Subset Overview / Details
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Requirement Set: CMMI
Subset: Process and Product
Quality Assurance (PPQA)
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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.
·
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·
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·
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.)
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Category: Support
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]