Attachment XX. Implementation Risk Assessment Guidance REV J OCT24.docx

Navy ManTech Program

REV I OCT23

Implementation Risk Assessment Process Guidance Attachments:

1. Attachment 1: Implementation Risk Assessment – Project Category Definitions

2. Attachment 2: Implementation Risk Assessment – Risk Factor Definitions

3. Attachment 3: Implementation Risk Assessment – Project Category Risk Factor Weighting Factors

4. Attachment 4: Project Briefing Risk Assessment Template

5. Attachment 5: Implementation Risk Assessment – Project Risk Mitigation Plan Template

A. PURPOSE

The Navy ManTech implementation risk assessment process focuses on implementation and risks to implementation on a per Navy ManTech project basis, thereby improving the implementation probability of the project. The purpose of the implementation risk assessment process is to determine those factors that may prevent implementation of a technically successful ManTech solution and to mitigate the factors early in the ManTech project execution phase. It is the responsibility of the integrated project team (IPT) to use this guidance to maintain an updated implementation risk assessment evaluation and to develop details that support the rating for each risk factor.

The current implementation risk assessment will be presented at each program review to ensure that ManTech is in agreement on implementation progress with the acquisition and industry stakeholders whose representatives attend the program reviews. At the program review, the representatives will provide verbal feedback on their concerns and actions that should be taken by the IPT to improve or correct identified issues with each project. These suggestions will be recorded and provided to the IPT for action. The status of the recommendations must be addressed and briefed at the next program review.

Note: Because Rapid Response and Repair Technology Rapid Response projects are short in duration compared to the review cycle of ManTech projects, they will not be subject to a risk assessment at program reviews where they are presented. However, the principal investigator may provide an assessment for information purposes, if relevant.

B. IMPLEMENTATION RISK ASSESSMENT – PROJECT CATEGORIES AND RISK FACTORS

Using historical data, ManTech has defined six project categories and 11 individual risk factors as shown in the matrices in Attachments 1 and 2. While project categories and risk factors have been in use since October 2011, their definitions have been amended as necessary to optimize the risk assessment process.

C. INDIVIDUAL PROJECT IMPLEMENTATION RISK ASSESSMENTS

Each project will be subjected to an implementation risk assessment at appropriate program review meetings. When an IPT reviews the project, it should establish the project’s overall risk assessment score by using the following steps:

· Determine the most appropriate project category (Categories 1 through 6) using the definitions in Attachment 1.

· Use Attachment 2 to select the risk factor rating (RED, YELLOW, or GREEN) and assign a rating number (1 through 10) for each of the project’s risk factor categories.

· When a risk factor category is not applicable to the project, the risk factor cell should be “grayed” and the maximum score “10” should be assigned to that risk factor.

· Use Attachment 3 to select the risk category weighting values for the project category selected.

· Multiply each risk factor rating by the risk factor weighting values and sum to get an overall risk factor score.

· Assign an overall project implementation risk assessment color using the following guidance:

· Scores greater than 700 will be assigned an overall GREEN rating.

· Scores between 400 and 700 will be assigned a YELLOW rating.

· Scores under 400 will be assigned a RED rating.

Implementation risk assessments are required for each project briefed at program reviews, if appliable (see Project Types - Data Call Requirements table). As specified in the Project Briefing Guidance, the briefer will use the Excel template shown in Attachment 4 to present the implementation risk assessment for the project.

At any point during the execution of a project, the IPT may determine that immediate action is required to mitigate technical, programmatic, or financial deficiencies that are threatening the viability of a project. The mitigating action should be documented in a Project Risk Mitigation Plan (Attachment 5) and forwarded to the appropriate Navy ManTech Program Officer and the Navy ManTech Support Team.

During the program reviews, the project’s current risk assessment will be briefed, and Navy ManTech, the Program Office, and the implementing industrial facility representatives will discuss the project implementation risk. Specifically, they will debate the appropriateness of the risk selection and ratings. If the participants believe the rating is incorrect, they can direct a change to the presented risk factor rating, and can request actions be taken prior to the next project review to mitigate issues. The comments and actions will be included in the minutes provided after the program review meeting.

It is anticipated that the COE and implementing industrial facilities will make progress on the risk assessment so that the overall implementation risk assessment rating improves from ‘YELLOW’ to ‘GREEN’ and, for projects with an initial ‘RED’ rating, from ‘RED’ to ‘YELLOW’ to ‘GREEN.’

Navy ManTech Program

REV J OCT24

Note: The weighting factors for each risk factor for a specific project category provide a relative measure of importance of the risk factor toward implementation of the project. When a specific risk factor has no impact on the implementation of the project, the risk factor should receive the maximum rating (10). The overall risk assessment is based on this assumption.

Attachment 1: Implementation Risk Assessment – Project Category Definitions

1. Process Change – Under Cognizance of Industry (Only Company-Internal Resources Required)

· A production process change that does not impact the fit, form, or function of a platform component and does not require formal Navy approval. Production processing change, a material change in the production process, and above-the-shop floor production engineering / planning improvement are all examples that fall under this project category. The process should require only technical equivalency, technical maturity, and a strong business case to meet implementation requirements. There might be some equipment or implementation funding necessary (less than $100K). Only company-internal resources are typically required for implementation.

2. Process Change – Program Office /Technical Warrant Holder (TWH) Approval Critical

· A change that impacts a Navy-approved manufacturing process used in constructing naval components OR a material substitution for a previously approved baseline material. This category involves approvals by the TWH in accordance with existing specification requirements. An example is a project that advocates a new welding process. The approval of the new process requires formal written approval by the PO/TWH for implementation.

3. Process Change – Non-Navy ManTech Resource Critical (Equipment / Implementation)

· A production process change whose implementation is most critically affected by the availability of non-ManTech resources. The resources are likely either capital equipment or implementation funding which must be planned for and approved by senior management. Capital investment and/or implementation funding should be over $100K to be considered in this category.

4. Process Change – Multiple Critical Risk Factors

· A production process change that requires multiple critical risk factors to be considered. An example includes a project that requires a process certification to be successfully completed, but also includes significant capital and/or implementation funding to be secured in order for implementation to proceed. The critical risk factors that should be considered in this category are Technical Progress, Program Office Support, Technical Warrant Holder Approval, Major Milestones or Go/No-go Decisions, Capital Equipment / Facility Funding, and Business Case Strength / Benefit.

5. Design Change – Technical / Programmatic Focus

· A change to a platform component or structure that addresses an expressed technical deficiency and/or has a significant technical benefit driving its priority. The change will require Program Office and TWH approval or is a design change under the cognizance of an original equipment manufacturer (OEM). This category can result in an operationally improved product with no affordability benefit. Extensive validation or certification testing may be an issue, as is a lack of platform Program Office and TWH support.

6. Design Change – Manufacturing / Affordability Focus

· A change to a platform component or structure that addresses design or manufacturability issues resulting in an unacceptable cost penalty. Projects in this category may be acquisition focused and have a strong return on investment or may not have a high acquisition Program Office priority, but have a significant life-cycle benefit. Extensive validation or certification testing may be an issue, as is a lack of platform Program Office and TWH support.

Attachment 2: Implementation Risk Assessment – Risk Factor Definitions

Attachment 2: Implementation Risk Assessment – Risk Factor Definitions Continued

Attachment 3: Implementation Risk Assessment – Project Category Risk Factor Weighting Factors

Navy ManTech Program - Implementation Risk Assessment

Project Categories, Associated Risk Factors, and Associated Weighting Factors

Risk Factors

Funding

PO / TWH Approval Critical

Non-Navy ManTech Resource Critical

Multiple Critical Risk Factors

Technical / Programmatic Focus

Manufacturing / Affordability Focus

Attachment 4: Project Briefing Risk Assessment Template

Project Category:

Risk Factors

Transition Planning

Technical Progress

Program Office Support

Technical Warrant Holder Approval

Milestone or Go/No-Go Decision

Product / Process Certification

Capital Equipment / Facility Funding

Non-Navy ManTech Transition and Implementation Funding

Business Case Strength / Benefit

Technology / Product Maturity

Commercialization Partner Participation

OVERALL ASSESSMENT OF RISK

HNavy ManTech Program Rev I OCT23

Attachment 5: Implementation Risk Assessment – Project Risk Mitigation Plan Template

Implementation Risk Assessment Project Risk Mitigation Plan

Date: ________________________________________________________________________

Project Title: _________________________________________________________________

Project Number: ______________________________________________________________

COE: ________________________________________________________________________

Platform: _____________________________________________________________________

Implementing Organization: _____________________________________________________

Date of Program Review Briefing (Resulting in ‘RED’ Overall Risk Assessment Rating): _____________________________________________________________________________

Risk Factor(s) Requiring Mitigation:

1. xxxx

2. xxxx

Deficiency Causing Risk Factor Assessment Rating:

1. xxxx

2. xxxx

Description of Risk Mitigation Approach (Assign Dates / Responsible Parties to Proposed Actions):

1. xxxx – Responsible Party (Date)

2. xxxx – Responsible Party (Date)

Project Principal Investigator: ______________________________________ Date: __________

ManTech Program Officer: ________________________________________ Date: __________

Projects Receiving a ‘RED’ Overall Risk Assessment Rating:

1. The IPT should determine if a Project Risk Mitigation Plan (Attachment 5) should be submitted to the respective ManTech Program Officer (with a copy to the Navy ManTech Support Team) to alert of specific actions to be taken to mitigate the identified technical, programmatic, or financial issue affecting implementation. The Risk Mitigation Plan should detail immediate actions to be taken to correct a recently incurred critical deficiency in the project.

2. During the next Risk Assessment at a program review, the COE should report on the mitigating actions that were taken.

3. Projects having a ‘RED’ overall Risk Assessment rating for more than one program review are subject to termination, at the discretion of the ManTech Program Officer.

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