Systems Engineering Principles

1. Results of the Systems Engineering Principles Action Team Systems Engineering Principles

2. Systems Engineering Principles Action Team • INCOSE Systems Engineering Principles Action Team Formed at INCOSE IW 2018 • Started with Input from the NASA Systems Engineering Research Consortium • Systems Engineering Postulates(7), Principles(12), Hypotheses(4) distilled over past 8 years • Research conducted by 17 Universities, 5 companies, 4 NASA Centers, and the Air Force Research Laboratory • Included surveys of 106 companies in the Aerospace, Agricultural, and Mining industries • Presented and reviewed at INCOSE IW 2018 as part of MBSE Initiative • Met monthly since March 2018 • Face to Face in December 2018 • Reviewed current literature on systems principles and systems engineering principles • Developed Criteria for INCOSE Systems Engineering Principles • Defined 15 Systems Engineering Principles, 3 Systems Engineering Hypotheses • Developing Articles for Input in Systems Engineering Body of Knowledge (SEBoK)

3. INCOSE Systems Engineering Action Team Membership • Michael Watson/NASA – Chair • David Rousseau/Centre for Systems Philosophy • Bryan Mesmer/UAH • Garry Roedler/Lockheed Martin/INCOSE President • Chuck Keating/ODU • Bill Miller/Dinesh Verma/Jon Wade/Stevens Institute of Technology • Javier Calvo-Amodio/Oregon State Univ. • Scott Lucero/Rob Gold/Aileen Sedmak/OSD • Cheryl Jones/US Army • David Long/Vitech • R. W. Russell/Exnihilo Systems • Robert Dillow/Engility www.incose.org/IW2018

4. Systems Engineering Principles Criteria • Transcends Lifecycle • Transcends system types • Transcends Context • Informs a world view on Systems Engineering • Not a how to • Supported by literature and/or widely accepted in profession (proven successful in practice across multiple organizations and multiple system types) • Economy of Principle – Principle is focused, concise, clear www.incose.org/IW2018

5. Systems Engineering Principles and System Principles • What is the relationship between Systems Engineering Principles and System Principles? • Systems Engineering Principles – Principles guiding the engineering of a system • System Principles – Principles which define the characteristics of a physical and/or logical system • Organizational Principles – Principle which define the structure and functioning of an organization • Systems Engineering Principles encompass • System Principles of the specific system being engineered • Sociological aspects of the organization engineering the system • System Engineering Principles guide application of Systems Engineering Processes • System Principles address properties of systems

6. Systems Engineering Principles • Pragmatic System Principles • Best practice guidance leading to the initial set of Systems Engineering Processes • Defoe, J.C., ed., National Council on Systems Engineering: An Identification of pragmatic principles, Final Report. SE Practice Working Group. Subgroup on Pragmatic Principles. NCOSE WMA Chapter, 6600 Rockledge Dr., Bethesda, Maryland 20817, 1993. • Systems Engineering Principles • Systems Engineering Framework and 7 Postulates • Watson, M., Griffin, M., Farrington, P.A.,Burns, L., Colley, W., Collopy, P., Doty, J., Johnson. S.B., Malak, R., Shelton J., Utley, D.R., Yang, M.C., Szajnfarber, Z., “Building a Path to Elegant Design,” Proceedings of the American Society for Engineering Management 2014 International Annual Conference, S. Long, E-H. Ng, and C. Downing eds., October 15-18, 2014, Virginia Beach, Virginia. • 7 Systems Engineering Postulates (revised) and 3 Hypotheses • Watson, M. and Farrington P., “NASA systems engineering research consortium: Defining the path to elegance in systems”, Proceedings of the 2016 Conference on Systems Engineering Research, Huntsville, AL, Mar 22-Mar 24, 2016. • 7 Systems Engineering Postulates (revised) and Corollary, 12 Principles, and 4 Hypotheses • Watson, M. D., Mesmer, B., Farrington, P., “Engineering Elegant Systems: Postulates, Principles, and Hypotheses of Systems Engineering”, CSER, Charlottesville, VA, May 2018. • Watson, M. D., “Engineering Elegant Systems: Postulates, Principles, and Hypotheses of Systems Engineering”, AIAA CASE 2018, Future of Systems Engineering Panel, Orlando, FL, September 2018. • Relationship between Systems Engineering Principles and Systems Principles • Watson, M. D., “Engineering Elegant Systems: Systems Engineering Postulates, Principles, and Hypotheses Related to Systems Principles”, ISSS, Corvallis, OR, July 2018. • Complete set of references available at: https://www.nasa.gov/consortium www.incose.org/symp2019

7. Systems Engineering Principles and System Principles • System Principles address properties of systems • Complex System Governance • Defined 9 Metasystem functions “to provide control, communication, coordination, and integration of a complex system” • Keating, C. B., Katina, P. F., Jaradat, R., Bradley, J. M. and Gheorghe, A. V. (2017), Acquisition System Development: A Complex System Governance Perspective. INCOSE International Symposium, 27: 811–825. doi:10.1002/j.2334-5837.2017.00395.x • System Pathologies • Defined pathologies of systems as “circumstances that act to limit system performance or lessen system viability (continued existence) and as such they reduce the likelihood of a system meeting performance expectations” • Katina, P. F. (2016). Systems Theory as a Foundation for Discovery of Pathologies for Complex System Problem Formulation. In Applications of Systems Thinking and Soft Operations Research in Managing Complexity (pp. 227–267). Cham: Springer. • System Characteristics • 7 System Science Principles • Hitchins, D., (1992), Putting Systems to Work. John Wiley & Sons: Chichester, UK. (pp. 60–71) • 10 concepts defining system characteristics • Sillitto, H. (2014) Architecting Systems. Concepts, Principles and Practice. London: College Publications (pp. 33–38). • 12 System Sciences Principles • Mobus, G. E., & Kalton, M. C. (2015). Principles of Systems Science . New York: Springer. (pp. 17–30) • Derivation of 3 System Science Principles • Rousseau, D. (2018a). Three General Systems Principles and Their Derivation: Insights from the Philosophy of Science Applied to Systems Concepts. In Madni et. al. (Eds), Disciplinary Convergence in Systems Engineering Research (pp. 665–681). Springer, Cham. • Systemology and Typology • Classification of scientific principles spanning from system philosophy through system practice • Rousseau, D. (2018b). On the Architecture of Systemology and the Typology of Its Principles. Systems, 6(1), 7. • Framework for understanding System Sciences Principles • Rousseau, D. (2018c). A Framework for Understanding Systems Principles and Methods. Proceedings of the INCOSE International Symposium, Washington, DC, USA, 7–12 July 2018. • Systems Theory Axioms • Defined 7 axioms “from which all other propositions in systems theory may be induced” • Adams, K. M., Hester, P. T., Bradley, J. M., Meyers, T. J., & Keating, C. B. (2014). Systems Theory as the Foundation for Understanding Systems. Systems Engineering, 17(1), 112–123. • Further developed by: Whitney, K., Bradley, J. M., Baugh, D. E., & Chesterman Jr., C. W. (2015). Systems theory as a foundation for governance of complex systems. International Journal of System of Systems Engineering, 6(1–2), 15–32. • Systems of Systems • Keating, C. B., Katina, P. F., Gheorghe, A. V. and Jaradat, R. (2017), Complex System Governance: Advancing Prospects for System of Systems Engineering Applications.

8. Systems Engineering Principles • Principle 1: Systems Engineering in application is specific to stakeholder needs, solution space, resulting system solution(s), and context throughout the system life cycle. • Principle 2: Systems Engineering has a holistic system view that includes the system elements and the interactions amongst themselves, the enabling systems, and the system environment • Principle 3: Systems engineering influences and is influenced by internal and external resource, political, economic, social, technological, environmental, and legal factors • Principle 4: Both Policy and Law must be properly understood with respect to enabling and/or constraining system implementation • Principle 5: The real physical system is the only perfect representation of the system

9. Systems Engineering Principles • Principle 6: A focus of systems engineering is a progressively deeper understanding of the interactions, sensitivities, and behaviors of the system, stakeholder needs, and its operational environment • Sub-Principle 6(a): Mission context is defined based on the understanding of the stakeholder needs and constraints • Sub-Principle 6(b): Requirements and models reflect the understanding of the system • Sub-Principle 6(c): Requirements are specific, agreed to preferences within the developing organization • Sub-Principle 6(d): Requirements and system design are progressively elaborated as the development progresses • Sub-Principle 6(e): Modeling of systems must account for system interactions and couplings • Sub-Principle 6(f): Systems engineering achieves an understanding of all the system functions and interactions in the operational environment • Sub-Principle 6(g): Systems engineering achieves an understanding of the system’s value to the system stakeholders • Sub-Principle 6(h): Understanding of the system degrades if system understanding is not maintained • Principle 7: Stakeholder needs can change and must be accounted for over the system life cycle. • Principle 8: Systems engineering addresses stakeholder needs taking into consideration budget, schedule, technical, and other expectations and constraints • Sub-Principle 8(a): Systems engineering seeks a best balance of functions and interactions within the system budget, schedule, technical, and other expectations and constraints

10. Systems Engineering Principles • Principle 9: Systems engineering decisions are made under uncertainty accounting for risk • Principle 10: Decision quality depends on knowledge of the system, enabling system(s), and interoperating system(s) represented in the decision-making process • Principle 11: Systems engineering spans the entire system life-cycle • Sub-Principle 11(a): Systems engineering obtains an understanding of the system • Sub-Principle 11(b): Systems engineering defines the mission context (system application) • Sub-Principle 11(c): Systems engineering models the system • Sub-Principle 11(d): Systems engineering designs and analyzes the system • Sub-Principle 11(e): Systems engineering tests the system • Sub-Principle 11(f): Systems engineering supports the production of the system • Sub-Principle 11(g): Systems engineering supports operations, maintenance, and retirement

11. Systems Engineering Principles • Principle 12: Complex systems are engineered by complex organizations • Principle 13: Systems Engineering integrates engineering disciplines in an effective manner • Principle 14: Systems engineering is responsible for managing the discipline interactions within the organization • Principle 15: Systems engineering is informed by a broad set of theories and heuristics • Sub-Principle 15(a): Systems engineering has a systems theory basis • Sub-Principle 15(b): Systems engineering has a physical/logical basis • Sub-Principle 15(c): Systems engineering has a mathematical basis • Sub-Principle 15(d): Systems engineering has a sociological basis

12. System Engineering Hypotheses • Hypothesis 1: If a solution exists for a specific context, then there exists at least one ideal Systems Engineering solution for that specific context • Hamilton’s Principle shows this for a physical system • Hypothesis 2: System complexity is greater than or equal to the ideal system complexity necessary to fulfill all system outputs • Hypothesis 3: Stakeholders preferences can be represented mathematically

13. Summary and Moving Forward • Systems Engineering Principles Action Team brought together 15 Systems Engineering Principles and 3 Hypotheses • Systems Engineering Principles – Principles guiding the engineering of systems • Provides guidance in the application of systems engineering processes in the development and operation of a system • Systems Principles – Principles defining how systems function • Focus of Systems Science • Systems Engineering makes use of these principles in the engineering of systems • Connected to the Systems Engineering Principles through the Theoretical Basis • Insight Magazine Article in May 2019 as part of the Future of Systems Engineering Theme • Developed articles for inclusion in the Systems Engineering Body of Knowledge (SEBoK) www.incose.org/symp2019