐6 Satellite command and data-handling state machine diagram 26910‐7 Flight computer SysML state machine 27010‐8 SysML parametric diagram 27010‐9 Driveline parametric diagram 27111‐1 Basic decision process 27611‐2 Decision process 28111‐3 Virtual reality simulation 294

List of  iLLustrations xvii

11‐4 Candidate utility functions 30411‐5 Example utility function for waiting times 30511‐6 Criteria profile 30611‐7 Queuing alternatives 30811‐8 Trade study utility functions 31011‐9 Trade study analysis examples 31111‐10 MAUT analysis example 31611‐11 MAUT final analysis example plot 31711‐12 Example cost‐effectiveness integration 31811‐13 Example scatterplot of performance cost quadrants 31911‐14 QFD House of Quality 32012‐1 Variation of program risk and effort throughout systems development 32912‐2 Example of a risk mitigation waterfall chart 32912‐3 An example of a risk cube display 33112‐4 Sample risk plan work sheet 33612‐5 Computer failure risk cube plot 34213‐1 Advanced development phase in system life cycle 35213‐2 Advanced development phase flow diagram 35513‐3 Test and evaluation process of a system element 38114‐1 IEEE software systems engineering process 39514‐2 Software hierarchy 39714‐3 Notional three‐tier architecture 39714‐4 Classical waterfall software development cycle 40614‐5 Software incremental model 40714‐6 Spiral model 40814‐7 State transition diagram in concurrent development model 41014‐8 User needs, software requirements, and specifications 41414‐9 Software generation process 41514‐10 Principles of modular partitioning 41814‐11 Functional flow block diagram example 41914‐12 Data flow diagram: library checkout 42014‐13 Robustness diagram: library checkout 42315‐1 Engineering design phase in system life cycle 45015‐2 Engineering design phase in relation to integration and evaluation 45115‐3 Engineering design phase flow diagram 45316‐1 Integration and evaluation phase in system life cycle 48616‐2 Subsystem configuration 49016‐3 Top‐down integration process 49216‐4 Bottom‐up integration process 49317‐1 Evaluation phase in relation to engineering design 50017‐2 System test and evaluation team 50117‐3 System element test configuration 50617‐4a Operation of a passenger airliner 517

xviii List of  iLLustrations

17‐4b Operational testing of an airliner 51717‐5 Test realism vs. cost 51918-1 Production phase in system life cycle 54018‐2 Production phase overlap with adjacent phases 54118‐3 Production operations system 55119‐1 Operation and support phase in system life cycle 56319‐2 System operation history 56319‐3 Non‐disruptive installation via simulation 56719‐4 Non‐disruptive installation via a duplicate system 56820‐1 System of system requirements context 58520‐2 System of systems architecture example 58620‐3 Directed SoS attributes 58820‐4 Acknowledged SoS attributes 58920‐5 Collaborative SoS attributes 58920‐6 Virtual SoS attributes 59021‐1 Enterprise systems engineering context diagram 60222‐1 Systems security engineering context diagram 61322‐2 Systems security engineering overlay on the systems engineering process 61722‐3 Systems security engineering applications 620

xixxix

LIST OF TABLES

1‐1 Comparison of Systems Perspectives 131‐2 Examples of Engineered Complex Systems: Signal and Data Systems 181‐3 Examples of Engineered Complex Systems: Material and Energy Systems 191‐4 Systems Engineering Activities and Documents 202‐1 System design hierarchy 352‐2 System Functional Elements 402‐3 Component Design Elements 412‐4 Examples of Interface Elements 533‐1 Evolution of System Materialization Through System Life Cycle 763‐2 Evolution of System Representation 803‐3 Systems Engineering Method over Life Cycle 925‐1 Status of System Materialization at Needs Analysis Phase 1256‐1 Status of System Materialization of Concept Exploration Phase 1567‐1 Status of System Materialization of Concept Definition Phase 1867‐2 Functional to Requirements Allocation Example 2037-3 Coffee Maker Morphological Box 2058‐1 System Decision Questions 2229-1 Glucose Meter Example Allocated Architecture List 24011.1 Decision framework 27911‐2 Weighted Sum Integration of Selection Criteria 30311‐3 Technical Criteria Pair‐Wise Comparison 30911‐4 Technical Criteria Pair‐Wise Reasoning 30911‐5 Trade Study Conversion of Raw Data to Utility Scores 31011‐6 Trade Study Final Scoring 31111‐7 Trade Study Sensitivity Analysis 31212‐1 Risk Likelihood 33312‐2 Risk Criticality 33312‐3 Patient Processing Quantification Based on Functions and Components 340

xx List of tabLes

12‐4 Patient Processing Quantification Based on Functions and Components (Degraded) 341

12‐5 Patient Processing Mitigation Example (Before Mitigation) 34312‐6 Patient Processing Mitigation Example (After Mitigation) 34413‐1 Status of System Materialization at Advanced Development Phase 35413‐2 Development of New Components 36013‐3 Selected Critical Characteristics of System Functional Elements 36313‐4 Some Examples of Special Materials 36914‐1 Software Types 39914‐2 Categories of Software‐Dominated Systems 40014‐3 Differences Between Hardware and Software 40214‐4 Systems Engineering Life Cycle and the Waterfall Model 40614‐5 Commonly Used Computer Languages 42614‐6 Some Special‐Purpose Computer Languages 42714‐7 Characteristics of Prototypes 42914‐8 Comparison of Computer Interface Modes 43014‐9 Capability Levels 43814‐10 Maturity Levels 43915‐1 Status of System Materialization at Engineering Design Phase 45215‐2 Configuration Baselines 47917‐1 Status of System Materialization at Integration and Evaluation Phase 50317‐2 Systems Integration and Evaluation Process 50417‐3 Parallels Between System Development and T&E Planning 52520‐1 Traditional Systems Engineering vs. Systems of Systems Engineering 58820‐2 System of Systems Engineering Examples 59121‐1 Traditional Systems Engineering vs. Enterprise Systems Engineering 60222-1 SSE Interfaces with SE Team 622

xxixxi

PREFACE TO THE THIRD EDITION

It is an incredible honor and privilege to again dedicate this edition to one of the authors of the first edition, the late Alexander Kossiakoff, whose vision and principles remain as driving forces in the field of systems engineering. The field continues to mature and make significant advances and this edition is intended to prepare successful systems engineers for the decades to come. Systems Engineering Principles and Practice is designed to help students and developers learn the best approaches to develop and deploy complex systems. The advocacy of the systems engineering viewpoint and goal for the practitioners to think like a systems engineer are still the major premises of this book.

Learning how to be a successful systems engineer is entirely different from learning how to excel at a traditional engineering discipline. It requires developing the ability to think in a special way and to make the central objective the system as a whole and the success of its mission. The systems engineer faces in three directions: the system users’ and stakeholders needs and concerns, the enterprise and project managers’ finan-cial and schedule constraints, and the capabilities and ambitions of the specialists who have to develop, build, test, and deploy the elements of the system. This requires learning enough of the language and basic principles of each of the three constituencies to understand their requirements and negotiate balanced solutions acceptable to all.

The role of interdisciplinary leadership is the key contribution and principal challenge of systems engineering, and it is absolutely indispensable to the successful development of modern complex systems. While the book describes the necessary processes that systems engineers must know and execute, it stresses the leadership, problem‐solving, and innovative skills necessary for success, as well as being systematic and disciplined.

In the future, societies, industries, and governments will be seeking products, ser-vices, and systems that are more innovative and economically feasible and will meet mission effectiveness and improve the quality of life. Continuing change offered by advancing technologies offers opportunities and challenges where systems engineering will take a leadership role in integrating a wide variety of disciplines to create and

xxii PREFACE TO THE THIRD EDITION

deploy systems that have global impact. This text continues to lay the foundation for the principles and practices in the development of systems.

As the systems engineering field matures and accommodates the complexity of world domains, we provide time‐tested approaches and advanced methods to be suc-cessful. Entrepreneurs and technologists, executives and managers, designers and engi-neers, hardware and software developers, stakeholders and users, marketing and sales – all will find the wisdom outlined here to be the path for problem solving and development success. Whether dealing with nanosystems, microsystems, large‐scale systems, mega‐systems, global systems, or enterprise systems, approaches and solutions are offered for the full cycle of product creation, management, and deployment. Examples are given in fields of transportation, communications, networks, healthcare, social, climate, natural, space, defense, manufacturing, and many others.

The third edition has five parts:

• Part I. Foundations of Systems Engineering describes the origins and structure of modern systems, the current field of systems engineering, the structured development process of complex systems, and the organization of system development projects.

• Part II. Concept Development Stage describes the early stages of the system life cycle in which a need for a new system is demonstrated, its requirements are identified, alternative implementations are developed, and key program and technical decisions are made.

• Part III. Engineering Development Phase describes the later stages of the system life cycle, in which the system building blocks are engineered (to include both software and hardware subsystems) and the total system is integrated and eval-uated in an operational environment.

• Part IV. Post‐development Stage describes the roles of systems in the production, operation, and support phases of the system life cycle and what domain knowledge of these phases a systems engineer should acquire.

• Part V. System Domains outlines numerous areas of challenges for system engineering development.

Each chapter contains a summary, homework problems, references, and bibliography. The length of the book has grown with the updates and new material reflecting the expansion of the field itself.

In addition, sections have been expanded in:

Risk

Software

Modeling

Needs analysis

PREFACE TO THE THIRD EDITION xxiii

Systems thinking

System complexity

System architecture

Systems integration

In addition, new sections and chapters have been added to include:

Agile

Security

Systems of systems

Enterprise systems engineering

Model‐based systems engineering

Future Domains

The systems engineering program at Johns Hopkins University founded by Dr. Kossiakoff is the largest part‐time graduate program in the United States, with students enrolled from around the world in classroom, distance, and organizational partnership venues, and it continues to evolve as the field expands and teaching venues embrace new technologies, setting the standard for graduate programs in systems engineering. This is the foundational systems engineering textbook for colleges and universities worldwide.

The authors of the third edition gratefully thank our families for their support. As with the prior editions, the authors gratefully acknowledge the many contributions made by the present and past faculty of the Johns Hopkins University Systems Engineering graduate program. Their sharp insight and recommendations on improve-ments to the second edition have been invaluable in framing this publication. A special thanks is given to Michael Vinarcik, who is the primary author of the MBSE chapter.

Samuel J. SeymourDavid A. FlaniganSteven M. Biemer

xxvxxv

PREFACE TO THE SECOND EDITION

It is an incredible honor and privilege to follow in the footsteps of an individual who had a profound influence on the course of history and the field of systems engineering. Since publication of the first edition of this book, the field of systems engineering has seen significant advances, including a significant increase in recognition of the disci-pline, as measured by the number of conferences, symposia, journals, articles, and books available on this crucial subject. Clearly, the field has reached a high level of maturity and is destined for continued growth. Unfortunately, the field has also seen some sorrowful losses, including one of the original authors, Alexander Kossiakoff, who passed away just two years after the publication of the book. His vision, innova-tion, excitement, and perseverance were contagious to all who worked with him, and he is missed by the community. Fortunately, his vision remains and continues to be the driving force behind this book. It is with great pride that we dedicate this second edition to the enduring legacy of Alexander Ivanovich Kossiakoff.

ALEXANDER KOSSIAKOFF, 1914–2005

Alexander Kossiakoff, known to so many as “Kossy,” gave shape and direction to the Johns Hopkins University Applied Physics Laboratory as its director from 1969 to 1980. His work helped defend our nation, enhance the capabilities of our military, pushed technology in new and exciting directions, and bring successive new genera-tions to an understanding of the unique challenges and opportunities of systems engi-neering. In 1980, recognizing the need to improve the training and education of technical professionals, he started the master of science degree program at Johns Hopkins University in technical management and later expanded it to systems engi-neering, one of the first programs of its kind. Today, the systems engineering program he founded is the largest part‐time graduate program in the United States, with students enrolled from around the world in classroom, distance, and organizational partnership venues; it continues to evolve as the field expands and teaching venues embrace new

xxvi PREFACE TO THE SECOND EDITION

technologies, setting the standard for graduate programs in systems engineering. The first edition of the book is the foundational systems engineering textbook for colleges and universities worldwide.

OBJECTIVES OF THE SECOND EDITION

Traditional engineering disciplines do not provide the training, education, and experi-ence necessary to ensure the successful development of a large complex system program from inception to operational use. The advocacy of the systems engineering viewpoint and the goal for the practitioners to think like a systems engineer are still the major premises of this book. This second edition of Systems Engineering Principles and Practice continues to be intended as a graduate‐level textbook for courses introducing the field and practice of systems engineering. We continue the tradition of utilizing models to assist students in grasping abstract concepts presented in the book. The five basic models of the first edition are retained, with only minor refinements to reflect current thinking. Additionally, the emphasis on application and practice is retained throughout and focuses on students pursuing their educational careers in parallel with their professional careers. Detailed mathematics and other technical fields are not explored in depth, providing the greatest range of students who may benefit, nor are traditional engineering disciplines provided in detail, which would violate the book’s intended scope. The updates and additions to the first edition revolve around the changes occurring in the field of systems engineering since the original publication. Special attention was made in the following areas:

• The systems engineer’s career. An expanded discussion is presented on the career of the systems engineer. In recent years, systems engineering has been recog-nized by many companies and organizations as a separate field, and the position of “systems engineer” has been formalized. Therefore, we present a model of the systems engineer’s career to help guide prospective professionals.

• The systems engineering landscape. The only new chapter introduced in the second edition is titled by the same name and reinforces the concept of the systems engineering viewpoint. Expanded discussions of the implications of this viewpoint have been offered.

• System boundaries. Supplemental material has been introduced defining and expanding our discussion on the concept of the system boundary. Through the use of the book in graduate‐level education, the authors recognized an inherent misunderstanding of this concept  –  students in general have been unable to recognize the boundary between the system and its environment. This area has been strengthened throughout the book.

• System complexity. Significant research in the area of system complexity is now available and has been addressed. Concepts such as system of systems engineering, complex systems management, and enterprise systems engineering

PREFACE TO THE SECOND EDITION xxvii

are introduced to the student as a hierarchy of complexity, of which systems engineering forms the foundation.

• Systems architecting. Since the original publication, the field of systems archi-tecting has expanded significantly, and the tools, techniques, and practices of this field have been incorporated into the concept exploration and definition chapters. New models and frameworks for both traditional structured analysis and object‐oriented analysis techniques are described, and examples are provided, including an expanded description of the Unified Modeling Language and the Systems Modeling Language. Finally, the extension of these new methodologies, model‐based systems engineering, is introduced.

• Decision making and support. The chapter on systems engineering decision tools has been updated and expanded to introduce the systems engineering student to the variety of decisions required in this field and the modern processes, tools, and techniques that are available for use. The chapter has also been moved from the original special topics part of the book.

• Software systems engineering. The chapter on software systems engineering has been extensively revised to incorporate modern software engineering techniques, principles, and concepts. Descriptions of modern software development life cycle models, such as the Agile development model, have been expanded to reflect current practices. Moreover, the section on capability maturity models has been updated to reflect the current integrated model. This chapter has also been moved out of the special topics part and introduced as a full partner of advanced development and engineering design.

In addition to the topics mentioned above, the chapter summaries have been reformatted for easier understanding, and the lists of problems and references have been updated and expanded. Lastly, feedback, opinions, and recommendations from graduate students have been incorporated where the wording or presentation was awkward or unclear.

CONTENT DESCRIPTION

This book continues to be used to support the core courses of the Johns Hopkins University Master of Science in Systems Engineering program and is now a primary textbook used throughout the United States and in several other countries. Many pro-grams have transitioned to online or distance instruction; the second edition was written with distance teaching in mind and offers additional examples.

The length of the book has grown, with the updates and new material reflecting the expansion of the field itself.

The second edition now has four parts:

• Part I. The Foundation of Systems Engineering, consisting of Chapters 1–5, describes the origins and structure of modern systems, the current field of systems engineering, the structured development process of complex systems, and the organization of system development projects.

xxviii PREFACE TO THE SECOND EDITION

• Part II. Concept Development, consisting of Chapters 6–9, describes the early stages of the system life cycle in which a need for a new system is demonstrated, its requirements are identified, alternative implementations are developed, and key program and technical decisions are made.

• Part III. Engineering Development, consisting of Chapters 10–13, describes the later stages of the system life cycle, in which the system building blocks are engineered (to include both software and hardware subsystems) and the total system is integrated and evaluated in an operational environment.

• Part IV. Post‐development, consisting of Chapters 14 and 15, describes the roles of systems in the production, operation, and support phases of the system life cycle and what domain knowledge of these phases a systems engineer should acquire.

Each chapter contains a summary, homework problems, and bibliography.

ACKNOWLEDGMENTS

The authors of the second edition gratefully acknowledge the family of Dr. Kossiakoff and Mr. William Sweet for their encouragement and support of a second edition to the original book. As with the first edition, the authors gratefully acknowledge the many contributions made by the present and past faculties of the Johns Hopkins University Systems Engineering graduate program. Their sharp insight and recommendations on improvements to the first edition have been invaluable in framing this publication. Particular thanks are due to E. A. Smyth for his insightful review of the manuscript. Finally, we are exceedingly grateful to our families – Judy Seymour and Michele and August Biemer – for their encouragement, patience, and unfailing support, even when they were continually asked to sacrifice and the end never seemed to be within reach. Much of the work in preparing this book was supported as part of the educational mission of the Johns Hopkins University Applied Physics Laboratory.

Samuel J. SeymourSteven M. Biemer

2010