Process & Product Quality Assurance (PPQA) Category: Support
Notes:
·
The contents of this web page were extracted from
the following document: Capability Maturity Model® Integration
(CMMISM), Version 1.1, Continuous Representation,
CMU/SEI-2002-TR-011, March 2002 (CMMI-SE/SW/IPPD/SS). Copyright 2002 by Carnegie
Mellon University. NO WARRANTY.
·
Ignore the identifiers
in square brackets that appear at the end of paragraphs.
·
The formatting may not
be the same as in the printed CMMI document. The web page is best viewed in
Internet Explorer.
·
In the CMMI, a subset is known as a "Process Area
(PA)" and a requirement is known as a "Practice". The specific practices are
referred to as SPs and the generic practices are referred to as GPs.
·
This web page contains the text for SPs and GPs as
it appears in Chapter 7 of the CMMI document, in the section corresponding to
the process area named in the heading of this page. This web page does not
include the detailed description of the GPs that appears in a separate chapter
of the CMMI document; the
detailed description of the GPs is available in a separate web
page. (Note: Using the hyperlink provided here will open that web page in a
separate window.)
Purpose The purpose of Process and Product Quality Assurance is to
provide staff and management with objective insight into processes and
associated work products. [PA145]
Introductory Notes The Process and Product Quality Assurance process area involves the following: [PA145.N101]
· Objectively evaluating performed processes, work products, and services against the applicable process descriptions, standards, and procedures
· Identifying and documenting noncompliance issues
· Providing feedback to project staff and managers on the results of quality assurance activities
· Ensuring that noncompliance issues are addressed
The Process and Product Quality Assurance process area supports the delivery of high-quality products and services by providing the project staff and managers at all levels with appropriate visibility into, and feedback on, processes and associated work products throughout the life of the project. [PA145.N102]
The practices in the Process and Product Quality Assurance process area ensure that planned processes are implemented, while the practices in the Verification process area ensure that the specified requirements are satisfied. These two process areas may on occasion address the same work product but from different perspectives. Projects should take care to minimize duplication of effort. [PA145.N103]
Objectivity in process and product quality assurance evaluations is critical to the success of the project. (See the definition of “objectively evaluate” in Appendix C, the glossary.) Objectivity is achieved by both independence and the use of criteria. Traditionally, a quality assurance group that is independent of the project provides this objectivity. It may be appropriate in some organizations, however, to implement the process and product quality assurance role without that kind of independence. For example, in an organization with an open, quality-oriented culture, the process and product quality assurance role may be performed, partially or completely, by peers; and the quality assurance function may be embedded in the process. [PA145.N104]
If quality assurance is embedded in the process, several issues must be addressed to ensure objectivity. Everyone performing quality assurance activities should be trained in quality assurance. Those performing quality assurance activities for a work product should be separate from those directly involved in developing or maintaining the work product. An independent reporting channel to the appropriate level of organizational management must be available so that noncompliance issues may be escalated as necessary. [PA145.N105]
Quality assurance should begin in the early phases of a project to establish plans, processes, standards, and procedures that will add value to the project and satisfy the requirements of the project and the organizational policies. Those performing quality assurance participate in establishing the plans, processes, standards, and procedures to ensure that they fit the project’s needs and that they will be useable for performing quality assurance evaluations. In addition, the specific processes and associated work products that will be evaluated during the project are designated. This designation may be based on sampling or on objective criteria that are consistent with organizational policies and project requirements and needs. [PA145.N106]
When noncompliance issues are identified, they are first addressed within the project and resolved there if possible. Any noncompliance issues that cannot be resolved within the project are escalated to an appropriate level of management for resolution. [PA145.N107]
This process area primarily applies to evaluations of
products and services, but it also applies to evaluations of nonproject
activities and work products such as training activities. For these activities
and work products, the term “project” should be appropriately interpreted. [PA145.N108]
Refer to the Project Planning process area for more information about
identifying processes and associated work products that will be objectively
evaluated. [PA145.R101]
Refer to the Verification process area for more information about
satisfying specified requirements. [PA145.R102]
Specific Goals
SG 1
Objectively Evaluate Processes and Work Products
[PA145.IG101]
Adherence of the performed process and associated work products and services to applicable process descriptions, standards, and procedures is objectively evaluated.
SG 2
Provide Objective Insight [PA145.IG102]
Noncompliance issues are objectively tracked and communicated, and resolution is ensured.
Generic Goals
GG 1
Achieve Specific Goals [CL102.GL101]
The process supports and enables achievement of the specific goals of the process area by transforming identifiable input work products to produce identifiable output work products.
GG 2
Institutionalize a Managed Process [CL103.GL101]
The process is institutionalized as a managed process.
GG 3
Institutionalize a Defined Process [CL104.GL101]
The process is institutionalized as a defined process.
GG 4
Institutionalize a Quantitatively Managed Process
[CL105.GL101]
The process is institutionalized as a quantitatively managed process.
GG 5
Institutionalize an Optimizing Process [CL106.GL101]
The process is institutionalized as an optimizing process.
Practice-to-Goal Relationship Table
SG 1 Objectively Evaluate Processes and Work Products [PA145.IG101]
SP 1.1-1 Objectively Evaluate Processes
SP 1.2-1 Objectively Evaluate Work Products and Services
SG 2 Provide Objective Insight
[PA145.IG102]
SP 2.1-1 Communicate and Ensure Resolution of Noncompliance Issues
SP 2.2-1 Establish Records
GG 1 Achieve Specific Goals [CL102.GL101]
GP 1.1 Perform Base Practices
GG 2 Institutionalize a Managed Process [CL103.GL101]
GP 2.1 Establish an Organizational Policy
GP 2.2 Plan the Process
GP 2.3 Provide Resources
GP 2.4 Assign Responsibility
GP 2.5 Train People
GP 2.6 Manage Configurations
GP 2.7 Identify and Involve Relevant Stakeholders
GP 2.8 Monitor and Control the Process
GP 2.9 Objectively Evaluate Adherence
GP 2.10 Review Status with Higher Level Management
GG 3 Institutionalize a Defined Process [CL104.GL101]
GP 3.1 Establish a Defined Process
GP 3.2 Collect Improvement Information
GG 4 Institutionalize a Quantitatively Managed Process [CL105.GL101]
GP 4.1 Establish Quantitative Objectives for the Process
GP 4.2 Stabilize Subprocess Performance
GG 5 Institutionalize an Optimizing Process [CL106.GL101]
GP 5.1 Ensure Continuous Process Improvement
GP 5.2 Correct Root Causes of Problems
Specific Practices by Goal
SG 1 Objectively Evaluate Processes and Work Products
Adherence of the performed process and associated work products and services to
applicable process descriptions, standards, and procedures is objectively
evaluated.
[PA145.IG101]
SP 1.1-1 Objectively Evaluate Processes
Objectively evaluate the designated performed processes against the applicable
process descriptions, standards, and procedures.
[PA145.IG101.SP101]
Objectivity in quality assurance evaluations is critical
to the success of the project. A description of the quality assurance reporting
chain and how it ensures objectivity should be defined. [PA145.IG101.SP101.N101]
Typical Work Products
1. Evaluation
reports [PA145.IG101.SP101.W101]
2. Noncompliance
reports [PA145.IG101.SP101.W102]
3. Corrective
actions [PA145.IG101.SP101.W103]
Subpractices
1. Promote an environment
(created as part of project management) that encourages employee participation
in identifying and reporting quality issues. [PA145.IG101.SP101.SubP101]
2. Establish and maintain clearly
stated criteria for the evaluations.
[PA145.IG101.SP101.SubP102]
The intent of this subpractice is
to provide criteria, based on business needs, such as the following:
[PA145.IG101.SP101.SubP102.N101]
· What will be evaluated
· When or how often a process will be evaluated
· How the evaluation will be conducted
· Who must be involved in the evaluation
3. Use the stated criteria to
evaluate performed processes for adherence to process descriptions, standards,
and procedures. [PA145.IG101.SP101.SubP103]
4. Identify each noncompliance
found during the evaluation. [PA145.IG101.SP101.SubP104]
5. Identify lessons learned that
could improve processes for future products and services.
[PA145.IG101.SP101.SubP105]
SP 1.2-1 Objectively Evaluate Work Products and Services
Objectively evaluate the designated work products and services against the
applicable process descriptions, standards, and procedures.
[PA145.IG101.SP102]
Typical Work Products
1. Evaluation
reports [PA145.IG101.SP102.W101]
2. Noncompliance
reports [PA145.IG101.SP102.W102]
3. Corrective
actions [PA145.IG101.SP102.W103]
Subpractices
1. Select work products to be
evaluated, based on documented sampling criteria if sampling is used.
[PA145.IG101.SP102.SubP101]
2. Establish and maintain clearly
stated criteria for the evaluation of work products.
[PA145.IG101.SP102.SubP102]
The intent of this subpractice is
to provide criteria, based on business needs, such as the following:
[PA145.IG101.SP102.SubP102.N101]
· What will be evaluated during the evaluation of a work product
· When or how often a work product will be evaluated
· How the evaluation will be conducted
· Who must be involved in the evaluation
3. Use the stated criteria during
the evaluations of work products.
[PA145.IG101.SP102.SubP103]
4. Evaluate work products before
they are delivered to the customer. [PA145.IG101.SP102.SubP104]
5. Evaluate work products at
selected milestones in their development.
[PA145.IG101.SP102.SubP105]
6. Perform in-progress or
incremental evaluations of work products and services against process
descriptions, standards, and procedures. [PA145.IG101.SP102.SubP106]
7. Identify each case of
noncompliance found during the evaluations. [PA145.IG101.SP102.SubP107]
8. Identify lessons learned that
could improve processes for future products and services.
[PA145.IG101.SP102.SubP108]
SG 2 Provide Objective Insight
Noncompliance issues are objectively tracked and communicated, and resolution is
ensured.
[PA145.IG102]
SP 2.1-1 Communicate and Ensure Resolution of Noncompliance Issues
Communicate quality issues and ensure resolution of noncompliance issues with
the staff and managers. [PA145.IG102.SP101]
Noncompliance issues are problems identified in
evaluations that reflect a lack of adherence to applicable standards, process
descriptions, or procedures. The status of noncompliance issues provides an
indication of quality trends. Quality issues include noncompliance issues and
results of trend analysis.
[PA145.IG102.SP101.N101]
When local resolution of noncompliance issues cannot be
obtained, use established escalation mechanisms to ensure that the appropriate
level of management can resolve the issue. Track noncompliance issues to
resolution.
[PA145.IG102.SP101.N102]
Typical Work Products
1. Corrective
action reports [PA145.IG102.SP101.W101]
2. Evaluation
reports [PA145.IG102.SP101.W102]
3. Quality
trends [PA145.IG102.SP101.W103]
Subpractices
1. Resolve each noncompliance
with the appropriate members of the staff where possible.
[PA145.IG102.SP101.SubP101]
2. Document noncompliance issues
when they cannot be resolved within the project.
[PA145.IG102.SP101.SubP102]
Examples of ways to resolve noncompliance within the project include the
following: [PA145.IG102.SP101.SubP102.N101]
· Fixing the noncompliance
· Changing the process descriptions, standards, or procedures that were violated
· Obtaining a waiver to cover the noncompliance issue
3. Escalate noncompliance issues
that cannot be resolved within the project to the appropriate level of
management designated to receive and act on noncompliance issues.
[PA145.IG102.SP101.SubP103]
4. Analyze the noncompliance
issues to see if there are any quality trends that can be identified and
addressed. [PA145.IG102.SP101.SubP104]
5. Ensure that relevant
stakeholders are aware of the results of evaluations and the quality trends in a
timely manner. [PA145.IG102.SP101.SubP105]
6. Periodically review open
noncompliance issues and trends with the manager designated to receive and act
on noncompliance issues. [PA145.IG102.SP101.SubP106]
7. Track noncompliance issues to
resolution. [PA145.IG102.SP101.SubP107]
Establish and maintain records of the quality assurance activities. [PA145.IG102.SP102]
Typical Work Products
1. Evaluation
logs [PA145.IG102.SP102.W101]
2. Quality
assurance reports [PA145.IG102.SP102.W102]
3. Status
reports of corrective actions [PA145.IG102.SP102.W103]
4. Reports of
quality trends [PA145.IG102.SP102.W104]
Subpractices
1. Record process and product
quality assurance activities in sufficient detail such that status and results
are known. [PA145.IG102.SP102.SubP101]
2. Revise the status and history
of the quality assurance activities as necessary.
[PA145.IG102.SP102.SubP102]
Generic Practices by Goal
(Note: The detailed description of the GPs is available in a separate web page. Using the hyperlink provided here will open that web page in a separate window. However, the GP elaborations pertinent to the process area of this web page are available below.)
GG 1 Achieve Specific Goals
The process supports and enables achievement of the specific goals of the process area by transforming identifiable input work products to produce identifiable output work products.
Perform the base practices of the process and product quality assurance process
to develop work products and provide services to achieve the specific goals of
the process area. [GP102]
GG 2 Institutionalize a Managed Process
The process is institutionalized as a managed process.
GP 2.1 Establish an Organizational Policy
Establish and maintain an organizational policy for planning and performing the
process and product quality assurance process. [GP103]
Elaboration:
This policy establishes organizational expectations for
objectively evaluating whether processes and associated work products adhere to
the applicable process descriptions, standards, and procedures, and ensuring
that noncompliance is addressed.
[PA145.EL101]
This policy also establishes organizational expectations
for process and product quality assurance being in place for all projects.
Process and product quality assurance must possess sufficient independence from
project management to provide objectivity in identifying and reporting
noncompliance issues.
[PA145.EL102]
Establish and maintain the plan for performing the process and product quality
assurance process. [GP104]
Elaboration:
This plan for performing the process and product quality
assurance process may be included in (or referenced by) the project plan, which
is described in the Project Planning process area. [PA145.EL114]
Provide adequate resources for performing the process and product quality
assurance process, developing the work products, and providing the services of
the process. [GP105]
Elaboration:
Examples of
resources provided include the following tools: [PA145.EL105]
· Evaluation tools
· Noncompliance tracking tool
Assign responsibility and authority for performing the process, developing the
work products, and providing the services of the process and product quality
assurance process. [GP106]
Elaboration:
To guard against subjectivity or bias, ensure that those
people assigned responsibility and authority for process and product quality
assurance can perform their evaluations with sufficient independence and
objectivity.
[PA145.EL115]
Train the people performing or supporting the process and product quality
assurance process as needed. [GP107]
Elaboration:
Examples of
training topics include the following: [PA145.EL106]
· Application domain
· Customer relations
· Process descriptions, standards, procedures, and methods for the project
· Quality assurance objectives, process descriptions, standards, procedures, methods, and tools
Place designated work products of the process and product quality assurance
process under appropriate levels of configuration management. [GP109]
Elaboration:
Examples of
work products placed under configuration management include the following: [PA145.EL111]
· Noncompliance reports
· Evaluation logs and reports
GP 2.7 Identify and Involve Relevant Stakeholders
Identify and involve the relevant stakeholders of the process and product
quality assurance process as planned. [GP124]
Elaboration:
Examples of
activities for stakeholder involvement include the following: [PA145.EL113]
· Establishing criteria for the objective evaluations of processes and work products
· Evaluating processes and work products
· Resolving noncompliance issues
· Tracking noncompliance issues to closure
GP 2.8 Monitor and Control the Process
Monitor and control the process and product quality assurance process against
the plan for performing the process and take appropriate corrective action. [GP110]
Elaboration:
Examples of
measures used in monitoring and controlling include the following: [PA145.EL108]
· Variance of objective process evaluations planned and performed
· Variance of objective work product evaluations planned and performed
GP 2.9 Objectively Evaluate Adherence
Objectively evaluate adherence of the process and product quality assurance
process against its process description, standards, and procedures, and address
noncompliance. [GP113]
Elaboration:
Examples of
activities reviewed include the following: [PA145.EL109]
· Objectively evaluating processes and work products
· Tracking and communicating noncompliance issues
Examples of
work products reviewed include the following: [PA145.EL112]
· Noncompliance reports
· Evaluation logs and reports
GP 2.10 Review Status with Higher Level Management
Review the activities, status, and results of the process and product quality
assurance process with higher level management and resolve issues. [GP112]
GG 3 Institutionalize a Defined Process
The process is institutionalized as a defined process.
GP 3.1 Establish a Defined Process
Establish and maintain the description of a defined process and product quality
assurance process. [GP114]
GP 3.2 Collect Improvement Information
Collect work products, measures, measurement results, and improvement
information derived from planning and performing the process and product quality
assurance process to support the future use and improvement of the
organization’s processes and process assets. [GP117]
GG 4 Institutionalize a Quantitatively Managed Process
The process is institutionalized as a quantitatively managed process.
GP 4.1 Establish Quantitative Objectives for the Process
Establish and maintain quantitative objectives for the process and product
quality assurance process that address quality and process performance based on
customer needs and business objectives. [GP118]
GP 4.2 Stabilize Subprocess Performance
Stabilize the performance of one or more subprocesses to determine the ability
of the process and product quality assurance process to achieve the established
quantitative quality and process-performance objectives. [GP119]
GG 5 Institutionalize an Optimizing Process
The process is institutionalized as an optimizing process.
GP 5.1 Ensure Continuous Process Improvement
Ensure continuous improvement of the process and product quality assurance
process in fulfilling the relevant business objectives of the organization. [GP125]
GP 5.2 Correct Root Causes of Problems
Identify and correct the root causes of defects and other problems in the
process and product quality assurance process. [GP121]