Applied Systems Engineering

1. Applied Systems Engineering Module 5: Baseline Management Welcome!Welcome!

2. Define and explain the role of baseline management and change control (BM) within SE projects. Define the related terms and processes often confused with BM and show how they relate. Explain the benefits of BM to Systems Engineered projects and discuss the Systems Engineer function in establishing and maintaining the baseline as a part of an overall Configuration Management program. Discuss the development and application of BM and provide guidance on the selection of items to be controlled as a part of the baseline. Discuss the management of changes to the baseline, with attention to disciplined processes and communication of status. Discuss reviews, audits, and other verification steps associated with the baseline. Define and explain the role of baseline management and change control (BM) within SE projects. Define the related terms and processes often confused with BM and show how they relate. Explain the benefits of BM to Systems Engineered projects and discuss the Systems Engineer function in establishing and maintaining the baseline as a part of an overall Configuration Management program. Discuss the development and application of BM and provide guidance on the selection of items to be controlled as a part of the baseline. Discuss the management of changes to the baseline, with attention to disciplined processes and communication of status. Discuss reviews, audits, and other verification steps associated with the baseline.

3. Where are We in theSE Process? Mission Analysis gave us our Problem Statement Mission Statement Potential Customer Set Customer Needs Analysis Requirements Analysis verified, deconflicted, expanded, and clarified the Mission Analysis input into specific customer requirements and/or system technical requirements Baseline Management helps us keep all that important information under control by doing the following: Working with project management, identify system and project elements requiring configuration control. Determine appropriate levels of change control and establish change control procedures and boards for project and system documentation and products. Place all project and system documentation under change control. Update existing and add new documents to the approved cost, schedule and technical baselines as dictated by the procedures established with project management. Conduct reviews and audits of project documents ,activities, drawings and products to ensure consistency between what was planned and what was done and what was builtMission Analysis gave us our Problem Statement Mission Statement Potential Customer Set Customer Needs Analysis Requirements Analysis verified, deconflicted, expanded, and clarified the Mission Analysis input into specific customer requirements and/or system technical requirements Baseline Management helps us keep all that important information under control by doing the following: Working with project management, identify system and project elements requiring configuration control. Determine appropriate levels of change control and establish change control procedures and boards for project and system documentation and products. Place all project and system documentation under change control. Update existing and add new documents to the approved cost, schedule and technical baselines as dictated by the procedures established with project management. Conduct reviews and audits of project documents ,activities, drawings and products to ensure consistency between what was planned and what was done and what was built

4. Key Terminology Baseline Change Control Change Control Boards Configuration Items (CIs) Configuration Control Configuration Management Configuration Management Plan System Documents Technical Baseline

5. What Do We Mean by �Baseline�? A living, revised document, set of documents, database, etc. that describe the problem, mission, customer set, requirements, functions, specifications, architecture, etc. of the system under consideration is managed and communicated in a structured and planned way Often called the �technical baseline� Typically managed by the person or organization performing the System Engineering functions May include cost and schedule baselines, as directed by the Project Manager The system baseline WILL change as the system engineering process proceeds. Effective management of the baseline is CRUCIAL to project success.The system baseline WILL change as the system engineering process proceeds. Effective management of the baseline is CRUCIAL to project success.

6. What Baseline Management IS! A disciplined approach to information and documentation management A defined process of selecting baseline documentation A defined process for recording, controlling and disseminating the baseline and the design A defined process for evaluating and making changes A documentation status reporting system A tool for the project team

7. Configuration ControlConfiguration Management Baseline management is achieved by placing the �baseline� under configuration control This process is universally known as Configuration Management Differs from Document Control in that it further specifies which of the many controlled or authorized documents are currently applicable CM maintains the �traceability� attribute of requirements CC should ensure that changes are are known and paid for

8. What BaselineManagement ISN�T! Baseline Management ISN�T Just cost and schedule Document control Project controls Scope and schedule statusing �Just another paperwork exercise� �More bean-counting� Configuration Management (CM) is typically a broader charter than baseline management and may be carried out by a different organization. It is aimed at configuration control of structures and facilities, mostly existing and operational, and is heavily tied to quality and safety programs. It also emphasizes just cost and schedule. New facilities or programs, designed under SE principles, will be documented thoroughly during their development. The drawings, specifications, requirements, tests, and related documents will have been produced with an appropriate life-cycle viewpoint, and will translate directly into the CM world. Document Control controls and disseminates documents. Managed baseline documents must be retained in some sort of document control system, either local or external. This function might be given to any part of a project team, including the SE function, and may control many more documents than just those baselined. Scope and Schedule baseline maintenance is extremely important, and is part of the project controls function. The technical baseline should include the functional allocations that define the Work Breakdown Structure that drives cost and schedule planning. The SE function may even be assigned to control the scope and schedule baselines, but they are separate and distinct from the technical baseline Paperwork exercises can be extremely important, if the products are the controlling force behind the design of your product. Verification is not just �bean-counting�, it is the proof that you have met your obligations., Either verification or documentation standing alone is a truly useless exercise.Configuration Management (CM) is typically a broader charter than baseline management and may be carried out by a different organization. It is aimed at configuration control of structures and facilities, mostly existing and operational, and is heavily tied to quality and safety programs. It also emphasizes just cost and schedule. New facilities or programs, designed under SE principles, will be documented thoroughly during their development. The drawings, specifications, requirements, tests, and related documents will have been produced with an appropriate life-cycle viewpoint, and will translate directly into the CM world. Document Control controls and disseminates documents. Managed baseline documents must be retained in some sort of document control system, either local or external. This function might be given to any part of a project team, including the SE function, and may control many more documents than just those baselined. Scope and Schedule baseline maintenance is extremely important, and is part of the project controls function. The technical baseline should include the functional allocations that define the Work Breakdown Structure that drives cost and schedule planning. The SE function may even be assigned to control the scope and schedule baselines, but they are separate and distinct from the technical baseline Paperwork exercises can be extremely important, if the products are the controlling force behind the design of your product. Verification is not just �bean-counting�, it is the proof that you have met your obligations., Either verification or documentation standing alone is a truly useless exercise.

9. Why use Baseline Management? Communication! Design team MUST know about requirements changes Interfaces MUST look the same from both sides The design MUST be traceable to the requirements Being out-of-touch can be VERY expensive With a proper Baseline Management process: All requirements will be visible Design documents will be complete, accurate, and available There will be a basis for management decisions Technical, cost, and schedule functions affected by a change will be identified.With a proper Baseline Management process: All requirements will be visible Design documents will be complete, accurate, and available There will be a basis for management decisions Technical, cost, and schedule functions affected by a change will be identified.

10. What Should theBM Process Include? Identifying the elements that need to be controlled Change control processes and levels Implementing baseline controls Managing and communicating baseline changes Verifying baseline/product consistency

11. Graded Approach to Baseline Management Cost and risk must be balanced Consider the cost of controlled documentation Consider the cost of project failure Consider any hazards the mission entails Consider the life cycle of the project Consider interfaces with formal configuration management organizations and/or procedures A graded approach to baseline management is a process by which the level of analysis, amount of documentation created and controlled, and the actions necessary to comply with requirements are made commensurate with the above considerations. Requirements for documentation during the operational and later phases of the life cycle may necessitate control and retention of additional items, such as training and operations procedures, test procedures, etc.A graded approach to baseline management is a process by which the level of analysis, amount of documentation created and controlled, and the actions necessary to comply with requirements are made commensurate with the above considerations. Requirements for documentation during the operational and later phases of the life cycle may necessitate control and retention of additional items, such as training and operations procedures, test procedures, etc.

12. Configuration Management Plan Identify which data, documents, items, etc. (configuration items) will be controlled May be constrained by DOE (or other customer requirements Should be tailored to the specific project and contain technical baseline management processes Identifies the Change Control Board (CCB) membership and level of authority The CMP is a program or project level tool which serves program/project management, program controls, and SE. The management and controls portions may be prescribed by DOE or company policy where quality or mission-criticality are a factor. The technical baseline management portion may be less constrained when high-level scope, schedule and cost are not impacted, as should be true for most of the design process. However, when the design process requires changes that do affect these, formal change control processes at the program/project or customer level may be triggered. What is important is that BM/CC processes should be established and documented. The CMP can be tailored to meet customer/company requirements, but should detail processes down to the level appropriate for the project in hand. The CMP typically contains the Baseline Management process, as well as other change control actions pertinent to the program or project. Seethe CMP Outlines, CMP Guidance, and CMP Template in the �Templates and Checklists� section of this notebook). The CMP is a program or project level tool which serves program/project management, program controls, and SE. The management and controls portions may be prescribed by DOE or company policy where quality or mission-criticality are a factor. The technical baseline management portion may be less constrained when high-level scope, schedule and cost are not impacted, as should be true for most of the design process. However, when the design process requires changes that do affect these, formal change control processes at the program/project or customer level may be triggered. What is important is that BM/CC processes should be established and documented. The CMP can be tailored to meet customer/company requirements, but should detail processes down to the level appropriate for the project in hand. The CMP typically contains the Baseline Management process, as well as other change control actions pertinent to the program or project. Seethe CMP Outlines, CMP Guidance, and CMP Template in the �Templates and Checklists� section of this notebook).

13. Identifying the Elementsto be Controlled Cost, Schedule, and Technical Baselines System Requirements Document (SRD) Technical and Functional Requirements (T&FR) Interfaces Control Document (ICD) Design Drawings and Prints (System Design Description, SDD) Design Specifications Decision Data, if needed Items that should be under configuration control as the technical baseline: System Requirements Documents System Description Document, including such items as: Physical System Architecture Interface Control Documents Drawings and Specifications Items that may be under configuration control as a result of a Program/Project manager�s decision: Data to re-create the rationale of critical decisions Scope and Schedule baselines Alternative system concepts and trade studies Project plans and directivesItems that should be under configuration control as the technical baseline: System Requirements Documents System Description Document, including such items as: Physical System Architecture Interface Control Documents Drawings and Specifications Items that may be under configuration control as a result of a Program/Project manager�s decision: Data to re-create the rationale of critical decisions Scope and Schedule baselines Alternative system concepts and trade studies Project plans and directives

14. Change Control Change Classification Change levels Appropriate review and approval Change Control Board Delegated by PM Change Process Appropriate to scale and risk Deviations, Waivers, and Exemptions The plan should define levels of change, based on criteria such as risk or impact, so that an appropriate level of effort can be expended in the review cycle. A change control board should be created with appropriate authority to deal with proposed changes of each level. The process for submitting, reviewing, approving, and instituting changes should be explicitly defined. Note: Changes that impact scope, schedule, or cost on large or critical projects may be required to be handled at higher level CCBs, such as at the program or customer level.The plan should define levels of change, based on criteria such as risk or impact, so that an appropriate level of effort can be expended in the review cycle. A change control board should be created with appropriate authority to deal with proposed changes of each level. The process for submitting, reviewing, approving, and instituting changes should be explicitly defined. Note: Changes that impact scope, schedule, or cost on large or critical projects may be required to be handled at higher level CCBs, such as at the program or customer level.

15. Change Control Requests Change control notices Should include: Current situation Requested change Risk if change and risk of no change Cost of change vs cost of no change Alternatives considered

16. Change Control Boards The size and makeup of the Change Control Board (CCB) is directly proportional to the size of the project. It can be one person or several. The CCB ensures that: changes are considered approved changes are implemented documentation is complete and up-to-date.

17. When Configuration Items are Changed Changes to configuration items, when needed, are proposed to the CCB Once approved, changes are implemented in the affected item Related documents are changed/updated as necessary New revisions of the CI documents are issued CI documents are controlled and maintained.

18. Verification and Audits Verification and audits ensure that: Configurations changes are identified Configuration changes either satisfy the design requirements or comply with approved revisions to those requirements Resultant configuration changes are complete and in compliance with the approved change Verification and audits must be planned for and budgeted as an integral part of the project.Verification and audits must be planned for and budgeted as an integral part of the project.

19. Objectives Review Understand the role of Baseline Management (BM) Learn the importance of implementing BM in SE projects Learn how to plan for and use BM Understand the management of change Understand the role of reviews and audits

20. In class exercise Continue developing the Functions and Requirements of the MRS Discuss progress on Term papers.