NPR 7123.1C.pdf

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NASA

Procedural Requirements

NPR 7123.1C

Effective Date: February 14, Expiration Date: February 14, COMPLIANCE IS MANDATORY FOR NASA EMPLOYEES

NASA Systems Engineering Processes and Requirements (w/Change 2)

Responsible Office: Office of the Chief Engineer

Systems Engineering Handbook, Rev 2 eBook Systems Engineering Handbook, Rev 2

SE Expanded Guidance on Systems Engineering, Vol 1

SE Expanded Guidance on Systems Engineering, Vol 2

Table of Contents Preface P.1 Purpose P.2 Applicability P.3 Authority P.4 Applicable Documents and Forms P.5 Measurement/Verification P.6 Cancellation

Chapter 1. Introduction

1.1 Background

1.2 Framework for Systems Engineering Procedural Requirements

1.3 Guiding Principles of Technical Excellence

1.4 Framework for Systems Engineering Capability

1.5 Document Organization

NPR 7123.1C -- TOC

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Chapter 2. Institutional and Programmatic Requirements

2.1 Roles and Responsibilities Relative to System Engineering Practices

2.2 Tailoring and Customizing

Chapter 3. Requirements for Common Technical Processes

3.1 Introduction

3.2 Common Technical Processes Requirements

Chapter 4. NASA Systems Engineering Activities on Contracted Projects

4.1 Introduction

4.2 Prior to Contract Award

4.3 During Contract Performance

4.4 Contract Completion

Chapter 5. Systems Engineering Life-Cycle and Technical Reviews

5.1 Life-Cycle

5.2 Life-Cycle and Technical Review Requirement

Chapter 6. Systems Engineering Management Plan

6.1 Systems Engineering Management Plan Function

6.2 Technical Team Responsibilities

Appendix A. Definitions Appendix B. Acronyms Appendix C. Reserved Appendix D. Reserved Appendix E. Technology Readiness Levels Appendix F. Technical Work Product Maturity Terminology Appendix G. Life-Cycle and Technical Review Entrance and Success Criteria Appendix H. Compliance Matrix for Programs/Projects Appendix I. Standards and Handbooks List

NPR 7123.1C -- TOC

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NPR 7123.1C -- TOC Page 2 of 142

Appendix J. Deleted Requirements Appendix K. References

Table of Figures Figure 1-1 - Hierarchy of Related Documents Figure 1-2 - Documentation Relationships Figure 1-3 - Technical Excellence - Pillars and Foundation Figure 1 4 - SE Framework Figure 3 1 - Systems Engineering (SE) Engine Figure 3-2 - Application of SE Engine Common Technical Processes Within System Structure Figure 3-3 - Sequencing of the Common Technical Processes Figure 3-4 - SE Engine Implemented for a Simple Single-Pass Waterfall-Type Life Cycle Figure 5 1 - NASA Uncoupled and Loosely Coupled Program Life Cycle Figure 5-2 - NASA Tightly Coupled Program Life Cycle Figure 5-3 - NASA Single-Project Program Life Cycle Figure 5 4 - The NASA Project Life Cycle Figure A-1 - Enabling Product Relationship to End Products

Table of Tables Table 5-1 - SE Work Product Maturity Table G-1 - SRR Entrance and Success Criteria for Programs Table G-2 - SDR Entrance and Success Criteria for Programs Table G-3 - MCR Entrance and Success Criteria Table G-4 - SRR Entrance and Success Criteria Table G-5 - MDR/SDR Entrance and Success Criteria (Projects and Single-Project Program) Table G-6 - PDR Entrance and Success Criteria Table G-7 - CDR Entrance and Success Criteria Table G-8 - PRR Entrance and Success Criteria Table G-9 - SIR Entrance and Success Criteria Table G-10 - TRR Entrance and Success Criteria Table G-11 - SAR Entrance and Success Criteria Table G-12 - ORR Entrance and Success Criteria Table G-13 - MRR/FRR Entrance and Success Criteria Table G-14 - PLAR Entrance and Success Criteria Table G-15 - CERR Entrance and Success Criteria Table G-16 - PFAR Entrance and Success Criteria Table G-17 - DR Entrance and Success Criteria Table G-18 - Disposal Readiness Review Entrance and Success Criteria Table G-19 - Peer Review Entrance and Success Criteria Table G-20 - PIR/PSR Entrance and Success Criteria Table G-21 - DCR Entrance and Success Criteria Table J-1 - Deleted Requirements and Justification

NPR 7123.1C -- TOC

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NPR 7123.1C -- TOC Page 3 of 142

CHANGE HISTORY

Chg# Date Description/Comments 1 01/19/2021 Updated with admin changes: Section 3.1.5.9 Editorial fix;

Section 5.2.2.4 Reference fix; Appendix A "Will" to "can" in Engineering Unit definition; Appendix G Changes to Table G-9; Success Criteria 7 and 8, Table G-12; Entrance Criteria 9.d, and Table G-13, Entrance criteria 7.e

2 02/22/2022 Updated with admin changes: Appendix E, TRL, delete example b. under TRL 2

NPR 7123.1C --

ChangeHistory

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Preface P.1 Purpose This document establishes the NASA processes and requirements for implementation of Systems Engineering (SE) by programs/projects. NASA SE is a logical systems approach performed by multidisciplinary teams to engineer and integrate NASA's systems to ensure NASA products meet the customer's needs. Implementation of this systems approach will enhance NASA's core engineering capabilities while improving safety, mission success, and affordability. This systems approach is applied to all elements of a system (i.e., hardware, software, and human) and all hierarchical levels of a system over the complete program/project life cycle.

P.2 Applicability

a. This NASA Procedural Requirement (NPR) applies to NASA Headquarters and NASA Centers, including component facilities and technical and service support centers. This NPR applies to NASA employees and NASA support contractors that use NASA processes to augment and support NASA technical work. This NPR applies to the Jet Propulsion Laboratory (JPL), a Federally Funded Research and Development Center, other contractors, grant recipients, or parties to agreements only to the extent specified or referenced in the appropriate contracts, grants, or agreements. (See Chapter 4.)

b. This NPR applies to air and space flight, research and technology, information technology (IT), and institutional programs and projects. Tailoring the requirements in this NPR and customizing practices, based on criteria such as system/product size, complexity, criticality, acceptable risk posture, and architectural level, is necessary and expected. See Section 2.2 for tailoring and customizing descriptions. For IT programs and projects, see NPR 7120.7 for applicable SE tailoring.

c. In this document, projects are viewed as a specific investment with defined goals, objectives, and requirements, with the majority containing a life-cycle cost, a beginning, and an end. Projects normally yield new or revised products or services that directly address NASA strategic needs. They are performed through a variety of means, such as wholly in-house, by Government, industry, international or academic partnerships, or through contracts with private industry.

d. The requirements enumerated in this document are applicable to all new programs and projects, as well as to all programs and projects currently in the Formulation Phase, as of the effective date of this document. (See NPR 7120.5, NASA Space Flight Program and Project Management Requirements; NPR 7120.7, NASA Information Technology and Institutional Infrastructure Program and Project Management Requirements; or NPR 7120.8, NASA Research and Technology Program and Project Management Requirements; for definitions of program phases.) This NPR also applies to programs and projects in their Implementation Phase as of the effective date of this document. For existing programs/projects regardless of their current phase, waivers or deviations allowing continuation of current practices that do not comply with one or more requirements of this NPR, may be granted using the Center's Engineering Technical Authority (ETA) Process.

e. Many other discipline areas perform functions during the program/project life cycle and influence or are influenced by the engineering functions performed and, therefore, need to be fully integrated

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NPR 7123.1C -- Preface Page 5 of 142 into the SE processes. These discipline areas include but are not limited to health and medical, safety, reliability, maintainability, quality assurance, IT, cybersecurity, logistics, operations, training, human system integration, planetary protection, and environmental protection. The description of these disciplines and their relationship to the overall program/project management life-cycle are defined in other NASA directives; for example, the safety, reliability, maintainability, and quality assurance requirements and standards are defined in the Office of Safety Mission Assurance (OSMA) directives and standards, and health and medical requirements are defined in the Office of the Chief Health and Medical Officer (OCHMO) directives and standards. For example, see NASA-STD-3001, NASA Space Flight Human System Standard Volume 1 and Volume 2, and NPR 8705.2, Human-Rating Requirements for Space Systems.

f. In this NPR, all mandatory actions (i.e., requirements) are denoted by statements containing the term "shall." The requirements are explicitly shown as [SE-XX] for clarity and tracking purposes as indicated in Appendix H. The terms "may" or "can" denote discretionary privilege or permission, "should" denotes a good practice and is recommended but not required, "will" denotes expected outcome, and "are/is" denotes descriptive material.

g. In this NPR, all document citations are assumed to be the latest version, unless otherwise noted.

P.3 Authority

a. National Aeronautics and Space Act, 51 U.S.C. § 20113(a).

b. NPD 1000.0, NASA Governance and Strategic Management Handbook.

c. NPD 1000.3, The NASA Organization.

d. NPD 1001.0, NASA Strategic Plan.

P.4 Applicable Documents and Forms

e. Government Contract Quality Assurance, 48 CFR, subpart 1846.4.

f. NPD 2570.5, NASA Electromagnetic Spectrum Management.

g. NPD 7120.4, NASA Engineering and Program/Project Management Policy.

h. NPR 1441.1, NASA Records Management Program Requirements.

i. NPR 2570.1, NASA Radio Frequency (RF) Spectrum Management Manual.

j. NPR 7120.5, NASA Space Flight Program and Project Management Requirements.

k. NPR 7120.7, NASA Information Technology and Institutional Infrastructure Program and Project Management Requirements.

l. NPR 7120.8, NASA Research and Technology Program and Project Management Requirements.

m. NPR 7150.2, NASA Software Engineering Requirements.

n. NPR 8000.4, Agency Risk Management Procedural Requirements.

o. NPR 8590.1, Environmental Compliance and Restoration Program.

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NPR 7123.1C -- Preface Page 6 of 142

p. NPR 8705.2, Human-Rating Requirements for Space Systems.

q. NPR 8705.5, Technical Probabilistic Risk Assessment (PRA) Procedures for Safety and Mission Success for NASA Programs and Projects.

r. NPR 8820.2, Facility Project Requirements (FPR).

s. NASA-HDBK-2203, NASA Software Engineering Handbook.

t. NASA-STD-3001, NASA Space Flight Human System Standard.

u. NASA/SP-2010-576, NASA Risk-Informed Decision Making Handbook.

v. NASA/SP-2011-3422, NASA Risk Management Handbook.

w. NASA/SP-2015-3709, Human Systems Integration (HSI) Practitioner's Guide.

x. NASA/SP-2016-6105, NASA Systems Engineering Handbook.

y. NASA/SP-2016-6105-SUPPL, Expanded Guidance for NASA Systems Engineering.

P.5 Measurement/Verification

a. Compliance with this document is verified by the Office of the Chief Engineer by surveys, audits, reviews, and/or reporting requirements.

b. Compliance, including tailoring, for programs and projects is documented by appending a completed Compliance Matrix for Programs/Projects (see Appendix H) to the Systems Engineering Management Plan (SEMP) or other equivalent program/project documentation and by submitting the review products and plans identified in this document to the responsible NASA officials at the life-cycle and technical reviews. Programs and projects may substitute a matrix that documents compliance with their particular Center implementation of this NPR, if applicable.

P.6 Cancellation

NPR 7123.1B, NASA Systems Engineering Processes and Requirements, dated April 18, 2013.

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NPR 7123.1C -- Preface Page 7 of 142

Chapter 1. Introduction

1.1 Background

1.1.1 Systems engineering at NASA requires the application of a systematic, disciplined engineering approach that is quantifiable, recursive, iterative, and repeatable for the development, operation, maintenance, and disposal of systems integrated into a whole throughout the life cycle of a project or program. The emphasis of SE is on safely achieving stakeholder functional, physical, operational, and performance (including human performance) requirements in the intended use environments over the system's planned life within cost and schedule constraints.

1.1.2 This NPR complements the NASA policy requirements for the administration, management, and review of all programs and projects, as specified in:

a. NPR 7120.5.

b. NPR 7120.7.

c. NPR 7120.8.

d. NPR 7150.2, NASA Software Engineering Requirements.

e. NPR 8590.1, Environmental Compliance and Restoration Program.

f. NPR 8820.2, Facility Project Requirements (FPR).

1.1.3 The processes described in this document build upon and apply best practices and lessons learned from NASA, other governmental agencies, and industry to clearly delineate a successful model to complete comprehensive technical work, reduce program and technical risk, and increase the likelihood of mission success. The requirements established in this NPR should be tailored and customized for criteria such as system/product size, complexity, criticality, acceptable risk posture, architectural level, development plans, and schedule following the guidance of Section 2.2.

1.1.4 Precedence

The order of precedence in case of conflict between requirements is 51 U.S.C. § 20113(a)(1), National Aeronautics and Space Act; NPD 1000.0, NASA Governance and Strategic Management Handbook; NPD 1000.3, The NASA Organization; NPD 7120.4, NASA Engineering and Program/Project Management Policy; and NPR 7123.1, NASA Systems Engineering Processes and Requirements.

1.1.5 Figures

1.1.5.1 Figures within this NPR are informational.

1.2 Framework for Systems Engineering Procedural

Requirements

1.2.1 Institutional requirements are the responsibility of the institutional authorities. They focus on how NASA does business and are independent of any particular program or project. These

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NPR 7123.1C -- Chapter1 Page 8 of 142 how NASA does business and are independent of any particular program or project. These requirements are issued by NASA Headquarters and by Center organizations and are normally documented in NASA Policy Directives (NPDs), NASA Procedural Requirements (NPRs), NASA Standards, Center Policy Directives (CPDs), Center Procedural Requirements (CPRs), and Mission Directorate (MD) requirements. Figure 1-1 shows the flow down from NPD 1000.0 through Program and Project Plans.

Figure 1-1 - Hierarchy of Related Documents

1.2.2 This NPR focuses on SE processes and requirements. It is one of several related Engineering and Program/Project NPRs that flow down from NPD 7120.4, as shown in Figure 1-2.

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Figure 1-2 - Documentation Relationships

1.3 Guiding Principles of Technical Excellence

1.3.1 The Office of the Chief Engineer (OCE) provides leadership for technical excellence at NASA.

As depicted in Figure 1-3, there are four pillars to achieving technical excellence and strengthening the SE capability. These pillars are intended to ensure that every NASA program and project meets the highest possible technical excellence.

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Figure 1-3 - Technical Excellence - Pillars and Foundation

a. Clearly Documented Requirements, Policies, and Procedures. Given the complexity and uniqueness of the systems that NASA develops and deploys, clear policies and procedures are essential to mission success. All NASA technical policies and procedures flow directly from NPD

1000.0. Policies and procedures are only as effective as their implementation, facilitated by personal and organizational accountability and effective training. OCE ensures policies and procedures are consistent with and reinforce NASA's organizational beliefs and values. OCE puts in place effective, clearly documented policies and procedures, supplemented by guidance in handbooks and standards to facilitate optimal performance, rigor, and efficiency among NASA's technical workforce.

b. Effective Training and Development. NASA is fortunate that the importance of its mission allows it to attract and retain the most capable technical workforce in the world. OCE bears responsibility for providing this workforce with the technical training and development necessary to carry out the Agency's missions. At the Agency level, NASA's Academy of Program/Project and Engineering Leadership (APPEL) provides for the development of engineering leaders and teams within NASA. APPEL is augmented by technical leadership development at many Centers. Training consists of more than just transferring a set of skills. In addition to ensuring that NASA's technical workforce is knowledgeable about standards, specifications, processes, and procedures, the training available through APPEL and other curriculums is rooted in an engineering philosophy that grounds NASA's approach to technical work and decision making. These offerings give historical and philosophical perspectives that teach and reinforce NASA's organizational values and beliefs. OCE provides full support for training and development activities that will allow NASA to maximize the abilities of its technical workforce.

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c. Balancing Risk. Risk is an inherent factor in any spacecraft, aircraft, or technology development.

Proper risk management entails striking a balance between the tensions of program/project management and engineering independence. Engineering rigor cannot be sacrificed for schedules and budgets, and likewise programmatic concerns cannot be overlooked in the development of the technical approach to a given program or project; technical risk will be consciously and deliberately traded against budget and schedule. The Engineering Technical Authority (ETA) is responsible for ensuring risks are considered and good engineering practices are followed in technical development and implementation. OCE oversees all activities related to the exercise of ETA across the Agency.

Section 2.1.6 of this document contains additional information on the ETA responsibilities.

d. Continuous Communications. Communication lies at the heart of all leadership and management challenges. Most major failures in NASA's history have stemmed in part from poor communication. Among the Agency's technical workforce, communication takes a myriad of forms:

continuous risk management (CRM)/risk-informed decision making (RIDM), data sharing, knowledge management, knowledge sharing, dissemination of best practices and lessons learned, and continuous learning to name but a few. The complexity of NASA's programs and projects demands a rigorous culture of continuous and open communication that flourishes within the context of policies and procedures and knowledge transfer, while empowering individuals at all levels to raise concerns without fear of adverse consequences. OCE promotes a culture of continuous communications.

1.3.2 Personal and organizational accountability and responsibility lay the foundation for technical excellence.

a. Personal Accountability. Personal accountability means that each individual understands that he or she is responsible for the success of the mission. Each person, regardless of position or area of responsibility, contributes to success. What NASA does is so complex and interdependent that every component needs to work for the Agency to be successful. All of those who constitute NASA's technical community need to possess the knowledge and confidence to speak up when something is amiss in their or anyone else's area of responsibility to ensure mission success.

b. Organizational Responsibility. NASA's technical organizations have a responsibility to provide the proper training, tools, and environment for technical excellence. Providing the proper environment for technical excellence means establishing regular and open communication so that individuals feel comfortable exercising their personal responsibility. It also requires ensuring that those who prefer to remain in the technical field (instead of management) have a satisfying and rewarding career track (e.g., NASA Technical Fellows, ST/SL or GS-15 technical leads).

1.3.3 A central component of the environment for technical excellence is strengthening the SE capability.

1.4 Framework for Systems Engineering Capability

1.4.1 The framework for SE capability consists of three elements—the common technical processes, tools and methods, and training for a skilled workforce. The relationship of the three elements is illustrated in Figure 1-4. The integrated implementation of the three elements of the SE framework is intended to strengthen and improve the overall capability required for the efficient and effective engineering of NASA systems. Each element is described below.

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Figure 1 4 - SE Framework

a. The common technical processes of this NPR provide what has to be done to engineer quality system products and achieve mission success. These processes are applied to the integration of hardware, software, and human systems as one integrated whole. This NPR describes the common SE processes as well as standard concepts and terminology for consistent application and communication of these processes across the Agency. This NPR, supplemented by NASA/SP-2016-6105, NASA Systems Engineering Handbook, and endorsed SE standards, also describes a structure for applying the common technical processes.

b. Tools and methods range from the facilities and resources necessary to perform the technical work to the clearly documented policies, processes, and procedures that allow personnel to work safely and efficiently. Tools and methods enable the efficient and effective completion of the activities and tasks of the common technical processes. The SE capability is strengthened through the infusion of advanced methods and tools into the common technical processes to achieve greater efficiency, collaboration, and communication among distributed teams. The NASA Systems Engineering Handbook is a resource for methods and tools to support the Centers' implementation of the required technical processes in their program/projects.

c. A well-trained, knowledgeable, and experienced technical workforce is essential for improving SE capability. The workforce will be able to apply NASA and Center tools and methods for the completion of the required SE processes within the context of the program or project to which they are assigned. In addition, they will be able to effectively communicate requirements and solutions to customers, other engineers, and management to work efficiently and effectively on a team. Issues of recruitment, retention, and training are aspects included in this element. The OCE will facilitate training the NASA workforce on the application of this and associated NPRs.

1.4.2 Improvements to SE capability can be measured through assessing and updating the implementation of the common technical processes, use of adopted methods and tools, and

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NPR 7123.1C -- Chapter1 Page 13 of 142 workforce engineering training.

1.5 Document Organization

1.5.1 This SE NPR is organized into the following chapters:

a. The Preface describes items such as the purpose, applicability, authority, and applicable documents of this NPR.

b. Chapter 1 describes the SE framework and document organization.

c. Chapter 2 describes the institutional and programmatic requirements, including roles and responsibilities. Tailoring of SE requirements and customizing SE practices are also addressed.

d. Chapter 3 describes the core set of common Agency-level technical processes and requirements for engineering NASA system products throughout the product life-cycle.

e. Chapter 4 describes the activities and requirements to be accomplished by assigned NASA technical teams or individuals (NASA employees and NASA support contractors) when performing technical oversight of a prime or other external contractor.

f. Chapter 5 describes the life-cycle and technical review requirements throughout the program and project life-cycles. Appendix G contains entrance/success criteria guidance for each of the reviews.

g. Chapter 6 describes the Systems Engineering Management Plan (SEMP), including the SEMP role, functions, and content. Appendix J of NASA/SP-2016-6105 provides details of a generic SEMP annotated outline.

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Chapter 2. Institutional and Programmatic Requirements

2.1 Roles and Responsibilities Relative to System Engineering Practices

2.1.1 General

The roles and responsibilities of senior management are defined in part in NPD 1000.0 and NPD

7120.4. The roles and responsibilities of program and project managers are defined in NPR 7120.5, NPR 7120.7, NPR 7120.8, NPR 8820.2, and other NASA directives. This NPR establishes SE processes and responsibilities.

2.1.1.1 For programs and projects involving more than one Center, the governing Mission Directorate or mission support office determines whether a Center executes a program/project in a lead role or in a supporting role. For Centers in supporting roles, compliance to this NPR should be jointly negotiated and documented in the lead Center's program/project SEMP or other equivalent program/project documentation along with approval through the lead Center's ETA process.

2.1.1.2 The roles and responsibilities associated with program and project management and Technical Authority (TA) are defined in the Program and Project Management NPRs (for example, NPR 7120.5 for space flight projects). Specific roles and responsibilities of the program/project manager and the ETA related to the SEMP are defined in Sections 2.1.6 and 6.2 of this NPR.

2.1.2 Office of the Chief Engineer (OCE)

2.1.2.1 The NASA Chief Engineer is responsible for policy, oversight, and assessment of the NASA engineering and program/project management process; implements the ETA process; and serves as principal advisor to the Administrator and other senior officials on matters pertaining to the Agency's technical capability and readiness to execute NASA programs and projects.

2.1.2.2 The NASA Chief Engineer provides overall leadership for the ETA process for programs and projects, including Agency engineering policy direction, requirements, and standards. The NASA Chief Engineer hears appeals of engineering decisions when they cannot be resolved at lower levels.

2.1.3 Mission Directorate or Headquarters Program Offices

2.1.3.1 The Mission Directorate Associate Administrator (MDAA) is responsible for establishing, developing, and maintaining the Programmatic Authority (i.e., policy and procedures, programs, projects, budgets, and schedules) in managing programs and projects within their Mission Directorate.

2.1.3.2 When programs and projects are managed at Headquarters or within Mission Directorates, that program office is responsible for the requirements in this NPR. Technical teams residing at Headquarters will follow the requirements of this NPR unless tailored by the governing organization and responsible ETA. The technical teams residing at Centers will follow Center-level process requirement documents.

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2.1.3.3 The Office of the Chief Information Officer provides leadership, planning, policy direction, and oversight for the management of NASA information and NASA information technology (IT).

2.1.4 Center Directors

2.1.4.1 The Center Director is responsible for establishing, developing, and maintaining the Institutional Authority (e.g., processes and procedures, human capital, facilities, and infrastructure) required to execute programs and projects assigned to their Center. This includes:

a. Ensuring the Center is capable of accomplishing the programs, projects, and other activities assigned to it in accordance with Agency policy and the Center's best practices and institutional policies by establishing, developing, and maintaining institutional capabilities (processes and procedures, human capital—including trained/certified program/project personnel, facilities, and infrastructure) required for the execution of programs and projects.

b. Performing periodic program and project reviews to assess technical and programmatic progress to ensure performance in accordance with their Center's and the Agency requirements, procedures, processes, and other documentation.

c. Working with the Mission Directorate and the program and project managers, once assigned, to assemble the program/project team(s) and to provide needed Center resources.

d. Providing support and guidance to programs and projects in resolving technical and programmatic issues and risks.

2.1.4.2 The Center Director is responsible for developing the Center's ETA policies and practices consistent with Agency policies and standards. The Center Director is the Center ETA responsible for Center engineering design processes, specifications, rules, best practices, and other activities necessary to fulfill mission performance requirements for programs, projects, and/or major systems implemented by the Center. The Center Director delegates the Center ETA implementation responsibility to an individual in the Center's engineering leadership. The Center ETA supports processing changes to, and waivers or deviations from, requirements that are the responsibility of the ETA. This includes all applicable Agency and Center engineering directives, requirements, procedures, and standards.

Note: Centers may employ and tailor relevant government or industry standards that meet the intent of the requirements established in this NPR to augment or serve as the basis for their processes. A listing of endorsed technical standards is maintained on the NASA Technical Standards System under "Endorsed Standards" https://standards.nasa.gov/endorsed_standards.

2.1.4.3 [SE-01] through [SE-05] deleted.

Note: Rather than resequence the remaining requirements, the original requirement numbering was left intact in case Centers or other organizations refer to these requirement numbers in their flow-down requirement documents. Appendix J is provided to account for the deleted requirements. For each requirement that was deleted, the justification for its deletion is noted.

2.1.5 Technical Teams

2.1.5.1 Systems engineering is implemented by the technical team in accordance with the program/project SEMP or other equivalent program/project documentation. The makeup and organization of each technical team is the responsibility of each Center or program and includes all the personnel required to implement the technical aspects of the program/project.

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2.1.5.2 The technical team, in conjunction with the Center's ETA, is responsible for completing the compliance matrix in Appendix H, capturing any tailoring, and including it in the SEMP or other equivalent program/project documentation.

2.1.5.3 For systems that contain software, the technical team ensures that software developed within NASA, or acquired from other entities, complies with NPR 7150.2.

a. NPR 7150.2 elaborates on the requirements in NPR 7123.1 and determines the applicability of requirements based on the Agency's software classification.

b. NPD 7120.4 contains additional Agency principles for the acquisition, development, maintenance, and management of software.

2.1.5.4 The technical team ensures that human systems integration activities, products, planning, and execution align with NASA/SP-2015-3709, Human Systems Integration (HSI) Practitioner's Guide.

2.1.6 Engineering Technical Authority

2.1.6.1 The ETA establishes and is responsible for the engineering design processes, specifications, rules, best practices, and other activities necessary to fulfill programmatic mission performance requirements. Centers delegate ETA to the level appropriate for the scope and size of the program/project, which may be Center engineering leadership or individuals. When ETA is used in this document, it refers generically to different levels of ETA.

2.1.6.2 ETAs or their delegates at the program or project level:

a. Serve as members of program or project control boards, change boards, and internal review boards.

b. Work with the Center management and other TA personnel to ensure that the quality and integrity of program or project processes, products, and standards of performance related to engineering, SMA, and health and medical reflect the level of excellence expected by the Center and the TA community.

c. Ensure that requests for waivers or deviations from ETA requirements are submitted to, and acted on, by the appropriate level of ETA.

d. Assist the program or project in making risk-informed decisions that properly balance technical merit, cost, schedule, and safety across the system.

e. Provide the program or project with the ETA view of matters based on their knowledge and experience and raise needed dissenting opinions on decisions or actions. (See Dissenting Opinion Sections of NPR 7120.5, NPR 7120.8, and NPR 7120.7.)

f. Serve as an effective part of NASA's overall system of checks and balances.

2.1.6.3 The ETA for the program or project leads and manages the system engineering activities.

(Note that these responsibilities can be delegated by the ETA to Chief Engineer or other personnel as needed). A Center may have more than one engineering organization and delegates ETA to different areas as needed. The ETA may be delegated as appropriate to the size, complexity, and type of program/project. For example, ETA may be delegated to a line manager that is independent of the project for smaller projects or to the CIO for purely IT projects.

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2.1.6.4 To support the program/project and maintain ETA independence and an effective check and balance system, the ETA:

a. Will seek concurrence by the program/project manager when a program/project-level ETA is appointed.

b. Cannot approve a request for a waiver or deviation from a non-technical derived requirement established by a Programmatic Authority.

c. May approve a request for a waiver or deviation from a technical derived requirement if he/she ensures that the appropriate independent Institutional Authority subject matter expert who is the steward for the involved technology, has concurred in the decision to approve the requirement waiver.

2.1.6.5 Although a limited number of individuals make up the ETA, their work is enabled by the contributions of the program's or project's working-level engineers and other supporting personnel (e.g., contracting officers). The working-level engineers do not have formally delegated Technical Authority and consequently may not serve in an ETA capacity. These engineers perform the detailed engineering and analysis for the program/project with guidance from their Center management and/or lead discipline engineers and support from the Center engineering infrastructure. They deliver the program/project products (e.g., hardware, software, designs, analysis, and technical alternatives) that conform to applicable programmatic, Agency, and Center requirements. They are responsible for raising issues to the program/project manager, Center engineering management, and/or the program/project ETA and are a key resource for resolving these issues.

2.1.6.6 Requirement [SE-06] concerning SEMP approval was moved to Section 6.1.8.

2.2 Tailoring and Customizing

Tailoring can be differentiated from customizing as described in NASA/SP-2016-6105. Tailoring is removing requirements by use of waiver or deviation. Customizing is meeting the intent of the requirement through alternative approaches and does not require waivers or deviations.

2.2.1 Tailoring SE Requirements

2.2.1.1 SE requirements tailoring is the process used to seek relief from SE NPR requirements when that relief is consistent with program or project objectives, acceptable risk, and constraints.

2.2.1.2 The tailoring process (which can occur at any time in the program or project life cycle) results in deviations or waivers to requirements depending on the timing of the request (see Appendix A for definition of deviation and waiver).

2.2.1.3 The results of the program/project technical team's tailoring SE requirements from either this NPR, or a particular Center's implementation of this NPR, will be documented in the SEMP or other equivalent project documentation, along with supporting rationale that includes the risk evaluation, and documented approvals through the Center's ETA process.

2.2.2 Customizing SE Practices

2.2.2.1 Customizing is the adaptation of SE practices that are used to accomplish the SE requirements as appropriate to the size, complexity, and acceptable risk of the program/project.

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NPR 7123.1C -- Chapter2 Page 18 of 142

2.2.2.2 Technical teams under the guidance of the project ETA are encouraged to customize these recommended SE practices so that the intent of the SE practice is being met in the most effective and efficient manner. The results of this customization do not require waivers or deviations but should be documented in the program/project SEMP or other equivalent program/project documentation.

2.2.3 Considerations for Tailoring or Customizing

Refer to NASA, SP-2016-6105 for examples of tailoring and customizing.

2.2.3.1 Considerations for tailoring or customizing should include but are not limited to:

a. Scope and visibility (e.g., organizations and partnerships involved, international agreements, amount of effort required).

b. Risk tolerance and failure consequences.

c. System size, functionality, and complexity (e.g., human space flight/flagship science vs. subscale technology demonstration).

d. Human involvement (e.g., human interfaces, critical crew (flight, ground) functions, interaction with, and control/oversight of (semi-) autonomous systems).

e. Impact on Agency IT security and national security.

f. Impact on other systems.

g. Longevity.

h. Serviceability (both ground and in-flight).

i. Constraints (including cost, schedule, degree of insight/oversight permitted with partnerships or international agreements).

j. Safety, quality, and mission assurance.

k. Current level of technology available.

l. Availability of industrial capacity.

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Chapter 3. Requirements for Common Technical Processes

3.1 Introduction

3.1.1 This chapter establishes the core set of common technical processes and requirements to be used by NASA programs or projects in engineering system products during all life-cycle phases to meet phase success criteria and program/project objectives. The 17 common technical processes are enumerated according to their description in this chapter and their interactions shown in Figure 3-1.

This SE common technical processes model illustrates the use of:

a. System design processes for "top-down" design of each product in the system structure.

b. Product realization processes for "bottom-up" realization of each product in the system structure.

c. Cross-cutting technical management processes for planning, assessing, and controlling the implementation of the system design and product realization processes and to guide technical decision making (decision analysis).

3.1.2 The SE common technical processes model is referred to as an "SE engine" in this NPR to stress that these common technical processes are used to drive the development of the system products and associated work products required by management to satisfy the applicable product life-cycle phase success criteria while meeting stakeholder expectations within cost, schedule, and risk constraints.

3.1.3 This chapter identifies the following for each of the 17 common technical processes:

a. The specific requirement for Program/Project Managers to identify and implement (as defined in Section 3.2.1) the ETA-approved process.

b. A brief description of how the process is used as an element of the Systems Engineering Engine.

3.1.4 Typical practices for each process are identified in NASA/SP-2016-6105, where each process is described in terms of purpose, inputs, outputs, and activities. It should be emphasized that the practices documented in the handbook do not represent additional requirements that need to be executed by the technical team but provide best practices associated with the 17 common technical processes. As the technical team develops a tailored and customized approach for the application of these processes, sources of SE guidance and technical standards, such as NASA/SP-2016-6105 and endorsed industry standards, should be considered. Appendix I provides a list of NASA and endorsed military and industry standards applicable to Systems Engineering and available on the NASA Technical Standards System, found at https://standards.nasa.gov/endorsed_standards, and should be applied as appropriate for each program or project. For additional guidance on mapping HSI into the SE Engine, refer to NASA/SP-2015-3709, Section 3.0.

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NPR 7123.1C -- Chapter3 Page 20 of 142

Figure 3 1 - Systems Engineering (SE) Engine

3.1.5 The context in which the common technical processes are used is provided below: (Refer to "The Common Technical Processes and the SE Engine" in NASA/SP-2016-6105 for further information.)

3.1.5.1 The common technical processes are applied to each product layer to concurrently develop the products that will satisfy the operational or mission functions of the system (end products) and that will satisfy the life-cycle support functions of the system (enabling products). In this document, a product layer is a horizontal slice of the product breakdown hierarchy and includes both the end product and its associated enabling products. The enabling products facilitate the activities of system design, product realization, operations and mission support, sustainment, and end-of-product-life disposal or recycling by having the products and services available when needed.

3.1.5.2 The common technical processes are applied to design a system solution definition for each product layer down and across each level of the system structure and to realize the product layer end products up and across the system structure. Figure 3-2 illustrates how the three major sets of processes of the Systems Engineering (SE) Engine (system design processes, product realization processes, and technical management processes) are applied to each product layer within a system structure.

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Figure 3-2 - Application of SE Engine Common Technical Processes Within System Structure

3.1.5.3 The common technical processes are used to define the product layers of the system structure in each applicable phase of the relevant life-cycle to generate work products and system products needed to satisfy the success criteria of the applicable phase. Figure 3-3 depicts the sequencing of the processes.

incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

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