SRB Handbook and Process   Michelle Calloway and Tahani AmerIndependent Program Assessment Office            Seventh Annua...
OutlineSRB Handbook OverviewSRB Handbook PurposeSection 1: Context for Independent Lifecycle Review (ILCR) ProcessSection ...
SRB Handbook Overview• NASA established Standing Review Boards (SRBs) for independent life-  cycle reviews (ILCR) to ensur...
SRB Handbook Purpose• The SRB Handbook provides the philosophy and guidelines  for the setup, processes, and products of S...
The SRB Handbook Section 1•   The SRB process integrates the NPR 7120.5 requirements and the NPR    7123.1 requirements, i...
The SRB Handbook Section 2•   The HB provides guidelines for SRB processes and products.•   Identifies the major principle...
The SRB Handbook Section 3                   SRB Engagements•   SRBs independently assess P/p throughout their life-cycles...
The SRB Handbook Section 3                   P/P Categorizations•   Projects are broken down by robotic or human flight pr...
SRB Engagement Life-Cycle Roadmap    for Robotic Mission Projects                                    Page 9
The SRB Handbook Section 4             SRB Composition and COI•   The Agency has established the following options for con...
The SRB Handbook Section 4                     SRB Membership•   Members are selected from within the Agency, industry, ac...
The SRB Handbook Section 4                  SRB Membership/ToRs•   The Chair has the responsibility for developing the can...
The SRB Handbook Section 5                         SRB Products3 primary functions of SRB Assessment: 1. Perform complete ...
The SRB Handbook Section 5                            SRB Assessment Criteria          SRB assessments use NPR 7120.5D’s s...
The SRB Handbook Section 5                          SRB Products•   SRB findings are defined as either Strengths or Weakne...
The SRB Handbook Section 5                       SRB ProductsSRB Findings are provided in a Management Briefing and a comp...
The SRB Handbook Section 6 Notational Review Timeline                              Page 17
Appendices C thru E:            Agency Independence Policy•   Defines the policy and procedure guidance established to ass...
Appendix F:         Program Implementation Review (PIR) Guidance•   For uncoupled and loosely coupled programs, the Implem...
Appendix F:Program Implementation Review (PIR) Guidance                                               Page 20
Summary•   The SRB Handbook was developed to provide the philosophy and    guidelines for the setup, processes, and produc...
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Calloway amer v2

  1. 1. SRB Handbook and Process Michelle Calloway and Tahani AmerIndependent Program Assessment Office Seventh Annual NASA Program Management Challenge 2010 February 10, 2010 Used with permission Page 1
  2. 2. OutlineSRB Handbook OverviewSRB Handbook PurposeSection 1: Context for Independent Lifecycle Review (ILCR) ProcessSection 2: High level principles that govern the SRBsSection 3: Scope and expectations of ILCRSection 4: SRB Initiation processSection 5: SRB ProductsSection 6: Notional review timelineAppendices: Agency Independence Policy, PIR guidanceSummary Page 2
  3. 3. SRB Handbook Overview• NASA established Standing Review Boards (SRBs) for independent life- cycle reviews (ILCR) to ensure that high priority Agency Programs and projects (P/p) are reviewed by groups of uniquely qualified experts.• The SRB Handbook (HB) is a tool to assist the NASA community and SRBs in defining working interfaces with Mission Directorates, Programs, projects, Centers, review organizations, and Management Councils based on best practices.• The SRB HB is a Special Publication release from the NASA Office of Program Analysis and Evaluation (PA&E) which expands on the concept of the SRB introduced in the NPR 7120.5, Space Flight Program and Project Management Requirements.• The SRB Handbook was published by Program Analysis & Evaluation/IPAO with concurrence from Office of the Chief Engineer. Page 3
  4. 4. SRB Handbook Purpose• The SRB Handbook provides the philosophy and guidelines for the setup, processes, and products of SRBs in support of the Agency‘s implementation of its independent lifecycle review process.• The SRB Handbook is written to provide guidance to the NASA program and project communities and the SRBs regarding the expectations, processes, products, timelines, and working interfaces with NASA Mission Directorates (MDs), Centers, review organizations, and Management Councils.• The SRB Handbook can be supplemented and tailored to meet the needs of the Agency and P/p being reviewed. Page 4
  5. 5. The SRB Handbook Section 1• The SRB process integrates the NPR 7120.5 requirements and the NPR 7123.1 requirements, into a single ILCR set.• NPR 7120.5’s governance of the SRB is consistent with NASA Policy Directive (NPD) 1000.0, Governance and Strategic Management Handbook.• SRBs lower the burden of multiple ILCRs on P/p and enhance efficiency through the development of common review definitions and processes.• The SRB implementation also ensures that P/p, Decision Authorities (DAs), and Technical Authorities (TAs) benefit from consistent, efficient, and value-added ILCRs and products.• Needs and objectives of convening authorities and decision authorities are intended to be met through the SRB. Page 5
  6. 6. The SRB Handbook Section 2• The HB provides guidelines for SRB processes and products.• Identifies the major principles and assumptions that govern the execution of SRBs.• Provides guidance for SRB member independence: – Civil servants (CSs) must have a complete Office of Government Ethics (OGE) 450 or Standard Form (SF) 278 form on file. CS will be screened for personal Conflict of Interest (PCI) and position screening. – Office Chief Council (where contract is located) screens consultant for Organizational Conflict of Interest (OCI) and PCI with assistance from contracting officer. – In the event of PCI, procedures have been established by the Agency to determine if the impairment is considered acceptable. If the impairment is acceptable, it will be documented and approved by the applicable NASA legal officials and the CAs. – In the event of OCI for any prospective SRB member, “firewalls” within the company, the “non-disclosure agreement” and “evidence” that personal bias has been sufficiently mitigated shall be provided in an OCI mitigation plan by the contractor. – CS and consultants will be vetted on an annual basis. Page 6
  7. 7. The SRB Handbook Section 3 SRB Engagements• SRBs independently assess P/p throughout their life-cycles at Key Decision Pointe (KDPs) in accordance with NPR 7120.5.• The SRB remains inactive between life-cycle reviews except as requested by the CAs or DAs.• The SRB is intended to support the reviews in the P/p life cycle with a consistent core membership.• Category 1 project SRBs report to the Agency PMC, all other project SRBs complete their reporting at the MD PMC level.• The actual reporting requirements for each review with SRB participation are determined with the preparation of the Addendum ToRs for that review. Page 7
  8. 8. The SRB Handbook Section 3 P/P Categorizations• Projects are broken down by robotic or human flight projects.• Robotic mission projects and human mission projects have different life-cycle reviews, assessment requirements, and reporting venues.• Programs are broken down by Uncoupled or Loosely Coupled Projects and Single or Tightly Coupled Programs.• Programs consisting of multiple projects that are not directly connected to one another (either by schedule, cost, technical interfaces, or management structures) are characterized as uncoupled or loosely coupled programs.• Programs consisting of one large project or multiple projects that are directly connected to one another (e.g., Space Shuttle Program) are characterized as single-project or tightly coupled programs. Page 8
  9. 9. SRB Engagement Life-Cycle Roadmap for Robotic Mission Projects Page 9
  10. 10. The SRB Handbook Section 4 SRB Composition and COI• The Agency has established the following options for conducting independent reviews by SRBs.• Appendix C and D contain the COI Policy, COI Disclosure and Non- Disclosure Certification related to SRBs. Page 10
  11. 11. The SRB Handbook Section 4 SRB Membership• Members are selected from within the Agency, industry, academia, and other government agencies. – Consideration should be given to other NASA Centers and cross-mission opportunities, e.g., robotic versus human project expertise. – For project SRBs, a suggested diversity rule of thumb is that no more than half of the members should come from the host Center. – Nominees must satisfy the independence criterion and should represent a balance of diverse backgrounds and professional and organizational perspectives.• Minimizing the SRB size has been considered best practice. Multiple disciplines can be covered by one member. Specialists may be added temporarily to review specific critical areas.• It is important to balance competence with current or recent experience in the selection of well-qualified SRB members.• The SRB chair will be a well recognized expert with a depth of technical knowledge and the breadth of experience.• The review manager ensures consistency in the implementation of Agency policy, process, and products as defined in the ILCR process. RM may also serve on the SRB as a discipline expert. Page 11
  12. 12. The SRB Handbook Section 4 SRB Membership/ToRs• The Chair has the responsibility for developing the candidate membership list for the SRB. However, the CAs approve the membership.• The disciplines necessary to form the team are derived from the P/p content, such as the work breakdown structure (WBS). Consideration is also given to risk areas of the P/p.• The ToR is the agreement between the SRB and the convening authorities and documents the SRB charter, scope, and agreements between the convening authorities and the SRB.• The Chair and RM work collaboratively with the CAs and the P/p to develop a ToR that meets the expectations for the Agency. Page 12
  13. 13. The SRB Handbook Section 5 SRB Products3 primary functions of SRB Assessment: 1. Perform complete comprehensive independent assessments of the P/p 2. Develop findings and formulate recommendations based on these assessments 3. Report results to the P/p and TAs and DAs Page 13
  14. 14. The SRB Handbook Section 5 SRB Assessment Criteria SRB assessments use NPR 7120.5D’s set of six assessment criteria Criteria 7120.5 D Definition Notes System Requirements Document (SRD) and Requirements Alignment with and contribution to Agency needs, Traceability Report are two key documents Goals goals, and objectives and the adequacy of requirements flow down from those. Adequacy of technical approach, as defined by NPRTechnical 7123.1 entrance and success criteria. Includes ICAs/ISAs/SRAs/JCLs Cost / Adequacy of the integrated cost and schedule estimateSchedule and funding strategy in accordance with NPD 1000.5. Includes manpower, fabrication/assembly/test facilities and Adequacy and availability of resources other than equipment, ground support equipment, launch sites,Resources communication networks, and mission operation centers; budget. either government or privately held resources. Assessment of the P/p management of risk for its adequacy Adequacy of the risk management approach and risk to deal with all significant threats to its success. Risk identification and mitigation per NPR 8000.4. Management approach, management practices, acquisition planning adequacy ,and methods of Mgmt Adequacy of management approach. communication/reporting Page 14
  15. 15. The SRB Handbook Section 5 SRB Products• SRB findings are defined as either Strengths or Weaknesses – A Strength is a finding of the SRB that describes a feature of the P/p that in the judgment of the SRB is better than expected at a particular stage of the life- cycle – A weakness is a finding that the SRB believes constitutes a threat to the future success of the P/p • If it is deemed critical, it should be treated as an “issue”. Each issue should be accompanied by observations that substantiate the criticality of the issue to P/p success and a recommendation(s) for correcting the weakness, including a timetable that is consistent with the subsequent implementation/operation activities planned • If the SRB determines a weakness is worthy of mention, but is not critical to the future success of the P/p, it should be treated as a “concern”. Each identified concern may be accompanied by a recommendation(s) for correcting the weakness that the P/p is encouraged to consider Page 15
  16. 16. The SRB Handbook Section 5 SRB ProductsSRB Findings are provided in a Management Briefing and a companion detail report Criteria Adequacy SRB Comments Goals G Technical Y Cost / Schedule R Resources G Risk Y Mgmt R Page 16
  17. 17. The SRB Handbook Section 6 Notational Review Timeline Page 17
  18. 18. Appendices C thru E: Agency Independence Policy• Defines the policy and procedure guidance established to assure the integrity of Standing Review Board (SRB) reports.• SRB Membership Background Information, Confidential Conflict of Interest Disclosure, and Non-Disclosure Certification.• Outlines the SRB Options for Independent Life-Cycle Reviews. Page 18
  19. 19. Appendix F: Program Implementation Review (PIR) Guidance• For uncoupled and loosely coupled programs, the Implementation Phase only requires Program Status Reviews (PSRs)/Program Implementation Reviews (PIRs) at to assess the program’s performance and authorize its continuation at biennial KDPs• PSRs are conducted by the Program to examine the Program’s continuing relevance to the Agency’s Strategic Plan, the progress to date against the approved baseline, the implementation plans for current and upcoming work, budget, schedule, and all risks and their mitigation plans. PIRs are conducted as part of this review to provide Agency management with an independent assessment of the readiness of the Program to continue with implementation.• Additional purposes of these reviews are to : – Identify to Agency management the Program strengths, issues and concerns – Identify specific areas where improvement is needed and provide recommendations on means to strengthen the Program – Identify broader Agency issues that have potential impact on present or future Program performance Page 19
  20. 20. Appendix F:Program Implementation Review (PIR) Guidance Page 20
  21. 21. Summary• The SRB Handbook was developed to provide the philosophy and guidelines for the setup, processes, and products of SRBs in support of the Agency’s implementation of its ILCR process.• The SRB Handbook is written to provide guidance to the NASA program and project communities and the SRBs regarding the expectations, processes, products, timelines, and working interfaces with NASA Mission Directorates (MDs), Centers, review organizations, and Management Councils. Page 21

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