Forensic Systems Engineering

A systems-level approach to reducing liability through process improvement

Forensic Systems Analysis: Evaluating Operations by Discovery presents a systematic framework for uncovering and resolving problematic process failures. Carefully building the causal relationship from process to product, the discussion lays out in significant detail the appropriate and tactical approaches necessary to the pursuit of litigation with respect to corporate operations.

Systemic process failures are addressed by flipping process improvement models to study both improvement and failure, resulting in arguments and methodologies relevant to any product or service industry. Guidance on risk analysis of operations combines evaluation of process control, stability, capability, verification, validation, specification, product reliability, serial dependence, and more, providing a robust framework with which to target large-scale nonconforming products and services.

Relevant to anyone involved in business, manufacturing, service, and control, this book:

• Covers process liability and operations management from both engineering and legal perspectives

• Offers analyses that present novel uses of traditional engineering methods concerning risk and product quality and reliability

• Takes a rigorous approach to system tactics and constraints related to product and service operations and identifies dysfunctional processes

• Offers both prescriptive and descriptive solutions to both the plaintiff and the defendant

The global economy has created an environment in which huge production volume, complex data bases, and multiple dispersed suppliers greatly challenge industrial operations. This informative guide provides a practical blueprint for uncovering problematic process failures.

Autorentext

William A. Stimson, PhD, is an independent consultant in systems engineering,
and an expert witness for the Department of Justice and private law firms in evaluation of contractor performance. He has taken an active role in developing legal strategy for the evaluation of performance of operations in litigation, presented on the topic of forensic evaluation, and published peer-reviewed
papers on dysfunctional processes.

Inhalt

Preface xix

1 What Is Forensic Systems Engineering? 1

1.1 Systems and Systems Engineering 1

1.2 Forensic Systems Engineering 2

References 4

2 Contracts, Specifications, and Standards 7

2.1 General 7

2.2 The Contract 9

2.2.1 Considerations 9

2.2.2 Contract Review 10

2.3 Specifications 12

2.4 Standards 14

Credits 16

References 16

3 Management Systems 17

3.1 Management Standards 18

3.1.1 Operations and Good Business Practices 18

3.1.2 Attributes of Management Standards 18

3.2 Effective Management Systems 19

3.2.1 Malcolm Baldrige 19

3.2.2 Total Quality Management 20

3.2.3 Six Sigma 20

3.2.4 Lean 21

3.2.5 Production Part Approval Process 22

3.3 Performance and Performance 23

3.4 Addendum 23

Credits 24

References 24

4 Performance Management: ISO 9001 25

4.1 Background of ISO 9000 26

4.1.1 ISO 9001 in the United States 27

4.1.2 Structure of ISO 9000: 2005 27

4.1.3 The Process Approach 28

4.2 Form and Substance 32

4.2.1 Reference Performance Standards 33

4.2.2 Forensics and the Paper Trail 34

Credits 35

References 35

5 The Materiality of Operations 37

5.1 Rationale for Financial Metrics 38

5.1.1 SarbanesOxley 38

5.1.1.1 Title III: Corporate Responsibility 38

5.1.1.2 Title IV: Enhanced Financial Disclosures 39

5.1.2 Internal Control 39

5.1.3 The Materiality of Quality 41

5.2 Mapping Operations to Finance 41

5.2.1 The Liability of Quality 43

5.2.2 The Forensic View 44

Credits 44

References 44

6 Process Liability 47

6.1 Theory of Process Liability 48

6.1.1 Operations and Process Liability 50

6.1.2 Process Liability and Misfeasance 51

6.2 Process Liability and the Law 52

Credits 52

References 52

7 Forensic Analysis of Process Liability 55

7.1 Improper Manufacturing Operations 57

7.1.1 Verification and Validation 57

7.1.1.1 Nonstandard Design Procedures 57

7.1.1.2 Unverified or Unvalidated Design 58

7.1.1.3 Tests Waived by Management 58

7.1.1.4 Altered Test Procedures and Results 58

7.1.2 Resource Management 59

7.1.2.1 Unmonitored Outsourcing 59

7.1.2.2 Substandard Purchased Parts 60

7.1.2.3 Ghost Inventory 60

7.1.2.4 Ineffective Flow Down 61

7.1.3 Process Management 61

7.1.3.1 Forced Production 61

7.1.3.2 Abuse and Threats by Management 62

7.2 Management Responsibility 62

7.2.1 Effective Internal Controls 62

7.2.2 Business Standards of Care 63

7.2.3 Liability Risk Management 64

7.2.4 Employee Empowerment 65

7.2.5 Effective Management Review 65

7.2.6 Closed?]Loop Processes 66

References 67

8 Legal Trends to Process Liability 71

8.1 An Idea Whose Time Has Come 71

8.2 Some Court Actions Thus Far 72

8.2.1 QMS Certified Organizations 73

8.2.2 QMS Noncertified Organizations 74

References 75

9 Process Stability and Capability 77

9.1 Process Stability 77

9.1.1 Stability and Stationarity 78

9.1.2 Stability Conditions 79

9.1.3 Stable Processes 80

9.1.4 Measuring Process Stability 82

9.2 Process Capability 83

9.2.1 Measuring Capability 83

9.2.2 A Limit of Process Capability 85

9.3 The Rare Event 85

9.3.1 Instability and the Rare Event 85 9.3...