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ESC/EN Engineering Process Compliance Procedures

ESC/EN Engineering Process Compliance Procedures. August 2002. Engineering Process Compliance. Four major steps to compliance Conduct Process Self-Assessment Complete Engineering Process Compliance Templates Submit Completed Templates and Selected Process Assets

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ESC/EN Engineering Process Compliance Procedures

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  1. ESC/ENEngineering ProcessComplianceProcedures August 2002

  2. Engineering Process Compliance • Four major steps to compliance • Conduct Process Self-Assessment • Complete Engineering Process Compliance Templates • Submit Completed Templates and Selected Process Assets • Appear before EN Compliance Board to Review • Self-Assessment • Completed Process Compliance Templates • Selected Process Assets Prepare Compliance Templates Submit Templates and Selected Assets Present Result to EN Comp Bd Conduct Process Self- Assessment Collect Process Assets

  3. Engineering Process ComplianceStep 1 - Conduct Process Self-Assessment • Four major steps to compliance • Conduct Process Self-Assessment • Complete Engineering Process Compliance Templates • Submit Completed Templates and Selected Process Assets • Appear before EN Compliance Board to Review • Self-Assessment • Completed Process Compliance Templates • Selected Process Assets Prepare Compliance Templates Submit Templates and Selected Assets Present Result to EN Comp Bd Conduct Process Self- Assessment Collect Process Assets

  4. Conducting the Self-Assessment • Complete Program Baseline Questionnaire • Provide an understanding of your program • Unique circumstances or conditions • Stakeholders • etc. • Provide data needed to understand the gaps in the ESC/EN Process Concepts when compared to you business model • Complete the Risk Manage Self Assessment Survey • If your program has implemented a risk management process, this checklist can help us decide how well the process meets the CMMI goals and specific practices. • Assist in the adaptation of the ESC/EN Process Concepts to your program.

  5. Risk Management Self Assessment SurveyExample • Complete All Sections: SG 1 - Prepare for Risk Management SG 2 - Identify and Analyze Risk SG 3 - Mitigate Risks GG 1 - Achieve SGs GG 2 - Institutionalize a Managed Process GG 3 - Institutionalize a Defined Process GG 4 - Institutionalize a Quantitatively Managed Process GG 5 - Institutionalize an Optimizing Process • Collect Artifacts • Helpful if Completed and Delivered Electronically

  6. Risk Management Self Assessment Survey Example (Concluded) Specific Goal Artifacts Described Questions Your Comments Specific Practice Collect Artifacts (i.e.Evidence) to Support Self Assessment

  7. Program Baseline Questionnaire (Risk Management)Example • Complete All Sections: • 1 - Program Data • 2 - ESC/MC POC • 3 - MITRE POC • 4 - Brief Program Description • 5 - Contractor Information • 6 - Program Status • 7 - Risk Management Process • 8 - Risk Management Data • 9 - Contracting • 10 - Other Comments • Attach Support Material if Necessary • Helpful if Completed and Delivered • Electronically

  8. Program Baseline Questionnaire (Risk Management)Example (Concluded) Section Use Space Needed Data Requested Complete All Blanks Provide Narratives Attach Artifacts (i.e.Evidence) as Applicable

  9. Engineering Process ComplianceStep 2 - Complete Engineering Process Compliance Templates • Four major steps to compliance • Conduct Process Self-Assessment • Complete Engineering Process Compliance Templates • Submit Completed Templates and Selected Process Assets • Appear before EN Compliance Board to Review • Self-Assessment • Completed Process Compliance Templates • Selected Process Assets Prepare Compliance Templates Submit Templates and Selected Assets Present Result to EN Comp Bd Conduct Process Self- Assessment Collect Process Assets

  10. Engineering Process Compliance Templates • This template was created to assist in the development of ESC/EN Compliance Board Briefing charts. It is based on the ESC/EN Engineering Process Self- Assessment . • The Chief Engineer should brief, as a minimum, program baseline information, the results of the self-assessment survey and a review of selected process assets. • The Chief Engineer should address the topics as outlined in the Process Compliance Template charts as appropriate for a complete understanding of the state of process implementation in the program. • The template should be tailored to meet your program business environment and practices. Process Compliance Templates are Shown in the Following xx Charts

  11. Process Compliance Template - Chart 1 x • x [Program Name][Name of Process]Compliance Status [Chief Engineer Name] [Date]

  12. Process Compliance Template - Chart 2 Overview • Part 1 - Program Baseline • Background • Program Description • Contractor Information • Program Status • [Process Name] Process Background • Program [Process Name] Data • Part 2 - [Process Name] Self-Assessment • Assessment Summary • Process Gaps and Gap Filler Solutions • Practice Adoptions • Assessment Details • Assessment Conclusions • Part 3 - Review of Selected [Process Name Assets] For Illustration Purposes the Risk Management Process Self Assessment Survey will be used to form Templates for Part 2 and 3

  13. Process Compliance Template - Chart 3 Part 1 - Program BaselineProgram Background

  14. Process Compliance Template - Chart 4 Part 1 - Program BaselineProgram Description • Narrative or Graphic Description

  15. Process Compliance Template - Chart 5 Part 1 - Program BaselineContractor Information

  16. Process Compliance Template - Chart 6 Part 1 - Program BaselineProgram Status

  17. Process Compliance Template - Chart 7 Part 1 - Program Baseline[Process Name] Process Background

  18. Process Compliance Template - Chart 8 Part 1 - Program BaselineProgram [Process Name] Data

  19. YES KEY: NO Partially CMMI Description SPO Goal Summary SG 1 Prepare for Risk Management: Preparation for risk management is conducted. SG 2 Identify and Analyze Risks: Risks are identified and analyzed to determine their relative importance. SG 3 Mitigate Risks: Risks are handled and mitigated, where appropriate, to reduce adverse impact on achieving objectives. GG 1 Achieve Specific Goals. (Capability Level 1 - Performed) GG 2 Institutionalize a Managed Process. (Capability Level 2 - Managed) GG 3 Institutionalize a Defined Process. (Capability Level 3 - Defined) GG 4 Institutionalize a Quantitatively Managed Process. (Capability Level 4 – Quantitatively Managed) GG 5 Institutionalize an Optimizing Process. (Capability Level 5 – Optimizing) Process Compliance Template - Chart 9 Part 2 - [Process Name] Self-AssessmentAssessment Summary Fill in Boxes with Appropriate Color Risk Management Process Example

  20. Process Compliance Template - Chart 10 Part 2 - [Process Name] Self-AssessmentProcess Gaps and Gap Filler Solutions GAPS GAP Filler SG1 SG2 SG3 GG1 GG2 GG3 GG4 GG5 Risk Management Process Example

  21. Process Compliance Template - Chart 11 Part 2 - [Process Name] Self-AssessmentPractice Adoptions SG1 - Install process support tools (SP1.1 & SP1.2) - Establish Program RMP policy and procedures (SP1.3) - Separate risk management from issue management (SP1.3) SG2 - Implement standard risk management toolbox (SP2.1) - Implement standard identification and analysis tools. (SP2.2) SG3 - Formalize the mitigation planning and incorporate into program plans and execution. (SP3.1) - Establish monitoring procedures and regular review cycle for mitigation plans.(SP3.2) GG1 - Complete RMP Implementation (GP1.1 and GP1.2) - Maintain current RM Team structure and establish recurring training. (GP1.1 and GP1.2) GG2 - Implement suggested Policy (GP2.1) - Implement suggested Operating Instruction (GP2.2, GP2.4, GP2.5) - Maintain current RMP Team Structure (GP2.3) - Incorporate Risk Management Products into Configuration Management process (GP2.6) - Implement Standard RMP Guide (GP2.7), (GP2.8) - Perform regular RMP Self Assessments (GP2.9) - Incorporate activities, status and results of the RMP in program, directorate, and command reviews. (GP2.10) GG3 - Implement recommendations of GG2 (GP3.1 and GP3.2) GG4&5 - As GG2&3 is beingsatisfied, consideration should be given to the GG4&5 goal at the JPO level. Risk Management Process Example

  22. Process Compliance Template - Chart 12 Part 2 - [Process Name] Self-AssessmentAssessment Details Assessment Team: NameOrganization Role Assessment Period: Assessment Problems: Recommendations for Future Assessments:

  23. Process Compliance Template - Chart 13 Part 2 - [Process Name] Self-AssessmentAssessment Conclusions Overall Assessment Rating Level: (e.g. 0,1,2,3,4,or 5) Summary of Findings: Corrective Actions Needed:

  24. Process Compliance Template - Chart 14 Part 3 - Review of Selected [Process Name] Assets[Process Name] [Asset Name] Relates to Goal and Practice: (e.g. SG2, SP2.1) Question Answered: (e.g. If yes, what are the indicators that risks are identified and documented?) Description of Asset: How the Asset Answers the Question: Note The Number of Assets to Review will be determine by the EN Compliance Board after Receipt of Templates and Selected Assets

  25. Process Compliance Template - Chart 15 Template Backup Charts BACKUP CHARTS

  26. Process Compliance Template - Backup Chart 1 Part 2 - [Process Name] Self-AssessmentAssessment Details SG 1 Comments Risk Management Process Example

  27. Process Compliance Template - Backup Chart 2 Part 2 - [Process Name] Self-AssessmentAssessment Details SG 2 Comments Risk Management Process Example

  28. Process Compliance Template - Backup Chart 3 Part 2 - [Process Name] Self-AssessmentAssessment Details SG 3 Comments Risk Management Process Example

  29. Process Compliance Template - Backup Chart 4 Part 2 - [Process Name] Self-AssessmentAssessment Details GG 1 Comments Risk Management Process Example

  30. Process Compliance Template - Backup Chart 5 Part 2 - [Process Name] Self-AssessmentAssessment Details GG 2 Comments Risk Management Process Example

  31. Process Compliance Template - Backup Chart 6 Part 2 - [Process Name] Self-AssessmentAssessment Details GG 2 (Continued) Comments Risk Management Process Example

  32. Process Compliance Template - Backup Chart 7 Part 2 - [Process Name] Self-AssessmentAssessment Details GG 2 (Concluded) Comments Risk Management Process Example

  33. Process Compliance Template - Backup Chart 8 Part 2 - [Process Name] Self-AssessmentAssessment Details GG 3 Comments Risk Management Process Example

  34. Process Compliance Template - Backup Chart 9 Part 2 - [Process Name] Self-AssessmentAssessment Details GG 4 Comments Risk Management Process Example

  35. Process Compliance Template - Backup Chart 10 Part 2 - [Process Name] Self-AssessmentAssessment Details GG 5 Comments Risk Management Process Example

  36. Engineering Process ComplianceStep 3 - Submit Completed Templates and Selected Assets • Four major steps to compliance • Conduct Process Self-Assessment • Complete Engineering Process Compliance Templates • Submit Completed Templates and Selected Process Assets • Appear before EN Compliance Board to Review • Self-Assessment • Completed Process Compliance Templates • Selected Process Assets Prepare Compliance Templates Submit Templates and Selected Assets Present Result to EN Comp Bd Conduct Process Self- Assessment Collect Process Assets

  37. Engineering Process ComplianceStep 3 - Submit Completed Templates and Selected Assets • Complete Templates in Step 2 and Submit them to ESC/EN one week prior to the date of the EN Compliance Review • Complete the following Process Assets to ESC/EN two weeks prior to the date of the EN Compliance Review • Electronic Submittal is Preferred Risk Management Process Selected Asset List Requirements Process Selected Asset List

  38. Engineering Process ComplianceStep 4 - Appear Before EN Compliance Board • Four major steps to compliance • Conduct Process Self-Assessment • Complete Engineering Process Compliance Templates • Submit Completed Templates and Selected Process Assets • Appear before EN Compliance Board to Review • Self-Assessment • Completed Process Compliance Templates • Selected Process Assets Prepare Compliance Templates Submit Templates and Selected Assets Present Result to EN Comp Bd Conduct Process Self- Assessment Collect Process Assets

  39. Engineering Process ComplianceStep 4 - Appear Before EN Compliance Board • Compliance Board Agenda • Introductions • Chief Engineer Presentation • Comments By Program Management (Optional) • Question and Answer Period • Assignment of Action Items • Board Duration • One Process 1 - 2 hours • Two Processes 2 - 4 hours • Participants • Chief Engineer • Process Facilitator(s) • Support (as required) • Program Management (Optional)

  40. Engineering Process CompliancePoints of Contact • EN Compliance Board Secretary • Name / Phone / E-Mail • EN Compliance Board Members • Chair: Name / Phone / E-Mail • Member: Name / Phone / E-Mail • Member: Name / Phone / E-Mail • Member: Name / Phone / E-Mail • Member: Name / Phone / E-Mail • EN Engineering Process Improvement Team • Jeff Higginson / 16137 / higginso@mitre.org • Mike Bloom / 13387 / mjbloom@mitre.org • Joe Duquette / 16373 / joe@mitre.org • Jen Anderson /15466 / jeanders@mitre.org

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