maturity model for the phased implementation of a quality

Maturity Model for the Phased Implementation of a Quality Assurance Management System for Private Security Service Providers

A S I S I N T E R N A T I O N A L

STANDARDAMERICAN NATIONAL

1625 Prince StreetAlexandria, Virginia 22314-2818

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ANSI/ASIS PSC.3-2013

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ASIS International (ASIS) is the preeminent

organization for security professionals, with more

than 38,000 members worldwide. Founded in 1955,

ASIS is dedicated to increasing the effectiveness and

productivity of security professionals by developing

educational programs and materials that address

broad security interests, such as the ASIS Annual

Seminar and Exhibits, as well as specific security

topics. ASIS also advocates the role and value of the

security management profession to business, the

media, governmental entities, and the general public.

By providing members and the security community

with access to a full range of programs and services,

and by publishing the industry’s number one

magazine, Security Management, ASIS leads the way

for advanced and improved security performance.

For more information, visit www.asisonline.org.

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ANSI/ASIS PSC.3-2013 an American National Standard

MATURITY MODEL FOR THE PHASED IMPLEMENTATION OF A QUALITY ASSURANCE MANAGEMENT SYSTEM FOR PRIVATE

SECURITY SERVICE PROVIDERS

Approved January 29, 2013

American National Standards Institute, Inc.

ASIS International

Abstract

This Standard will benefit private security service providers (PSCs) in improving their quality of services consistent with respect for human rights and legal and contractual obligations. It provides a basis for managing risk while reducing costs, demonstrating legal compliance, enhancing stakeholder relations, and meeting client expectations. The model outlines 6 phases ranging from no process in place for quality assurance management, to going beyond the requirements of the Standard. Criteria based on core elements of ANSI/ASIS PSC.1-2012, Management System for Quality of Private Security Company Operations - Requirements with Guidance can be used to demonstrate continual improvement and are compatible with rewards and recognition programs.

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NOTICE AND DISCLAIMER The information in this publication was considered technically sound by the consensus of those who engaged in the development and approval of the document at the time of its creation. Consensus does not necessarily mean that there is unanimous agreement among the participants in the development of this document.

ASIS International standards and guideline publications, of which the document contained herein is one, are developed through a voluntary consensus standards development process. This process brings together volunteers and/or seeks out the views of persons who have an interest and knowledge in the topic covered by this publication. While ASIS administers the process and establishes rules to promote fairness in the development of consensus, it does not write the document and it does not independently test, evaluate, or verify the accuracy or completeness of any information or the soundness of any judgments contained in its standards and guideline publications.

ASIS is a volunteer, nonprofit professional society with no regulatory, licensing or enforcement power over its members or anyone else. ASIS does not accept or undertake a duty to any third party because it does not have the authority to enforce compliance with its standards or guidelines. It assumes no duty of care to the general public, because its works are not obligatory and because it does not monitor the use of them.

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In publishing and making this document available, ASIS is not undertaking to render professional or other services for or on behalf of any person or entity, nor is ASIS undertaking to perform any duty owed by any person or entity to someone else. Anyone using this document should rely on his or her own independent judgment or, as appropriate, seek the advice of a competent professional in determining the exercise of reasonable care in any given circumstances. Information and other standards on the topic covered by this publication may be available from other sources, which the user may wish to consult for additional views or information not covered by this publication.

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Copyright © 2013 ASIS International

ISBN: 978-1-934904-45-9

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FOREWORD The information contained in this Foreword is not part of this American National Standard (ANS) and has not been processed in accordance with ANSI’s requirements for an ANS. As such, this Foreword may contain material that has not been subjected to public review or a consensus process. In addition, it does not contain requirements necessary for conformance to the Standard.

ANSI guidelines specify two categories of requirements: mandatory and recommendation. The mandatory requirements are designated by the word shall and recommendations by the word should. Where both a mandatory requirement and a recommendation are specified for the same criterion, the recommendation represents a goal currently identifiable as having distinct compatibility or performance advantages.

About ASIS ASIS International (ASIS) is the preeminent organization for security professionals, with more than 38,000 members worldwide. ASIS is dedicated to increasing the effectiveness and productivity of security professionals by developing educational programs and materials that address broad security interests, such as the ASIS Annual Seminar and Exhibits, as well as specific security topics. ASIS also advocates the role and value of the security management profession to business, the media, government entities, and the public. By providing members and the security community with access to a full range of programs and services, and by publishing the industry’s No. 1 magazine – Security Management – ASIS leads the way for advanced and improved security performance.

The work of preparing standards and guidelines is carried out through the ASIS International Standards and Guidelines Committees, and governed by the ASIS Commission on Standards and Guidelines. An ANSI accredited Standards Development Organization, ASIS actively participates in the International Organization for Standardization. The Mission of the ASIS Standards and Guidelines Commission is to advance the practice of security management through the development of standards and guidelines within a voluntary, nonproprietary, and consensus-based process, utilizing to the fullest extent possible the knowledge, experience, and expertise of ASIS membership, security professionals, and the global security industry.

Suggestions for improvement of this document are welcome. They should be sent to ASIS International, 1625 Prince Street, Alexandria, VA 22314-2818, USA.

Commission Members Charles A. Baley, Farmers Insurance Group, Inc.

Jason L. Brown, Thales Australia

Michael Bouchard, Sterling Global Operations, Inc.

John C. Cholewa III, CPP, Mentor Associates, LLC

Cynthia P. Conlon, CPP, Conlon Consulting Corporation

William J. Daly, Control Risks Security Consulting

Lisa DuBrock, Radian Compliance

Eugene F. Ferraro, CPP, PCI, CFE, Business Controls, Inc.

F. Mark Geraci, CPP, Purdue Pharma L.P., Chair

Bernard D. Greenawalt, CPP, Securitas Security Services USA, Inc.

Robert W. Jones, Socrates Ltd

Glen Kitteringham, CPP, Kitteringham Security Group, Inc.

Michael E. Knoke, CPP, Express Scripts, Inc., Vice Chair



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Bryan Leadbetter, CPP, Bausch & Lomb

Marc H. Siegel, Ph.D., Commissioner, ASIS Global Standards Initiative

Jose M. Sobrón, United Nations

Roger D. Warwick, CPP, Pyramid International

Allison Wylde, London Metropolitan University Business School

At the time it approved this document, the PSC.3 Standards Committee, which is responsible for the development of this Standard, had the following members:

Committee Members Committee Chairman: Marc H. Siegel, Ph.D., Commissioner, ASIS Global Standards Initiative Committee Secretariat: Susan Carioti, ASIS International

Frank P Amoyaw, LandMark Security Limited

William Badertscher, CPP, Georgetown University

Pradeep Bajaj, Professional Industrial Security Management Academy (PRISMA)

Jonathan Bellish, Oceans Beyond Piracy

Inge Black, CPP, CFE, CPO, CanAm Security Risk Group, LLC

Dennis Blass, CPP, PSP, CFE, CISSP, Children's of Alabama

Anne-Marie Buzatu, Geneva Centre for the Democratic Control of Armed Forces (DCAF)

John Casas, PSP, John Casas & Associates, L.L.C.

Rebecca DeWinter-Schmitt, American University

Bobby Dominguez, CPP, CISSP, PMP, CRISC, GSLC, PSCU Financial Services, Inc.

Jack Dowling, CPP, PSP, JD Security Consultants, LLC

André du Plessis, Geneva Centre for the Democratic Control of Armed Forces (DCAF)

Johan du Plooy, CPP, Temi Group

Michael Edgerton, CPP, Good Harbor Consulting, LLC

Thomas Engells, CPP, The University of Texas Medical Branch at Galveston

Glynne Evans, Olive Group Ltd

Windom Fitzgerald, CPP, Pendulum Companies

Stuart Groves, Independent Consultant

Jeffrey Gruber, CPP, CHS-IV, Department of the Army Civilian

Merlin Grue, PSP, Merlin Grue Investigative & Consulting Services

Thomas Haueter, Geneva Centre for the Democratic Control of Armed Forces (DCAF)

Lisa Hole, UK Ministry of Defence

Tom Holmes, Edinburgh International

William Imbrie, DynCorp International, LLC

Randy King, DOD Contractors.org, LLC

Christopher Kinsey, King's College London

Mark Knight, Montreux Solutions - Geneva

Mark LaLonde, Canpro Global

Steven Lente, CPP, Securitas Security Services



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Tim Lindsey, CPP, Sidwell Protection Services

William Lutz Jr., NICET Level IV, Fire Alarms, Security On-Line Systems, Inc.

Anthony Macisco, CPP, The Densus Group

Christopher Mayer, U.S. Department of Defense

Allan McDougall, PCIP CMAS CISSP CPP, Evolutionary Security Management

Paul Mitchell, GlobalEdge International

Rodney Pettus, The Jones Group

Tracy Philbert, Plexus Consultancy

Werner Preining, CPP, CMAS, Interpool Security Ltd

William Prentice, Marine Security Initiatives, Inc.

Daniel Puente Pérez, Sociedad de Prevención de Asepeyo

Erik Quist, EOD Technology, Inc. (EODT)

Ian Ralby, I.R. Consilium

Eric Rojo, Magination Consulting International

Maya Siegel, SEMSI

Matt Silcox, CPP

Jeffrey Slotnick, CPP, PSP, Setracon, Inc.

Teresa Stanford, CPP, Security Engineers, Inc.

Barry Stanford, CPP, AEG

Timothy Sutton, CPP, CHSS, Securitas Security Services

Roger Sylvester, CPP, Ensign-Bickford Industries

Karim Vellani, CPP, Threat Analysis Group, LLC

Erika Voss, CBCP, CORM, MBCI, Amazon

Colin Walker, Mclean Walker Security Risk Management Inc.

Roger Warwick, CPP, UNI

Eric Davoine

Dale Wunderlich, CPP, A. Dale Wunderlich & Associates, Inc.

Working Group Members Working Group Co-chairmen: Marc H. Siegel, Ph.D., Commissioner, ASIS Global Standards Initiative Ian Ralby, Ph.D., Executive Director, I.R. Consilium

Frank P Amoyaw, LandMark Security Limited

William Badertscher, CPP, Georgetown University

Pradeep Bajaj, Professional Industrial Security Management Academy (PRISMA)

Dennis Blass, CPP, PSP, CFE, CISSP, Children's of Alabama

John Casas, PSP, John Casas & Associates, L.L.C.

André du Plessis, DCAF

Johan du Plooy, CPP, Temi Group

Glynne Evans, Olive Group Ltd

Jeffrey Gruber, CPP, CHS-IV, Department of the Army Civilian

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Lisa Hole, UK Ministry of Defence (representing UK Government)

Mark Knight, Montreux Solutions - Geneva

Steven Lente, CPP, Securitas Security Services

Tim Lindsey, CPP, Sidwell Protection Services

Anthony Macisco, CPP, The Densus Group

Christopher Mayer, Department of Defense

Allan McDougall, PCIP CMAS CISSP CPP, Evolutionary Security Management

Ian Ralby, I.R. Consilium

Maya Siegel, SEMSI

Jeffrey Slotnick, CPP, PSP, Setracon, Inc.



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TABLE OF CONTENTS

0. INTRODUCTION ............................................................................................................................................... IX

0.1 GENERAL .............................................................................................................................................................. IX 0.2 HUMAN RIGHTS PROTECTION .................................................................................................................................... X 0.3 MANAGEMENT SYSTEMS APPROACH ......................................................................................................................... XI

1. SCOPE OF STANDARD ....................................................................................................................................... 1

2. NORMATIVE REFERENCES ................................................................................................................................ 1

3. TERMS AND DEFINITIONS ................................................................................................................................. 2

4. MATURITY MODEL FOR THE PHASED IMPLEMENTATION OF ANSI/ASIS PSC.1-2012 ........................................ 4

4.1 MATURITY MODEL .................................................................................................................................................. 4 4.1.1 What is a Maturity Model? ........................................................................................................................ 4 4.1.2 Why Use a Maturity Model? ...................................................................................................................... 4 4.1.3 Using a Maturity Model with the Management Systems Approach. ......................................................... 5

4.2 PHASES OF THE MATURITY MODEL ............................................................................................................................. 6 4.2.1 Phase One – Pre-awareness ....................................................................................................................... 6 4.2.2 Phase Two – Project Approach ................................................................................................................... 7 4.2.3 Phase Three – Program Approach .............................................................................................................. 7 4.2.4 Phase Four – Systems Approach ................................................................................................................. 8 4.2.5 Phase Five – Management System ............................................................................................................. 8 4.2.6 Phase Six – Holistic Management .............................................................................................................. 9

4.3. MATURITY MODEL MATRIX (MANAGEMENT SYSTEMS APPROACH) ................................................................................. 9

A. USING THE MATURITY MODEL IN AN INTERNAL RECOGNITION PROGRAM ................................................... 34

B. GETTING STARTED USING THE ANSI/ASIS PSC.1-2012 .................................................................................... 35

C. REFERENCES ................................................................................................................................................... 38

TABLE OF FIGURES FIGURE B.1 : UPWARD SPIRAL IMPLEMENTATION OF THE STANDARD (BASED ON THE PDCA MODEL) ............................................... 37

TABLE OF TABLES TABLE 1: MATURITY MODEL FOR THE PHASED IMPLEMENTATION OF THE ANSI/ASIS PSC.1-2012 QUALITY ASSURANCE STANDARD ... 11

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0. INTRODUCTION

0.1 General The Quality Assurance Maturity Model is a methodology designed to help Private Security Service Providers including Private Security Companies (collectively “PSCs”) implement a Quality Assurance Management System (QAMS) consistent with respect for human rights, legal obligations, and good quality assurance practices. This maturity model (referred to here as the Standard) for the phased implementation of the ANSI/ASIS PSC.1-2012, Management System for Quality of Private Security Company Operations – Requirements with Guidance quality assurance standard (referred to here as the “standard”), may be used by any type of PSC regardless of their size, scope, or complexity; particularly those operating in circumstances of weakened governance where the rule of law has been undermined due to human or naturally caused events. The Standard accommodates diverse jurisdictional, geographical, cultural, operational, and social environments.

Adopting a process for the phased implementation of a QAMS (“maturity model”) helps the organization determine how to manage change and cost-effectively address the uncertainty in achieving its objectives. The purpose of this Standard is to improve and demonstrate consistent and predictable quality of services provided by PSCs while maintaining the safety and security of their operations and clients within a framework that aims to ensure respect for human rights, national and international laws, and fundamental freedoms. Given the finite resources of organizations, it is imperative that they have tools to address the array of threats, hazards, and risks they may face. The maturity model described in this Standard helps organizations establish, implement, and maintain a QAMS (e.g., ANSI/ASIS PSC.1-2012) to better manage the risks of potentially undesirable and disruptive events through anticipation, assessment, prevention, protection, mitigation, response, and recovery.

Throughout this Standard, reference is made to managing risks. PSCs inherently operate in high risk environments. The organization needs not only to manage risks related to its operations and internal stakeholders, but also those related to external stakeholders upon whom the organization impacts and who can impact the organization. Therefore, the organization must also consider the risks related to its clients, as well as impacted communities. Sources of risk include, but are not exclusive to: legal, security, safety, human resources, cultural, environmental, financial, socio-political, and operational factors. In order to provide a quality of service while demonstrating respect for human life and rights and in order to fulfill contractual obligations, the organization should strive to proactively treat risks minimizing the likelihood and consequences of undesirable and disruptive events. Risk management objectives need to support the organization’s quality assurance management objectives.

This Standard identifies six phases of maturity to achieve continual improvement of quality assurance through a management framework. The maturity model helps organizations achieve the benefits of quality assurance management by “phasing in” a system tied to the organization’s business needs and economic realities, emphasizing a priority to protect life and



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respect human rights, national and international laws, and fundamental freedoms. The maturity model enhances an organization’s capacity to manage quality assurance to better prevent when possible, mitigate, respond to, and recover from undesirable and disruptive events. The body of this document provides criteria to plan, do, check, and act, in order to drive continual improvement of the management system.

This model outlines six phases of implementation of ANSI/ASIS PSC.1-2012, ranging from a pre-awareness phase (no process in place for quality assurance management) to holistic management (going beyond the requirements of ANSI/ASIS PSC.1-2012), to promote quality assurance management with stakeholders. Using this maturity model, an organization can achieve and maintain an appropriate level of quality assurance management with respect for legal obligations and human rights as part of an organization’s culture.

The maturity model for the phased implementation of ANSI/ASIS PSC.1-2012 is a series of steps designed to help organizations evaluate where they currently are with regard to quality assurance management, create a business case for a QAMS, establish goals for achievement, benchmark where they are relative to those goals, and plot a business-sensible path to attain conformance with ANSI/ASIS PSC.1-2012. Standards are designed to promote managed and repeatable performance. Managed and repeatable performance will be achieved by moving to a level appropriate for the organization with the goal being to achieve full conformance with ANSI/ASIS PSC.1-2012 and going beyond conformance to the sixth step whenever possible.

This Standard is designed so that it can be integrated with quality, safety, environmental, information security, risk, resilience, and other management systems within an organization. A suitably designed maturity model for phased implementation can thus satisfy the requirements of other management systems standards. Organizations that have adopted a management system (e.g., according to ANSI/ASIS SPC.1-2009, ISO 9001:2000, ISO 14001:2004, ISO 28000:2005, and/or ISO/IEC 27001:2005) are encouraged to use this Standard in conjunction with their existing management systems.

0.2 Human Rights Protection While states and their entities must respect, uphold, and protect human rights, all segments of society (public, private, and not-for-profit) have a shared responsibility to act in a way that respects and does not negatively impact upon human rights and fundamental freedoms. States, clients, and PSCs have a shared responsibility to establish policies and controls to assure conformance with the legal obligations and recommended good practices of the Montreux Document and International Code of Conduct (ICoC). Organizations, regardless of their level of maturity, have an obligation to respect human rights in all of their operations and activities.

The PSC.1 standard emphasizes the sanctity of life of all stakeholders, therefore:

At the most basic “Pre-Awareness” level, organizations may not knowingly do anything that would adversely affect the human rights of persons working on their behalf, clients and other persons they are contracted to protect, or local communities and the general population in their theatre of operation. However, from the Project Approach (Phase 2)



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onwards organizations assess the human rights risks associated with their operations and take appropriate actions;

Starting with the second phase of the six phase maturity model, organizations should establish and communicate a policy describing top management’s commitment to the respect for human rights and the importance of incorporating that respect into the organization’s operations and procedures;

As organizations mature, they will identify and assess human rights risks associated with their operations, and develop risk treatment strategies; beginning with individual projects and maturing to encompass organization-wide activities;

An awareness of the need to proactively manage risks that may result in undesirable and disruptive events and respect human rights increases with each phase of maturity. Organizations move from merely reacting to events as they occur to anticipating the potential for events and initiating pre-emptive measure to minimize their likelihood;

As organizations mature, they establish proactive mechanisms to address undesirable and disruptive events to manage incidents in order to mitigate their impacts, as well as establish methods for the reporting, investigation and remediation of incidents; and

Continual improvement drives a commitment to respect and promote human rights as inseparable from the provision of security services, by all personnel at all levels of the organization.

0.3 Management Systems Approach The management systems approach encourages organizations to analyze organizational and stakeholder requirements and define processes that contribute to minimizing the risks of potentially undesirable and disruptive events. A management system provides the framework for continual improvement to increase the likelihood of enhancing the quality of services while assuring the protection of human rights and fundamental freedoms. It provides confidence to both the organization and its clients that the organization is able to manage its safety, security, and legal obligations while clearly demonstrating the integration of the respect for human rights into its activities and operations.

Through the full implementation, ongoing maintenance, and continual improvement of the ANSI/ASIS PSC.1-2012 quality assurance management system, an organization is able to reach the ultimate goal of ensuring quality assurance consistent with respect for human rights, legal obligations, and good practices. The phased approach recognizes that the QAMS must be aligned with the organization’s needs, resources, capabilities, and constraints in order to support continual improvement.

An organization needs to identify and manage many activities in order to function effectively. Any activity using resources that are managed in order to enable the transformation of inputs into outputs can be considered to be a process. Often the output from one process directly forms the input to the next process. The management systems approach considers how local policies, culture, actions, or changes influence the state of the organization as a whole and its environment. The component parts of a system can best be understood in the context of relationships with each other, rather than in isolation. Therefore, a management system



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examines the linkages and interactions between the elements that compose the entirety of the system. The management systems approach systematically defines activities necessary to obtain desired results and establishes clear responsibility and accountability for managing key activities.

The maturity model approach for a QAMS presented in this Standard encourages its users to emphasize the importance of:

a) Understanding an organization’s internal and external context, risk, as well as human rights and legal obligations;

b) Establishing a policy and objectives to manage risks; c) Implementing and operating controls to manage an organization’s risk and security

requirements while respecting human rights; d) Monitoring and reviewing the performance and effectiveness of the QAMS,

administratively and operationally; and e) Continual improvement based on objective measurement.

The Maturity Model outlines six phases of implementation briefly described below as:

1. Phase One: Pre-awareness – Ad hoc quality assurance activities, no process currently in place, and quality assurance management is absent with no advanced preparation. Top management does not recognize the benefits of quality assurance management.

2. Phase Two: Project Approach – Commonly known as “the awareness phase”, where management is willing to test the concept and establish a trial project to explore the benefits of quality assurance management consistent with respect for human rights, legal obligations and good practices.

3. Phase Three: Program Approach – An expansion of the project approach. The organizational view begins to shift from specific issues to addressing division- or organization-wide issues implementing the core elements of the base standard.

4. Phase Four: Systems Approach – This phase involves integrating the core elements of ANSI/ASIS PSC.1-2012. Proactive quality assurance management is viewed as part of an iterative continual improvement process using the Plan-Do-Check-Act (PDCA) model.

5. Phase Five: Management System – All the core elements of the base standard have been applied, evaluated and validated for bringing the organization into full conformance with ANSI/ASIS PSC.1-2012.

6. Phase Six: Holistic Management – Quality assurance management culture is well-developed and is considered an inseparable part of decision making.

The six phases of the model are focused on the phased implementation of a management system standard, all of which are applicable to any discipline or type of management system that seeks to treat risk. In the maturity model’s application to the QAMS, the phases move from reaction to events to addressing known issues mitigating consequences, to balanced and preemptive strategies for anticipation, assessment, prevention, protection, preparedness, mitigation, and response and recovery appropriate to minimizing the likelihood and consequences of undesirable and disruptive events.


AMERICAN NATIONAL STANDARD ANSI/ASIS PSC.3-2013


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1. SCOPE OF STANDARD This Standard provides guidance for the use of a maturity model for phased implementation of ANSI/ASIS PSC.1-2012 as a series of steps designed to help organizations:

Evaluate where they currently are with regard to quality assurance management consistent with respect for human rights, legal obligations, and good practices.

Set goals for where they want to go, and benchmark where they are relative to those goals.

Plot a business/mission appropriate path to get there.

The model outlines six phases ranging from an unplanned approach to managing events, to going beyond the requirements of the Standard, and creating a holistic environment for quality assurance management.

2. NORMATIVE REFERENCES The following standard contains provisions which, through reference in this text, constitute provisions of this American National Standard. At the time of publication, the editions indicated were valid. All standards are subject to revision, and parties to agreements based on this American National Standard are encouraged to investigate the possibility of applying the most recent editions of the standard indicated below.

a) ANSI/ASIS PSC.1-2012, Management System for Quality of Private Security Company Operations - Requirements with Guidance 1

b) The Montreux Document on Pertinent International Legal Obligations and Good Practices for States related to Operations of Private Military and Security Companies during Armed Conflict, U.N. doc. A/63/467-S/2008/636 (2008).)2; and

c) International Code of Conduct for Private Security Service Providers (ICoC) (11/2010)3.

1 This document is available at https://www.asisonline.org/guidelines/published.htm. p // g/g /p

2 For the most current version, go to: http://www.eda.admin.ch/psc. p // /p

3 This document is currently available at http://www.icoc-psp.org. p // p p g

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3. TERMS AND DEFINITIONS NOTE: The reader is encouraged to read through the terms and definitions prior to reading the body of the document.

For the purposes of this Standard, the following terms and definitions apply:

Term Definition

3.1 community A group of associated organizations sharing common interests.

3.2 event An occurrence or change of a particular set of circumstances. [ISO Guide 73:2009] NOTE 1: Nature, likelihood, and consequence of an event cannot be fully knowable.

NOTE 2: An event can be one or more occurrences, and can have several causes.

NOTE 3: Likelihood associated with the event can be determined.

NOTE 4: An event can consist of a non-occurrence of one or more circumstances.

NOTE 5: An event with a consequence is sometimes referred to as “incident”.

3.3 gap analysis A technique for determining the steps to be taken in moving from a current state to a desired future-state.

NOTE: Can be used to establish a baseline.

3.4 quality assurance management (QAM)

Systematic and coordinated activities and practices through which an Organization manages its operational risks and the associated potential threats and impacts therein; consistent with respect for human rights, legal obligations, and good practices.

3.5 quality assurance management program

Ongoing management and governance process supported by top management, resourced to ensure that the necessary steps are taken to identify the root causes of potential undesirable and disruptive events to minimize their likelihood and consequences; maintain viable adaptive, proactive, and reactive strategies and plans; and promulgate safety and security of their operations and clients within a framework that aims to ensure respect for human rights, national and international laws, and fundamental freedoms. Thorough planning, exercising, testing, training, maintenance, and assurance.

3.6 quality assurance management system

Quality assurance management system - A set of interrelated or interacting elements that organizations use to direct and control how policies are implemented and objectives are achieved for quality assurance management.



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Term Definition

3.7 risk Effect of uncertainty on objectives. [ISO Guide 73:2009] NOTE 1: An effect is a deviation from the expected – positive and/or negative.

NOTE 2: Objectives can have different aspects such as financial, health, safety, and environmental goals and can apply at different levels – such as strategic, organization-wide, project, product, and process.

NOTE 3: Risk is often characterized by reference to potential events, consequences, or a combination of these and how they can affect the achievement of objectives.

NOTE 4: Risk is often expressed in terms of a combination of the consequences of an event or a change in circumstances, and the associated likelihood of occurrence.

3.8 risk treatment Process to modify risk (ISO Guide 73:2009) NOTE 1: Risk treatment can involve:

Avoiding the risk by deciding not to start or continue with the activity that gives rise to the risk;

Taking or increasing risk in order to pursue an opportunity; Removing the risk source; Changing the likelihood; Changing the consequences; Sharing the risk with another party or parties (including

contracts and risk financing); and Retaining the risk by informed choice.

NOTE 2: Risk treatments that deal with negative consequences are sometimes referred to as “risk mitigation”, “risk elimination”, “risk prevention” and “risk reduction”.

NOTE 3: Risk treatment can create new risks or modify existing risks.

3.9 sustainability The ability to maintain and preserve the activities and functions of an organization.

3.10 top management Person or group of people who directs and controls an organization at the highest level. [ISO 9000:2005]



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4. MATURITY MODEL FOR THE PHASED IMPLEMENTATION OF


4.1 Maturity Model

4.1.1 What is a Maturity Model? A maturity model is a series of structured steps designed to enable the organization to:

Establish goals consistent with the organization’s vision for continual improvement; Benchmark the organization relative to those goals; and Plot a business/mission appropriate path to achieve the goals.

Using a maturity model allows an organization to phase in a quality assurance management system standard in order to achieve a balance between an organization’s needs, time, and financial constraints. It provides a framework to continually improve the capacity to manage risk and maintain respect for human rights.

A maturity model may provide:

A baseline and gap analysis; Benefit from prior experiences, best practices, and lessons learned; A common language and a shared vision; A framework for prioritizing actions; The opportunity to manage implementation costs more effectively; A way to establish achievable and sustainable goals within resource constraints; and A means to define what continual improvement means for your organization.

4.1.2 Why Use a Maturity Model? A maturity model for the phased implementation of the ANSI/ASIS PSC.1-2012 quality assurance standard provides several advantages:

By selecting initial projects to demonstrate the benefits of the ANSI/ASIS PSC.1-2012 management system, it is possible to build and maintain the support and commitment of stakeholders, staff, and management;

Building the system in a phased approach and achieving benchmarks of maturity provides the organization a link between costs and value added; and

It provides a basis for managing risk and assuring quality of services while reducing costs, demonstrating legal and regulatory compliance, enhancing respect for human rights, meeting client requirements, and addressing other stakeholder expectations.

Organizations may have different reasons for pursuing the implementation of ANSI/ASIS PSC.1-2012, from addressing identified problems, to capitalizing on opportunities for improvement, to gaining business/mission advantage, to complying with contractual and legal requirements. All organizations benefit from enhanced quality assurance. The maturity model for phased implementation places the focus on the continual improvement



5

of the process approach for quality assurance management. The purpose is to better manage the organization’s risks to promote the safety and security of their operations and clients within a framework that aims to ensure respect for human rights, national and international laws, and fundamental freedoms. The maturity model provides achievable steps tailored to the economic and temporal realities in which the organization must operate. The organization can expand and improve its QAMS consistent with the context in which it operates, the objectives of the organization, and the availability of resources.

The maturity model does not presume an organization will seek third-party certification. Rather, the approach outlined in this Standard assumes that the driving force for pursuing the implementation of the ANSI/ASIS PSC.1-2012 quality assurance standard is to establish a management system for the continual improvement of quality assurance performance. It is a tool to help organizations become better educated and aware of the benefits of quality assurance management and managing the risks of undesirable and disruptive events. The tools in this Standard help organizations phase-in a management system timed to their business/mission needs, economic and socio-political realities, and relevant legal and contractual obligations. The methodology defined in this Standard can be used by any organization, regardless of whether they will eventually make a business decision to seek first, second, or third-party validation of their conformance with the requirements of the ANSI/ASIS PSC.1-2012 quality assurance standard.

4.1.3 Using a Maturity Model with the Management Systems Approach. All organizations face the challenge of managing their risks within the bounds of organizational objectives and available resources. Through the full implementation, ongoing maintenance, and continual improvement of ANSI/ASIS PSC.1-2012, an organization is able to reach the goal of optimizing quality assurance. The phased approach recognizes that risk and quality management needs to be achieved considering the business/mission, management, and operational needs – as well as the constraints – of the organization. Organizations, regardless of their level of maturity, have an obligation to respect human rights.

The maturity model in this Standard is designed to phase in the implementation of the QAMS. Phases are designed to benchmark the establishment of the QAMS consistent with a phased approach that would be used for other management systems standards (e.g., ISO 9001).

For a management system to be effective, it must be implemented by every person within the organization. For this to occur, some organizations may require a significant paradigm shift in culture, where managing risks is no longer seen as just the responsibility of management. Everyone within the organization should take ownership of their part of the risk management process, making risk and quality assurance management and respect for human rights an integral part of the culture of the organization. Implementation of a management system is both by and for the organization and should be fully integrated into

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6

all aspects of the organization to motivate full participation. A maturity model for the phased implementation of ANSI/ASIS PSC.1-2012 helps develop momentum supporting quality assurance management, which is needed to encourage persons to manage their risks by clearly seeing the benefits of participation. By carefully setting objectives and targets to maximize chances of early success, it is possible to stimulate top management support and acquire the needed resources to implement the management system. Publicizing and recognizing success breeds the necessary levels of enthusiasm and credibility throughout the organization to move from phase to phase towards the goal of a fully integrated QAMS. Conversely, the phased approach allows the organization to measure where it is at; and as needed, focuses its efforts for improvement on areas of identified weakness.

4.2 Phases of the Maturity Model The maturity model for the phased implementation of ANSI/ASIS PSC.1-2012 is a series of steps designed to help organizations evaluate where they currently are with regard to quality assurance and risk management, to set goals for where they want to go, to benchmark where they are relative to those goals, and to plot a business-sensible path to get there. Standards are designed to promote managed and repeatable performance. This will be achieved by attaining the maturity level of each phase. Each of these phases is composed of some aspect of the actions documented in ANSI/ASIS PSC.1-2012.

4.2.1 Phase One – Pre-awareness4 This is the pre-awareness phase where the organization is not conducting pre-planning, but rather reacting to situations as they arise in an ad hoc fashion. No quality assurance and risk management process or policy is in place; rather, individuals within the organization are reacting to quality assurance, risk management, and human rights issues as they occur. The key barrier in this phase is a lack of – or misunderstanding of – the information, knowledge, and vision about quality assurance management. In order to move from Phase One to Phase Two, the organization needs to recognize the need and the value of quality assurance management. A disruptive event may trigger a realization within the organization that pre-planning might have saved the organization and its stakeholders from physical, financial, and reputational harm. External factors – such as stakeholder concerns, contractual requirements, or government encouragement – may cause the organization to consider exploring a more proactive approach. Once the organization becomes aware of the potential benefits of quality assurance management, it is ready to move on to Phase Two.

4 Lack of an established or formal program does not relieve the PSC from the requirements to adhere to internationally accepted measures and approaches to protect human rights, nor for their accountability should an incident occur.



7

4.2.2 Phase Two – Project Approach The project approach is the awareness phase. Management is willing to test the concept and establish a trial project to explore the benefits of quality assurance management. A limited scope project is established to address specific issues using the core elements of ANSI/ASIS PSC.1-2012 as a guide for how to improve performance.

Management should clearly define the objectives and expectations of the project. Management then authorizes and provides resources to a “Project Leader” to conduct a project (see ANSI/ASIS PSC.1-2012, section 6.5). To assure the best outcome of the project, issues addressed must be carefully selected to maximize the likelihood of quick success. The project focus is on demonstrating the need and value of quality assurance management. The underlying assessment of the project is a gap analysis: examining what is needed to achieve the goals of the project in order to recognize, demonstrate, and promote success to generate momentum for a broader quality assurance management program.

Recognizing this project is vital to the success of this phase. Therefore, as with any project, it requires clear definitions of objectives, authorities, roles, responsibilities, budgets, and timeframes, as well as a method to measure and monitor outcomes. To conduct the project successfully, the Project Leader needs to have top management support, including adequate resources. In addition, access to adequate training and expertise are necessary to support the Project Leader and members of the project team.

This Standard provides a structure for approaching and resolving the issues that need to be addressed. Implementation entails applying as many of the core elements of the base standard as possible to improve quality assurance and risk management performance relative to the identified elements. Attention is focused on addressing the “low hanging fruit5” issues, rather than emphasizing the management system framework structure.

4.2.3 Phase Three – Program Approach The program approach is an expansion of the project approach. The view shifts from specific issues to addressing division- or organization-wide issues, implementing the core elements of ANSI/ASIS PSC.1-2012. Focus is placed on the activities outlined in the individual core elements rather than their interrelationships and integration of the elements. Risk and quality assurance management applications are selected for their chances of demonstrating success and awareness. In this phase, top management recognizes the importance of the elements and the need for pre-planning. The application of ANSI/ASIS PSC.1-2012 is still in a pilot-testing mode. Parts of the organization are applying the elements of ANSI/ASIS PSC.1-2012 and testing action plans to make a business case for implementing the management system standard in full.

5 A course of action that can be undertaken quickly and easily as part of a wider range of changes or solutions to a problem.

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8

This phase provides the opportunity to increase awareness to a larger portion of the organization. The “Program Manager” is appointed and endorsed by top management, and expands the project to address broader issues related to the organization’s reliability, sustainability, and respect for human rights. The organization identifies and defines authorities, roles, responsibilities, and appropriate resources within the organization (see ANSI/ASIS PSC.1-2012, section 6.5). Emphasis is on developing a series of action plans to deal with events that may impact the organization and its stakeholders. The action plans selected may be in reaction to actual or potential events. When developing the action plans, the organization creates proactive plans to better respond to identified issues. The organization should consider measures to reduce the likelihood of undesirable and disruptive events and their consequences. Typically, more weight is given to pre-emptive planning to address the symptoms and consequences of a disruption.

4.2.4 Phase Four – Systems Approach Phase Four is the systems approach which involves putting the pieces together. Core elements of the base standard are expanded upon with special attention paid to their interrelationships and integration. The core elements are viewed in terms of identifying and addressing root causes of undesirable and disruptive events and creating economically viable solutions which address the root causes. Quality assurance management is viewed as part of an iterative continual improvement process using the PDCA model. Integration and feedback loops of the systems approach encourage learning from experience.

In this phase, top management recognizes, understands, and is committed to the strategic importance of quality assurance management. Top management is actively engaged in the elements of the management system and ANSI/ASIS PSC.1-2012. The organization establishes, implements, and maintains an ongoing formal risk and impact assessment process (see ANSI/ASIS PSC.1-2012, section 7.2), to ensure that operations and activities have been identified, risk criteria are set, and risks are prioritized with an emphasis on proactive and pre-emptive risk treatment measures. The focus is on identifying opportunities for improvement in risk and quality assurance performance. Various parts of the organization are testing the standard’s core elements to refine the implementation of ANSI/ASIS PSC.1-2012. Audit findings are used to identify opportunities for improvement in order to reinforce the competitive and strategic advantage of the organization. By the end of this phase, a culture of risk management and quality assurance consistent with respect for human rights is clearly taking hold within the organization.

4.2.5 Phase Five – Management System By this phase, the management system is now fully implemented consistently throughout the defined scope of the organization. The organization can now demonstrate conformance to ANSI/ASIS PSC.1-2012 (either by first, second, or third party validation). A multi-year perspective recognizing the utility of the management system standard has been visibly endorsed by top management and quality assurance management consistent with respect

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9

for human rights is fully integrated into the organization’s functions and activities. A quality assurance management culture is promoted within the organization, encouraging persons throughout it to take ownership of risk. This includes pre-emptively acting upon their role in identifying, assessing, and managing risk to promote risk management and quality assurance.

The management of risk uses a pre-emptive approach to address the minimization of both the likelihood and consequences of undesirable and disruptive events. Risk management, risk assessment, and quality assurance management are considered key components of the overall decision-making process in the organization. Training and awareness are routine parts of the human resource management of all persons providing services to the organization.

By now, all the core elements of the standard have been applied and tested. The organization establishes, implements, and maintains documented procedures for internal audits and management reviews (see ANSI/ASIS PSC.1-2012, sections 10-11) to drive opportunities for improvement and increased competitiveness. The management systems approach is extended to new applications, divisions, and parts of the enterprise, as well as subcontractors and supply chain partners. There is a continual drive to make the system processes more efficient and effective, to support continued interest and engagement in the quality assurance and risk management processes.

4.2.6 Phase Six – Holistic Management In phase six, the organization goes beyond conformance to ANSI/ASIS PSC.1-2012 to fully integrate quality assurance into its enterprise-wide business management strategy. The risk and quality assurance management culture is well-developed and is considered an inseparable part of decision-making and day-to-day operations, including its relationships with both its internal and external stakeholders. Quality assurance management and systems principles are expanded to all areas of business and activities.

The organization mentors other stakeholders within an internal, external, and risk management context, as well as enterprise-wide quality assurance management within subcontractor and client interactions, thus recognizing that quality assurance is an integral part of service and client relationships.

4.3. Maturity Model Matrix (Management Systems Approach) The following matrix outlines the perspectives and activities that should be considered for the different phases of implementation of ANSI/ASIS PSC.1-2012. The matrix provides guidance on how an organization can structure a fit-for-purpose program to align with their organization’s business needs and realities. Organizations can use this matrix as a basis for a recognition program to evaluate their level of performance.

When using the matrix it is important to be aware that starting with Phase Two there is a cumulative implementation of the phases. By moving across the matrix for increasing maturity



10

for any element, the organization can measure where it is at and determine how to best achieve the next level. Most well-managed organizations have parts of the elements at varying stages of maturity. The matrix can be used to focus resources and efforts to bring all elements up to the same level of maturity to enhance movement to increased phases of maturity.


AN

SI/A

SIS

PS

C.3

-201

3

11

Tabl

e 1:

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

AN

SI/A

SIS

PSC

.1-2

012

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

- Gen

eric

C

once

pts

- Key

ele

men

tal

them

e.

- Des

crip

tion

of e

lem

ent.

- N

o fo

rmal

qua

lity

assu

ranc

e m

anag

emen

t. - R

isk

and

qual

ity

assu

ranc

e m

anag

emen

t ac

tions

are

re

actio

nary

in

natu

re.

- Not

yet

re

cogn

izin

g th

e im

porta

nce

and

valu

e of

QA

MS

el

emen

ts.

- Res

pons

e an

d re

cove

ry to

un

desi

rabl

e an

d di

srup

tive

even

ts

depe

nden

t on

the

ad h

oc re

actio

ns

and

resp

onse

s of

si

ngul

ar in

divi

dual

s ba

sed

on th

eir

diffe

rent

ex

perie

nces

and

/or

the

colle

ctiv

e,

how

ever

un

coor

dina

ted,

re

spon

ses

of th

e di

vers

e in

divi

dual

s.

- Ini

tiate

s a

proj

ect

to a

ddre

ss s

peci

fic

issu

e(s)

by

parti

ally

im

plem

entin

g co

re

elem

ents

. - A

ctio

ns g

ener

ally

re

actio

nary

in

natu

re, f

ocus

ing

on

pre-

iden

tifie

d is

sue(

s).

- Rec

ogni

zes

the

impo

rtanc

e of

el

emen

ts a

nd th

e ne

ed fo

r som

e pr

e-pl

anni

ng.

- Foc

us is

on

solv

ing

an id

entif

ied

prob

lem

(s) t

o de

mon

stra

te th

e bu

sine

ss v

alue

of

usin

g th

e S

tand

ard.

- Est

ablis

hes

a di

visi

on

or o

rgan

izat

ion-

wid

e pr

ogra

m to

add

ress

qu

ality

ass

uran

ce

issu

es b

y pa

rtial

ly

impl

emen

ting

core

el

emen

ts.

- Rec

ogni

zes

the

impo

rtanc

e of

ele

men

ts

and

the

need

for p

re-

plan

ning

; how

ever

, fo

cus

is o

n in

divi

dual

el

emen

ts a

nd n

ot th

eir

inte

rrel

atio

nshi

p an

d in

tegr

atio

n (c

heck

list

appr

oach

). - M

ay b

e in

reac

tion

to

an in

cide

nt o

r nea

r m

iss

or b

e dr

iven

by

exte

rnal

con

cern

s.

- QA

M a

pplic

atio

ns

sele

cted

for t

heir

chan

ces

of

dem

onst

ratin

g su

cces

s.

- Pro

gram

driv

en b

y “P

rogr

am M

anag

er”

who

app

lies

a pr

ogra

m

man

agem

ent

appr

oach

.

- QA

M is

vie

wed

as

a m

atte

r of s

trate

gic

valu

e to

the

orga

niza

tion.

- F

ocus

es o

n in

tegr

atio

n an

d in

terr

elat

ions

hips

be

twee

n co

re

elem

ents

. - F

ocus

es o

n m

issi

on-

base

d m

anag

emen

t of

risk

s to

min

imiz

e bo

th li

kelih

ood

and

cons

eque

nces

of

unde

sira

ble

and

disr

uptiv

e ev

ents

. - Q

AM

is v

iew

ed a

s pa

rt of

a c

ontin

ual

impr

ovem

ent p

roce

ss

usin

g P

DC

A m

odel

. - Q

AM

con

sist

ent w

ith

resp

ect f

or h

uman

rig

hts,

lega

l ob

ligat

ions

, and

goo

d pr

actic

es is

see

n as

im

porta

nt a

t all

leve

ls

and

indi

vidu

als

in

orga

niza

tion.

- I

nteg

ratio

n an

d fe

edba

ck lo

ops

of

syst

ems

appr

oach

. - Q

AM

cul

ture

is

deve

lopi

ng a

nd p

art

of d

ecis

ion

mak

ing.

- The

org

aniz

atio

n is

co

nfor

man

t with

the

requ

irem

ents

of t

he

stan

dard

. - T

he o

rgan

izat

ion

esta

blis

hes,

doc

umen

ts,

impl

emen

ts, m

aint

ains

, and

co

ntin

ually

impr

oves

a

QA

MS

in a

ccor

danc

e w

ith

the

requ

irem

ents

of t

he

QA

MS

Sta

ndar

d.

- Exa

min

es th

e lin

kage

s an

d in

tera

ctio

ns b

etw

een

the

QA

MS

ele

men

ts th

at

com

pose

the

entir

ety

of th

e sy

stem

for t

he d

efin

ed

scop

e.

- Man

ages

risk

usi

ng

bala

nced

stra

tegi

es to

ad

aptiv

ely,

pre

empt

ivel

y,

and

reac

tivel

y ad

dres

s m

inim

izat

ion

of b

oth

likel

ihoo

d an

d co

nseq

uenc

es o

f un

desi

rabl

e an

d di

srup

tive

even

ts.

- QA

M is

dem

onst

rabl

y pa

rt of

the

rout

ine

man

agem

ent

of c

ontra

cts,

pro

ject

s, a

nd

busi

ness

pro

cess

es.

- The

org

aniz

atio

n es

tabl

ishe

s an

d m

aint

ains

al

l doc

umen

tatio

n an

d re

cord

s re

quire

d by

the

QA

MS

sta

ndar

d.

- The

org

aniz

atio

n go

es b

eyon

d co

nfor

man

ce to

the

stan

dard

to fu

lly

inte

grat

e qu

ality

as

sura

nce

man

agem

ent i

nto

its

over

all r

isk

man

agem

ent

stra

tegy

. - T

he o

rgan

izat

ion

emph

asiz

es

ente

rpris

e-w

ide,

su

bcon

tract

or, a

nd

supp

ly c

hain

re

latio

nshi

ps in

all

aspe

cts

of it

s Q

AM

S.

- The

org

aniz

atio

n m

ento

rs o

ther

st

akeh

olde

rs (i

n its

su

pply

cha

in,

subc

ontra

ctor

s, a

nd

com

mun

ity).

- Th

e or

gani

zatio

n vi

ews

its q

ualit

y as

sura

nce

as a

n in

tegr

al p

art o

f re

latio

nshi

ps w

ith

loca

l com

mun

ities

and

cl

ient

s.

- QA

MS

cul

ture

is

wel

l-dev

elop

ed a

nd

cons

ider

ed a

n in

tegr

al

part

of o

vera

ll m

anag

emen

t and

de

cisi

on m

akin

g.

- QA

MS

prin

cipl

es a

re

expa

nded

to a

ll ar

eas

of th

e or

gani

zatio

n an

d its

act

iviti

es.

5.2

Con

text

of t

he

Org

aniz

atio

n - U

nder

stan

ds

the

orga

niza

tion

- Ext

erna

l and

inte

rnal

co

ntex

t is

defin

ed a

nd

- No

inte

rnal

or

exte

rnal

con

text

for

- Con

text

of t

he

orga

niza

tion

is

- Int

erna

l and

ext

erna

l co

ntex

t ide

ntifi

ed,

- Int

erna

l and

ext

erna

l co

ntex

t, in

clud

ing

- The

org

aniz

atio

n id

entif

ies,

eva

luat

es, a

nd

- The

org

aniz

atio

n id

entif

ies

and

85869_ASFIS_Rev0_1-52.pdf 232.pdf 23 3/21/13 11:54 AM3/21/13 11:54 AM

AN

SI/A

SIS

PS

C.3

-201

3

12

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

and

its in

tern

al

and

exte

rnal

co

ntex

t.

docu

men

ted.

- S

uppl

y ch

ain

and

subc

ontra

ctor

risk

iden

tifie

d an

d do

cum

ente

d.

the

QA

MS

is

esta

blis

hed.

- N

o ev

alua

tion

of

inte

rnal

and

ex

tern

al fa

ctor

s w

hich

can

in

fluen

ce th

e w

ay

an o

rgan

izat

ion

man

ages

risk

. - N

o su

pply

cha

in

or s

ubco

ntra

ctor

an

alys

is.

defin

ed fo

r the

lim

ited

scop

e of

the

proj

ect a

nd is

sue

bein

g ad

dres

sed.

- P

redo

min

ate

focu

s is

on

inte

rnal

con

text

w

ith li

mite

d ev

alua

tion

of d

irect

in

fluen

ce o

f the

su

pply

cha

in o

r su

bcon

tract

ors.

incl

udin

g su

pply

cha

in

or s

ubco

ntra

ctor

an

alys

is a

s it

rela

tes

to

the

scop

e of

the

prog

ram

, but

not

thei

r in

terr

elat

ions

hip.

supp

ly c

hain

and

su

bcon

tract

or n

odal

an

alys

is is

con

duct

ed

and

eval

uate

d in

re

latio

n to

how

eac

h af

fect

s th

e ob

ject

ives

an

d fu

nctio

ns o

f the

or

gani

zatio

n an

d se

rves

as

inpu

t to

the

risk

asse

ssm

ent.

- Org

aniz

atio

n ev

alua

tes

inte

rnal

and

ex

tern

al fa

ctor

s w

hich

ca

n in

fluen

ce th

e w

ay

the

orga

niza

tion

man

ages

risk

.

docu

men

ts it

s in

tern

al a

nd

exte

rnal

con

text

. - C

onte

xt p

rovi

des

inpu

t for

es

tabl

ishi

ng q

ualit

y as

sura

nce

and

risk

man

agem

ent c

riter

ia.

- Nod

al a

naly

sis

is

cond

ucte

d an

d do

cum

ente

d fo

r the

sup

ply

chai

n an

d su

bcon

tract

ors.

docu

men

ts it

s up

stre

am a

nd

dow

nstre

am s

uppl

y ch

ain,

em

phas

izin

g th

e ro

le o

f su

bcon

tract

ors,

to

prev

ent u

ndes

irabl

e or

dis

rupt

ive

even

ts.

- Org

aniz

atio

n un

ders

tand

s its

role

w

ithin

the

cont

ext o

f th

e en

viro

nmen

t in

whi

ch it

func

tions

. -

Ana

lysi

s pr

ovid

es a

ba

sis

for p

reem

ptiv

e ac

tions

to a

void

un

desi

rabl

e ev

ents

by

shar

ing

risk

conc

erns

w

ith th

e su

pply

cha

in

and

loca

l co

mm

uniti

es.

5.3

Nee

ds a

nd

Req

uire

men

ts

- Clie

nts

requ

irem

ents

are

id

entif

ied.

- Und

erst

andi

ng th

e cl

ient

’s

need

s to

ach

ieve

con

tract

ob

ject

ives

and

min

imiz

e ris

k.

- Ope

ratio

nal

cont

ract

ual

oblig

atio

ns o

f cl

ient

s ar

e m

et;

clie

nt a

nd lo

cal

com

mun

ities

’ ob

ject

ives

, con

text

, an

d ris

ks a

re n

ot

anal

yzed

and

un

ders

tood

.

- Im

pact

on

clie

nt

and

loca

l co

mm

uniti

es fr

om

prev

ious

inci

dent

s ar

e un

ders

tood

but

ev

alua

tion

limite

d to

is

sues

add

ress

ed in

sc

ope.

- Clie

nt a

nd lo

cal

com

mun

ity

requ

irem

ents

are

id

entif

ied

and

eval

uate

d w

ithin

the

scop

e of

the

issu

es

addr

esse

d.

-Clie

nt, l

ocal

co

mm

unity

, and

oth

er

stak

ehol

der

requ

irem

ents

are

id

entif

ied,

eva

luat

ed,

and

met

to a

chie

ve

the

obje

ctiv

es o

f its

co

ntra

cts

and

min

imiz

e th

e ris

ks.

- Sta

tuto

ry,

regu

lato

ry, a

nd

hum

an ri

ghts

re

quire

men

ts a

re

iden

tifie

d.

- Ide

ntifi

ed

requ

irem

ents

are

us

ed a

s in

puts

to th

e ris

k as

sess

men

t and

tre

atm

ent p

roce

sses

.

- Clie

nt, l

ocal

com

mun

ity,

and

othe

r sta

keho

lder

re

quire

men

ts a

re id

entif

ied,

ev

alua

ted,

and

do

cum

ente

d an

d lin

ked

to

the

risk

asse

ssm

ent a

nd

treat

men

t pro

cess

es to

ac

hiev

e th

e ob

ject

ives

of

its c

ontra

cts

and

min

imiz

e th

e ris

ks.

- Clie

nt b

ecom

es

awar

e of

the

hum

an

and

com

mun

ity

impa

cts

of it

s re

quire

men

ts o

f the

or

gani

zatio

n.

- Fee

dbac

k is

pr

ovid

ed to

the

clie

nt

to b

ette

r ena

ble

risk

man

agem

ent o

f un

desi

rabl

e an

d di

srup

tive

even

ts.

- Clie

nt c

ontra

cts

are

mod

ified

con

side

ring

risk

asse

ssm

ent.

5.4

Def

inin

g R

isk

Crit

eria

- T

he

orga

niza

tion

defin

es c

riter

ia to

be

use

d to

ev

alua

te th

e

- The

risk

crit

eria

pro

vide

a

refe

renc

e ag

ains

t whi

ch

the

sign

ifica

nce

of ri

sk is

ev

alua

ted.

- Ris

k cr

iteria

are

no

t def

ined

. - R

isk

crite

ria fo

r sp

ecifi

c is

sues

ad

dres

sed

are

defin

ed b

y th

e pr

ojec

t man

ager

.

- R

isk

crite

ria fo

r sp

ecifi

c is

sues

ad

dres

sed

are

defin

ed

by th

e pr

ogra

m

man

ager

in

- R

isk

crite

ria re

flect

th

e or

gani

zatio

n’s

risk

attit

udes

con

side

ring

the

view

s of

st

akeh

olde

rs.

- Ris

k cr

iteria

ana

lyze

d,

eval

uate

d, a

nd

docu

men

ted.

- R

isk

crite

ria a

re

cons

iste

nt w

ith th

e

- Ris

k cr

iteria

are

co

nsis

tent

with

the

orga

niza

tion’

s cl

ient

’s

risk

man

agem

ent

polic

y.


AN

SI/A

SIS

PS

C.3

-201

3

13

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

sign

ifica

nce

of

risk.

co

nsul

tatio

n w

ith to

p m

anag

emen

t. - R

isk

crite

ria

cons

ider

ed w

ithin

the

cont

ext o

f leg

al a

nd

othe

r req

uire

men

ts.

- R

isk

crite

ria

deve

lope

d in

co

nsul

tatio

n w

ith to

p m

anag

emen

t and

in

tegr

ated

into

the

risk

asse

ssm

ent p

roce

ss.

- Ris

k cr

iteria

m

onito

red

and

revi

ewed

for

appr

opria

tene

ss.

orga

niza

tion’

s ris

k m

anag

emen

t pol

icy

and

docu

men

ted

as p

art o

f the

sy

stem

eva

luat

ion

and

revi

ew p

roce

ss.

- Ris

k cr

iteria

are

sy

nchr

oniz

ed w

ith

subc

ontra

ctor

s an

d su

pply

ch

ain

partn

ers.

- Ris

k cr

iteria

are

sy

nchr

oniz

ed w

ith

subc

ontra

ctor

s an

d su

pply

cha

in p

artn

ers.

5.5

Sco

pe o

f the

M

anag

emen

t S

yste

m

- Def

ines

the

scop

e of

the

QA

MS

.

- Bas

ed o

n th

e in

tern

al,

exte

rnal

, and

qua

lity

assu

ranc

e m

anag

emen

t co

ntex

t of t

he o

rgan

izat

ion,

th

e sc

ope

and

boun

darie

s fo

r dev

elop

men

t and

im

plem

enta

tion

of Q

AM

S

are

defin

ed.

- No

proc

ess

to

iden

tify

inte

rnal

and

ex

tern

al c

onte

xt fo

r qu

ality

ass

uran

ce.

- No

defin

ition

of

scop

e.

- Pro

ject

s of

lim

ited

scop

e fo

cusi

ng o

n on

e or

a li

mite

d nu

mbe

r of i

ssue

s vi

ewed

as

havi

ng

sign

ifica

nt in

tere

st.

- Int

erna

l, ex

tern

al,

and

qual

ity

assu

ranc

e co

ntex

t lim

ited

to p

roje

ct

scop

e de

finiti

on.

- Sco

pe d

efin

ed

base

d on

min

imiz

ing

unde

sira

ble

and

disr

uptiv

e ev

ents

, an

d en

surin

g re

spec

t for

hum

an

right

s w

ithin

a

spec

ific

proj

ect o

r as

pect

of t

he

orga

niza

tion.

- Pro

gram

s ar

e es

tabl

ishe

d to

add

ress

co

re e

lem

ents

bas

ed

on th

e or

gani

zatio

n’s

obje

ctiv

es, a

ctiv

ities

, in

tern

al a

nd e

xter

nal

oblig

atio

ns (i

nclu

ding

th

ose

rela

ted

to

stak

ehol

ders

and

lega

l re

spon

sibi

litie

s).

- Sco

pe d

efin

ed b

ased

on

min

imiz

ing

unde

sira

ble

and

disr

uptiv

e ev

ents

, and

en

surin

g re

spec

t for

hu

man

righ

ts fo

cusi

ng

on th

e is

sues

ad

dres

sed

in th

e pr

ogra

m.

- Org

aniz

atio

n de

fines

an

d do

cum

ents

the

inte

rnal

, ext

erna

l, an

d ris

k m

anag

emen

t co

ntex

t. - T

he o

rgan

izat

ion’

s ob

ject

ives

, act

iviti

es,

inte

rnal

and

ext

erna

l ob

ligat

ions

(inc

ludi

ng

thos

e re

late

d to

st

akeh

olde

rs),

and

lega

l res

pons

ibili

ties

are

defin

ed w

ithin

the

scop

e.

- Bou

ndar

ies

of s

cope

ar

e de

fined

and

do

cum

ente

d ba

sed

on th

e or

gani

zatio

n’s

activ

ities

and

ob

ligat

ions

, inc

ludi

ng

activ

ities

of

subc

ontra

ctor

s.

- Sco

pe is

eva

luat

ed

and

refin

ed b

ased

on

the

risk

asse

ssm

ent.

- Org

aniz

atio

n de

fines

and

do

cum

ents

the

inte

rnal

, ex

tern

al, a

nd q

ualit

y as

sura

nce

cont

ext.

- Sub

cont

ract

or a

nd

outs

ourc

ed p

roce

sses

that

fa

ll w

ithin

the

scop

e ar

e co

ntro

lled.

- B

ound

arie

s of

sco

pe

defin

ed a

nd d

ocum

ente

d,

cons

ider

ing

the

orga

niza

tion’

s m

issi

on,

goal

s, in

tern

al a

nd e

xter

nal

oblig

atio

ns, r

isk

asse

ssm

ent,

and

lega

l re

spon

sibi

litie

s.

- S

cope

of t

he Q

AM

S

defin

ed in

term

s of

and

ap

prop

riate

to th

e si

ze,

natu

re, a

nd c

ompl

exity

of

the

orga

niza

tion

from

a

pers

pect

ive

of c

ontin

ual

impr

ovem

ent.

- Bou

ndar

ies

of s

cope

de

fined

and

doc

umen

ted.

- Org

aniz

atio

n de

fines

an

d do

cum

ents

the

inte

rnal

, ext

erna

l, an

d ris

k m

anag

emen

t co

ntex

t, as

wel

l as

ente

rpris

e-w

ide

risk

man

agem

ent

inte

ract

ions

and

su

bcon

tract

or a

nd

supp

ly c

hain

co

mm

itmen

ts, a

nd

rela

tions

hips

. -

Any

out

sour

ced

proc

esse

s ar

e co

ntro

lled.

D

efin

ing

the

qual

ity

assu

ranc

e w

ith a

n in

tern

al, e

xter

nal,

and

risk

man

agem

ent

cont

ext r

elat

ed to

the

com

mun

ity.

6.2

Man

agem

ent

Com

mitm

ent

- Man

agem

ent

man

date

and

co

mm

itmen

t.

-Top

man

agem

ent

com

mitm

ent t

o m

eetin

g th

e re

quire

men

ts o

f QA

MS

. - T

op m

anag

emen

t pr

ovis

ions

app

ropr

iate

re

sour

ces

and

defin

es

auth

oriti

es fo

r QA

MS

.

- Man

agem

ent

ambi

vale

nt o

r un

rece

ptiv

e.

- Con

cern

ed w

ith

ackn

owle

dgin

g ris

k, q

ualit

y, a

nd

unce

rtain

ty.

- No

guid

ance

from

- Man

agem

ent

auth

oriz

atio

n an

d re

sour

ces

prov

ided

to

“Pro

ject

Lea

der”

to

con

duct

pro

ject

. - R

esou

rces

re

stric

ted

to a

ddre

ss

limite

d sc

ope.

- Top

man

agem

ent

spon

sors

hip.

- E

ndor

sem

ent o

f es

tabl

ishe

d pr

ogra

ms

for Q

AM

. - O

ne o

r mor

e in

divi

dual

s ap

poin

ted

as P

rogr

am M

anag

er.

- Top

man

agem

ent

parti

cipa

tion.

- A

ctiv

e en

dors

emen

t of

QA

MS

by

top

man

agem

ent.

- Est

ablis

hes

a Q

AM

S

polic

y.

- One

or m

ore

- Top

man

agem

ent l

eads

by

exa

mpl

e, d

ocum

entin

g ev

iden

ce o

f its

sup

port

of

the

QA

MS

man

date

and

co

mm

itmen

t to

the

esta

blis

hmen

t, im

plem

enta

tion,

ope

ratio

n,

mon

itorin

g, re

view

,

- Top

man

agem

ent

emph

asiz

es it

s co

mm

itmen

t to

QA

MS

in

org

aniz

atio

n –

clie

nt a

nd o

ther

ex

tern

al s

take

hold

er

rela

tions

hips

. -

Top

man

agem

ent

85869_ASFIS_Rev0_1-52.pdf 2585869_ASFIS_Rev0_1-52.pdf 252.pdf 25 3/21/13 11:54 AM3/21/13 11:54 AM

AN

SI/A

SIS

PS

C.3

-201

3

14

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

the

top

of

orga

niza

tion.

- O

stric

h ef

fect

.

- Res

ourc

e al

loca

tion

linke

d to

pe

rcei

ved

bene

fit.

- Pro

ject

aim

s to

en

cour

age

mor

e m

anag

emen

t su

ppor

t and

buy

-in.

- Man

agem

ent s

ets

prio

ritiz

atio

n an

d tim

efra

mes

to a

ddre

ss

risks

of u

ndes

irabl

e or

di

srup

tive

even

ts fo

r is

sues

iden

tifie

d.

- Res

ourc

es a

lloca

ted

to s

uppo

rt pr

ogra

m.

indi

vidu

als

appo

inte

d to

be

resp

onsi

ble

for

QA

MS

. - D

ecid

es c

riter

ia fo

r ac

cept

ing

risk,

and

ac

cept

able

leve

ls o

f ris

k fo

r pre

vent

ing

unde

sira

ble

and

disr

uptiv

e ev

ents

. - S

ets

prio

ritiz

atio

n an

d tim

efra

mes

for

man

agin

g th

e ris

ks o

f un

desi

rabl

e an

d di

srup

tive

even

ts.

- Res

ourc

es a

lloca

ted

to s

uppo

rt Q

AM

S.

mai

nten

ance

, and

im

prov

emen

t of t

he Q

AM

S.

- Def

ines

and

doc

umen

ts

crite

ria to

be

used

to

eval

uate

the

sign

ifica

nce

of

risk

and

qual

ity a

ssur

ance

fo

r the

pre

vent

ion

unde

sira

ble

and

disr

uptiv

e ev

ents

and

mai

ntai

ning

re

spec

t for

hum

an ri

ghts

. - S

uffic

ient

reso

urce

s al

loca

ted

and

com

pete

ncie

s as

sure

d.

proa

ctiv

ely

prom

otes

Q

AM

S w

ithin

the

indu

stry

. - S

harin

g be

st

prac

tices

with

ext

erna

l st

akeh

olde

rs

(sub

cont

ract

ors

and

othe

r PS

Cs)

. - D

efin

es a

nd

docu

men

ts c

riter

ia to

be

use

d to

eva

luat

e th

e si

gnifi

canc

e of

ris

k, d

eter

min

atio

n of

ap

prop

riate

risk

tre

atm

ents

to p

reve

nt

unde

sira

ble

and

disr

uptiv

e ev

ents

, and

se

tting

of t

imef

ram

es

for m

anag

ing

the

risks

of

und

esira

ble

disr

uptiv

e ev

ents

of

orga

niza

tion

and

rele

vant

sta

keho

lder

s.

6.3

Sta

tem

ent o

f C

onfo

rman

ce

- Set

ting

a S

tate

men

t of

Con

form

ance

.

- Con

form

ance

to th

e pr

inci

ples

of a

pplic

able

in

tern

atio

nal h

uman

itaria

n la

w, l

ocal

law

s, h

uman

rig

hts,

and

cus

tom

ary

law

s in

clud

ing

Mon

treux

D

ocum

ent a

nd

Inte

rnat

iona

l Cod

e of

C

ondu

ct fo

r Priv

ate

Sec

urity

Ser

vice

Pro

vide

rs

is d

ocum

ente

d.

- No

Sta

tem

ent o

f C

onfo

rman

ce.

- Sta

tem

ent l

imite

d to

spe

cific

issu

es.

- Sta

tem

ent i

s co

mm

unic

ated

and

co

nfirm

ed b

y ap

prop

riate

peo

ple

wor

king

on

the

Pro

ject

.

- Sta

tem

ent i

s co

mm

unic

ated

and

co

nfirm

ed b

y ap

prop

riate

peo

ple

wor

king

on

the

Pro

gram

issu

es.

- Sta

tem

ent i

s es

tabl

ishe

d an

d co

mm

unic

ated

to

pers

ons

wor

king

on

beha

lf of

the

orga

niza

tion.

- S

tate

men

t is

visi

bly

endo

rsed

by

top

man

agem

ent.

- Sta

tem

ent i

s vi

sibl

y en

dors

ed b

y to

p m

anag

emen

t. - S

tate

men

t is

com

mun

icat

ed a

nd

conf

irmed

by

all

appr

opria

te p

eopl

e w

orki

ng

for o

r on

beha

lf of

the

orga

niza

tion.

- S

tate

men

t is

avai

labl

e to

st

akeh

olde

rs.

- Con

form

ance

is

docu

men

ted,

impl

emen

ted,

an

d m

aint

aine

d.

- Sta

tem

ent i

nteg

rate

d in

to a

ll m

anag

emen

t st

ruct

ures

, lev

els,

and

in

divi

dual

re

spon

sibi

litie

s.

- Sta

tem

ent i

s co

mm

unic

ated

to

pote

ntia

l clie

nts

as a

co

nditi

on fo

r ac

cept

ing

cont

ract

s.

- Con

form

ance

do

cum

ente

d,

impl

emen

ted,

and

m

aint

aine

d th

roug

hout

the

orga

niza

tion’

s su

pply

ch

ain,

esp

ecia

lly w

ith

resp

ect t

o su

bcon

tract

ors.

6.4

Pol

icy

- S

ettin

g a

polic

y fra

mew

ork.

- T

op m

anag

emen

t pol

icy

to p

rovi

de a

fram

ewor

k fo

r - N

o de

fined

QA

M

polic

y.

- Pol

icy

limite

d to

ad

dres

sing

iden

tifie

d - D

rafte

d by

“Pro

gram

M

anag

er” a

nd s

igne

d - P

olic

y es

tabl

ishe

s fra

mew

ork

for q

ualit

y - P

olic

y es

tabl

ishe

s fra

mew

ork

for q

ualit

y - P

olic

y in

tegr

ated

into

al

l man

agem

ent


AN

SI/A

SIS

PS

C.3

-201

3

15

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

setti

ng o

bjec

tives

and

pr

ovid

e th

e di

rect

ion

and

prin

cipl

es fo

r act

ion.

- Lac

k of

top

leve

l go

vern

ance

. is

sue(

s).

- Driv

en b

y “P

roje

ct

Lead

er”,

may

or m

ay

not h

ave

top

man

agem

ent

invo

lvem

ent b

eyon

d ap

prov

al o

f pro

ject

.

by to

p m

anag

emen

t. - C

lear

com

mitm

ent t

o co

mpl

y w

ith a

pplic

able

le

gal,

hum

an ri

ghts

, an

d ot

her

requ

irem

ents

. - P

olic

y ad

dres

ses

qual

ity a

ssur

ance

m

anag

emen

t in

divi

sion

s de

fined

in

scop

e.

- Com

mun

icat

ed to

re

leva

nt d

ivis

ions

.

assu

ranc

e m

anag

emen

t by

setti

ng o

bjec

tives

and

pr

ovid

ing

dire

ctio

n.

- Cle

ar c

omm

itmen

t to

com

ply

with

ap

plic

able

lega

l, hu

man

righ

ts, a

nd

othe

r req

uire

men

ts.

- Sup

porte

d by

top

man

agem

ent.

- Com

mun

icat

ed

thro

ugho

ut

orga

niza

tion.

assu

ranc

e m

anag

emen

t by

setti

ng o

bjec

tives

and

pr

ovid

ing

dire

ctio

n.

- Cle

ar c

omm

itmen

t to

com

ply

with

app

licab

le

lega

l, hu

man

righ

ts, a

nd

othe

r req

uire

men

ts.

- Sup

porte

d an

d pr

omot

ed

by to

p m

anag

emen

t. - C

omm

unic

ated

th

roug

hout

org

aniz

atio

n an

d to

sta

keho

lder

s,

mak

ing

them

aw

are

of

cont

ent a

nd m

eani

ng.

stru

ctur

es, l

evel

s, a

nd

indi

vidu

al

resp

onsi

bilit

ies.

- C

lear

com

mitm

ent t

o ho

listic

QA

M.

- Com

mun

icat

ed

thro

ugho

ut

orga

niza

tion,

en

terp

rise,

and

to

exte

rnal

sta

keho

lder

s (s

uppl

y ch

ain

and

com

mun

ity).

6.5

Org

aniz

atio

nal

Rol

es,

Res

pons

ibili

ties,

an

d A

utho

ritie

s

- QA

MS

role

s an

d re

spon

sibi

litie

s ar

e as

sign

ed a

nd

com

mun

icat

ed

with

in th

e or

gani

zatio

n.

- Rol

es, r

espo

nsib

ilitie

s,

and

auth

oriti

es fo

r ass

urin

g im

plem

enta

tion

of th

e Q

AM

S a

re e

stab

lishe

d,

com

mun

icat

ed, a

nd

mai

ntai

ned

with

in th

e or

gani

zatio

n.

- No

spec

ified

role

s an

d re

spon

sibi

litie

s re

late

d to

QA

MS

es

tabl

ishe

d w

ithin

an

org

aniz

atio

n.

- No

form

al ro

les

and

resp

onsi

bilit

ies

assi

gned

. - R

oles

are

ass

igne

d w

ithin

the

proj

ect b

ut

not t

hrou

ghou

t the

or

gani

zatio

n.

- One

or m

ore

indi

vidu

als

are

appo

inte

d to

co

mm

unic

ate

the

role

s an

d ne

eds

for Q

AM

S

thro

ugho

ut th

e pr

ogra

m.

- Res

ourc

es a

re

allo

cate

d fo

r the

pr

ogra

m.

- Rol

es,

resp

onsi

bilit

ies,

and

au

thor

ities

for Q

AM

S

are

assi

gned

and

co

mm

unic

ated

th

roug

hout

the

orga

niza

tion.

- O

ne o

r mor

e in

divi

dual

s ar

e ap

poin

ted

to e

nsur

e re

leva

nt Q

AM

S ro

les

are

com

mun

icat

ed

with

in th

e sy

stem

. - N

eeds

and

ex

pect

atio

ns o

f in

tern

al a

nd e

xter

nal

stak

ehol

ders

are

id

entif

ied.

- A

war

enes

s of

Q

AM

S ro

les

are

prom

oted

thro

ugh

the

orga

niza

tion.

- One

or m

ore

indi

vidu

als

are

appo

inte

d to

ens

ure

rele

vant

QA

MS

role

s ar

e co

mm

unic

ated

with

in th

e or

gani

zatio

n, a

nd e

nsur

e th

at a

dequ

ate

reso

urce

s ar

e m

ade

avai

labl

e fo

r Q

AM

S.

- Rol

es w

ithin

the

QA

MS

ar

e es

tabl

ishe

d,

impl

emen

ted,

and

m

aint

aine

d in

acc

orda

nce

with

requ

irem

ents

for t

he

stan

dard

s.

- Com

mun

icat

ion

with

top

man

agem

ent f

or re

view

as

a ba

sis

for c

ontin

ual

impr

ovem

ent.

- Nee

ds a

nd e

xpec

tatio

n of

in

tern

al a

nd e

xter

nal

stak

ehol

ders

are

iden

tifie

d an

d ap

prop

riate

act

ion

is

take

n to

man

age

thes

e ne

eds

and

expe

ctat

ions

.

-Rol

es w

ithin

QA

MS

ar

e kn

own

and

com

mun

icat

ed

thro

ugho

ut th

e or

gani

zatio

n an

d to

re

leva

nt s

take

hold

ers.

- S

harin

g be

st

prac

tices

and

role

s w

ith e

xter

nal

stak

ehol

ders

(sup

ply

chai

n an

d co

mm

unity

). - C

omm

unic

atio

n w

ith

clie

nt fo

r con

tinua

l im

prov

emen

t.

7.1

Lega

l and

O

ther

R

equi

rem

ents

- Ide

ntifi

es a

nd

asse

sses

lega

l, re

gula

tory

, and

ot

her

requ

irem

ents

to

whi

ch th

e or

gani

zatio

n

- Id

entif

icat

ion

of le

gal a

nd

othe

r re

quire

men

ts

(inte

rnat

iona

l, na

tiona

l, an

d lo

cal).

-

Eva

luat

ion

of in

tern

al a

nd

exte

rnal

re

quire

men

ts

perti

nent

to

th

e

- No

proc

ess

for

iden

tifyi

ng a

nd

unde

rsta

ndin

g of

le

gal a

nd o

ther

re

quire

men

ts

asso

ciat

ed w

ith

QA

M.

- Inf

orm

al p

roce

ss

initi

ated

to id

entif

y le

gal a

nd o

ther

re

quire

men

ts re

late

d to

iden

tify

issu

es

bein

g ad

dres

sed.

- Leg

al a

nd

hum

anita

rian

requ

irem

ents

ap

plic

able

to th

e ac

tiviti

es, f

unct

ions

, an

d se

rvic

es in

the

scop

e of

the

prog

ram

- Est

ablis

hes

and

mai

ntai

ns p

roce

dure

s to

iden

tify

lega

l and

ot

her r

equi

rem

ents

in

clud

ing

rele

vant

in

tern

atio

nal

hum

anita

rian

law

,

- Est

ablis

hes

and

mai

ntai

ns d

ocum

ente

d pr

oced

ures

to id

entif

y le

gal

and

othe

r req

uire

men

ts

incl

udin

g re

leva

nt

inte

rnat

iona

l hum

anita

rian,

hu

man

righ

ts, a

nd

- Est

ablis

hes

and

mai

ntai

ns p

roce

dure

s to

iden

tify

lega

l and

ot

her r

equi

rem

ents

, in

clud

ing

rele

vant

in

tern

atio

nal

hum

anita

rian

law

,


AN

SI/A

SIS

PS

C.3

-201

3

16

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

subs

crib

es.

or

gani

zatio

n.

-Iden

tific

atio

n of

re

leva

nt

inte

rnat

iona

l hu

man

itaria

n la

w,

hum

an

right

s,

and

cust

omar

y la

ws

and

agre

emen

ts.

- Com

mun

icat

ion

of

rele

vant

info

rmat

ion

on

lega

l and

oth

er

requ

irem

ents

to

stak

ehol

ders

.

are

iden

tifie

d.

hum

an ri

ghts

, and

cu

stom

ary

law

s an

d ag

reem

ents

. - D

eter

min

es h

ow th

e le

gal a

nd o

ther

re

quire

men

ts a

pply

to

the

orga

niza

tion.

- C

omm

unic

ates

re

quire

men

ts to

ap

prop

riate

par

ties.

- L

egal

and

oth

er

requ

irem

ents

co

nsid

ered

in ri

sk

man

agem

ent

proc

ess.

cust

omar

y la

ws

and

agre

emen

ts.

- Det

erm

ines

how

the

lega

l an

d ot

her r

equi

rem

ents

ap

ply

to th

e or

gani

zatio

n’s

risks

and

obl

igat

ions

. - E

nsur

es th

at a

pplic

able

le

gal,

regu

lato

ry, a

nd o

ther

re

quire

men

ts a

re

cons

ider

ed in

dev

elop

ing,

im

plem

entin

g, a

nd

mai

ntai

ning

its

QA

MS

. - D

ocum

ents

info

rmat

ion

and

keep

s it

up-to

-dat

e.

hum

an ri

ghts

, and

cu

stom

ary

law

s an

d ag

reem

ents

, rel

evan

t to

the

orga

niza

tion

and

appr

opria

te

stak

ehol

ders

(in

clud

ing

supp

ly

chai

n pa

rtner

s,

subc

ontra

ctor

s, a

nd

com

mun

ity).

- Det

erm

ines

how

the

lega

l and

oth

er

requ

irem

ents

app

ly to

th

e or

gani

zatio

n an

d st

akeh

olde

r ris

ks a

nd

oblig

atio

ns.

7.2

Ris

k A

sses

smen

t -R

isk

Ass

essm

ent

(Iden

tific

atio

n,

Ana

lysi

s,

Eva

luat

ion)

.

- Ris

k id

entif

icat

ion,

an

alys

is, a

nd e

valu

atio

n in

clud

ing

the

orga

niza

tion’

s ris

ks re

late

d to

inte

rnal

and

ex

tern

al s

take

hold

ers

and

in re

latio

n to

ens

urin

g ad

here

nce

to p

rinci

ples

of

hum

an ri

ghts

. - E

valu

ates

the

effe

ct o

f un

certa

inty

on

the

orga

niza

tion

and

its

obje

ctiv

es (a

naly

ze

likel

ihoo

d an

d co

nseq

uenc

es o

f un

desi

rabl

e an

d di

srup

tive

even

ts).

- D

eter

min

es w

hich

risk

s ha

ve a

sig

nific

ant i

mpa

ct

on a

ctiv

ities

, fun

ctio

ns,

serv

ices

, clie

nts,

sup

ply

chai

n, s

ubco

ntra

ctor

s,

stak

ehol

der r

elat

ions

hips

, lo

cal p

opul

atio

ns, a

nd th

e en

viro

nmen

t. -S

yste

mat

ical

ly e

valu

ates

an

d pr

iorit

izes

risk

con

trols

an

d tre

atm

ents

and

thei

r re

late

d co

sts.

- No

proc

ess.

- I

ndic

atio

ns o

f ris

ks, p

robl

ems,

ne

ar m

isse

s, a

nd

war

ning

sig

ns

iden

tifie

d re

troac

tivel

y.

- No

form

al p

roce

ss.

- Rea

ctiv

e in

nat

ure

with

issu

e(s)

ta

rget

ed a

s pr

oble

mat

ic o

r re

quiri

ng im

med

iate

at

tent

ion.

- A

gap

ana

lysi

s to

ad

dres

s pr

ojec

t is

sues

, rat

her t

han

a ris

k as

sess

men

t ex

amin

ing

wha

t is

need

ed

orga

niza

tiona

lly.

- Dev

elop

s an

d im

plem

ents

a

proc

edur

e to

iden

tify,

an

alyz

e, a

nd e

valu

ate

esse

ntia

l ass

ets,

risk

s,

and

impa

cts.

- P

riorit

ies

base

d on

ou

tcom

es o

f ris

k as

sess

men

t.

- Est

ablis

hes,

im

plem

ents

, and

m

aint

ains

an

ongo

ing

form

al ri

sk a

nd im

pact

as

sess

men

t pro

cess

. - P

riorit

ized

risk

s an

d im

pact

s ar

e ta

ken

into

ac

coun

t in

esta

blis

hing

, im

plem

entin

g, a

nd

oper

atin

g th

e Q

AM

S.

- Ris

k as

sess

men

t re

cogn

ized

as

prov

idin

g th

e fo

unda

tion

for

elem

ents

of t

he

QA

MS

and

for

orga

niza

tiona

l de

cisi

on-m

akin

g.

- Est

ablis

hes,

impl

emen

ts,

and

mai

ntai

ns a

n on

goin

g fo

rmal

and

doc

umen

ted

risk

asse

ssm

ent p

roce

ss.

- Prio

ritiz

es a

nd d

ocum

ents

ris

ks.

- Per

iodi

cally

revi

ews

whe

ther

QA

M s

cope

, po

licy,

and

risk

as

sess

men

t are

stil

l ap

prop

riate

giv

en th

e or

gani

zatio

ns’ i

nter

nal a

nd

exte

rnal

con

text

. - R

e-ev

alua

tes

risk

and

pote

ntia

l con

sequ

ence

s w

ithin

the

cont

ext o

f in

tern

al a

nd e

xter

nal

chan

ge o

r mad

e to

the

orga

niza

tion’

s op

erat

ing

envi

ronm

ent,

proc

edur

es,

func

tions

, ser

vice

s, c

lient

s,

partn

ersh

ips,

and

sup

ply

chai

ns.

-Org

aniz

atio

n ha

s re

quire

men

ts re

gard

ing

risk

asse

ssm

ent f

or s

uppl

ier

and

subc

ontra

ctor

con

trols

.

- Est

ablis

hes,

im

plem

ents

, and

m

aint

ains

an

ongo

ing

form

al a

nd

docu

men

ted

risk

asse

ssm

ent p

roce

ss

whi

ch in

clud

es

exte

rnal

sta

keho

lder

s (s

uppl

y ch

ain

and

com

mun

ity).

- Est

ablis

hes,

im

plem

ents

, and

m

aint

ains

a fo

rmal

an

d do

cum

ente

d co

mm

unic

atio

n an

d co

nsul

tatio

n pr

oces

s w

ith e

xter

nal

stak

ehol

ders

(sup

ply

chai

n, c

lient

s, a

nd

com

mun

ity) i

n th

e ris

k as

sess

men

t pro

cess

. - E

stab

lishe

s,

impl

emen

ts, a

nd

mai

ntai

ns a

form

al

and

docu

men

ted

proc

ess

for m

onito

ring

and

revi

ewin

g th

e ris

k as

sess

men

t pro

cess

. - I

nteg

rate

s ris

k as

sess

men

t


AN

SI/A

SIS

PS

C.3

-201

3

17

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

proc

esse

s w

ith

exte

rnal

sta

keho

lder

s (c

lient

s, s

uppl

y ch

ain,

su

bcon

tract

ors,

and

co

mm

unity

).

7.2.

1 In

tern

al a

nd

Ext

erna

l Ris

k C

omm

unic

atio

n an

d C

onsu

ltatio

n

- Ris

k co

mm

unic

atio

n an

d co

nsul

tatio

n w

ith in

tern

al a

nd

exte

rnal

st

akeh

olde

rs.

- E

nsur

e ch

anne

ls

of

com

mun

icat

ion

and

cons

ulta

tions

ar

e es

tabl

ishe

d w

ith

inte

rnal

an

d ex

tern

al r

egar

ding

ris

k as

sess

men

t pro

cess

es.

- P

roce

ss

cons

iste

nt

with

op

erat

iona

l sec

urity

.

- No

com

mun

icat

ion

and

cons

ulta

tions

pr

oces

s w

ith

inte

rnal

and

ex

tern

al

stak

ehol

ders

in th

e ris

k as

sess

men

t pr

oces

s.

- Inf

orm

al p

roce

ss

initi

ated

for

com

mun

icat

ing

and

cons

ultin

g w

ith

stak

ehol

ders

rela

ted

to is

sue(

s) id

entif

ied

for c

ontro

l.

- Ris

ks a

re u

nder

stoo

d an

d co

mm

unic

ated

to

som

e in

tern

al a

nd

exte

rnal

sta

keho

lder

s in

the

scop

e of

the

prog

ram

iden

tifie

d.

- Est

ablis

hes,

im

plem

ents

, and

m

aint

ains

a

com

mun

icat

ion

and

cons

ulta

tion

proc

ess

cons

iste

nt w

ith

oper

atio

nal s

ecur

ity

with

inte

rnal

and

ex

tern

al s

take

hold

ers

in th

e ris

k as

sess

men

t pro

cess

. -O

pera

tiona

l ob

ject

ives

and

in

tere

sts

of th

e cl

ient

s ar

e un

ders

tood

. -C

omm

unic

atio

n an

d co

nsul

tatio

n pr

oces

s is

inte

grat

ed w

ith ri

sk

asse

ssm

ent p

roce

ss.

- Est

ablis

hes,

impl

emen

ts,

and

mai

ntai

ns a

form

al a

nd

docu

men

ted

com

mun

icat

ion

and

cons

ulta

tion

proc

ess

cons

iste

nt w

ith o

pera

tiona

l se

curit

y w

ith in

tern

al a

nd

exte

rnal

sta

keho

lder

s in

th

e ris

k as

sess

men

t pr

oces

s.

-Ope

ratio

nal o

bjec

tives

and

in

tere

sts

of th

e cl

ient

s (in

clud

ing

the

pers

ons,

or

gani

zatio

ns,

com

mun

ities

, and

/or

activ

ities

bei

ng p

rote

cted

) ar

e un

ders

tood

. -D

epen

denc

ies

and

linka

ges

with

su

bcon

tract

ors

and

with

in

the

supp

ly c

hain

are

un

ders

tood

. -Q

AM

S ri

sk a

sses

smen

t pr

oces

s in

terfa

ces

with

ot

her m

anag

emen

t di

scip

lines

.

- Est

ablis

hes,

im

plem

ents

, and

m

aint

ains

a fo

rmal

an

d do

cum

ente

d co

mm

unic

atio

n an

d co

nsul

tatio

n pr

oces

s co

nsis

tent

with

op

erat

iona

l sec

urity

w

ith in

tern

al a

nd

exte

rnal

sta

keho

lder

s (in

clud

ing

depe

nden

cies

and

lin

kage

s w

ith c

lient

s,

subc

ontra

ctor

s, a

nd

with

in th

e su

pply

ch

ain)

in th

e ris

k as

sess

men

t pro

cess

. -R

isk

with

in b

oth

inte

rnal

and

ext

erna

l co

ntex

ts a

re

unde

rsto

od, a

nd

qual

ity a

ssur

ance

risk

as

sess

men

t pro

cess

in

terfa

ces

with

oth

er

man

agem

ent

disc

iplin

es.

7.3

Obj

ectiv

es

and

Pla

ns to

A

chie

ve T

hem

- Sel

ect a

nd

prio

ritiz

e ris

k tre

atm

ent

optio

ns.

- Prio

ritiz

atio

n of

the

issu

es

iden

tifie

d as

a re

sult

of th

e ris

k as

sess

men

t.

- Obj

ectiv

es a

nd ta

rget

s (in

clud

ing

time

fram

es)

base

d on

the

prio

ritiz

atio

n of

issu

es w

ithin

the

cont

ext

of a

n or

gani

zatio

n’s

QA

MS

po

licy

and

mis

sion

. - S

trate

gic

plan

s fo

r pr

even

tion,

pro

tect

ion,

pr

epar

edne

ss, m

itiga

tion,

re

spon

se, c

ontin

uity

, and

- No

proc

ess

to

defin

e ob

ject

ives

an

d ta

rget

s.

- No

risk

prio

ritiz

atio

n.

- Def

ines

targ

ets

and

obje

ctiv

es fo

r de

mon

stra

ting

proj

ect s

ucce

ss.

- Dev

elop

s ta

rget

s,

obje

ctiv

es, a

nd

stra

tegi

c ac

tion

plan

s to

ach

ieve

im

med

iate

qua

lity

assu

ranc

e pe

rform

ance

im

prov

emen

t rel

ated

to

iden

tifie

d is

sue(

s)

and

to d

emon

stra

te

- Qua

lity

assu

ranc

e pe

rform

ance

obj

ectiv

es

for p

rogr

am

man

agem

ent a

re s

et

base

d on

the

risk

asse

ssm

ent.

- Stra

tegi

c ac

tion

plan

s de

sign

ate

actio

ns,

resp

onsi

bilit

ies,

ac

coun

tabi

lity,

re

sour

ces,

and

tim

efra

mes

for

achi

evin

g ob

ject

ives

an

d ta

rget

s co

nsis

tent

- Obj

ectiv

es a

re

cons

iste

nt w

ith th

e Q

AM

pol

icy

and

risk

asse

ssm

ent

cons

iste

nt w

ith

resp

ectin

g in

tern

atio

nal a

nd lo

cal

law

s an

d hu

man

rig

hts.

- D

ocum

ents

ob

ject

ives

and

targ

ets

to m

anag

e ris

ks in

or

der t

o av

oid,

pr

even

t, pr

otec

t,

- Doc

umen

ted

obje

ctiv

es

and

targ

ets

are

esta

blis

hed

to m

anag

e qu

ality

as

sura

nce

by a

void

ing,

ac

cept

ing,

rem

ovin

g th

e so

urce

, cha

ngin

g th

e lik

elih

ood,

cha

ngin

g th

e co

nseq

uenc

es, a

nd

shar

ing

and/

or re

tain

ing

the

risk,

whi

le re

spec

ting

inte

rnat

iona

l and

loca

l law

s an

d hu

man

righ

ts.

- Obj

ectiv

es p

rovi

de a

ba

sis

for s

elec

ting

one

or

- Doc

umen

ted

obje

ctiv

es a

nd ta

rget

s es

tabl

ish

inte

rnal

and

ex

tern

al e

xpec

tatio

ns

for t

he o

rgan

izat

ion

and

its s

take

hold

ers

(sub

cont

ract

ors,

su

pply

cha

in, a

nd

com

mun

ity) t

hat r

elat

e to

mis

sion

ac

com

plis

hmen

t, se

rvic

e de

liver

y, a

nd

func

tiona

l ope

ratio

ns.

-Com

mun

icat

ion

with


AN

SI/A

SIS

PS

C.3

-201

3

18

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

reco

very

from

und

esira

ble

and

disr

uptiv

e ev

ents

. - I

dent

ifica

tion

of re

sour

ces

need

ed.

- Ide

ntifi

catio

n of

role

s,

resp

onsi

bilit

ies,

aut

horit

ies,

an

d th

eir i

nter

rela

tions

hips

w

ithin

the

orga

niza

tion

need

ed fo

r QA

M.

- Pla

nnin

g th

e op

erat

iona

l pr

oces

ses

for a

ctio

ns

effe

ctin

g ho

w th

e ob

ject

ives

and

targ

ets

are

achi

eved

.

busi

ness

and

/or

hum

anita

rian

valu

e.

- Act

ion

plan

s fo

r id

entif

ied

issu

es

incl

ude

requ

ired

reso

urce

s,

resp

onsi

bilit

ies,

and

tim

esca

les.

with

resp

ectin

g in

tern

atio

nal a

nd lo

cal

law

s an

d hu

man

righ

ts.

dete

r, m

itiga

te,

resp

ond

to, a

nd

reco

ver f

rom

un

desi

rabl

e an

d di

srup

tive

even

ts.

- Tar

gets

are

m

easu

rabl

e an

d de

rived

from

the

obje

ctiv

es.

- Est

ablis

hes,

im

plem

ents

, and

m

aint

ains

act

ion

plan

s fo

r pre

vent

ion,

pr

otec

tion,

de

terr

ence

, m

itiga

tion,

resp

onse

, re

cove

ry, a

nd

cont

inui

ty.

- Stra

tegi

c pl

ans

desi

gnat

e ac

tions

, re

spon

sibi

litie

s,

acco

unta

bilit

y,

reso

urce

s, a

nd

timef

ram

es fo

r ac

hiev

ing

obje

ctiv

es

and

targ

ets.

mor

e op

tions

for m

anag

ing

risk

incl

udin

g as

set v

alue

, op

portu

nitie

s fo

r red

ucin

g lik

elih

ood

and/

or

cons

eque

nces

, co

st/b

enef

it, a

nd to

lera

ble

leve

ls o

f res

idua

l ris

k.

- Tar

gets

are

doc

umen

ted,

m

easu

rabl

e, a

chie

vabl

e,

rele

vant

, and

tim

e-ba

sed.

- D

ocum

ents

and

mai

ntai

ns

stra

tegi

c ac

tion

plan

s fo

r ris

k tre

atm

ent i

n or

der t

o ac

hiev

e its

obj

ectiv

es a

nd

targ

ets.

- D

ocum

ente

d ris

k tre

atm

ent o

ptio

ns.

-Com

mitm

ent t

o co

ntin

ual

impr

ovem

ent,

incl

udin

g pe

riodi

cal r

evie

w.

all a

ppro

pria

te

pers

ons

wor

king

on

beha

lf of

the

orga

niza

tion

incl

udin

g su

bcon

tract

ors

and

supp

ly c

hain

par

tner

s w

ith th

e in

tent

that

th

ese

pers

ons

are

mad

e aw

are

of th

eir

indi

vidu

al o

blig

atio

ns,

and

enco

urag

es

subc

ontra

ctor

s ot

her

mem

bers

of t

he

supp

ly c

hain

to d

o so

as

wel

l.

- Sha

ring

best

pr

actic

es w

ith e

xter

nal

stak

ehol

ders

(s

ubco

ntra

ctor

s an

d su

pply

cha

in

partn

ers)

.

7.4

Act

ion

to

Add

ress

Issu

es

and

Con

cern

s

- Ass

uran

ce

prog

ram

s fo

r ac

hiev

ing

its

obje

ctiv

es a

nd

risk

treat

men

t go

als.

- Est

ablis

hing

, im

plem

entin

g, a

nd

mai

ntai

ning

a fo

rmal

and

do

cum

ente

d ris

k tre

atm

ent

proc

ess.

- A

sses

sing

ben

efits

and

co

sts

of d

iffer

ent o

ptio

ns

for r

isk

treat

men

t.

- No

docu

men

ted

risk

treat

men

t pr

oces

s.

- Act

ions

co

nduc

ted

in a

n ad

-hoc

fash

ion

in

reac

tion

to

inci

dent

s.

- Bas

ed o

n id

entif

ied

issu

es, r

isk

treat

men

t pro

cess

es

are

back

-eng

inee

red

to m

inim

ize

cons

eque

nces

and

th

eir l

ikel

ihoo

d.

- Ide

ntifi

es v

ario

us

way

s to

trea

t ris

k ad

dres

sing

issu

es

iden

tifie

d in

the

prog

ram

sco

pe.

- Ris

k as

sess

men

t pr

oces

s el

ucid

ates

tre

atm

ent p

roce

sses

to

redu

ce li

kelih

ood

and

cons

eque

nces

of

iden

tifie

d is

sues

.

- Est

ablis

hes

a fo

rmal

ris

k tre

atm

ent p

roce

ss

base

d on

the

outp

ut

from

the

risk

asse

ssm

ent t

o re

mov

e ris

k at

the

sour

ce, t

he li

kelih

ood,

an

d/or

har

mfu

l co

nseq

uenc

es,

shar

ing

risk,

ac

cept

ing

risk,

and

/or

avoi

ding

act

iviti

es th

at

give

rise

of r

isk.

- M

anag

emen

t is

invo

lved

with

the

asse

ssm

ent a

nd

sele

ctio

n of

the

risk

treat

men

t opt

ions

.

- Est

ablis

hes,

impl

emen

ts,

and

mai

ntai

ns a

form

al

docu

men

ted

risk

treat

men

t pr

oces

s tre

atm

ent p

roce

ss

to re

mov

e ris

k at

the

sour

ce, t

he li

kelih

ood

and/

or h

arm

ful

cons

eque

nces

, sha

ring

risk,

acc

eptin

g ris

k, a

nd/o

r av

oidi

ng a

ctiv

ities

that

giv

e ris

e of

risk

. - R

isk

treat

men

ts a

re

asse

ssed

by

top

man

agem

ent a

nd

eval

uate

d to

det

erm

ine

if th

e m

easu

res

have

in

trodu

ced

new

risk

. - R

isk

treat

men

ts a

re

perio

dica

lly re

view

ed to

ev

alua

te e

ffect

iven

ess

and

oppo

rtuni

ties

for

- Coo

rdin

ates

risk

tre

atm

ent p

roce

ss

with

inte

rnal

and

ex

tern

al s

take

hold

ers

incl

udin

g co

ntra

ctor

s an

d su

bcon

tract

ors.

- S

hare

s be

st

prac

tices

trea

tmen

t pl

ans

with

ext

erna

l st

akeh

olde

rs (c

lient

s,

subc

ontra

ctor

s, a

nd

loca

l com

mun

ity,

whe

re a

ppro

pria

te) t

o re

duce

ove

rall

risk.


AN

SI/A

SIS

PS

C.3

-201

3

19

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

impr

ovem

ent.

8.1

Org

aniz

atio

nal

Stru

ctur

e

- Def

inin

g th

e m

anag

emen

t st

ruct

ure.

- Ide

ntify

ing

role

s,

resp

onsi

bilit

ies,

aut

horit

ies,

an

d ac

coun

tabi

lity

for a

n or

gani

zatio

n’s

oper

atio

ns

and

serv

ices

.

- Lac

k of

cle

ar

orga

niza

tiona

l st

ruct

ure.

- Som

e do

cum

enta

tion

of

orga

niza

tiona

l st

ruct

ure,

focu

sing

on

issu

es id

entif

ied.

- Doc

umen

tatio

n of

or

gani

zatio

nal

stru

ctur

e.

- Ide

ntifi

es a

nd

esta

blis

hes

its

orga

niza

tiona

l st

ruct

ure

with

in

show

ing

dutie

s,

resp

onsi

bilit

ies,

and

au

thor

ities

of

man

agem

ent.

- Cle

ar d

efin

ition

of

lega

l ent

ity.

- Org

aniz

atio

nal s

truct

ure

and

lega

l sta

tus

clea

rly

iden

tifie

d an

d do

cum

ente

d.

- Rol

es, r

espo

nsib

ilitie

s,

auth

oriti

es, a

nd

acco

unta

bilit

ies

for i

ts

oper

atio

ns a

nd s

ervi

ces

are

iden

tifie

d an

d do

cum

ente

d.

- Org

aniz

atio

nal

stru

ctur

e (in

clud

ing

that

of o

rgan

izat

ions

w

orki

ng o

n be

half

of

the

orga

niza

tion)

, as

wel

l as

role

s,

resp

onsi

bilit

ies,

au

thor

ities

, and

ac

coun

tabi

litie

s pu

blic

ally

tran

spar

ent.

8.2

Insu

ranc

e - S

uffic

ient

in

sura

nce.

- D

emon

stra

ting

the

orga

niza

tion

has

suffi

cien

t in

sura

nce.

- Ins

uran

ce

cove

rage

on

an a

d ho

c ba

sis.

- Ins

uran

ce

cove

rage

for i

ssue

s ad

dres

sed

in

proj

ect.

- Ins

uran

ce c

over

age

need

ed w

ithin

the

scop

e of

the

proj

ect.

- Org

aniz

atio

n de

mon

stra

tes

that

it

has

suffi

cien

t in

sura

nce

to c

over

ris

ks a

nd a

ssoc

iate

d lia

bilit

ies

aris

ing

from

its

ope

ratio

ns a

nd

activ

ities

con

sist

ent

with

its

risk

asse

ssm

ent.

- Org

aniz

atio

n de

mon

stra

tes

that

it h

as

suffi

cien

t ins

uran

ce to

co

ver r

isks

and

ass

ocia

ted

liabi

litie

s ar

isin

g fro

m it

s op

erat

ions

and

act

iviti

es

cons

iste

nt w

ith it

s ris

k as

sess

men

t.

- Org

aniz

atio

n de

mon

stra

tes

that

it

has

insu

ranc

e to

co

ver r

isks

and

as

soci

ated

liab

ilitie

s ar

isin

g fro

m it

s op

erat

ions

and

ac

tiviti

es c

onsi

sten

t w

ith it

s ris

k as

sess

men

t.

8.3

Out

sour

cing

an

d S

ubco

ntra

ctin

g.

- Def

inin

g th

e pr

oces

s fo

r ou

tsou

rcin

g or

su

bcon

tract

ing.

- Def

ined

pro

cess

es fo

r su

bcon

tract

ing

and

outs

ourc

ing.

- O

rgan

izat

iona

l kno

wle

dge

of s

uppl

y ch

ain

and

resp

onsi

bilit

y fo

r all

activ

ities

out

sour

ced

to

anot

her e

ntity

.

- No

resp

onsi

bilit

y or

ove

rsig

ht o

f ou

tsou

rced

or

subc

ontra

cted

op

erat

ions

.

- Ass

ess

the

need

s an

d ac

coun

tabi

lity

for o

utso

urce

d or

su

bcon

tract

ed

oper

atio

ns re

late

d to

id

entif

ied

issu

es.

- Dev

elop

s pr

oces

s in

w

hich

it d

escr

ibes

the

cond

ition

s un

der w

hich

it

outs

ourc

es a

ctiv

ities

, fu

nctio

ns, o

r op

erat

ions

.

- Est

ablis

hed

proc

ess

in w

hich

it d

escr

ibes

th

e co

nditi

ons

unde

r w

hich

it o

utso

urce

s ac

tiviti

es, f

unct

ions

, or

oper

atio

ns.

- Est

ablis

hes,

mai

ntai

ns,

and

docu

men

ts a

pro

cess

in

whi

ch it

des

crib

es th

e co

nditi

ons

unde

r whi

ch it

ou

tsou

rces

act

iviti

es,

func

tions

, or o

pera

tions

. - O

rgan

izat

ion

has

a le

gally

en

forc

eabl

e ag

reem

ent

cove

ring

outs

ourc

ing

arra

ngem

ents

ens

urin

g a

com

mitm

ent b

y su

bcon

tract

ors

to a

bide

by

oblig

atio

ns in

the

stan

dard

, co

nfid

entia

lity

and

conf

lict

of in

tere

st a

gree

men

ts,

clea

r def

initi

on o

f pro

visi

on

of s

ervi

ces,

and

co

nfor

man

ce to

the

Sta

ndar

d.

- Est

ablis

hes

and

mai

ntai

ns a

pro

cess

in

whi

ch it

des

crib

es

the

cond

ition

s un

der

whi

ch it

out

sour

ces

activ

ities

, fun

ctio

ns, o

r op

erat

ions

and

su

bcon

tract

ors

and

exte

rnal

sta

keho

lder

s ad

here

to th

e po

licy.

- P

rom

ote

a Q

AM

po

licy

thro

ugho

ut

subc

ontra

ctor

s an

d su

pply

cha

in a

nd in

re

latio

nshi

ps w

ith

clie

nts.

8.4.

1 G

ener

al

Doc

umen

tatio

n - I

dent

ifyin

g an

d ad

dres

sing

do

cum

enta

tion.

- Pro

cess

es a

nd

proc

edur

es fo

r m

anag

emen

t of d

ocum

ents

- Inf

orm

al, i

f any

. - D

evel

ops

docu

men

ted

proc

edur

es to

- Dev

elop

s a

docu

men

t m

anag

emen

t pro

gram

. - D

ocum

enta

tion

- Est

ablis

hes

qual

ity

assu

ranc

e m

anag

emen

t

- Doc

umen

tatio

n sy

stem

is

cons

iste

nt w

ith d

ocum

ent

cont

rol r

equi

rem

ents

.

- Eva

luat

es d

ocum

ent

and

info

rmat

ion

need

s of

ext

erna

l


AN

SI/A

SIS

PS

C.3

-201

3

20

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

whi

ch a

re e

ssen

tial t

o th

e Q

AM

S.

- Pro

cedu

res,

pro

cess

es,

wor

k pl

ans,

to s

uppo

rt th

e Q

AM

S a

nd it

s el

emen

ts, t

o su

ppor

t nor

mal

ope

ratin

g co

nditi

ons

and

disr

uptiv

e ev

ents

.

supp

ort a

ctio

n pl

ans.

- M

aint

ains

do

cum

enta

tion

to

supp

ort p

roje

ct

scop

e.

-Doc

umen

tatio

n su

ppor

ts e

lem

ents

ad

dres

sed

in

proj

ect.

supp

orts

ele

men

ts

addr

esse

d in

pro

gram

ac

tion

plan

s.

docu

men

tatio

n sy

stem

. - D

eter

min

es s

ecur

ity,

sens

itivi

ty, a

nd

info

rmat

ion

inte

grity

ne

eds

and

take

s ap

prop

riate

ste

ps to

pr

otec

t inf

orm

atio

n an

d do

cum

enta

tion.

- Pre

pare

s a

form

al m

anua

l do

cum

entin

g th

e st

ruct

ure

of th

e Q

AM

S.

stak

ehol

ders

(clie

nts,

su

bcon

tract

ors,

su

pply

cha

in, a

nd

com

mun

ity) f

or

shar

ing

of

docu

men

tatio

n be

st

prac

tices

.

8.4.

2 D

ocum

enta

tion:

R

ecor

ds

- Dev

elop

ing

and

impl

emen

ting

reco

rds

cont

rol.

- Rec

ords

to d

emon

stra

te

conf

orm

ity to

the

requ

irem

ents

of t

he Q

AM

S

and

the

resu

lts a

chie

ved.

- Onl

y as

requ

ired

by n

orm

al b

usin

ess

prac

tices

.

- Col

lect

s an

d re

tain

s ev

iden

ce

addr

essi

ng p

roje

ct

impl

emen

tatio

n an

d re

sults

.

- Col

lect

s an

d re

tain

s ev

iden

ce a

ddre

ssin

g pr

ogra

m

impl

emen

tatio

n an

d re

sults

.

- Col

lect

s an

d re

tain

s ev

iden

ce a

ddre

ssin

g Q

AM

S

impl

emen

tatio

n an

d re

sults

.

- Est

ablis

hes,

impl

emen

ts,

and

mai

ntai

ns d

ocum

ente

d pr

oced

ures

to c

olle

ct a

nd

reta

in e

vide

nce

addr

essi

ng

QA

MS

impl

emen

tatio

n an

d re

sults

.

- Est

ablis

h sh

ared

re

cord

con

trols

with

in

tern

al a

nd e

xter

nal

stak

ehol

ders

.

8.4.

3 C

ontro

l of

Doc

umen

ted

Info

rmat

ion

- Dev

elop

ing

and

impl

emen

ting

docu

men

tatio

n co

ntro

l.

- Pro

cess

es a

nd

proc

edur

es fo

r con

trol o

f do

cum

ents

and

reco

rds

(incl

udin

g ba

ck-u

p).

- Pro

tect

ion

of th

e in

tegr

ity

of e

ssen

tial i

nfor

mat

ion.

- No

docu

men

t co

ntro

l sys

tem

ot

her t

han

that

us

ed in

gen

eral

or

gani

zatio

nal

oper

atio

ns.

- Doc

umen

t con

trol

with

som

e pr

oced

ures

de

velo

ped

to h

elp

dem

onst

rate

su

cces

s an

d bu

sine

ss b

enef

it.

- Lim

ited

back

-up

of

criti

cal i

nfor

mat

ion.

- Est

ablis

hes

proc

esse

s an

d pr

oced

ures

for c

ontro

l of

doc

umen

ts a

nd

reco

rds

in th

e sc

ope

of

the

prog

ram

.

- Est

ablis

hes

proc

esse

s an

d pr

oced

ures

for c

ontro

l of

doc

umen

ts a

nd

reco

rds

in th

e sc

ope

of th

e m

anag

emen

t sy

stem

, inc

ludi

ng

acce

ss, b

ack-

up

conf

iden

tialit

y,

stor

age,

rete

ntio

n,

arch

ivin

g, a

nd

dest

ruct

ion.

- For

mal

ly d

ocum

ents

pr

oces

ses

and

proc

edur

es

for c

ontro

l of d

ocum

ents

an

d re

cord

s, in

clud

ing

info

rmat

ion

secu

rity

and

prot

ectio

n an

d do

cum

ent

inte

grity

.

- Im

plem

entin

g be

st

prac

tice

docu

men

t co

ntro

l with

ext

erna

l st

akeh

olde

rs.

9.1.

1 G

ener

al

Ope

ratio

nal

Con

trol

- Dev

elop

ing

and

impl

emen

ting

oper

atio

nal

cont

rol.

- Ope

ratio

nal c

ontro

l m

easu

res

and

proc

edur

es

need

ed to

impl

emen

t the

Q

AM

dur

ing

norm

al

oper

atin

g co

nditi

ons

and

unde

sira

ble

or d

isru

ptiv

e ev

ents

. - R

isk

avoi

danc

e,

miti

gatio

n, re

duct

ion,

sh

arin

g, a

nd tr

eatm

ent

proc

edur

es to

min

imiz

e th

e lik

elih

ood

and

cons

eque

nces

of a

n un

desi

rabl

e or

dis

rupt

ive

- Pro

cedu

res

and

proc

esse

s ar

e un

defin

ed.

- Som

e in

divi

dual

s m

ay a

ddre

ss

perc

eive

d di

srup

tive

even

ts

on a

n ad

hoc

bas

is.

- Em

phas

is o

n ac

com

plis

hing

the

mis

sion

not

fo

cuse

d on

clie

nt’s

re

puta

tion,

loca

l or

appl

icab

le

- Ope

ratio

nal

cont

rols

and

pr

oced

ures

es

tabl

ishe

d to

ac

hiev

e ob

ject

ives

an

d ta

rget

s ad

dres

sed

with

in th

e pr

ojec

t sco

pe.

- Ris

k or

impa

ct

anal

ysis

is u

sed

to

dete

rmin

e pr

oper

op

erat

iona

l con

trols

w

ithin

the

scop

e of

the

prog

ram

. - C

ompl

ianc

e w

ith

rele

vant

and

ap

prop

riate

lega

l, in

tern

atio

nal,

and

cust

omar

y la

ws.

Ope

ratio

nal c

ontro

ls

for r

isk

redu

ctio

n an

d en

surin

g w

ell-b

eing

an

d rig

hts

of b

oth

pers

ons

wor

king

on

its b

ehal

f and

loca

l co

mm

uniti

es a

re

base

d on

the

risk

asse

ssm

ent,

obje

ctiv

es, t

arge

ts,

and

prog

ram

s.

- Con

side

rs w

ays

of

min

imiz

ing

risk

in d

ay-

to-d

ay o

pera

tions

,

- Est

ablis

hes,

impl

emen

ts,

mai

ntai

ns, a

nd d

ocum

ents

ad

aptiv

e an

d pr

e-em

ptiv

e pr

oced

ures

for t

hose

op

erat

ions

that

are

as

soci

ated

with

the

iden

tifie

d si

gnifi

cant

risk

s,

cons

iste

nt w

ith it

s qu

ality

as

sura

nce

man

agem

ent

polic

y, ri

sk a

sses

smen

t, su

pply

cha

in re

quire

men

ts,

obje

ctiv

es, a

nd ta

rget

s.

- Con

trol p

roce

dure

s ar

e w

ritte

n an

d/or

revi

ewed

by

- Dem

and

sign

als

are

inco

rpor

ated

in

capa

city

pla

nnin

g.

- Prio

rity

is g

iven

to

adap

tive

appr

oach

es.

- Pro

cess

es a

re in

pl

ace

to v

alid

ate

subc

ontra

ctor

re

spon

ses.

- I

mpl

emen

ts b

est

prac

tices

ope

ratio

nal

cont

rol t

hrou

ghou

t the

su

pply

cha

in a

nd w

ith


AN

SI/A

SIS

PS

C.3

-201

3

21

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

even

t. in

tern

atio

nal l

aws,

no

r int

erna

tiona

l hu

man

itaria

n,

hum

an ri

ghts

, or

cust

omar

y la

ws.

incl

udin

g en

gine

erin

g co

ntro

ls,

adm

inis

trativ

e co

ntro

ls, t

echn

ical

sp

ecifi

catio

ns, a

nd

cont

ract

ual

agre

emen

ts.

- Prio

rity

is g

iven

to

pree

mpt

ive

appr

oach

es.

pers

ons

invo

lved

in

oper

atio

ns a

nd

com

mun

icat

ed e

ffect

ivel

y to

oth

ers,

incl

udin

g ex

tern

al s

take

hold

ers

– in

clud

ing

subc

ontra

ctor

s an

d ou

tsou

rced

jobs

. - E

nsur

e th

e w

ell-b

eing

and

rig

hts

of b

oth

pers

ons

wor

king

on

its b

ehal

f and

lo

cal c

omm

uniti

es.

exte

rnal

sta

keho

lder

s (in

clud

ing

subc

ontra

ctor

s an

d ou

tsou

rced

act

iviti

es).

9.1.

2 E

stab

lishi

ng

Nor

ms

of B

ehav

ior

and

Cod

es o

f E

thic

al C

ondu

ct

- Def

inin

g an

d im

plem

entin

g a

code

of e

thic

al

beha

vior

.

- Est

ablis

hing

and

co

mm

unic

atin

g a

Cod

e of

E

thic

al B

ehav

ior t

o pe

rson

s w

orki

ng o

n be

half

of th

e or

gani

zatio

n.

- No

Cod

e of

E

thic

al B

ehav

ior.

- C

ode

of E

thic

al

Beh

avio

r is

deve

lope

d w

ithin

the

scop

e of

the

proj

ect.

- Cod

e of

Eth

ical

B

ehav

ior i

s es

tabl

ishe

d in

the

orga

niza

tion

for

issu

es a

ddre

ssed

in

prog

ram

s.

- Est

ablis

hes

Cod

e of

E

thic

s w

ith s

uppo

rt fro

m to

p m

anag

emen

t. - C

omm

unic

ates

cod

e to

per

sons

wor

king

on

beha

lf of

the

orga

niza

tion.

- C

lear

ly

com

mun

icat

es

resp

ect f

or th

e hu

man

rig

hts

and

dign

ity o

f hu

man

bei

ngs.

- Cod

e of

Eth

ical

Beh

avio

r fo

r nor

ms

of b

ehav

ior f

or a

ll pe

rson

s w

orki

ng o

n be

half

of th

e or

gani

zatio

n (in

clud

ing

empl

oyee

s,

subc

ontra

ctor

s, a

nd

outs

ourc

e pa

rtner

s) is

es

tabl

ishe

d, im

plem

ente

d,

docu

men

ted,

and

m

aint

aine

d.

- Cod

e of

Eth

ical

Beh

avio

r co

mm

unic

ated

as

cond

ition

fo

r acc

eptin

g co

ntra

cts.

- Cod

e of

Eth

ics

is

com

mun

icat

ed w

ith a

ll st

akeh

olde

rs b

oth

exte

rnal

and

inte

rnal

. - S

trong

or

gani

zatio

nal c

ultu

re

rega

rdin

g re

spec

t for

th

e hu

man

righ

ts a

nd

dign

ity o

f hum

an

bein

gs.

- Enc

oura

ges

subc

ontra

ctor

s an

d cl

ient

s to

ado

pt C

odes

of

Eth

ical

Beh

avio

r.

9.2

Res

ourc

es,

Rol

es,

Res

pons

ibili

ty,

and

Aut

horit

y

- Ava

ilabi

lity

and

acco

unta

bilit

y of

re

sour

ces

esse

ntia

l for

the

impl

emen

tatio

n of

the

QA

MS

and

to

faci

litat

e ef

fect

ive

QA

M.

- Pro

cedu

res,

role

s, a

nd

resp

onsi

bilit

ies

to c

over

all

norm

al o

pera

ting

cond

ition

s an

d un

desi

rabl

e or

dis

rupt

ive

even

ts.

- Tec

hniq

ues

for

man

agem

ent o

f fun

ctio

nal,

tact

ical

, and

stra

tegi

c te

ams.

- P

rovi

sion

s fo

r ade

quat

e fin

ance

and

adm

inis

trativ

e re

sour

ces

to s

uppo

rt no

rmal

ope

ratin

g co

nditi

ons

and

unde

sira

ble

or d

isru

ptiv

e ev

ents

. - D

eter

min

atio

n of

loca

l, re

gion

al, a

nd p

ublic

au

thor

ities

’ rol

es,

rela

tions

hips

, and

in

tera

ctio

ns.

- Not

def

ined

. - N

o de

dica

ted

pers

onne

l for

Q

AM

S.

- Nee

ded

reso

urce

s no

t id

entif

ied.

- Ass

igns

role

s an

d re

spon

sibi

litie

s to

sp

ecifi

c pe

rson

s to

ad

dres

s is

sue(

s) in

th

e lim

ited

scop

e.

- Allo

cate

s ad

equa

te

reso

urce

s in

ac

cord

ance

with

ac

tion

plan

. - A

“Pro

ject

Lea

der”

is

des

igna

ted

to

over

see

the

proj

ect.

- Par

ticip

atio

n ba

sed

on p

roje

ct s

cope

.

- Ide

ntifi

es a

nd d

efin

es

auth

oriti

es, r

oles

, re

spon

sibi

litie

s, a

nd

appr

opria

te re

sour

ces

with

in th

e or

gani

zatio

n.

- Ide

ntifi

es in

tern

al a

nd

exte

rnal

dep

artm

ents

, di

visi

ons,

bus

ines

s un

its, a

nd p

artn

ers

that

w

ill p

lay

a ro

le in

ad

dres

sing

an

unde

sira

ble

disr

uptiv

e ev

ent.

- Ide

ntifi

es a

QA

M

prog

ram

team

and

le

ader

. - A

lloca

tes

adeq

uate

re

sour

ces

in

acco

rdan

ce w

ith th

e ac

tion

plan

.

- Top

man

agem

ent

appo

ints

a s

peci

fic

man

agem

ent

repr

esen

tativ

e re

spon

sibl

e fo

r the

Q

AM

S.

- For

mal

QA

M

resp

onsi

bilit

ies

and

rela

tions

hips

are

de

fined

and

adh

ered

to

. - T

eam

s w

ith d

efin

ed

role

s an

d ad

equa

te

reso

urce

s ar

e es

tabl

ishe

d to

sup

port

QA

M a

ctio

n pl

ans.

- E

stab

lishe

s ar

rang

emen

ts fo

r st

akeh

olde

r as

sist

ance

,

- Rol

es, r

espo

nsib

ilitie

s,

and

auth

oriti

es a

re d

efin

ed,

docu

men

ted,

and

co

mm

unic

ated

in o

rder

to

faci

litat

e ef

fect

ive

QA

M,

cons

iste

nt w

ith th

e ac

hiev

emen

t of i

ts Q

AM

po

licy,

obj

ectiv

es, t

arge

ts,

and

prog

ram

s.

- Doc

umen

ted

qual

ity

team

(s) w

ith d

efin

ed ro

les,

ap

prop

riate

aut

horit

y, a

nd

adeq

uate

reso

urce

s.

- Est

ablis

hes

and

docu

men

ts lo

gist

ical

ca

pabi

litie

s an

d pr

oced

ures

id

entif

y an

d ev

alua

te th

e ne

eds

of th

e cl

ient

with

re

spec

t to

QA

MS

. - F

orm

al a

nd d

ocum

ente

d

- Rol

es,

resp

onsi

bilit

ies,

and

au

thor

ities

are

de

fined

, doc

umen

ted,

an

d co

mm

unic

ated

in

orde

r to

faci

litat

e ef

fect

ive

QA

M w

ithin

th

e or

gani

zatio

n,

ente

rpris

e-w

ide

and

with

in th

e co

mm

unity

co

nsis

tent

with

ac

hiev

ing

orga

niza

tion’

s an

d ex

tern

al s

take

hold

ers’

(s

uppl

y ch

ain

and

com

mun

ity)

obje

ctiv

es, t

arge

ts,

and

prog

ram

s.


AN

SI/A

SIS

PS

C.3

-201

3

22

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

co

mm

unic

atio

n,

stra

tegi

c al

lianc

es,

and

mut

ual a

id.

- Ide

ntifi

es fi

nanc

ial

and

adm

inis

trativ

e pr

oced

ures

nee

ded

to

supp

ort t

he Q

AM

pr

ogra

ms.

- R

oles

, rel

atio

nshi

ps,

and

inte

ract

ions

with

ex

tern

al re

sour

ces

(mem

bers

of t

he

supp

ly c

hain

, su

bcon

tract

ors,

loca

l, re

gion

al, a

nd p

ublic

au

thor

ities

–in

clud

ing

first

resp

onde

rs) a

re

defin

ed.

- Ade

quat

e re

sour

ces

allo

cate

d in

ac

cord

ance

with

ac

tion

plan

.

proc

edur

es fo

r sta

keho

lder

as

sist

ance

and

co

mm

unic

atio

ns.

9.2.

1 P

erso

nnel

- P

erso

nnel

re

quire

men

ts a

nd

para

met

ers

defin

ed.

- Req

uire

men

ts fo

r pe

rson

nel c

ompe

tenc

e,

rem

uner

atio

n, a

nd h

uman

re

sour

ce d

ocum

enta

tion

esta

blis

hed.

- No

docu

men

tatio

n m

aint

aine

d fo

r all

pers

onne

l. - P

erso

nnel

hire

d an

d co

mpe

nsat

ed

in a

n ad

hoc

bas

is.

- Ade

quat

e pe

rson

nel t

o fu

lfill

the

requ

irem

ents

of

the

scop

e.

- Doc

umen

tatio

n on

pe

rson

nel w

ithin

the

proj

ect s

cope

.

- Ini

tiate

s pr

oced

ures

fo

r ens

urin

g su

ffici

ent

pers

onne

l with

ap

prop

riate

co

mpe

tenc

e.

- Ini

tiate

s pr

oced

ures

fo

r mai

ntai

ning

co

nfid

entia

lity

of

pers

onne

l’s p

rivat

e in

form

atio

n.

- Est

ablis

hes

proc

edur

es fo

r en

surin

g su

ffici

ent

pers

onne

l with

ap

prop

riate

co

mpe

tenc

e.

- Est

ablis

hes

proc

edur

es fo

r m

aint

aini

ng

conf

iden

tialit

y of

pe

rson

nel’s

priv

ate

info

rmat

ion.

- E

stab

lishe

s do

cum

enta

tion

of a

ll pe

rson

nel c

onta

ct

info

rmat

ion.

- Mai

ntai

ns a

nd d

ocum

ents

pr

oced

ures

for e

nsur

ing

suffi

cien

t per

sonn

el w

ith

appr

opria

te c

ompe

tenc

e.

- Mai

ntai

ns a

nd d

ocum

ents

pr

oced

ures

for m

aint

aini

ng

conf

iden

tialit

y of

pe

rson

nel’s

priv

ate

info

rmat

ion.

- M

aint

ains

doc

umen

tatio

n of

all

pers

onne

l and

pr

ovid

es re

leva

nt

docu

men

ts in

lang

uage

th

at is

read

ily

com

preh

ensi

ble

for a

ll pa

rties

.

- Sha

res

best

pr

actic

es w

ith re

leva

nt

stak

ehol

ders

.

9.2.

1.1

Uni

form

s an

d M

arki

ngs

- Uni

form

s an

d m

arki

ngs

for

iden

tific

atio

n of

pe

rson

nel a

nd

equi

pmen

t.

- Pro

cedu

res

for t

he u

se o

f un

iform

s an

d m

arki

ngs

for

iden

tific

atio

n.

- No

visi

ble

or

cons

iste

nt u

nifo

rms

or m

arki

ngs

for

pers

onne

l.

- Uni

form

s an

d m

arki

ngs

need

ed

with

in th

e pr

ojec

t sc

ope

are

iden

tifie

d.

- Est

ablis

h re

quire

men

ts fo

r un

iform

s an

d m

arki

ngs

whi

ch a

re c

lear

ly

dist

ingu

isha

ble

from

th

ose

used

by

mili

tary

an

d po

lice

forc

es fo

r

- Est

ablis

h re

quire

men

ts a

nd

proc

edur

es fo

r un

iform

s an

d m

arki

ngs

whi

ch a

re

clea

rly d

istin

guis

habl

e fro

m th

ose

used

by

- Est

ablis

h, d

ocum

ent,

and

mai

ntai

n re

quire

men

ts a

nd

proc

edur

es fo

r uni

form

s an

d m

arki

ngs

with

in th

e or

gani

zatio

n th

at a

re

clea

rly d

istin

guis

habl

e fro

m

thos

e us

ed b

y m

ilita

ry a

nd

- Com

mun

icat

es b

est

prac

tice

proc

edur

es

rega

rdin

g un

iform

s an

d m

arki

ngs

with

ex

tern

al s

take

hold

ers

and

mem

bers

of t

he

surr

ound

ing


AN

SI/A

SIS

PS

C.3

-201

3

23

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

activ

ities

def

ined

in th

e pr

ogra

m s

cope

. m

ilita

ry a

nd p

olic

e fo

rces

. po

lice

forc

es.

com

mun

ity.

9.2.

2 S

elec

tion,

B

ackg

roun

d S

cree

ning

, and

V

ettin

g of

P

erso

nnel

- Est

ablis

hing

pr

oced

ures

for

sele

ctio

n,

scre

enin

g, a

nd

vetti

ng o

f pe

rson

nel.

- Req

uire

men

ts to

ens

ure

that

all

pers

ons

wor

king

on

an o

rgan

izat

ion’

s be

half

are

fit a

nd p

rope

r for

the

task

s th

ey w

ill c

ondu

ct.

- No

proc

edur

es fo

r ba

ckgr

ound

sc

reen

ing

and

vetti

ng o

f per

sons

w

orki

ng o

n be

half

of th

e or

gani

zatio

n.

- Pro

cedu

res

are

iden

tifie

d fo

r ba

ckgr

ound

sc

reen

ing

and

vetti

ng o

f peo

ple

with

in th

e sc

ope

of

the

proj

ect.

- Est

ablis

h pr

oced

ures

fo

r bac

kgro

und

scre

enin

g (in

clud

ing

scre

enin

g fo

r act

ions

in

the

past

or p

rese

nt

whi

ch w

ould

con

tradi

ct

the

orga

niza

tion’

s C

ode

of E

thic

al

Con

duct

, Sta

tem

ent o

f C

onfo

rman

ce, a

nd

adhe

renc

e to

the

PS

C.1

Sta

ndar

d.

- Est

ablis

hed

proc

edur

es a

re b

ased

on

def

ined

co

mpe

tenc

ies

incl

udin

g kn

owle

dge,

sk

ills,

abi

litie

s, a

nd

attri

bute

s.

- Est

ablis

h pr

oced

ures

to

appr

opria

tely

and

st

rictly

sec

ure

the

conf

iden

tialit

y of

in

form

atio

n, b

oth

inte

rnal

ly a

nd

exte

rnal

ly.

- Est

ablis

hed

and

docu

men

ted

proc

edur

es

are

base

d on

def

ined

co

mpe

tenc

ies

incl

udin

g kn

owle

dge,

ski

lls, a

bilit

ies,

an

d at

tribu

tes.

- E

stab

lish

impl

emen

t, m

aint

ain,

and

doc

umen

t pr

oced

ures

to a

ppro

pria

tely

an

d st

rictly

sec

ure

the

conf

iden

tialit

y of

in

form

atio

n, b

oth

inte

rnal

ly

and

exte

rnal

ly.

- Com

mun

icat

es b

est

prac

tice

proc

edur

es

rega

rdin

g se

lect

ion,

ba

ckgr

ound

sc

reen

ing,

and

vet

ting

of p

erso

nnel

with

ex

tern

al s

take

hold

ers,

in

clud

ing

subc

ontra

ctor

s.

9.2.

3 S

elec

tion,

B

ackg

roun

d S

cree

ning

, and

V

ettin

g of

S

ubco

ntra

ctor

s

- Def

inin

g pr

oced

ures

for

subc

ontra

ctin

g ac

tiviti

es.

- Req

uire

men

ts fo

r se

lect

ing

subc

ontra

ctor

s to

en

sure

all

activ

ities

by

an

orga

niza

tion

(sub

cont

ract

ed o

r ot

herw

ise)

adh

ere

to th

e A

NS

I/AS

IS.P

SC

.1

stan

dard

.

- No

proc

edur

e fo

r se

lect

ion

or v

ettin

g of

sub

cont

ract

ors.

- Ide

ntifi

es

appr

opria

te

agre

emen

ts n

eede

d fo

r sub

cont

ract

ors

with

in th

e sc

ope

of

the

proj

ect.

- Ini

tiate

s pr

oced

ures

fo

r cre

atin

g ap

prop

riate

w

ritte

n co

ntra

ctua

l ag

reem

ents

with

su

bcon

tract

ors.

- O

rgan

izat

ion

ackn

owle

dges

that

it is

lia

ble,

as

appr

opria

te

and

with

in a

pplic

able

la

w, f

or th

e co

nduc

t of

subc

ontra

ctor

s.

- Est

ablis

hes

proc

edur

es fo

r se

lect

ion,

scr

eeni

ng,

and

vetti

ng o

f su

bcon

tract

ors.

- E

stab

lishe

s pr

oced

ures

for

ensu

ring

appr

opria

te

writ

ten

cont

ract

ual

agre

emen

ts w

ith

subc

ontra

ctor

s,

advi

sing

the

clie

nt o

f th

e ag

reem

ent,

and

mai

ntai

ning

do

cum

enta

tion

on a

ll su

bcon

tract

ors.

- Mai

ntai

ns, i

mpl

emen

ts,

and

docu

men

ts p

roce

dure

s fo

r sel

ectio

n, s

cree

ning

, an

d ve

tting

of

subc

ontra

ctor

s-

Impl

emen

ts, M

aint

ains

, an

d do

cum

ents

pro

cedu

res

for e

nsur

ing

appr

opria

te

writ

ten

cont

ract

ual

agre

emen

ts w

ith

subc

ontra

ctor

s, a

dvis

ing

the

clie

nt o

f the

agr

eem

ent,

and

mai

ntai

ning

do

cum

enta

tion

on a

ll su

bcon

tract

ors.

- Com

mun

icat

es b

est

prac

tice

proc

edur

es

rega

rdin

g se

lect

ion,

ba

ckgr

ound

sc

reen

ing,

and

vet

ting

of s

ubco

ntra

ctor

s’

pers

onne

l and

en

surin

g co

mpe

tenc

y of

sub

cont

ract

ors

with

ex

tern

al s

take

hold

ers

and

clie

nts.

9.2.

4 Fi

nanc

ial

and

Adm

inis

trativ

e P

roce

dure

s

- Def

inin

g fin

anci

al a

nd

adm

inis

trativ

e pr

oced

ures

.

- Pro

cedu

res

to s

uppo

rt qu

ality

ass

uran

ce

man

agem

ent p

rogr

am

befo

re, d

urin

g, a

nd a

fter a

di

srup

tive

or u

ndes

irabl

e ev

ent.

- No

finan

cial

or

adm

inis

trativ

e pr

oced

ures

.

- Ide

ntifi

es th

e ne

ed

for p

roce

dure

s an

d es

tabl

ishe

s pr

oced

ures

with

in

the

proj

ect s

cope

.

- Det

erm

ines

pr

oced

ures

nec

essa

ry

so th

at fi

scal

dec

isio

ns

can

be e

xped

ited.

- C

onsu

lts w

ith th

e cl

ient

.

- Est

ablis

hes

proc

edur

es to

sup

port

qual

ity a

ssur

ance

m

anag

emen

t pro

gram

be

fore

, dur

ing,

and

af

ter a

dis

rupt

ive

or

unde

sira

ble

even

t, en

surin

g fis

cal

deci

sion

s ca

n be

ex

pedi

ted.

- E

stab

lishe

d in

- Im

plem

ents

, doc

umen

ts,

and

mai

ntai

ns p

roce

dure

s to

sup

port

qual

ity

assu

ranc

e m

anag

emen

t pr

ogra

m b

efor

e, d

urin

g,

and

afte

r a d

isru

ptiv

e or

un

desi

rabl

e ev

ent,

ensu

ring

fisca

l dec

isio

ns

can

be e

xped

ited.

- E

stab

lishe

d in

co

nsul

tatio

n an

d

- Com

mun

icat

es b

est

prac

tice

proc

edur

es

rega

rdin

g fin

anci

al

and

adm

inis

trativ

e pr

oced

ures

with

ap

prop

riate

ext

erna

l st

akeh

olde

rs in

clud

ing

clie

nts.


AN

SI/A

SIS

PS

C.3

-201

3

24

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

cons

ulta

tion

and

coor

dina

tion

with

the

clie

nt.

coor

dina

tion

with

the

clie

nt.

9.2.

5 P

rocu

rem

ent

and

Man

agem

ent

of W

eapo

ns,

Haz

ardo

us

Mat

eria

ls, a

nd

Mun

ition

s

- Man

agem

ent o

f w

eapo

ns,

haza

rdou

s m

ater

ials

, and

m

uniti

ons

with

in

the

orga

niza

tion.

- Ens

urin

g th

e lif

e-cy

cle

man

agem

ent a

nd u

se o

f w

eapo

ns, m

uniti

ons,

and

ha

zard

ous

mat

eria

ls w

ithin

th

e or

gani

zatio

n is

in

acco

rdan

ce w

ith

appr

opria

te la

ws,

re

gula

tions

, and

mis

sion

ob

ject

ives

.

- No

Pro

cedu

res

for p

rocu

rem

ent

and

man

agem

ent

of w

eapo

ns,

haza

rdou

s m

ater

ials

, ex

plos

ives

, or

mun

ition

s.

- Ide

ntifi

es

proc

edur

es

nece

ssar

y fo

r the

m

anag

emen

t of

wea

pons

, haz

ardo

us

mat

eria

ls,

expl

osiv

es, a

nd

mun

ition

s w

ithin

the

proj

ect s

cope

.

- Det

erm

ines

ap

prop

riate

use

of

wea

pons

, haz

ardo

us

mat

eria

ls, e

xplo

sive

s,

and

mun

ition

s in

ac

cord

ance

with

ac

cept

ed w

eapo

nry

used

by

law

en

forc

emen

t age

ncie

s an

d co

nsis

tent

with

ap

prop

riate

in

tern

atio

nal a

nd

natio

nal l

aw.

- Dev

elop

s pr

oced

ures

fo

r det

erm

inin

g w

eapo

nry

need

ed

with

in a

pro

ject

sco

pe

cons

iste

nt w

ith m

issi

on

obje

ctiv

es.

- Est

ablis

hes

and

initi

ates

pro

cedu

res

for p

rocu

rem

ent a

nd

man

agem

ent o

f w

eapo

ns, h

azar

dous

m

ater

ials

, exp

losi

ves,

an

d m

uniti

ons

cons

iste

nt w

ith ri

sks

and

mis

sion

ob

ject

ives

. - P

roce

dure

s co

nsid

er

loca

l and

inte

rnat

iona

l le

gal a

nd re

gula

tory

re

quire

men

ts a

nd a

re

in a

ccor

danc

e w

ith

acce

pted

wea

ponr

y us

ed b

y la

w

enfo

rcem

ent

agen

cies

. - I

nitia

tes

proc

edur

es

for i

dent

ifica

tion

and

acco

unta

bilit

y fo

r all

amm

uniti

on a

nd

wea

ponr

y.

- Est

ablis

hes

prot

ocol

s th

at

wea

pons

are

to b

e us

ed in

sel

f-def

ense

an

d in

the

defe

nse

of

othe

rs o

nly

and

appr

opria

te to

the

task

.

- Est

ablis

hes,

doc

umen

ts,

and

mai

ntai

ns p

roce

dure

s fo

r the

life

-cyc

le

man

agem

ent a

nd u

se o

f w

eapo

ns, m

uniti

ons,

and

ha

zard

ous

mat

eria

ls.

- Pro

cedu

res

for

iden

tific

atio

n an

d ac

coun

ting

of a

ll w

eapo

nry

are

docu

men

ted

and

mai

ntai

ned.

- C

onsi

ders

all

loca

l and

in

tern

atio

nal l

egal

and

re

gula

tory

requ

irem

ents

. - A

ccou

nts

for m

issi

on

obje

ctiv

es a

nd ri

sks

iden

tifie

d w

hen

proc

urin

g an

d m

anag

ing

wea

pons

. - O

rgan

izat

ion-

wid

e cu

lture

of

onl

y us

ing

wea

pons

for

self-

defe

nse

and

the

defe

nse

of o

ther

s w

hile

ap

prop

riate

to th

e ta

sk a

nd

oper

atio

ns.

- Com

mun

icat

es b

est

prac

tice

proc

edur

es

rega

rdin

g pr

ocur

emen

t and

m

anag

emen

t of

wea

ponr

y pr

oced

ures

w

ith e

xter

nal

stak

ehol

ders

, in

clud

ing

subc

ontra

ctor

s an

d cl

ient

s.

- Org

aniz

atio

n-w

ide

cultu

re o

f onl

y us

ing

wea

pons

for s

elf-

defe

nse

and

the

defe

nse

of o

ther

s w

hile

app

ropr

iate

to

the

task

and

op

erat

ions

. - P

roce

dure

s fo

r as

sess

ing

whe

ther

w

eapo

ns w

ere

nece

ssar

y af

ter e

ach

time

wea

pons

are

fir

ed.

9.3

Com

pete

nce,

Tr

aini

ng, a

nd

Aw

aren

ess

- Def

inin

g an

d ad

dres

sing

co

mpe

tenc

e.

- Ski

lls a

nd c

ompe

tenc

y re

quire

men

ts to

sup

port

norm

al o

pera

ting

cond

ition

s an

d di

srup

tive

even

ts.

- Tra

inin

g an

d ed

ucat

ion

prog

ram

for t

he

orga

niza

tion’

s pe

rson

nel,

cont

ract

ors,

and

oth

er

rele

vant

sta

keho

lder

s.

- Lac

k of

QA

M

cultu

ral a

war

enes

s.

-Com

pete

ncie

s an

d sk

ills

not i

dent

ified

. - N

o tra

inin

g pr

ogra

m.

- Litt

le o

r no

in-

hous

e ex

perti

se o

r ex

perie

nce.

- W

orkf

orce

- Com

pete

nce,

sk

ills,

and

trai

ning

ne

eds

iden

tifie

d to

ac

hiev

e pr

ojec

t ob

ject

ives

and

ta

rget

s.

- Con

duct

s tra

inin

g w

ith s

ome

mea

sure

of

com

pete

nce

to

achi

eve

obje

ctiv

es

- Det

erm

ines

co

mpe

tenc

e re

quire

men

ts th

at a

re

nece

ssar

y fo

r act

iviti

es

defin

ed in

the

prog

ram

sc

ope.

- D

evel

ops

and

impl

emen

ts tr

aini

ng,

com

pete

nce,

and

aw

aren

ess

proc

edur

es.

- Ide

ntifi

es

com

pete

ncie

s an

d tra

inin

g ne

eds

asso

ciat

ed w

ith

achi

evin

g th

e Q

AM

S

obje

ctiv

es, t

arge

ts,

and

prog

ram

s.

- Dev

elop

s an

d im

plem

ents

pr

oced

ures

to

- Ens

ures

that

any

per

sons

pe

rform

ing

task

s w

ho h

ave

the

pote

ntia

l to

prev

ent,

caus

e, re

spon

d to

, m

itiga

te, o

r be

affe

cted

by

sign

ifica

nt h

azar

ds, t

hrea

ts,

and

risks

are

com

pete

nt

(on

the

basi

s of

app

ropr

iate

ed

ucat

ion,

trai

ning

, or

expe

rienc

e).

- Bui

lds,

pro

mot

es,

and

embe

ds a

qua

lity

assu

ranc

e m

anag

emen

t cul

ture

w

ithin

the

orga

niza

tion,

su

bcon

tract

ors,

su

pply

cha

in, c

lient

s,

and

com

mun

ity.

- Sha

ring

best


AN

SI/A

SIS

PS

C.3

-201

3

25

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

- Org

aniz

atio

nal a

war

enes

s an

d cu

lture

to s

uppo

rt Q

AM

. - O

rgan

izat

iona

l int

erfa

ce

prot

ocol

, ide

ntifi

catio

n, a

nd

train

ing

requ

irem

ents

, in

clud

ing

wea

pons

trai

ning

. - T

ools

to e

nhan

ce

situ

atio

nal a

war

enes

s.

- Edu

catio

n to

ens

ure

prop

er c

ultu

ral a

war

enes

s an

d kn

owle

dge

of h

uman

rig

hts

and

inte

rnat

iona

l law

.

unaw

are

of q

ualit

y as

sura

nce

and

risk

man

agem

ent

need

s an

d la

cks

train

ing

to

adeq

uate

ly ta

ke

owne

rshi

p an

d co

ntro

l ris

ks.

- No

adeq

uate

tra

inin

g ab

out

cultu

re.

- No

proc

edur

es fo

r w

eapo

ns a

nd u

se

of fo

rce

train

ing.

and

targ

ets.

- T

rain

ing

and

awar

enes

s fo

cus

on

addr

essi

ng th

e id

entif

ied

issu

e(s)

in

the

scop

e.

addr

ess

com

pete

nce

and

train

ing

need

s.

-Dev

elop

s an

d im

plem

ents

pr

oced

ures

for

train

ing

and

eval

uatin

g pe

rson

nel

auth

oriz

ed to

car

ry

any

wea

pons

in th

e pe

rform

ance

of t

heir

dutie

s.

- Ass

esse

s co

mpe

tenc

e ag

ains

t re

quire

men

ts.

- Doc

umen

ts a

nd re

tain

s as

soci

ated

trai

ning

and

co

mpe

tenc

e re

cord

s.

- Doc

umen

ted

leve

l of

com

pete

nce

with

the

spec

ific

wea

pons

au

thor

ized

for a

ll pe

rson

nel

auth

oriz

ed to

car

ry a

w

eapo

n in

the

perfo

rman

ce

of th

eir d

utie

s.

- Ens

ures

the

qual

ity

assu

ranc

e m

anag

emen

t cu

lture

bec

omes

par

t of t

he

orga

niza

tion’

s co

re v

alue

s an

d or

gani

zatio

n go

vern

ance

. - M

akes

sta

keho

lder

s aw

are

of th

e qu

ality

as

sura

nce

man

agem

ent

polic

y an

d th

eir r

ole

in a

ny

plan

s.

prac

tices

with

ext

erna

l st

akeh

olde

rs (e

.g.,

supp

ly c

hain

and

su

bcon

tract

ors)

.

9.4.

1 O

pera

tiona

l C

omm

unic

atio

ns

- Ide

ntify

and

ad

dres

s in

tern

al

and

exte

rnal

op

erat

iona

l co

mm

unic

atio

n re

quire

men

ts.

- Pro

cedu

res,

ar

rang

emen

ts, a

nd to

ols

for c

omm

unic

atio

n to

su

ppor

t nor

mal

ope

ratin

g co

nditi

ons

and

disr

uptiv

e ev

ents

. - R

elia

ble

and

test

ed

com

mun

icat

ions

and

a

war

ning

cap

abili

ty in

the

even

t of a

n un

desi

rabl

e or

di

srup

tive

even

t.

- No

proc

edur

es.

- Com

mun

icat

ions

no

t coo

rdin

ated

in

tern

ally

or

exte

rnal

ly.

- Rea

ctiv

e in

na

ture

. - D

riven

by

dem

ands

for

info

rmat

ion.

- Com

mun

icat

ion

proc

edur

es a

ddre

ss

proj

ect o

bjec

tives

, ta

rget

, and

sco

pe.

- Dev

elop

s co

mm

unic

atio

n pr

oced

ures

for

inte

rnal

and

ext

erna

l st

akeh

olde

rs

(incl

udin

g au

thor

ities

an

d m

edia

) co

nsis

tent

with

the

proj

ect s

cope

.

- Ide

ntifi

es w

hat w

ill b

e co

mm

unic

ated

and

to

who

m.

- Det

erm

ines

co

mm

unic

atio

ns a

nd

war

ning

nee

ds.

- Est

ablis

hes,

im

plem

ents

, and

m

aint

ains

pro

cedu

res

for i

nter

nal a

nd

exte

rnal

co

mm

unic

atio

ns a

nd

war

ning

s.

- Est

ablis

hes

notif

icat

ion

syst

ems

and

role

s in

whi

ch to

us

e th

em.

- Ide

ntifi

es w

hat w

ill

be c

omm

unic

ated

and

to

who

m re

gard

ing

the

QA

M p

olic

y, ri

sks,

ob

ject

ives

, tar

gets

, an

d pr

ogra

ms.

- E

stab

lishe

s in

tern

al,

exte

rnal

, and

Net

-C

entri

c co

mm

unic

atio

n pr

oced

ures

. - I

dent

ifies

targ

et

audi

ence

s fo

r co

mm

unic

atio

ns a

nd

war

ning

s to

ens

ure

effe

ctiv

e tw

o-w

ay

dial

ogue

. - D

eter

min

es

info

rmat

ion

shar

ing

and

secu

rity

need

s.

- Ens

ures

ong

oing

co

mm

unic

atio

ns

capa

city

in th

e ev

ent

of a

n un

desi

rabl

e or

- Est

ablis

hes,

impl

emen

ts,

docu

men

ts, a

nd m

aint

ains

co

mm

unic

atio

ns

proc

edur

es.

- P

repl

anni

ng o

f co

mm

unic

atio

ns fo

r ta

rget

ed a

udie

nces

. - D

evel

ops

and

docu

men

ts

key

mes

sage

s an

d se

t co

mm

unic

atio

n ta

rget

s,

obje

ctiv

es, a

nd

perfo

rman

ce in

dica

tors

. - A

ssig

ns a

nd d

ocum

ents

re

spon

sibi

litie

s an

d es

tabl

ish

timel

ines

for

com

mun

icat

ions

. - E

stab

lishe

s, d

ocum

ents

, an

d m

aint

ains

pro

cedu

res

for i

nter

nal,

exte

rnal

, and

N

et-C

entri

c co

mm

unic

atio

ns.

- Com

mun

icat

ion

on Q

AM

is

sues

occ

urs

thro

ugho

ut

the

orga

niza

tion

and

with

- Dev

elop

men

t of N

et-

Cen

tric

capa

city

for a

ll co

mm

unic

atio

ns w

ith

exte

rnal

sta

keho

lder

s (s

uppl

y ch

ain,

su

bcon

tract

ors,

cl

ient

s, a

nd

com

mun

ity).

- Det

erm

ines

relia

bilit

y of

ext

erna

l co

mm

unic

atio

ns

infra

stru

ctur

e, a

nd to

au

gmen

t the

sys

tem

in

tern

ally

and

ex

tern

ally

in th

e ev

ent

of a

n un

desi

rabl

e or

di

srup

tion.


AN

SI/A

SIS

PS

C.3

-201

3

26

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

disr

uptiv

e ev

ent.

ap

prop

riate

sta

keho

lder

s.

- Doc

umen

ts

com

mun

icat

ion

with

em

erge

ncy

and

first

re

spon

ders

. - S

ets

and

docu

men

ts

com

mun

icat

ions

pro

toco

ls

for n

orm

al a

nd fo

r di

srup

tive

even

ts.

- Reg

ular

ly e

xerc

ises

co

mm

unic

atio

ns s

yste

m

and

docu

men

ts re

sults

.

9.4.

2 R

isk

Com

mun

icat

ion

-Iden

tify

and

addr

ess

inte

rnal

an

d ex

tern

al ri

sk

com

mun

icat

ion

requ

irem

ents

.

- Dev

elop

s ris

k co

mm

unic

atio

ns b

ased

on

safe

guar

ding

life

as

the

first

prio

rity.

- E

xerc

ises

for p

lans

to

com

mun

icat

e in

form

atio

n an

d w

arni

ngs

with

st

akeh

olde

rs (i

nclu

ding

the

med

ia) t

o su

ppor

t nor

mal

op

erat

ing

cond

ition

s an

d di

srup

tive

even

ts.

- No

proc

edur

es.

- Not

coo

rdin

ated

in

tern

ally

or

exte

rnal

ly.

- Rea

ctiv

e in

na

ture

. - D

riven

by

dem

ands

for

info

rmat

ion.

- Dev

elop

s co

mm

unic

atio

n pr

oced

ures

for

com

mun

icat

ing

risk

to e

xter

nal

stak

ehol

ders

(in

clud

ing

auth

oriti

es

and

med

ia)

cons

iste

nt w

ith th

e pr

ojec

t sco

pe.

- Ide

ntifi

es w

hat r

isks

w

ill b

e co

mm

unic

ated

an

d to

who

m.

- Ide

ntifi

es w

hat w

ill

be c

omm

unic

ated

and

to

who

m re

gard

ing

the

QA

M p

olic

y, ri

sks,

ob

ject

ives

, tar

gets

, an

d pr

ogra

ms

rega

rdin

g th

e ris

ks o

f th

ese

prog

ram

s an

d sy

stem

s.

- Dec

isio

n to

co

mm

unic

ate

risk

is

base

d on

sa

fegu

ardi

ng li

fe a

s th

e fir

st p

riorit

y.

- Dev

elop

s an

d do

cum

ents

ke

y m

essa

ges

rega

rdin

g le

vels

of r

isk

with

in th

e or

gani

zatio

n to

ext

erna

l st

akeh

olde

rs.

- Dec

isio

n to

com

mun

icat

e ris

k is

bas

ed o

n sa

fegu

ardi

ng li

fe a

s th

e fir

st p

riorit

y.

- Dec

isio

n on

whe

ther

to

com

mun

icat

e ris

k is

do

cum

ente

d.

- Det

erm

ines

the

impa

ct o

f co

mm

unic

atin

g ris

k an

d he

lps

exte

rnal

st

akeh

olde

rs re

duce

ris

k in

the

futu

re.

9.4.

3 C

omm

unic

atin

g C

ompl

aint

and

G

rieva

nce

Pro

cedu

res

- Ide

ntify

ing

and

addr

essi

ng

grie

vanc

es a

nd

com

plai

nts

with

in

an o

rgan

izat

ion.

- Pro

cedu

res

for

addr

essi

ng g

rieva

nces

and

co

mpl

aint

s.

- No

proc

edur

es fo

r ad

dres

sing

co

mpl

aint

s or

gr

ieva

nces

.

- Dev

elop

s co

mpl

aint

s an

d gr

ieva

nce

proc

edur

es b

ased

on

pas

t inc

iden

ts.

- Ide

ntifi

es p

ossi

ble

obst

acle

s w

hen

subm

ittin

g co

mpl

aint

s, a

nd tr

ies

to re

mov

e th

ese

obst

acle

s (s

uch

as

lang

uage

bar

riers

, fe

ar o

f rep

risal

, and

ed

ucat

ion)

.

- Dev

elop

s pr

oced

ures

to

min

imiz

e ob

stac

les

for s

ubm

ittin

g co

mpl

aint

s, a

nd tr

ied

to

rem

ove

thes

e ob

stac

les

(suc

h as

la

ngua

ge b

arrie

rs, f

ear

of re

pris

al, a

nd

educ

atio

n).

- Com

mun

icat

es

proc

edur

es to

ap

prop

riate

st

akeh

olde

rs.

- Im

plem

ents

act

ions

to

min

imiz

e ob

stac

les

whe

n su

bmitt

ing

com

plai

nts.

- I

mpl

emen

ts

proc

edur

es fo

r ad

dres

sing

co

mpl

aint

s an

d gr

ieva

nces

. - U

ses

risk

asse

ssm

ent t

o pr

oact

ivel

y id

entif

y re

quire

men

ts fo

r co

mpl

aint

s an

d gr

ieva

nce

proc

edur

es.

- Est

ablis

hes,

do

cum

ents

, and

- Est

ablis

hes,

mai

ntai

ns,

and

docu

men

ts a

ctio

ns to

m

inim

ize

obst

acle

s w

hen

subm

ittin

g co

mpl

aint

s.

- Im

plem

ents

pro

cedu

res

for a

ddre

ssin

g co

mpl

aint

s an

d gr

ieva

nces

. - E

stab

lishe

s, d

ocum

ents

, an

d m

aint

ains

co

mm

unic

atio

ns

proc

edur

es fo

r add

ress

ing

grie

vanc

es a

nd c

ompl

aint

s w

ith p

rope

r reg

ard

for

conf

iden

tialit

y an

d pr

ivac

y.

- Com

mun

icat

es b

est

prac

tice

proc

edur

es

rega

rdin

g ad

dres

sing

gr

ieva

nces

and

co

mpl

aint

s w

hile

re

duci

ng o

bsta

cles

for

filin

g su

ch w

ith

exte

rnal

sta

keho

lder

s an

d m

embe

rs o

f the

co

mm

unity

.


AN

SI/A

SIS

PS

C.3

-201

3

27

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

mai

ntai

ns p

roce

dure

s fo

r add

ress

ing

grie

vanc

es a

nd

com

plai

nts

with

pr

oper

rega

rd fo

r co

nfid

entia

lity

and

priv

acy.

9.4.

4 W

hist

lebl

ower

po

licy

- Est

ablis

hing

a

whi

stle

blow

er

proc

edur

e.

- Est

ablis

hing

and

co

mm

unic

atin

g pr

oced

ures

fo

r ind

ivid

ual’s

repo

rt of

a

nonc

onfo

rman

ce in

goo

d fa

ith w

ithou

t rep

ercu

ssio

ns.

- No

whi

stle

blow

er

polic

y in

effe

ct.

- Org

aniz

atio

n co

mm

unic

ates

that

an

onym

ous

whi

stle

blow

ers

will

no

t fac

e an

y ad

vers

e ac

tion

with

in th

e sc

ope

of

the

proj

ect.

- Org

aniz

atio

n co

mm

unic

ates

that

an

onym

ous

whi

stle

blow

ers

will

not

fa

ce a

ny a

dver

se

actio

n w

ithin

the

scop

e of

the

prog

ram

.

- Org

aniz

atio

n co

mm

unic

ates

that

an

onym

ous

whi

stle

blow

ers

mak

ing

a re

port

in

good

faith

inte

rnal

ly

will

not

face

any

ad

vers

e ac

tion.

- Org

aniz

atio

n es

tabl

ishe

s,

com

mun

icat

es, a

nd

docu

men

ts p

roce

dure

s fo

r an

onym

ous

whi

stle

blow

ers

mak

ing

a re

port

in g

ood

faith

inte

rnal

ly o

r ext

erna

lly

to a

ppro

pria

te a

utho

ritie

s w

ill n

ot fa

ce a

ny a

dver

se

actio

n.

- Cul

ture

of

impr

ovem

ent i

s as

su

ch th

at e

mpl

oyee

s fe

el c

omfo

rtabl

e to

re

port

any

poss

ible

no

ncon

form

ance

to

top

man

agem

ent

with

out r

eper

cuss

ions

if

actin

g in

goo

d fa

ith.

9.5.

1 R

espe

ct fo

r H

uman

Rig

hts

- Ens

urin

g re

spec

t for

hu

man

righ

ts a

nd

hum

an d

igni

ty.

- Pro

cedu

res

to tr

eat a

ll pe

rson

s w

ith d

igni

ty a

nd

resp

ect f

or th

eir h

uman

rig

hts.

- No

polic

y co

ncer

ning

hum

an

right

s.

- Pol

icy

stat

emen

t ad

dres

sing

hum

an

right

s is

sues

with

in

the

scop

e of

the

proj

ect.

- Ide

ntifi

es h

uman

rig

hts

risks

and

ta

kes

actio

n to

m

anag

e th

at ri

sk

with

in th

e sc

ope

of

that

pro

ject

.

- Ide

ntifi

es p

rogr

am-

wid

e hu

man

righ

ts ri

sk

and

impl

emen

ts ri

sk

treat

men

t pro

cedu

res

that

sup

port

the

reco

mm

ende

d go

od

prac

tices

of t

he

Mon

treux

Doc

umen

t an

d ar

e co

nsis

tent

with

th

e pr

inci

ples

of t

he

ICoC

as

wel

l as

any

cont

ract

ual,

lega

l, an

d re

gula

tory

re

quire

men

ts.

- Ide

ntifi

es a

nd

asse

sses

hum

an

right

s ris

k to

est

ablis

h an

d co

mm

unic

ate

proc

edur

es to

resp

ect

hum

an ri

ghts

and

co

nduc

t all

its

activ

ities

con

sist

ent

with

the

prin

cipl

es o

f th

e M

ontre

ux

Doc

umen

t and

the

ICoC

, as

wel

l as

any

cont

ract

ual,

lega

l, an

d re

gula

tory

re

quire

men

ts.

- Im

plem

ents

, doc

umen

ts,

and

mai

ntai

ns p

roce

dure

s to

resp

ect h

uman

righ

ts

and

cond

uct c

onsi

sten

t w

ith th

e pr

inci

ples

of t

he

Mon

treux

Doc

umen

t and

th

e IC

oC, a

s w

ell a

s an

y co

ntra

ctua

l, le

gal,

and

regu

lato

ry re

quire

men

t ap

plic

able

. - P

roce

dure

s ar

e co

mm

unic

ated

to a

ll pe

rson

s w

orki

ng o

n th

e or

gani

zatio

n’s

beha

lf.

- Pro

cedu

res

to re

port

and

addr

ess

any

nonc

onfo

rman

ce.

- Org

aniz

atio

nal w

ide

cultu

re o

f res

pect

ing

hum

an ri

ghts

and

hu

man

dig

nity

. - S

hare

s be

st

prac

tices

with

sup

ply

chai

n, s

ubco

ntra

ctor

s,

clie

nts,

and

the

com

mun

ity.

9.5.

2 R

ules

for

Use

of F

orce

and

U

se o

f For

ce

Trai

ning

- Est

ablis

hes

the

rule

s fo

r the

use

of

forc

e an

d re

quire

men

ts fo

r us

e of

forc

e tra

inin

g.

- Pro

cess

es a

nd

proc

edur

es fo

r use

of f

orce

co

nsis

tent

with

con

tract

ual

oblig

atio

ns a

nd le

gal

requ

irem

ents

. - E

stab

lishm

ent o

f a u

se o

f fo

rce

cont

inuu

m.

-Tra

inin

g to

sup

port

QA

MS

an

d m

inim

ize

the

use

of

forc

e ex

cept

whe

n ne

cess

ary.

- No

rule

s or

pr

oced

ures

re

gard

ing

use

of

forc

e.

- Ide

ntifi

es w

hat

need

s to

be

incl

uded

in

the

rule

s fo

r usi

ng

forc

e w

ithin

the

proj

ect s

cope

. - I

dent

ifies

co

mpe

tenc

ies

and

train

ing

need

s as

soci

ated

with

the

use

of fo

rce

and

wea

pon-

spec

ific

- Dev

elop

s ru

les

for

usin

g fo

rce

with

in th

e pr

ogra

m s

cope

. - T

rain

s pe

rson

nel t

o ut

ilize

reas

onab

le

step

s to

avo

id th

e us

e of

forc

e.

- Ide

ntifi

es

com

pete

ncie

s an

d tra

inin

g ne

eds

asso

ciat

es w

ith th

e us

e

- Im

plem

ents

rule

s fo

r us

e of

forc

e an

d pr

oced

ures

for

train

ing

pers

onne

l on

use

of fo

rce.

- E

nsur

es ru

les

for t

he

use

of fo

rce

are

com

plia

ble

with

the

clie

nt a

nd a

co

mpe

tent

lega

l au

thor

ity.

- Est

ablis

hes,

doc

umen

ts,

and

mai

ntai

ns ru

les

for u

se

of fo

rce

and

proc

edur

es fo

r tra

inin

g pe

rson

nel o

n us

e of

forc

e.

- All

pers

onne

l are

trai

ned

in re

gard

s to

use

of f

orce

to

ensu

re th

at u

se o

f for

ce is

pr

opor

tiona

te to

the

thre

at

and

appr

opria

te to

the

situ

atio

n.

- Cul

ture

of u

sing

m

inim

um a

mou

nt o

f fo

rce

nece

ssar

y is

th

roug

hout

the

orga

niza

tion

and

supp

orte

d by

top

man

agem

ent.

- Sha

res

best

pr

actic

es w

ith

stak

ehol

ders

and

su

bcon

tract

ors.


AN

SI/A

SIS

PS

C.3

-201

3

28

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

train

ing

with

in th

e pr

ojec

t sco

pe.

- Tra

ins

pers

onne

l to

utili

ze re

ason

able

st

eps

to a

void

the

use

of fo

rce

with

in

the

proj

ect s

cope

.

of fo

rce

and

wea

pon-

spec

ific

train

ing

with

in

the

prog

ram

sco

pe.

- Use

s fo

rce

cont

inuu

m to

reso

lve

thre

ats

with

min

imum

ne

cess

ary

forc

e.

- Aw

aren

ess

train

ing

on th

e pa

ram

eter

s of

se

lf-de

fens

e.

- Use

of l

etha

l and

non

-le

thal

forc

e is

just

ified

onl

y un

der c

ondi

tions

of

nece

ssity

whe

n th

ere

is a

re

ason

able

bel

ief t

hat a

pe

rson

or p

erso

ns p

rese

nts

an im

min

ent t

hrea

t of d

eath

or

ser

ious

bod

ily h

arm

to

the

indi

vidu

al o

r oth

ers

in

the

vici

nity

.

9.5.

3 O

ccup

atio

nal

Hea

lth a

nd S

afet

y - P

roce

dure

s to

pr

omot

e a

safe

an

d he

alth

y w

ork

envi

ronm

ent.

- Pro

cedu

res

and

proc

esse

s to

pro

mot

e a

safe

and

hea

lthy

wor

king

en

viro

nmen

t, in

clud

ing

prec

autio

ns to

pro

tect

pe

ople

dur

ing

high

risk

or

life-

thre

aten

ing

oper

atio

ns.

- No

or m

inim

al

proc

edur

es fo

r oc

cupa

tiona

l hea

lth

and

safe

ty.

- Ide

ntifi

es

occu

patio

nal h

ealth

an

d sa

fety

risk

s w

ithin

the

scop

e of

th

e pr

ojec

t and

ta

kes

step

s to

m

inim

ize

the

risks

co

nsis

tent

with

lega

l re

quire

men

ts.

- Dev

elop

s pr

ecau

tions

to

pro

tect

peo

ple

wor

king

on

beha

lf of

th

e or

gani

zatio

n in

hig

h ris

k op

erat

ions

. - P

rovi

des

prot

ectiv

e eq

uipm

ent,

appr

opria

te

wea

pons

and

am

mun

ition

with

in th

e sc

ope

of th

e pr

ogra

m.

- Ide

ntifi

es th

e ne

ed fo

r m

edic

al a

nd

psyc

holo

gica

l hea

th

awar

enes

s tra

inin

g,

care

, and

sup

port.

- Est

ablis

hes,

im

plem

ents

, and

m

aint

ains

pre

-em

ptiv

e pr

oced

ures

bas

ed o

n ris

k as

sess

men

t to

prom

ote

a sa

fe a

nd

heal

thy

wor

k en

viro

nmen

t. - E

stab

lishe

s gu

idel

ines

to id

entif

y an

d ad

dres

s w

orkp

lace

vio

lenc

e,

mis

cond

uct,

alco

hol

and

drug

abu

se,

sexu

al h

aras

smen

t, an

d ot

her i

mpr

oper

be

havi

or.

- Im

plem

ent

prec

autio

ns to

pro

tect

pe

ople

wor

king

on

beha

lf of

the

orga

niza

tion

in h

igh

risk

or li

fe-th

reat

enin

g op

erat

ions

. - P

rovi

des

host

ile

envi

ronm

ent t

rain

ing.

- Est

ablis

hes,

impl

emen

ts,

docu

men

ts, a

nd m

aint

ains

pr

oced

ures

to p

rom

ote

a sa

fe a

nd h

ealth

y w

ork

envi

ronm

ent.

- Pro

vide

s pr

oper

pr

otec

tive

equi

pmen

t and

ap

prop

riate

wea

pons

and

am

mun

ition

whe

n ap

prop

riate

. - H

as m

edic

al h

ealth

and

ps

ycho

logi

cal h

ealth

aw

aren

ess

train

ing,

car

e,

and

supp

ort.

- Con

tinuo

usly

ass

essi

ng

occu

patio

nal h

ealth

and

sa

fety

risk

s to

peo

ple

wor

king

on

its b

ehal

f and

th

e ris

ks to

ext

erna

l pa

rties

, and

take

s st

eps

to

redu

ce th

ose

risks

. - P

roce

dure

s an

d pr

ecau

tions

are

con

sist

ent

with

lega

l, re

gula

tory

, and

co

ntra

ctua

l obl

igat

ions

.

- Sha

res

best

pr

actic

es w

ith e

xter

nal

stak

ehol

ders

to

min

imiz

e oc

cupa

tiona

l he

alth

and

saf

ety

risk.

9.5.

4 P

erfo

rman

ce

of S

ecur

ity

Func

tions

- Pro

cedu

res

to

supp

ort t

he

perfo

rman

ce o

f se

curit

y fu

nctio

ns.

- Ope

ratio

nal p

roce

dure

s to

su

ppor

t the

del

iver

y of

se

curit

y se

rvic

es.

- No

or m

inim

al

proc

edur

es fo

r se

curit

y.

- Pro

cedu

res

defin

ed w

ithin

the

scop

e of

the

proj

ect.

- Pro

cedu

res

defin

ed

with

in th

e sc

ope

of th

e pr

ogra

m.

- Pro

cedu

res

base

d on

risk

ass

essm

ent

and

mis

sion

ob

ject

ives

.

- Est

ablis

hes,

impl

emen

ts,

and

mai

ntai

ns d

ocum

ente

d pr

oced

ures

bas

ed o

n ris

k as

sess

men

t and

mis

sion

ob

ject

ives

.

- Sha

res

best

pr

actic

es w

ith e

xter

nal

stak

ehol

ders

.

9.5.

5 In

cide

nt

Man

agem

ent

- P

roce

dure

s to

pr

even

t and

-

Pro

cedu

res

to p

roac

tivel

y pr

even

t, m

itiga

te, a

nd

- No

or m

inim

al

proc

edur

es fo

r - P

roce

dure

s de

fined

with

in th

e - P

roce

dure

s de

fined

w

ithin

the

scop

e of

the

- Pro

cedu

res

for

inci

dent

man

agem

ent

- Est

ablis

hes,

impl

emen

ts,

and

mai

ntai

ns p

roce

dure

s - S

hare

s be

st

prac

tices

with

ext

erna

l


AN

SI/A

SIS

PS

C.3

-201

3

29

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

man

age

inci

dent

s.

resp

ond

to in

cide

nts.

- R

isk

avoi

danc

e,

miti

gatio

n, re

duct

ion,

sh

arin

g, a

nd tr

eatm

ent

proc

edur

es to

min

imiz

e th

e lik

elih

ood

and

cons

eque

nces

of a

di

srup

tive

even

t. - P

reve

ntio

n an

d pr

otec

tion

tech

niqu

es to

min

imiz

e ris

k.

- Tec

hniq

ues

for a

re

spon

se s

truct

ure.

- A

ctio

n pl

ans

for i

ncre

ased

th

reat

leve

ls.

- Rec

over

y st

rate

gies

and

pl

ans

base

d on

risk

and

im

pact

ass

essm

ent a

nd

cond

ition

s of

the

disr

uptiv

e ev

ent.

inci

dent

m

anag

emen

t. - D

epen

denc

e on

th

e re

activ

e be

havi

or o

f in

divi

dual

s in

the

orga

niza

tion

(and

ho

pe fo

r the

bes

t).

scop

e of

the

proj

ect.

- Def

ines

pr

oced

ures

to

achi

eve

obje

ctiv

es

and

targ

ets

of

issu

e(s)

add

ress

ed

with

in th

e sc

ope

of

the

proj

ect.

- Dev

elop

s pr

oced

ures

to

supp

ort a

ctio

n pl

ans

incl

udin

g m

easu

res

to re

duce

like

lihoo

d an

d/or

co

nseq

uenc

es.

- Dev

elop

s pr

oced

ures

bas

ed

on id

entif

ied

issu

e(s)

. - M

ay b

e pr

edom

inat

ely

reac

tive

in n

atur

e gi

ven

that

no

form

al

risk

asse

ssm

ent w

as

cond

ucte

d.

prog

ram

. - D

evel

ops

and

impl

emen

ts p

roce

dure

s th

at p

reve

nt (i

f po

ssib

le),

resp

ond

to,

and

reco

ver f

rom

po

tent

ial d

isru

ptiv

e ev

ents

with

in th

e pr

ogra

m s

cope

. - C

onsi

ders

mea

sure

s th

at e

mph

asiz

e m

inim

izin

g co

nseq

uenc

es.

base

d on

risk

as

sess

men

t and

m

issi

on o

bjec

tives

. - D

evel

ops

and

impl

emen

ts

proc

edur

es li

nked

to

the

risk

asse

ssm

ent,

obje

ctiv

es, t

arge

ts,

and

prog

ram

s, w

ith

deta

iled

wor

k pl

ans

how

the

orga

niza

tion

will

pre

vent

, pre

pare

fo

r, re

spon

d to

, and

re

cove

r fro

m

disr

uptiv

e ev

ents

. - P

erio

dica

lly re

view

s an

d, w

here

ne

cess

ary,

revi

ses

its

inci

dent

pre

vent

ion,

pr

epar

edne

ss,

resp

onse

, and

re

cove

ry p

roce

dure

s.

for i

ncid

ent m

anag

emen

t ba

sed

on ri

sk a

sses

smen

t an

d m

issi

on o

bjec

tives

. - E

stab

lishe

s, im

plem

ents

, m

aint

ains

, and

doc

umen

ts

proc

edur

es to

avo

id,

prev

ent,

prot

ect f

rom

, m

itiga

te, r

espo

nd to

and

re

cove

r fro

m a

dis

rupt

ive

even

t and

con

tinue

its

activ

ities

bas

ed o

n qu

ality

as

sura

nce

obje

ctiv

es

deve

lope

d th

roug

h th

e ris

k as

sess

men

t pro

cess

. - E

nsur

es th

at a

ny p

erso

ns

perfo

rmin

g in

cide

nt

prev

entio

n an

d m

anag

emen

t mea

sure

s on

its

beh

alf a

re c

ompe

tent

. - E

stab

lishe

s, d

ocum

ents

, an

d im

plem

ents

pr

oced

ures

for a

m

anag

emen

t stru

ctur

e to

pr

even

t, pr

epar

e fo

r, m

itiga

te, a

nd re

spon

d to

a

disr

uptiv

e ev

ent.

- Est

ablis

hes

deta

iled

proc

edur

es fo

r how

the

orga

niza

tion

will

reco

ver o

r m

aint

ain

its a

ctiv

ities

to a

pr

edet

erm

ined

leve

l, ba

sed

on m

anag

emen

t-app

rove

d re

cove

ry o

bjec

tives

.

stak

ehol

ders

. - I

ncid

ent p

reve

ntio

n,

prep

ared

ness

, re

spon

se, a

nd

reco

very

is in

tegr

ated

w

ith e

xter

nal

stak

ehol

ders

.

9.5.

6 In

cide

nt

Mon

itorin

g,

Rep

ortin

g, a

nd

Inve

stig

atio

ns

- Rep

ortin

g,

inve

stig

atio

n, a

nd

rem

edia

tion

of

inci

dent

s an

d th

eir

cons

eque

nces

.

- Pro

cedu

res

for i

ncid

ent

mon

itorin

g, in

vest

igat

ions

, di

scip

linar

y ar

rang

emen

t, an

d re

med

iatio

n.

- No

or m

inim

al

proc

edur

es.

- Pro

cedu

res

defin

ed w

ithin

the

scop

e of

the

proj

ect.

- Pro

cedu

res

repo

rting

an

d in

vest

igat

ions

de

fined

with

in th

e sc

ope

of th

e pr

ogra

m.

- Def

ine

proc

edur

es

for m

onito

ring,

re

porti

ng,

inve

stig

atin

g,

rem

edia

tion,

and

di

scip

linar

y ac

tion

for

inci

dent

s.

- Est

ablis

hes,

impl

emen

ts,

and

mai

ntai

ns d

ocum

ente

d pr

oced

ures

incl

udin

g co

rrec

tive

and

prev

entiv

e ac

tions

.

- Sha

res

best

pr

actic

es w

ith e

xter

nal

stak

ehol

ders

. - C

omm

unic

ates

pr

oced

ures

to

rele

vant

sta

keho

lder

s.

9.5.

7 In

tern

al a

nd

Ext

erna

l C

ompl

aint

and

G

rieva

nce

Pro

cedu

res

- Ide

ntify

ing

and

addr

essi

ng

grie

vanc

es a

nd

com

plai

nts

from

in

tern

al a

nd

- Pro

cedu

res

for

addr

essi

ng g

rieva

nces

and

co

mpl

aint

s.

- No

proc

edur

es fo

r ad

dres

sing

co

mpl

aint

s or

gr

ieva

nces

.

- Dev

elop

s co

mpl

aint

s an

d gr

ieva

nce

proc

edur

es b

ased

on

pas

t inc

iden

ts.

- Dev

elop

s pr

oced

ures

to

for i

nves

tigat

ions

an

d re

med

iatio

n.

- Com

mun

icat

es

proc

edur

es to

- Im

plem

ents

act

ions

to

rece

ive

and

addr

ess

com

plai

nts

and

grie

vanc

es.

- Est

ablis

hes

- Est

ablis

hes,

mai

ntai

ns,

and

docu

men

ts a

ctio

ns to

re

ceiv

e an

d ad

dres

s co

mpl

aint

s an

d gr

ieva

nces

. - E

stab

lishe

s m

echa

nism

- Com

mun

icat

es b

est

prac

tice

proc

edur

es

rega

rdin

g ad

dres

sing

gr

ieva

nces

and

co

mpl

aint

s w

ith


AN

SI/A

SIS

PS

C.3

-201

3

30

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

exte

rnal

st

akeh

olde

rs.

- Est

ablis

hes

proc

edur

es fo

r in

vest

igat

ions

.

appr

opria

te

stak

ehol

ders

. - E

stab

lishe

s co

mm

unic

atio

ns

prot

ocol

s w

ith

appr

opria

te a

utho

ritie

s.

mec

hani

sm to

iden

tify

root

cau

ses.

- P

roce

dure

s es

tabl

ishe

d fo

r co

rrec

tive,

pre

vent

ive,

an

d di

scip

linar

y ac

tions

. - C

omm

unic

ates

with

ap

prop

riate

au

thor

ities

and

st

akeh

olde

rs.

to id

entif

y ro

ot c

ause

s.

- Pro

cedu

res

esta

blis

hed

for c

orre

ctiv

e, p

reve

ntiv

e,

and

disc

iplin

ary

actio

ns.

- Com

mun

icat

es w

ith

appr

opria

te a

utho

ritie

s an

d st

akeh

olde

rs.

exte

rnal

sta

keho

lder

s an

d m

embe

rs o

f the

co

mm

unity

.

10.1

Mon

itorin

g an

d M

easu

rem

ent

- Per

form

ance

ev

alua

tion.

- M

etric

s an

d m

echa

nism

s by

whi

ch th

e or

gani

zatio

n as

sess

es it

s ab

ility

to

achi

eve

its o

bjec

tives

and

ta

rget

s on

an

ongo

ing

basi

s.

- No

form

al

mon

itorin

g.

- No

form

al

mea

sure

men

t.

- Pro

gres

s ag

ains

t sp

ecifi

c in

dica

tors

is

asse

ssed

pe

riodi

cally

with

pe

rson

s in

volv

ed in

re

leva

nt a

ctiv

ities

de

fined

with

in

proj

ect s

cope

. - P

roje

ct in

dica

tors

an

d m

etric

s ar

e es

tabl

ishe

d an

d m

onito

red

to

dem

onst

rate

pr

ogre

ss a

nd

perfo

rman

ce

impr

ovem

ent.

- Ide

ntifi

es a

nd

impl

emen

ts k

ey

char

acte

ristic

s th

at

need

mon

itorin

g an

d m

easu

ring

with

in th

e pr

ogra

m s

cope

.

- Est

ablis

hes,

im

plem

ents

, and

m

aint

ains

pe

rform

ance

met

rics

and

proc

edur

es to

m

onito

r and

mea

sure

, on

a re

gula

r bas

is,

thos

e ch

arac

teris

tics

of it

s op

erat

ions

that

ha

ve m

ater

ial i

mpa

ct

on it

s qu

ality

as

sura

nce

perfo

rman

ce.

- Doc

umen

ts p

roce

dure

s th

at m

onito

r per

form

ance

, ap

plic

able

ope

ratio

nal

cont

rols

, and

con

form

ity

with

the

QA

MS

obj

ectiv

es

and

targ

ets.

- D

ocum

ents

pro

cedu

res

to

mea

sure

the

perfo

rman

ce

of th

e sy

stem

s w

hich

pr

otec

t ass

ets

(hum

an a

nd

phys

ical

), co

mm

unic

atio

ns,

and

info

rmat

ion

syst

ems.

- Sta

keho

lder

s an

d co

mm

unity

incl

uded

in

mon

itorin

g an

d m

easu

rem

ent

proc

esse

s.

10.2

Eva

luat

ion

of

Com

plia

nce

- Com

plia

nce

eval

uatio

n.

- Leg

al a

nd re

gula

tory

co

mpl

ianc

e pe

rform

ance

ev

alua

tion

on a

n on

goin

g ba

sis.

- No

form

al

proc

edur

es

esta

blis

hed

beyo

nd

thos

e al

read

y in

pl

ace

as p

art o

f no

rmal

ope

ratio

ns.

- Com

plia

nce

eval

uate

d an

d de

mon

stra

ted

rela

ted

to th

e pr

ojec

t sc

ope.

- Com

plia

nce

eval

uate

d an

d de

mon

stra

ted

rela

ted

to p

rogr

am s

cope

.

- Est

ablis

hes,

im

plem

ents

, and

m

aint

ains

pr

oced

ure(

s) fo

r pe

riodi

cally

eva

luat

ing

and

dem

onst

ratin

g co

mpl

ianc

e w

ith

appl

icab

le le

gal,

hum

an ri

ghts

, and

ot

her r

equi

rem

ents

.

- Doc

umen

ts p

roce

dure

s an

d re

cord

s an

d re

ports

th

e re

sults

of t

he

eval

uatio

n w

ith c

orre

ctiv

e m

easu

res

and

reco

mm

enda

tions

for

impr

ovem

ent.

- Sta

keho

lder

s an

d co

mm

unity

incl

uded

in

com

plia

nce

eval

uatio

n.

10.3

Exe

rcis

es

and

Test

ing

- Ass

essi

ng a

nd

valid

atin

g Q

AM

S

elem

ents

.

- Pro

cess

to m

easu

re a

nd

eval

uate

app

ropr

iate

ness

an

d ef

ficac

y of

the

QA

MS

: its

pro

gram

s, p

roce

sses

, an

d pr

oced

ures

(inc

ludi

ng

stak

ehol

der r

elat

ions

hips

an

d su

bcon

tract

or

- Lim

ited

or n

o ex

erci

sing

or

test

ing.

- Exe

rcis

ing

and

test

ing

are

plan

ned

and

cond

ucte

d as

re

quire

d by

pro

ject

sc

ope.

- R

esul

ts o

f ex

erci

ses

and

test

s

- Exe

rcis

ing

and

test

ing

are

plan

ned

and

cond

ucte

d as

requ

ired

by p

rogr

am s

cope

. - R

esul

ts o

f exe

rcis

es

and

test

s de

mon

stra

te

prog

ram

qua

lity

- Tes

ts a

nd e

xerc

ises

de

sign

ed to

val

idat

e ap

prop

riate

ness

and

ef

fect

iven

ess

of

actio

n pl

ans

and

proc

edur

es, a

s w

ell

as in

terr

elat

ions

hip

of

- Com

preh

ensi

ve

docu

men

tatio

n of

exe

rcis

es

and

test

s.

- Pro

duce

s a

form

aliz

ed

post

-exe

rcis

e re

port

that

co

ntai

ns a

ccou

ntab

le

outc

omes

,

- Sta

keho

lder

s an

d co

mm

unity

incl

uded

in

exer

cise

and

test

s.

85869_ASFIS_Rev0_1-52.pd2.pdf 4f 422 3/21/13 11:54 AM3/21/13 11:54 AM4 AM

AN

SI/A

SIS

PS

C.3

-201

3

31

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

inte

rdep

ende

ncie

s) to

driv

e it.

- A

n ex

erci

se p

rogr

am.

- Con

tinua

l im

prov

emen

t pl

an re

view

ed w

ith a

nd

agre

ed to

by

top

man

agem

ent t

o en

sure

ap

prop

riate

act

ion

is ta

ken.

dem

onst

rate

pro

ject

qu

ality

ass

uran

ce

perfo

rman

ce

impr

ovem

ents

and

bu

sine

ss b

enef

its.

assu

ranc

e pe

rform

ance

im

prov

emen

ts a

nd

busi

ness

ben

efits

.

elem

ents

in Q

AM

S –

in

clud

ing

appr

opria

te

exte

rnal

par

ties

(e.g

., fir

st re

spon

ders

) and

st

akeh

olde

rs.

- Tes

ts a

nd e

xerc

ises

co

nduc

ted

in a

m

anne

r tha

t lim

its

disr

uptio

n to

op

erat

ion

and

expo

ses

peop

le,

asse

ts, a

nd

info

rmat

ion

to m

inim

al

risk.

reco

mm

enda

tions

, and

ar

rang

emen

ts to

impl

emen

t im

prov

emen

ts in

a ti

mel

y fa

shio

n.

10.4

N

onco

nfor

mity

C

orre

ctiv

e A

ctio

n,

and

Pre

vent

ive

Act

ion

- Mon

itor a

nd

addr

ess

nonc

onfo

rmiti

es.

- Pro

cess

to id

entif

y no

ncon

form

ities

and

thei

r ro

ot c

ause

. - M

echa

nism

s fo

r el

imin

atin

g th

e ca

uses

of

dete

cted

non

conf

orm

ities

bo

th in

the

QA

MS

and

the

oper

atio

nal p

roce

sses

. - M

echa

nism

s fo

r in

stig

atin

g ac

tion

to

elim

inat

e po

tent

ial c

ause

s of

non

conf

orm

ities

in b

oth

the

QA

MS

and

the

oper

atio

nal p

roce

sses

.

- Min

imum

requ

ired

by la

w.

- Dev

iatio

ns fr

om

actio

n pl

ans,

pr

ogra

ms,

ob

ject

ives

, and

ta

rget

s w

ithin

the

proj

ect s

cope

are

ev

alua

ted

for

oppo

rtuni

ties

for

impr

ovem

ent.

- Ade

quat

e co

rrec

tive

and

prev

enta

tive

actio

ns

take

n (if

nec

essa

ry)

to e

nsur

e th

e pr

ojec

t pr

ogre

sses

ac

cord

ing

to p

lan.

Dev

iatio

ns fr

om a

ctio

n pl

ans,

pro

gram

s,

obje

ctiv

es, a

nd ta

rget

s w

ithin

the

prog

ram

sc

ope

are

eval

uate

d fo

r opp

ortu

nitie

s fo

r im

prov

emen

t. - E

stab

lishe

s a

corr

ectiv

e an

d pr

even

tativ

e ac

tion

proc

ess.

- Est

ablis

hes

proc

edur

es to

de

term

ine

nonc

onfo

rmiti

es in

the

QA

MS

, ris

k as

sess

men

t, ob

ject

ives

, tar

gets

, pr

ogra

ms,

act

ion

plan

s, a

nd th

eir

impl

emen

tatio

n.

- Eva

luat

es a

ctua

l an

d po

tent

ial n

on-

conf

orm

ance

s to

el

imin

ate

the

caus

es

and

prev

ent t

heir

occu

rren

ce o

r re

curr

ence

.

- Est

ablis

hes,

impl

emen

ts,

and

mai

ntai

ns d

ocum

ente

d pr

oced

ures

for d

ealin

g w

ith

actu

al a

nd p

oten

tial

nonc

onfo

rmiti

es a

nd fo

r ta

king

cor

rect

ive

actio

n an

d pr

even

tive

actio

n.

- Rev

iew

s ef

fect

iven

ess

of

corr

ectiv

e ac

tions

and

take

pr

even

tativ

e ac

tions

.

- Sta

keho

lder

s an

d co

mm

unity

incl

uded

in

nonc

onfo

rmity

, co

rrec

tive,

and

pr

even

tive

actio

ns.

10.5

Inte

rnal

Aud

it - C

ondu

ct

man

agem

ent

syst

em a

udits

.

- Int

erna

l aud

its o

f sys

tem

an

d pr

ogra

ms.

- A

udit

repo

rts re

view

ed b

y to

p m

anag

emen

t.

- Not

con

duct

ed fo

r qu

ality

ass

uran

ce

man

agem

ent.

- Per

form

ance

of

proj

ect a

udite

d in

form

ally

. - P

roje

ct L

eade

r ov

erse

es

deve

lopm

ent o

f au

dit p

roce

dure

s.

- Con

duct

s au

dit o

f pr

ogra

m w

ithin

def

ined

sc

ope,

incl

udin

g al

l el

emen

ts o

f the

pr

ogra

m.

- Det

erm

ines

wha

t ne

eds

to b

e au

dite

d.

- Pla

ns a

nd

impl

emen

ts a

n au

dit

prog

ram

. - A

sses

ses

whe

ther

th

e Q

AM

S m

eets

re

leva

nt le

gal,

regu

lato

ry, h

uman

rig

hts,

and

con

tract

ual

oblig

atio

ns.

- Rep

orts

aud

it fin

ding

s to

- Est

ablis

hes,

impl

emen

ts,

and

mai

ntai

ns d

ocum

ente

d pr

oced

ures

for i

nter

nal

audi

ts.

- Res

pons

ibili

ty o

f aud

it pr

ogra

m a

ssig

ned

to a

n in

divi

dual

that

has

kn

owle

dge

and

unde

rsta

ndin

g of

aud

it pr

inci

ples

. - D

eter

min

es w

heth

er th

e co

ntro

l obj

ectiv

es, r

isk

cont

rols

, pro

cess

es, a

nd

- Aud

it in

clud

es

stak

ehol

der a

nd

com

mun

ity

inte

ract

ions

, as

wel

l as

sub

cont

ract

ors

and

the

supp

ly c

hain

.


AN

SI/A

SIS

PS

C.3

-201

3

32

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

man

agem

ent a

nd

acts

upo

n th

em.

proc

edur

es o

f QA

MS

are

co

nduc

ted

prop

erly

and

are

ac

hiev

ing

the

desi

red

resu

lts.

- Ide

ntifi

es o

ppor

tuni

ties

for

impr

ovem

ent.

- Ens

ures

that

act

ions

are

ta

ken

with

out u

ndue

del

ay

to e

limin

ate

dete

cted

no

ncon

form

ities

and

thei

r ca

uses

.

10.6

Man

agem

ent

Rev

iew

- T

op

man

agem

ent

revi

ew.

- Man

agem

ent r

evie

w o

f th

e Q

AM

S’s

per

form

ance

, ad

equa

cy, a

nd

effe

ctiv

enes

s to

iden

tify

oppo

rtuni

ties

for

impr

ovem

ent.

- Prio

ritie

s, p

olic

y,

obje

ctiv

es, a

nd ta

rget

s to

su

ppor

t con

tinua

l im

prov

emen

t.

- No

man

agem

ent

revi

ew o

f qua

lity

assu

ranc

e m

anag

emen

t.

- Pro

ject

Lea

der

supe

rvis

or (a

nd

othe

r app

ropr

iate

m

embe

rs o

f the

m

anag

emen

t tea

m)

revi

ews

the

perfo

rman

ce o

f pr

ojec

t and

repo

rts

to p

roje

ct s

pons

or.

- Col

lect

s an

d re

tain

s ev

iden

ce

addr

essi

ng p

roje

ct

impl

emen

tatio

n an

d re

sults

.

- Pro

gram

Lea

der (

and

othe

r app

ropr

iate

m

embe

rs o

f the

m

anag

emen

t tea

m)

revi

ews

the

prog

ram

pe

rform

ance

and

re

ports

to p

rogr

am

spon

sor.

- Use

s re

view

to

dem

onst

rate

bus

ines

s ca

se fo

r QA

MS

and

pr

ovid

e a

basi

s to

see

k fu

rther

effi

cien

cies

by

linki

ng c

ore

elem

ents

in

a s

yste

ms

appr

oach

. -P

roje

ct le

ader

(and

ot

her a

ppro

pria

te

mem

bers

of t

he

man

agem

ent t

eam

) m

odifi

es p

roce

dure

s th

at e

ffect

risk

s as

ne

cess

ary

to re

spon

d to

eve

nts

(inte

rnal

or

exte

rnal

) tha

t may

af

fect

QA

MS

. - C

olle

cts

and

reta

ins

evid

ence

add

ress

ing

prog

ram

im

plem

enta

tion

and

resu

lts.

- Rev

iew

s in

tegr

atio

n of

QA

MS

ele

men

ts.

- Rev

iew

s th

e su

itabi

lity,

ade

quac

y,

and

effe

ctiv

enes

s of

th

e Q

AM

S.

- Top

man

agem

ent

revi

ews

the

polic

ies,

ob

ject

ives

, eva

luat

ion

of p

rogr

am

impl

emen

tatio

n, a

udit

resu

lts, a

nd c

hang

es

resu

lting

from

pr

even

tive

and

corr

ectiv

e ac

tions

. - T

op m

anag

emen

t re

view

incl

udes

an

upda

te o

f the

risk

as

sess

men

t and

po

ssib

le

impr

ovem

ents

to th

e ef

fect

iven

ess

of th

e Q

AM

S.

- Col

lect

s an

d re

tain

s ev

iden

ce a

ddre

ssin

g Q

AM

S

impl

emen

tatio

n an

d re

sults

.

- Top

man

agem

ent

parti

cipa

tes

in d

ocum

ente

d re

view

s of

the

QA

MS

at

plan

ned

inte

rval

s to

ens

ure

its c

ontin

uing

sui

tabi

lity,

ad

equa

cy, a

nd

effe

ctiv

enes

s.

- Ass

esse

s op

portu

nitie

s fo

r im

prov

emen

t and

the

need

for c

hang

es to

Q

AM

S, i

nclu

ding

the

QA

MS

pol

icy

and

obje

ctiv

es, t

arge

ts, a

nd ri

sk

crite

ria.

-Top

Man

agem

ent r

evie

w

incl

udes

dec

isio

ns a

nd

actio

ns re

late

d to

pos

sibl

e ch

ange

s to

pol

icy

obje

ctiv

es, t

arge

ts, a

nd

othe

r ele

men

ts o

f the

Q

AM

S, w

ith th

e ai

m o

f pr

omot

ing

cont

inuo

us

impr

ovem

ent.

- Add

ress

es re

sour

ce

need

s fo

r im

prov

emen

ts.

- Add

ress

es im

prov

emen

t of

how

the

effe

ctiv

enes

s of

co

ntro

ls is

mea

sure

d.

- Int

egra

tes

revi

ew

with

ove

rall

risk

man

agem

ent a

nd

fisca

l rev

iew

pr

oces

ses.

- R

evie

w in

clud

es

eval

uatio

n of

su

itabi

lity,

ade

quac

y,

and

effe

ctiv

enes

s w

ith

rega

rd to

st

akeh

olde

rs, c

lient

s,

subc

ontra

ctor

s,

com

mun

ity, a

nd

supp

ly c

hain

. - T

op m

anag

emen

t pr

omot

es q

ualit

y as

sura

nce

with

ex

tern

al s

take

hold

ers

(sup

ply

chai

n an

d co

mm

unity

).


AN

SI/A

SIS

PS

C.3

-201

3

33

Mat

urity

Mod

el fo

r the

Pha

sed

Impl

emen

tatio

n of

the

ANSI

/ASI

S PS

C.1

-201

2

AN

SI/A

SIS

PSC

.1

Stan

dard

C

laus

e

Cor

e El

emen

t Is

sues

Add

ress

ed

by C

ore

Elem

ent

(est

ablis

h,

impl

emen

t, an

d m

aint

ain)

Pre-

awar

enes

s (P

hase

One

)

Proj

ect

App

roac

h (P

hase

Tw

o)

Prog

ram

A

ppro

ach

(Pha

se T

hree

)

Syst

ems

App

roac

h (P

hase

Fou

r)

Man

agem

ent

Syst

em

(Pha

se F

ive)

Hol

istic

M

anag

emen

t (P

hase

Six

)

11.1

Cha

nge

Man

agem

ent

- QA

M c

hang

e m

anag

emen

t. - C

hang

e m

anag

emen

t pr

ovis

ions

for i

mpr

ovem

ent

of Q

AM

S p

rogr

ams,

sy

stem

s, a

nd/o

r op

erat

iona

l pro

cess

es.

- No

QA

MS

to

mai

ntai

n or

link

to

chan

ge

man

agem

ent

proc

ess.

- Pro

ject

out

com

es

that

impr

ove

qual

ity

assu

ranc

e pe

rform

ance

be

com

e st

anda

rd

oper

atin

g pr

oced

ures

.

- Pro

gram

and

act

ion

plan

s ou

tcom

es th

at

impr

ove

qual

ity

assu

ranc

e pe

rform

ance

bec

ome

stan

dard

ope

ratin

g pr

oced

ures

.

- Any

inte

rnal

or

exte

rnal

cha

nges

(in

clud

ing

outp

uts

from

exe

rcis

es,

audi

ts, a

nd re

view

s)

that

impa

ct th

e or

gani

zatio

n ar

e re

view

ed in

rela

tion

to

the

QA

MS

.

- Est

ablis

h do

cum

ente

d ch

ange

man

agem

ent

proc

edur

es fo

r QA

MS

tied

to

oth

er c

hang

e m

anag

emen

t pro

gram

s.

- Int

egra

te c

hang

e m

anag

emen

t for

Q

AM

S w

ith e

xter

nal

stak

ehol

ders

(sup

ply

chai

n cl

ient

s,

subc

ontra

ctor

s, a

nd

com

mun

ity).

11.2

Opp

ortu

nitie

s fo

r Im

prov

emen

t - E

valu

ate

and

impl

emen

t op

portu

nitie

s fo

r im

prov

emen

t.

- Con

tinua

l im

prov

emen

t pr

oces

s fo

r the

QA

MS

, ris

k m

anag

emen

t, an

d qu

ality

as

sura

nce

perfo

rman

ce.

- No

QA

MS

to li

nk

to c

ontin

ual

impr

ovem

ent

proc

ess.

- Opp

ortu

nitie

s fo

r im

prov

emen

t id

entif

ied

for u

se in

ot

her p

roje

cts.

- Im

plem

ent

proc

edur

es fo

r co

ntin

uous

im

prov

emen

t of

prog

ram

.

- Con

tinua

lly

impr

oves

the

effe

ctiv

enes

s of

Q

AM

S th

roug

h th

e us

e of

the

qual

ity

assu

ranc

e m

anag

emen

t pol

icy,

ob

ject

ives

, aud

it re

sults

, ana

lysi

s of

m

onito

red

even

ts,

corr

ectiv

e an

d pr

even

tive

actio

ns,

and

man

agem

ent

revi

ew.

- Con

tinua

l im

prov

emen

t is

a pa

rt of

the

orga

niza

tion’

s cu

lture

, dem

onst

rate

d at

all

leve

ls.

- Int

egra

te c

ontin

ual

impr

ovem

ent o

f Q

AM

S w

ith e

xter

nal

stak

ehol

ders

(sup

ply

chai

n, c

lient

s,

subc

ontra

ctor

s, a

nd

com

mun

ity).



34

Annex A

(informative)

A. USING THE MATURITY MODEL IN AN INTERNAL

RECOGNITION PROGRAM The maturity model can serve as the basis for a recognition program within the organization. Attainment of a maturity level serves as the performance indicator for the recognition program. By using a recognition program, the organization can incentivize its stakeholders to continually improve resilience and preparedness performance. The maturity model establishes realistic achievable goals for the organization to maintain the level of performance within resource constraints. Organizations, regardless of their level of maturity, have an obligation to respect human rights.

Using a simple recognition structure, the stages can be translated into the following achievement levels:

Phase One: Pre-awareness Phase Two: Bronze Phrase Three: Silver Phase Four: Gold Phase Five: Platinum6 Phase Six: Diamond

6 At this level, an organization is ready for certification and should consider going to a certification body for validation.



35

Annex B (informative)

B. GETTING STARTED USING THE ANSI/ASIS PSC.1-2012 Beginning with Stage 2, the organization executes a spiral implementation of the standard (see Figure B.1), initially identifying the organizations’ strategic context, and then moving through a broadening implementation cycle, applying similar steps first at the project level, then program, and then finally to the organization overall.

Step 1: Identify the goals you wish to achieve.

Start with your organization’s overall strategic goals: What are the objectives you are supposed to achieve?

Identify a project that will allow demonstration of your organization’s ability to achieve these overall goals within the context of a single project.

Overall organizational goals may change over time as the strategic context changes or as the result of experience at the project or program level.

Step 2: Identify stakeholders’ expectations. Others involved in the quality assurance process may include clients, subcontractors, employees, local populations, shareholders, and government agencies.

Start with stakeholders at the strategic level, those that influence your organization’s overall mission, success, and continued existence.

Identify stakeholders at the project level. Some stakeholders will be the same as those at the strategic level. Others will have less impact at the project level, while new stakeholders will appear.

Step 3: Review ANSI/ASIS PSC.1-2012 within the context of your organization’s: strategic goals, its stakeholders’ goals, and the identified project to begin initial implementation of the standard.

Step 4: Tailor ANSI/ASIS PSC.1-2012 to meet the needs of your clients and your management system (where one exists). Depending on the context of your organization and its operations, not every requirement of the standard may apply with equal weight to your organization or the initiating project. Review the standard to determine which requirements best address identified risks and process improvements.

Step 5: Perform a gap analysis between your current QAMS (or existing management policy) and ANSI/ASIS PSC.1-2012. Evaluate the existing QAMS for each element against ANSI/ASIS PSC.1-2012 using either an internal assessment or one performed by an external organization. Although you should look across the organization, conduct a detailed analysis of the initiating project. Rate each element according to the Maturity Model Matrix as follows:

The existing system is adequate; The existing system needs improvement; or



36

The existing system is inadequate or does not exist.

If no QAMS exists or the existing elements of QAM are inadequate, then a QAMS implementation strategy must be developed to address each element. Identify actions needed to close the gaps. Assign resources to perform the needed actions. Assign responsibilities and establish a completion schedule. A document control system should be designed if none exists. Document the QAMS design and review the design with top management and the element owners.

Step 6: Obtain guidance on special topics within the QAMS. Topic-specific standards include:

ISO 19011:2011, Guidelines for auditing management systems. ISO 10006:2003, Quality management systems - Guidelines for quality management in projects. ISO 10015:1999, Quality management - Guidelines for training. ISO/TR 10013:2001, Guidelines for quality management system documentation. ISO 10007:2003, Quality management systems - Guidelines for configuration management. ISO 10014:2006, Quality management - Guidelines for realizing financial and economic benefits.

Step 7: Write the draft QAMS manual for the initiating project.

Step 8: Create procedure and work instruction documents for the initiating project.

Assign personnel to identify and design processes and write needed work instructions and procedures.

Train writers on the requirements of ANSI/ASIS PSC.1-2012, the content of the QAMS manual, and its design.

Write the final draft of the QAMS manual. Conduct an internal audit to determine if all of the requirements of ANSI/ASIS PSC.1-

2012 are met by the QAMS manual, procedure documents, and work instructions.

Step 9: Deploy the QAMS.

Deploy the QAMS procedures to all appropriate persons working on behalf of the organization.

Train persons working on behalf of the organization to use each procedure that is applicable to their work.

Train all persons working on behalf of the organization in the use and maintenance of the QAMS manual. Emphasize the requirements for preventative action, document control, and records retention.

Step 10: Use Internal Audits.

Conduct internal audits. Take corrective action whenever necessary where non-compliance is found with the

requirements of the standard, procedures, work instructions, or the QAMS manual. Continue to re-audit areas with continuing non-compliances. Revise any procedure or work instruction which proves to be ineffective or incorrect.



37

Step 11: Analyze results and improve the QAMS.

Does performance under the QAMS support the project and strategic goals of the organization?

Does it address local and strategic stakeholder expectations? Are there gaps between performance and standards requirements? If yes, review the

project QAMS and make revisions to processes, documentation, and training. If the project level QAMS system is adequate, the organization can move on to repeat the cycle at the program level.

Figure B.1 : Upward spiral implementation of the standard (based on the PDCA Model)



38

Annex C (informative)

C. REFERENCES ANSI/ASIS PSC.1-2012, Management System for Quality of Private Security Company Operations – Requirements with Guidance for Use.7

ISO 31000:2009, Risk management – Principles and guidelines.8

ISO Guide 73:2009, Risk management – Vocabulary.8

7 This document is available online from ASIS International. < https://www.asisonline.org/guidelines/published.htm >. p // g/g /p

8 This document is available online from the International Organization for Standardization (ISO). < http://www.iso.ch/iso/en/prods-services/ISOstore/store.html > p // / / /p / /

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organization for security professionals, with more

than 38,000 members worldwide. Founded in 1955,

ASIS is dedicated to increasing the effectiveness and

productivity of security professionals by developing

educational programs and materials that address

broad security interests, such as the ASIS Annual

Seminar and Exhibits, as well as specific security

topics. ASIS also advocates the role and value of the

security management profession to business, the

media, governmental entities, and the general public.

By providing members and the security community

with access to a full range of programs and services,

and by publishing the industry’s number one

magazine, Security Management, ASIS leads the way

for advanced and improved security performance.

For more information, visit www.asisonline.org.

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