1. ESC/EN Engineering Process Compliance Procedures August 2002

2. ESC/EN 2 Engineering Process Compliance l 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 l Self-Assessment l Completed Process Compliance Templates l 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. ESC/EN 3 Engineering Process Compliance Step 1 - Conduct Process Self-Assessment l 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 l Self-Assessment l Completed Process Compliance Templates l Selected Process Assets Conduct Process Self- Assessment Prepare Compliance Templates Collect Process Assets Submit Templates and Selected Assets Present Result to EN Comp Bd

4. ESC/EN 4 Conducting the Self-Assessment l Complete Program Baseline Questionnaire - Provide an understanding of your program l Unique circumstances or conditions l Stakeholders l etc. - Provide data needed to understand the gaps in the ESC/EN Process Concepts when compared to you business model l 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. ESC/EN 5 Risk Management Self Assessment Survey Example l 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 l Collect Artifacts l Helpful if Completed and Delivered Electronically

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

7. ESC/EN 7 Program Baseline Questionnaire (Risk Management) Example l 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 l Attach Support Material if Necessary l Helpful if Completed and Delivered Electronically

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

9. ESC/EN 9 Engineering Process Compliance Step 2 - Complete Engineering Process Compliance Templates l 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 l Self-Assessment l Completed Process Compliance Templates l Selected Process Assets Conduct Process Self- Assessment Prepare Compliance Templates Collect Process Assets Submit Templates and Selected Assets Present Result to EN Comp Bd

10. ESC/EN 10 Engineering Process Compliance Templates l 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. l 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. l 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. l The template should be tailored to meet your program business environment and practices. Process Compliance Templates are Shown in the Following xx Charts

11. ESC/EN 11 x lxlx [Program Name] [Name of Process] Compliance Status [Chief Engineer Name] [Date] Process Compliance Template - Chart 1

12. ESC/EN 12 Overview l Part 1 - Program Baseline - Background - Program Description - Contractor Information - Program Status - [Process Name] Process Background - Program [Process Name] Data l Part 2 - [Process Name] Self-Assessment - Assessment Summary - Process Gaps and Gap Filler Solutions - Practice Adoptions - Assessment Details - Assessment Conclusions l 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. ESC/EN 13 Part 1 - Program Baseline Program Background Process Compliance Template - Chart 3

14. ESC/EN 14 Part 1 - Program Baseline Program Description l Narrative or Graphic Description Process Compliance Template - Chart 4

15. ESC/EN 15 Part 1 - Program Baseline Contractor Information Process Compliance Template - Chart 5

16. ESC/EN 16 Part 1 - Program Baseline Program Status Process Compliance Template - Chart 6

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

18. ESC/EN 18 Part 1 - Program Baseline Program [Process Name] Data Process Compliance Template - Chart 8

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

20. ESC/EN 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. ESC/EN 21 Part 2 - [Process Name] Self-Assessment Practice Adoptions 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) - 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 being satisfied, consideration should be given to the GG4&5 goal at the JPO level.

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

23. ESC/EN 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. ESC/EN 24 Part 3 - Review of Selected [Process Name] Assets [Process Name] [Asset Name] Process Compliance 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 Board after Receipt of Templates and Selected Assets

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

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

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

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

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

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

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

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

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

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

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

36. ESC/EN 36 Engineering Process Compliance Step 3 - Submit Completed Templates and Selected Assets l 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 l Self-Assessment l Completed Process Compliance Templates l Selected Process Assets Conduct Process Self- Assessment Prepare Compliance Templates Collect Process Assets Submit Templates and Selected Assets Present Result to EN Comp Bd

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

38. ESC/EN 38 Engineering Process Compliance Step 4 - Appear Before EN Compliance Board l 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 l Self-Assessment l Completed Process Compliance Templates l Selected Process Assets Conduct Process Self- Assessment Prepare Compliance Templates Collect Process Assets Submit Templates and Selected Assets Present Result to EN Comp Bd

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

40. ESC/EN 40 Engineering Process Compliance Points of Contact l EN Compliance Board Secretary - Name / Phone / E-Mail l EN Compliance Board Members - Chair: Name / Phone / E-Mail - Member: Name / Phone / E-Mail l 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