1、ESC/EN Engineering Process Compliance Procedures,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 R
2、eview Self-Assessment Completed Process Compliance Templates Selected Process Assets,Conduct Process Self- Assessment,Prepare Compliance Templates,Collect Process Assets,Submit Templates and Selected Assets,Present Result to EN Comp Bd,3,Engineering Process Compliance Step 1 - Conduct Process Self-A
3、ssessment,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
4、,Conduct Process Self- Assessment,Prepare Compliance Templates,Collect Process Assets,Submit Templates and Selected Assets,Present Result to EN Comp Bd,4,Conducting the Self-Assessment,Complete Program Baseline Questionnaire Provide an understanding of your program Unique circumstances or conditions
5、Stakeholdersetc.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 SurveyIf your program has implemented a risk management process, this checklist can help us decide how well the process meets the CMM
6、I goals and specific practices. Assist in the adaptation of the ESC/EN Process Concepts to your program.,5,Risk Management Self Assessment Survey Example,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 - Institu
7、tionalize a Managed Process GG 3 - Institutionalize a Defined Process GG 4 - Institutionalize a Quantitatively Managed Process GG 5 - Institutionalize an Optimizing ProcessCollect ArtifactsHelpful if Completed and Delivered Electronically,6,Risk Management Self Assessment Survey Example (Concluded),
8、Questions,Artifacts Described,Your Comments,Specific Goal,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 - Co
9、ntractor Information 6 - Program Status 7 - Risk Management Process 8 - Risk Management Data 9 - Contracting 10 - Other CommentsAttach Support Material if NecessaryHelpful if Completed and Delivered Electronically,8,Program Baseline Questionnaire (Risk Management) Example (Concluded),Data Requested,
10、Use Space Needed,Complete All Blanks,Section,Provide Narratives,Attach Artifacts (i.e.Evidence) as Applicable,9,Engineering Process Compliance Step 2 - Complete Engineering Process Compliance Templates,Four major steps to compliance Conduct Process Self-Assessment Complete Engineering Process Compli
11、ance Templates Submit Completed Templates and Selected Process Assets Appear before EN Compliance Board to Review Self-Assessment Completed Process Compliance Templates Selected Process Assets,Conduct Process Self- Assessment,Prepare Compliance Templates,Collect Process Assets,Submit Templates and S
12、elected Assets,Present Result to EN Comp Bd,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, p
13、rogram 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
14、 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,x,x,Program Name Name of Process Compliance Status,Chief Engineer Name Date,Process Compliance Template - Chart 1,12,Overview,Part 1
15、 - 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 Conclusio
16、ns Part 3 - Review of Selected Process Name Assets,Process Compliance Template - Chart 2,For Illustration Purposes the Risk Management Process Self Assessment Survey will be used to form Templates for Part 2 and 3,13,Part 1 - Program Baseline Program Background,Process Compliance Template - Chart 3,
17、14,Part 1 - Program Baseline Program Description,Narrative or Graphic Description,Process Compliance Template - Chart 4,15,Part 1 - Program Baseline Contractor Information,Process Compliance Template - Chart 5,16,Part 1 - Program Baseline Program Status,Process Compliance Template - Chart 6,17,Part
18、1 - Program Baseline Process Name Process Background,Process Compliance Template - Chart 7,18,Part 1 - Program Baseline Program Process Name Data,Process Compliance Template - Chart 8,19,Part 2 - Process Name Self-Assessment Assessment Summary,Process Compliance Template - Chart 9,Fill in Boxes with
19、 Appropriate Color,Risk Management Process Example,20,Part 2 - Process Name Self-Assessment Process Gaps and Gap Filler Solutions,Process Compliance Template - Chart 10,GAPS GAP Filler SG1 SG2 SG3 GG1 GG2 GG3 GG4 GG5,Risk Management Process Example,21,Part 2 - Process Name Self-Assessment Practice A
20、doptions,Risk Management Process Example,Process Compliance Template - Chart 11,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)
21、- 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)
22、- 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 Man
23、agement 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
24、 is being satisfied, consideration should be given to the GG4&5 goal at the JPO level.,22,Part 2 - Process Name Self-Assessment Assessment Details,Process Compliance Template - Chart 12,Assessment Team: Name Organization RoleAssessment Period:Assessment Problems:Recommendations for Future Assessment
25、s:,23,Part 2 - Process Name Self-Assessment Assessment Conclusions,Process Compliance Template - Chart 13,Overall Assessment Rating Level: (e.g. 0,1,2,3,4,or 5)Summary of Findings:Corrective Actions Needed:,24,Part 3 - Review of Selected Process Name Assets Process Name Asset Name,Process Compliance
26、 Template - Chart 14,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
27、 Board after Receipt of Templates and Selected Assets,25,Template Backup Charts,BACKUP CHARTS,Process Compliance Template - Chart 15,26,Part 2 - Process Name Self-Assessment Assessment Details SG 1,Risk Management Process Example,Process Compliance Template - Backup Chart 1,Comments,27,Part 2 - Proc
28、ess Name Self-Assessment Assessment Details SG 2,Risk Management Process Example,Comments,Process Compliance Template - Backup Chart 2,28,Part 2 - Process Name Self-Assessment Assessment Details SG 3,Risk Management Process Example,Comments,Process Compliance Template - Backup Chart 3,29,Part 2 - Pr
29、ocess Name Self-Assessment Assessment Details GG 1,Risk Management Process Example,Comments,Process Compliance Template - Backup Chart 4,30,Part 2 - Process Name Self-Assessment Assessment Details GG 2,Risk Management Process Example,Comments,Process Compliance Template - Backup Chart 5,31,Part 2 -
30、Process Name Self-Assessment Assessment Details GG 2 (Continued),Risk Management Process Example,Comments,Process Compliance Template - Backup Chart 6,32,Part 2 - Process Name Self-Assessment Assessment Details GG 2 (Concluded),Risk Management Process Example,Comments,Process Compliance Template - B
31、ackup Chart 7,33,Part 2 - Process Name Self-Assessment Assessment Details GG 3,Risk Management Process Example,Comments,Process Compliance Template - Backup Chart 8,34,Part 2 - Process Name Self-Assessment Assessment Details GG 4,Risk Management Process Example,Comments,Process Compliance Template -
32、 Backup Chart 9,35,Part 2 - Process Name Self-Assessment Assessment Details GG 5,Risk Management Process Example,Comments,Process Compliance Template - Backup Chart 10,36,Engineering Process Compliance Step 3 - Submit Completed Templates and Selected Assets,Four major steps to compliance Conduct Pro
33、cess 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,Conduct Process Self- Assessment,Prepare Compliance
34、 Templates,Collect Process Assets,Submit Templates and Selected Assets,Present Result to EN Comp Bd,37,Engineering Process Compliance Step 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
35、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 Compliance Step 4 - Appear Before EN Compliance Board,
36、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,Conduct P
37、rocess Self- Assessment,Prepare Compliance Templates,Collect Process Assets,Submit Templates and Selected Assets,Present Result to EN Comp Bd,39,Engineering Process Compliance Step 4 - Appear Before EN Compliance Board,Compliance Board Agenda Introductions Chief Engineer Presentation Comments By Pro
38、gram 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 Compliance Points of Contact
39、,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 / higginsomitre.org Mike Bloom / 13387 / mjbloommitre.org Joe Duquette / 16373 / joemitre.org Jen Anderson /15466 / jeandersmitre.org,
