Chapter 2: System Approach and Systems Engineering: Capiz State University

Republic of the Philippines
CAPIZ STATE UNIVERSITY

Fuentes Drive, Roxas City, Capiz, Philippines
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website: www.capsu.edu.ph email address: roxas@capsu.edu.ph
CHAPTER 2: SYSTEM APPROACH AND SYSTEMS

ENGINEERING
Introduction:
A project is a system of people, equipment, materials, and facilities organized and managed
to achieve a goal. Much of the established theory and practice about what it takes to organize and
coordinate a project comes from a perspective called the systems approach at the same time, work done in
projects is often for the purpose of creating systems.
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SYSTEMS THINKING - Systems thinking is a way of viewing the world. The key distinguishing
feature of systems thinking is focus on the whole organism rather than just the parts. It is the opposite of
analytical thinking, which breaks things into progressively smaller parts to better understand the parts.
Although systems thinkers look at the parts too and try to understand the processes among them, they
always go back to see how the parts fit into the whole.
DEFINITION OF SYSTEM - To some people the system means a computer, to others it means a bureaucracy.
The term is so commonly used that it could refer to almost everything by definition, however, a system is an
organized or complex whole; an assemblage of parts interacting in a coordinated way . The parts could be players
on a football team, keys on a keyboard, or components in a DVD.
 parts of the system affect the system and are affected by it,
 the assemblage of parts does something,
 the assemblage is of particular interest.
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SYSTEMS CONCEPTS AND PRINCIPLES.

The following concepts, principles, and terms apply to all systems.
Natural versus Human-Made Systems - Systems can be classified as natural systems or human-
made systems . Natural systems came into being by natural processes (e.g., animal organisms and
planetary systems). Human-made systems are designed and operated by people (e.g., communication
systems and human organizations). Projects exist for the purpose of creating human-made systems.
Goals and Objectives - Human-made systems are designed to do something; they have goals and
objectives that are conceived by people. For the intentions of this book, a goal is defined as a broad, all-
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encompassing statement of the purpose of a system, and an objective as a more detailed, usually
quantifiable statement of purpose pertaining to some aspect of the system.
Philosophy and Concepts.

Elements and Subsystems - Systems can be broken down into smaller and smaller parts. These parts in
combination form “ the assemblage of parts ” that constitutes the system. The smallest part of a system is
an element . Systems also can be broken down into parts which themselvesare systems, called subsystems
. A subsystem is a system that functions as a component of a larger system.
Attributes - Systems, subsystems, and elements each have distinguishing characteristics or attributes;
these describe or express the condition of the system, subsystem, or element in qualitative or quantitative
terms. In human-made systems, the attributes are designed into the system so that the system performs as
required.
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Environment and Boundary - The term environment refers to anything that influences the behavior or
outcome of the system yet lies beyond the decision maker ’ s or stakeholder ’ s (the system
conceptualizer) ability to control.
System Structure - Elements and subsystems are linked together by relationships. The form taken by
the relationships is referred to as the structure of the system. The functioning and effectiveness of a
system is largely determined by the appropriateness of the structure to the system ’ s objective or purpose.
Inputs, Process, Outputs - Inputs are the raw materials, resources, or steps necessary for the system
to operate, produce outputs, and meet objectives. Inputs include controllable factors such as labor,
materials, information, capital, energy, and facilities, as well as uncontrollable Input–process–output
relationship.
Constraints and Conflicts - All systems have constraints or limitations that inhibit their ability to
reach goals and objectives. Time and money are two universal constraints in projects; without them,
almost any project objective imaginable would be attainable. Trouble is, most times project objectives
must be achieved within a limited time period and budget.
Integration - For any system to perform effectively and achieve its goal, all of its elements, the “
assemblage of parts, must work in unison. Designing, implementing, and operating a system that
achieves its prespecified objectives and requirements through the coordinated (so-called seamless )
functioning of its elements and subsystems is called system integration.
Open Systems and Closed Systems - Systems can also be classified as closed or open . A closed
system is one that is viewed as self-contained, and closed-systems thinking means to focus on the
internaloperation, structure, and processes of a system without regard to the environment.For many kinds
of machines, closed-system thinking applies: to understand how themachine functions, you need only
study the machine and its components, and notanything else. This does not mean that the environment
does not affect the system, but only that the person looking at the system has chosen to ignore the
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environment.In fact, for analyzing or improving the design of many kinds of machines, closedsystem
thinking works fairly well.
HUMAN ORGANIZATIONS.
Most people belong to organizations—employers, clubs, congregations, sports teams,
and so on. Organizations can be looked at as systems — interacting parts, human and nonhuman,
generally working toward common (though sometimes vague or uncertain) goals. All
organizations have a goal or mission, stated or otherwise; it is the reason they exist.
Organizations as Open Systems
Organizations are open systems: They interact with the environment, utilize as inputspeople, materials,
information, and capital, and produce as outputs goods, services,information, and waste byproducts.
Certain features characterize organizational systems; we will consider those relevant to project
organizations:
1. For just about any “ realistic ” 5 goal that a person can conceive, a project organization can be
developed to work toward it. Unlike biological systems, organizations do not necessarily die; they can be
altered and reformed to sustain life andpursue different objectives. Once a project has achieved its
objectives, the projectorganization (its elements, technology, and structure) can be changed to pursue
other objectives.
2. Since organizations are open systems, their boundaries are permeable and tend tofluctuate with
different objectives and types of activities. The boundaries of largeproject organizations are sometimes
difficult to define, especially when one considers all of the contractors, subcontractors, suppliers,
customer representatives, andlocal and government regulatory groups that might be involved. Some of
these elements are more involved than others, but all are part of the project system.Project managers are “
boundary agents ” : they work at points of contactbetween subsystems where there is transfer of
information and resources. Theirrole is to integrate the elements of the project (energy, people, materials,
money,etc.), and to integrate the project with the larger environment.
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3. Organizations, like all complex systems, are hierarchical —they are composed oflower-order
subsystems and are part of a higher-order suprasystem. Within anorganization, people combine to form
organized groups, and groups combineto form departments or project teams. These make up a company
that is part ofan industry, which is within an economy, and so on. Hierarchy exists for bothstructure (units
and relationships) and processes (lower-level tasks and activities combine to make up higher-level tasks
and activities). Project planning andscheduling utilizes the concept of hierarchy.
4. To maintain stability in changing environments, organizations depend uponfeedback of information

from their internal elements and the environment.Negative feedback is information signaling that the
system is deviating from itsobjectives and should adjust its course of action. In a project, managers
continually gather and interpret feedback information to keep the project on course; thisis the role of
project review and control.
5. Organizations have been called socio-technical systems , which means they consistof a social
subsystem of people with a culture and a mission, as well as a technology subsystem of equipment,
facilities, tools, and techniques. The two subsystems are interdependent. Although it is the technology
subsystem that influences the types of inputs and outputs of the organization.
Organizations and Environment.
Organizations interact with stakeholders in the environment, including customers,

suppliers, unions, stockholders, and governments, and they rely upon the environment
for inputs of energy, information, and material. In turn, they export to the environment
outputs of goods, services, and waste.
As an open system, any organization must choose goals and conduct its operations
so as to respect opportunities presented and limitations imposed by the environment.
Cleland and King call this the “ environmental problem, ” meaning that a
manager must:
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• appreciate the need to assess forces in the environment

• understand the forces that significantly affect the organization
• integrate these forces into the organization ’ s goals, objectives, and operations
Every project is influenced by outside forces. The project manager must understand
the forces influencing the project but, having done that, be able to guide the
project to its goal. A project that is predominantly influenced by divergent forces in
the environment will be difficult to control and likely to fail.
Life and Death of an Aircraft Development Project.
The systems concepts described thus far can be related by way of a study by
Law and Callon of a large British aerospace project. 7 The study traces the evolution
of the project in terms of two systems: the global system and the project system. The global system
represents parties and organizations outside the
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project organization that have a stake in the project; it is the project environment.
The project system represents the creation and conduct of the project itself and the organizations
contracted to do the project.
The Global System
The project was initiated when the Royal Air Force (RAF) posted a request for a
new supersonic aircraft with short take-off capability. Besides the RAF, the other
principle stakeholders in the global system were:
1. The Ministry of Defense (MOD), which had mandated that the aircraft could
not be a bomber. The RAF, wanting some kind of aircraft, complied by
specifying that the aircraft would be a “ tactical strike and reconnaissance
fighter ” —called TSR.
2. The Treasury, which wanted the aircraft to be inexpensive and have market
appeal for sale outside the UK, such as to the Royal Australian Air Force
(RAAF).
3. The Royal Navy, which actually wanted to procure a different aircraft but
that the RAF hoped would ultimately buy the TSR instead.
4. The Ministry of Supply (MOS), which wanted an aircraft that would consolidate
the efforts of several airframe and engine manufacturers into one large
consortium.
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The Project System.
The project system grew as Vickers and EE organized and expanded their
design teams, production teams, management teams, subcontractors, and so
on. Under the encouragement from MOS, Vickers, EE, and several other contractors
merged to form a single new organization called the British Aircraft
Corporation (BAC).
Relationships Between the Global System and the Project System

As the project system expanded, so did the problems between it and the global
system. MOS wanted centralized control over all aspects of the project and all
transactions between the project system and the global system. Although BAC
was the prime contractor and in principle responsible for managing the project,
MOS would not vest it with the necessary management authority. Rather, MOS
formed a series of committees to represent government agencies in the global
system and gave them primary responsibility for managing the project. This led
to serious problems:
1. The committees were allowed to make or veto important project related

decisions. For example, important contracts were awarded by MOS, not BAC,
and often the RAF changed its mind or requirements without consulting
with BAC.
2. The committees lacked information, knowledge, or both. Technical committees

made decisions without regard to costs, and cost committees made
decisions without regard to technical realities. Decisions did not reflect
“ systems thinking ” ; they did not account for impacts on other parts of the
project or the project as a whole.
Global System Reshaped.

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Everyone connected with the project knew it was in trouble. The RAF and MOD
recognized that the engine would likely remain unproven for some time, and the
Treasury, which had hoped for an inexpensive aircraft, saw its costs double.
In addition, the RAAF announced that instead of the TSR it was ordering the
US-built F-111. Still, RAF and MOD remained strong supporters, and as long as
the funding continued so would the project. But opponents were aware of the
project ’ s troubles, and they decided to take them to a broader arena, the Labour
Party. A general election was coming, and the Labour Party promised that if
elected it would review the project.
Systems Approach Framework.
The framework utilizes systems concepts such as goals and objectives, elements,
subsystems, relationships, integration, and environment. The systems approach formally
acknowledges that the behavior of any one system element may affect other
elements and no single element can perform effectively without help from the others.
This recognition of interdependency and cause–effect among elements is what most distinguishes the
systems approach. 9 For example, as an element of the “ world system ” the internal combustion engine
can be viewed in terms of the multiple effects it has triggered in other elements and subsystems:
• Development of rich economies based largely on the production and distribution

of petroleum.
• Industrialization of previously nomadic societies and redistribution of political

power among world nations.
• Development of new modes of transportation that have altered patterns of world

travel, commerce, markets, and population distribution.
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• Alteration of the chemical composition of the atmosphere, causing ecological consequences

such as altered weather patterns, global warming, and smog.
Orderly Way of Appraisal 11
The systems approach is a methodology for solving problems and managing systems.
By its holistic nature, it avoids tackling problems narrowly, head-on. It says, “ Let ’ s
stand back and look at this situation from all angles. ” The problem solver does this
by thinking about the overall system, keeping in mind:
1. the objectives and the performance criteria of the whole system;

2. the environment and constraints of the system;
3. the resources of the system;
4. the elements of the system, their functions, attributes, and performance
measures;
5. the interaction among the elements;
6. the management of the system.
Systems Models
Systems designers and analysts use “ models ” to help understand systems and to measure
alternative plans and solutions against objectives. A model is a simplified representation of the
world; it abstracts the essential features of the system under study. It may be a physical model,
mathematical formulation, computer simulation, or
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simple checklist. An example of a physical model is a model airplane. It is a scaleddown abstraction of

the real system. It includes some aspects of the system (configuration and shape of exterior components)
and excludes others (interior components and crew). Another kind of model is a conceptual model ; it
depicts the elements, structure, and flows in a system. The conceptual model in Figure 2-6 , e.g., helps
biologists to understand relationships among the elements contributing to population size and make
limited prediction
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Systems Life Cycle
Systems change over time. The change tends to be systematic and evolutionary,
with similar kinds of systems following similar cycles of evolution. One basic cycle,
that of all organisms, is the pattern of conception, birth, growth, maturity, senescence,
and death. Historically, even past civilizations and societies have followed this pattern. Another cycle,
that of all nonliving, electro-mechanical systems, is that of
design,fabrication, installation, burn-in, normal operation, and deterioration or obsolescence. Similarly,

all products follow a similar pattern—the “ product life cycle. ” They are conceived, designed and
developed, produced, launched into the market, capture market share, then decline and are discontinued.
Some products
such as home computers have life cycles of only months; others (Kool-Aid and
Levi ’ s jeans) have decades-long cycles
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Systems engineering - has been defined as “ the science of designing complex systems
in their totality to insure that the component subsystems making up the system are
designed, fitted together, checked and operated in the most efficient way. ” 17 It refers
to the conception, design, and development of complex systems where the components themselves must
be designed, developed, and integrated together to fulfill the system objectives. Systems engineering is a
way to bring a whole system into being and to account for its whole life cycle —including operation and
phase-out—during its early conception and design.
All Systems Go
A good example of systems engineering can be seen in the design and operation of
a space vehicle. The expression “ all systems go, ” popularized during the early USspace
flights, means that the overall system of millions of components that make up the vehicle and its support
systems, and the hundreds of people in its technical and
management teams, is ready to “ go ” to achieve the objectives of the mission. Every
component and person is in place, working as prescribed, and ready to contribute to
the overall mission.
System Customer and System Life Cycle
Having gotten the answer to “ What do you want? ” from stakeholders and defined the objectives
and requirements of the system, systems engineers then look for alternativeways of meeting the
requirements. This involves research and analysis, and studies of estimated costs, schedules,
risks, and benefits. If the resources are inadequateor the technology or time is constrained, the
requirements are modified. Says Brooks, “ The hardest part of building a software system is
deciding precisely what to build. No other part of the conceptual work is so difficult as
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establishing the detailed technical requirements [and] no other part of the work so cripples the
resulting system if done wrong. No other part is more difficult to rectify later
Modularization: Iterative Analysis–Synthesis–Evaluation Cycle.
Systems are designed and assembled out of subsystems that themselves are
systems designed and assembled out of subsystems, and so on. The practice, called
modularization , is what makes the design, assembly, and operation of complex systems
feasible and practical. Herbert Simon gives the example of a watchmaker who
assembles a watch out of 100 parts.
Systems Management.
Project management is a form of “ systems management, ” which is the management

and operation of organizations as systems. Four major features characterize systems
management. First, it is total-system oriented and emphasizes achievement of the
overall system mission and objectives. Second, it emphasizes decisions that optimize
the overall system rather than the subsystems.
Project Managers are Systems Managers
In Winning at Project Management , author Robert Gilbreath 25 describes the “ right ”

way to visualize a project. From an outsider ’ s perspective, he says, a project may
look like a “ continuum, ” i.e., something with no separate discernable parts, like a
barrel containing thousands of earthworms. Obviously, if you have to manage the
project such a perspective is not very useful; instead, he says, you need another perspective, one that
involves subdividing the continuum into a collection of elements
and defining the characteristics of each
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Stakeholders and Needs Identification.
Systems engineering deals with poorly defined problems. The customer may feel
that something is wrong or something new is required but be unclear about the
source of problem or need, or how the system should look or what it should do.
Sometimes it is not even clear who has the problem or need. The first step in systems
engineering is identification— identifying the stakeholders and translating fuzzy ideas
into clear definitions of the needs, problems, and objectives.
Requirements Definition.
Requirements specify what the system must do and become the targets that system
designers seek to hit. High-level requirements should incorporate everything important
about the system—its objectives, life cycle, operational modes, constraints, and
interfaces with other systems.
Objectives : Objectives elaborate on the need and define the overarching aim of
the system. It is usually necessary to define several objectives to fully specify the
system. Each objective is then elaborated in terms of a set of requirements.
Life cycle : There are many issues regarding the system ’ s life cycle and how the
system will be built or produced, tested, distributed, marketed, financed, operated,
maintained, and ultimately disposed of. This leads to consideration of ancillary
issues such as “ side items ” —spare parts and training of users—and environmentalimpacts. The
requirements must address all of these. Operational modes : Many systems operate in multiple
environments and in differentways, termed “ operational modes ” or “ scenarios of operation. ” An
airplane, e.g., is used for passengers and cargo transport and for crew training; and it must be maintained,
repaired, and tested. Each of these constitutes a different operational
mode and set of requirements.
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Constraints : Every system is constrained by policies, procedures, and standards;

available materials, knowledge, and technology; and limited time, funding, and
resources. These must all be defined as requirements.
Interfaces : Every system interfaces with other systems in the environment. An

interface occurs whenever a system receives input from or provides output to other
systems. Requirements specify the interfaces and the mandated or prespecified inputs
or outputs at each.
Feasibility
Given the defined needs, objectives, constraints, and requirements, the question
arises, What are the available alternatives to satisfy them, and are the alternatives
feasible? Thus, the next step is to identify alternative high-level (system-level) solutions
for the needs and requirements. The alternative solutions are evaluated in
terms of costs, risks, effectiveness, and benefits using studies and models, and the
most feasible solutions recommended to customers and supporters.
System Requirements Analysis

With approval of the project and system-level alternatives, the next step is to specify what the system
must do to be able to meet the requirements on the SRD; this is the purposeof system requirements. For
example, the stakeholder requirement that the spaceship“ provide comfortable flight ” implies a system
requirement that the spaceship ’ s cabin temperature, humidity, and pressure all remain at “ comfy ” levels
throughout the flight. This implies that the spaceship will be equipped to perform the necessary functions
to make this happen. Whereas the SRD specifies the system in terms of stakeholderwants or needs, the
system requirements tell the designer the functions the systemmust perform and the physical
characteristics it must possess to meet the SRD. The process of defining requirements is called
requirements analysis ; the result of this analysis is a document called the system specification, described
later. Requirements analysis addresses three kinds of requirements: functional, performance, and
verification.
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Functional Requirements
Functional requirements specify the functions that the new system must perform to meet all the
requirements in the SRD, including those to support, operate, and maintain
the system. A popular tool for analyzing and defining functional requirements is
the functional flow block diagram, FFBD, illustrated in Figure 2-10 . Each block represents
a function that the system must perform to satisfy objectives or requirements.
As illustrated, each function is defined in greater detail by decomposing it into
subfunctions; e.g., as shown function 3 is logically comprised of five subfunctions,
Figure 2-10
FFBD for decomposing system-level functions into lower-level functions.
Performance and Verification Requirements.
Associated with each functional requirement are several performance requirements

and verification requirements. Whereas a functional requirement states what the
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Figure 2-11
System-level breakdown of functions for spaceship.
system must do, a performance requirement states how well it must do it. Performance
requirements are usually specified in physical parameters such as speed,
acceleration, weight, accuracy, power, force, or time. They are the targets on which
designers set their sights. For example, the stakeholder requirement “ providecomfortableflight ” has
many functional requirements, including some for temperature and pressure. The associated performance
requirements for these are:
3.1 Cabin temperature: 75–85 degree Fahrenheit

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3.2 Cabin pressure: 4.2–3.2 pounds per square inch
Synthesis.
Up until now the systems engineering process has been focused on top-down analysis,
resulting in a big list of functional, performance, and verification requirements.
The next step, synthesis, looks at relationships among the system-level requirements
and alternative ways of satisfying the requirements. looks at relationships among the system-level
requirements and alternative ways of satisfying the requirements. One question is, can these requirements
be satisfied using existing, “ off the shelf ” (OTS) designs and products, or must new and different
designs or technologies be employed? An OTS item is one that can be readily purchased or built; if it
meets the requirements, an OTS item is often preferable to one that must be newly designed because it is
readily available and usually less costly. Sometimes there is no OTS and to create a new design
that meets the requirements would be very costly, risky, or time-consuming; in such
cases the requirements must be revised. The result of synthesis is called the “ system specification, ”
which is a comprehensivelist of all the functions the new system must satisfy, as well as a firm or
tentative solution (to be developed or bought) for each function. The system specification serves as a
guide for designers in the stages of preliminary and detailed system design. Often these designers are
subcontractors or suppliers; the subsystem specification defines the requirements they must meet.
Example 3: System Specification for Spaceship Motor
A decision must be made about the kind of rocket motor the spaceship will
have. Among the functional requirements for the motor are:
1.1 Must provide thrust of x
4.1 Cost of fuel and fuel handling must be economical
5.3 Refueling procedure must be simple
6.1 Fuel, fuel system, and fuel ignition must be inherently safe.

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Republic of the Philippines

CAPIZ STATE UNIVERSITY

CHAPTER 2: SYSTEM APPROACH AND SYSTEMS

SYSTEMS CONCEPTS AND PRINCIPLES.

Philosophy and Concepts.

Organizations as Open Systems

4. To maintain stability in changing environments, organizations depend uponfeedback of information

Organizations and Environment.

Organizations interact with stakeholders in the environment, including customers,

• appreciate the need to assess forces in the environment

Life and Death of an Aircraft Development Project.

The Global System

The Project System.

Relationships Between the Global System and the Project System

1. The committees were allowed to make or veto important project related

2. The committees lacked information, knowledge, or both. Technical committees

Global System Reshaped.

Systems Approach Framework.

• Development of rich economies based largely on the production and distribution

• Industrialization of previously nomadic societies and redistribution of political

• Development of new modes of transportation that have altered patterns of world

• Alteration of the chemical composition of the atmosphere, causing ecological consequences

Orderly Way of Appraisal 11

1. the objectives and the performance criteria of the whole system;

simple checklist. An example of a physical model is a model airplane. It is a scaleddown abstraction of

Systems Life Cycle

design,fabrication, installation, burn-in, normal operation, and deterioration or obsolescence. Similarly,

System Customer and System Life Cycle

Modularization: Iterative Analysis–Synthesis–Evaluation Cycle.

Project management is a form of “ systems management, ” which is the management

Project Managers are Systems Managers

In Winning at Project Management , author Robert Gilbreath 25 describes the “ right ”

Stakeholders and Needs Identification.

Constraints : Every system is constrained by policies, procedures, and standards;

Interfaces : Every system interfaces with other systems in the environment. An

System Requirements Analysis

Performance and Verification Requirements.

Associated with each functional requirement are several performance requirements

3.1 Cabin temperature: 75–85 degree Fahrenheit

3.2 Cabin pressure: 4.2–3.2 pounds per square inch

Example 3: System Specification for Spaceship Motor

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