Lecture 2.3: The Systems
Engineering Plan (SEP)
Dr. John MacCarthy
UMBC CMSC 615
Fall, 2006
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Agenda
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Systems Engineering Management References
The Systems Engineering Plan (SEP)
The DoD SEP Preparation Guide
Your Project’s SEP Development
Recommended SEP Structure and Content
Selected Section Elaborations
The Voice of Experience
Class Exercise 2.2
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Systems Engineering Process References
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Engineering Management [MIL-STD-499A, February 1995] [cancelled]
<http://www.dsp.dla.mil>
IEEE Standard for Application and Management of the Systems
Engineering Process [IEEE-12207-2005]
<http://www.ieee.org/web/standards/home >
EIA Standard Process for Systems Engineering [ANSI/EIA 632-1998,
January, 1999] <http://www.ieee.org/web/standards/home>
Systems Engineering – System Life Cycle Processes [ISO/IEC 15288,
2003] <http://www.iso.org/iso/en/ISOOnline.frontpage>
INCOSE Systems Engineering Handbook, V2A [June, 2004]
<http://www.incose.org/ProductsPubs/products>
NASA Systems Engineering Handbook [June 1995]
<http://ldcm.gsfc.nasa.gov/library/Systems_Engineering_Handbook.pdf>
Capability Maturity Model Integration (CMMI) for Systems Engineering and
Software Engineering (SE/SW), Version 1.1 [December 2001]
<http://www.sei.cmu.edu/cmmi/models/v1.1se-sw-cont.doc>
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Systems Engineering Plan (SEP) or
Systems Engineering Management Plan (SEMP)
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A SEP and a SEMP are the same thing, it depends on the reference
Most references indicate that development of a SEP (or SEMP) is an essential
Systems Engineering Management planning activity.
A SEP or SEMP is REQUIRED for most medium to large government
Projects (DoD, NASA, DOE, Treasury, FBI, etc.)
The SEP or SEMP is generally the first Systems Engineering artifact
produced and one of the first programmatic documents to be produced.
It is generally produced in parallel with the Program’s Acquisition Strategy,
WBS, and Cost and Schedule baseline
Purpose of the SEP or SEMP:
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Describe the Scope of Systems Engineering for a Project
Describe how Systems Engineering will be done on the Project
“Guide all technical aspects of the project”
“It provides a comprehensive, integrated technical plan that reflects the program’s
strategy to achieve its objectives within acceptable risks.”
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The DoD “Systems Engineering
Plan Preparation Guide (SEP PG)”
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Reference:
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SEP PG Purpose:
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Systems Engineering Preparation
Guide, (May 2006)
<http://www.dau.mil/pubs/dam/05_0
6_2006/may-june06.pdf>
Developed by USD AT&L Systems and
Software Engineering
“guides program teams in generating
their program’s Systems Engineering
Plan (SEP) regardless of ACAT level of
the program.”
Note: A SEP (or SEMP) is required for
all Programs, regardless of ACAT level
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SEP PG Outline
1.0 Purpose of Guide
2.0 General Guidelines and
Submittal Instructions
3.0 Preferred Format and
Specific Preparation
Guidelines
4.0 Acknowledgements
5.0 Acronyms
This Lecture focuses on
Chapter 3, the recommended
format for a SEP
Note: The SEP PG is heavily hyperlinked to Defense Acquisition Guidebook
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SEP PG Recommended
SEP Annotated Outline
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The SEP PG provides a
recommended annotated
outline (AO) for the SEP:
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It only goes down two levels
It provides a description of what
should go in each section
Companies generally have (more
detailed) recommended AOs for
SEPs (or SEMPs) and/or example
SEPs (SEMPs)
For the purposes of this course, I
have developed a more detailed
SEP AO (based on the SEP PG) that
I have made available on Blackboard
for your use.
The rest of this lecture uses this
SEP AO to illustrate the SEP PG
recommended SEP content
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SEP PG Outline:
Title and Coordination Pages
Table of Contents
1.0 Introduction
1.1 Program Description and Applicable
Documents
1.2 Program Status as of the Date of
This SEP
1.3 Approach for SEP Updates
2.0 Systems Engineering Application
to Life Cycle Phases
2.1 System Capabilities, Requirements,
and Design Considerations
2.2 SE Organization Integration and
Technical Authority
2.3 Systems Engineering Process
2.4 Technical Management and Control
2.5 Integration and other Program
Management Control Efforts
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Writing Your Project’s SEP
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You will be writing a SEP over the next two months (recall it is one of
the artifacts to be provided in the Project Notebook).
As we address a SE topic, your homework will require you to update a
selected portion of your project’s SEP
The sections of the SEP that you are required to write for the
homework due next week is written in RED BOLD
Sections that you will not be developing in this course are written in
GRAY
Note as a matter of style, higher level sections should briefing
summarize the topics covered by the next lower level.
 Section 1 Example: “This section provides a summary description of
the Program and identifies applicable documents (1.1), summarizes
the Program’s technical status (1.2), and describes the Program’s
approach for SEP updates (1.3).”
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SEP Structure: Section 1
1.0 Introduction
1.1 Program Description & Applicable Documents
1.1.2 Program Description
- AV-1 Information
1.1.2 Applicable Documents
- Source Programmatic & Technical Documents
- Applicable Standards
- Program Programmatic & Technical Documents
1.2 Program Technical Status
1.3 Approach for SEP Updates
- Triggers, Approach, Change Log
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Section Content Elaboration:
1.2 Program Technical Status
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Describes (Full) Life Cycle acquisition model used by the
program
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Provide a high-level schedule for the (Full) Life Cycle
Summarize Acquisition Life Cycle Model (per DoDI 5000.2)
Identify the Phase you are entering
Identify the Entry and Exit milestones for the Phase
Identify & describe planned increments/spirals (if using
incremental or spiral acquisition)
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Top-level schedule should indicate multiple life cycles (one for
each increment/spiral)
Identify Increment/Spiral that is to be developed under this
version of the SEP
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SEP Structure: Sections 2.1 & 2.2
2. Systems Engineering Application to Life Cycle Phases
2.1 Capabilities, Requirements and Design Considerations
2.1.1 Capabilities to be Achieved
2.1.2 Concept of Operations
2.1.3 Key Performance Parameters
2.1.4 Technical Requirements
- Requirements Document Hierarchy/Spec Tree
2.1.5 Statutory and Regulatory Requirements
2.1.6 Certification Requirements
2.1.7 Design Considerations
- Existing/Planned component and/or communications systems that
constrain design
- Development methodologies that impact design
- Topics from DAG 4.4
2.2 Systems Engineering Organizational Integration and Technical Authority
2.2.1 Organizational Responsibilities
2.2.2 Organization of IPTs
2.2.3 Integration of SE into Program IPTs
2.2.4 Technical Staffing and Hiring Plan
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SEP Structure: Section 2.3
2. Systems Engineering Application to Life Cycle Phases
2.3 Systems Engineering Process
2.3.1 Technical Approach and Approach Selection
2.3.1.1 Technical Development Process
- Development Model for Phase (e.g., “V,” RUP, etc.)
- SE Process (& how it fits into the development model)
- Development Activity Descriptions for Phase
2.3.1.2 Technical Management Process
2.3.1.2.1 Technical Planning [include WBS]
2.3.1.2.2 Technical Assessment
2.3.1.2.3 Requirements Management
2.3.1.2.4 Data Management
2.3.1.2.5 Interface Management
2.3.2 Process Improvement
2.3.3 Tools and Resources [Tools, Models & Simulations, Facilities]
2.3.4 Approach for Trades
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Section Content Elaboration:
2.3.1.1 Technical Development Process
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Subsection should include a summary of the
Development Life Cycle for the increment/spiral
of interest:
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Subsections should provide a summary
description of each activity identified in the LCM.
Each activity description should include:
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Development Life Cycle Model (LCM) Diagram
Development Schedule (showing activities and key
milestones)
Entry Event
Principal Artifacts to be produced (and by whom)
Relationship between artifacts
Decision Authority for the Activity
Exit Event/Milestone
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Example:
X.1 Development Process
Summary
X.2 SE Process
X.3 System Requirements
Development
X.4 Design Requirements
Development
X.5 Design
X.6 Coding and Unit Testing
X.7 Integration Testing and
Verification
X.8 Deployment
Subsection should summarize how SE Process will
be applied during the development life cycle.
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SEP Structure: Sections 2.4 & 2.5
2. Systems Engineering Application to Life Cycle Phases
2.4 Baseline Management and Control
2.4.1 Technical Baseline Management and Control
2.4.1 Configuration Management
2.4.2 Technical Baseline Development
2.4.3 Technical Objectives
2.4.4 Traceability, Verification and Validation
2.4.5 Cost and Schedule Considerations
2.4.6 Data Rights
2.4.2 Technical Reviews
2.5 Integration and Program Management Control
2.5.1 Acquisition Strategy
2.4.2 Risk Management
2.4.3 Integrated Master Plan and Integrated Management Schedule
- High-level Activity/Milestone schedule here
2.4.4 Earned Value Management
2.5.5 Contract Management
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Section Content Elaboration:
2.4.2 Technical Reviews
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Develop a subsection for each major Milestone Review, at a minimum there
should be subsections devoted to SRR, SFR, PDR, CDR, TRR, and SVR
Each section should address the following:
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The purpose of the Review
Use of entry/exit criteria
Known Key Entry/Exit Criteria
Key artifacts to be approved
The organization that will run the review, those that will attend, and the title of the
individual that will have decision authority
Reference the Subsection in 2.3.1.1 that indicates the review as an exit/entry
milestone.
Other Reviews that are generally included are: PMRs, IPRs, TIMs, Stakeholder
Reviews, etc.
Low-level meetings should not be included
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The Voice of Experience
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There is no perfect “one size fits all” SEP
Generally a SEP author will have to balance:
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Management desire for a short SEP
Short timeline for development of the SEP
Management desire for a reasonably complete SEP
Management perception that some parts of the
SEP are more important than others
Result is often a SEP that does not address
everything that it is “supposed to” (but one that
does meet the needs of the project)
Meet often with the customer and stakeholders
Find an existing SEP that your Manager or
Customer likes and use it as a framework
Ask for inputs from stakeholders
Steal what makes sense from other documents
Edit/Integrate inputs to ensure document
“flows” and “tells a coherent story” (and is
not just a set of unrelated topics)
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Develop your SEP in the following
manner:
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Annotated Outline (AO)
AO Review (by stakeholders &
customer)
Rough Draft (RD)
RD Review (by stakeholders &
customer)
Draft
Draft Review (by stakeholders &
customer)
Final (for approval by Program
Manager and Customer)
Who are the SEP “Stakeholders?”
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Class Exercise
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Develop an Outline for Section 1.2 (Life
Cycle Model)
Develop an Outline for Section 2.3.1.1
(Development Model)
Develop an Outline for Section 2.4.2
(Technical Reviews)
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Backup Slides
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Part 1 of SEP
1.1 Program Description and Applicable Documents
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Top-Level System Description (AV-1)
List of Key Program Documents
1.2 Program Status as of the Date of This SEP
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Program Life Cycle Model & Indication of:
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Previous Milestones Achieved
Current Phase
Key Milestones and Critical Path Events for current phase
Status of:
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Deliverables
Key Programmatic Interface Events
1.3 Approach for SEP Updates
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Events that trigger SEP updates
List of Previous SEP Submittals
Change Log Table
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Part 2 of SEP
2.1 System Capabilities, Requirements, and Design
Considerations
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Capabilities to be achieved
Concept of Operations
Key Performance Parameters
Certification Requirements
Design Considerations
2.2 SE Organization Integration
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Organization of IPTs
Organizational Responsibilities
Integration of SE into Program IPTs
Technical Staffing and Hiring Plan
2.3 Systems Engineering Process
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Systems Engineering Process (integrated into the
project’s Life Cycle with special emphasis on the
current phase)
Basis for SE Process Selection
Planned Process Improvement Activities
SE Size, Effort and Schedule
Overview of Project Technical Objectives
SE Process Inputs
SE Deliverables (& the CLIN) & Results
SE role in the development of the Product WBS
Overview of the TEMP
Methods, Tools and Resources
Approach to Modeling and Simulation
Approach to Trade Studies and Analysis
(Requirements, Design, and Life Cycle Cost)
2.4 Technical Management and Control
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Technical Baseline Management and Control &
Requirements Management (CM) Process(es)
List of Specification Documents (Spec Tree) &
Status
Metrics that will be used to indicate technical
progress & maturity (TPMs, CTPs, MOEs, MOSs,
etc.)
Process for tracking technical progress
Approach to Requirements, Validation, and
Verification Traceability (including Tools)
Overview of key technical data that will be
available to the government and contractor
Technical Review Plan (Key Reviews, Timing, entry
and exit criteria, etc.)
2.5 Integration and other Program Management Control
Efforts
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Acquisition Strategy
Risk Management
Integrated Master Plan
Earned Value Management
Contract Management
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