Process and Product Quality Assurance: A Support Process Area at Maturity Level 2
Purpose
The purpose of Process and Product Quality Assurance (PPQA) is to provide staff and management with objective insight into processes and associated work products.
Introductory Notes
The Process and Product Quality Assurance process area involves the following activities:
• Objectively evaluating performed processes and work products against applicable process descriptions, standards, and procedures
• Identifying and documenting noncompliance issues
• Providing feedback to work group 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 by providing work group staff and managers at all levels with appropriate visibility into, and feedback on, processes and associated work products throughout the work.
The practices in the Process and Product Quality Assurance process area ensure that planned processes are implemented, while the practices in the Service System Development process area ensure that specified requirements are satisfied. These two process areas can on occasion address the same work product but from different perspectives. Work groups should take advantage of the overlap to minimize duplication of effort while taking care to maintain separate perspectives.
Objectivity in process and product quality assurance evaluations is critical to the success of the work. (See the definition of “objectively evaluate” in the glossary.) Objectivity is achieved by both independence and the use of criteria. A combination of methods providing evaluations against criteria by those who do not produce the work product is often used. Less formal methods can be used to provide broad day-to-day coverage. More formal methods can be used periodically to assure objectivity.
Traditionally, a quality assurance group that is independent of the work group provides objectivity. However, another approach may be appropriate in some organizations to implement the process and product quality assurance role without that kind of independence.
If quality assurance is embedded in the process, several issues should be addressed to ensure objectivity. Everyone performing quality assurance activities should be trained in quality assurance. Those who perform quality assurance activities for a work product should be separate from those who are directly involved in developing or maintaining the work product. An independent reporting channel to the appropriate level of organizational management should be available so that noncompliance issues can be escalated as necessary.
Quality assurance should begin in the early phases of work to establish plans, processes, standards, and procedures that will add value to the work and satisfy the requirements of the work and organizational policies. Those who perform quality assurance activities participate in establishing plans, processes, standards, and procedures to ensure that they fit work group needs and that they will be usable for performing quality assurance evaluations. In addition, processes and associated work products to be evaluated during the work are designated. This designation can be based on sampling or on objective criteria that are consistent with organizational policies, work requirements, and work group needs.
When noncompliance issues are identified, they are first addressed in the work group and resolved there if possible. Noncompliance issues that cannot be resolved in the work group are escalated to an appropriate level of management for resolution.
This process area applies to evaluations of work group activities and work products, and to organizational (e.g., process group, organizational training) activities and work products. For organizational activities and work products, the term “work group” should be appropriately interpreted.
Related Process Areas
Specific Practices by Goal
SG 1 Objectively Evaluate Processes and Work Products
Adherence of the performed process and associated work products to applicable process descriptions, standards, and procedures is objectively evaluated.
SP 1.1 Objectively Evaluate Processes
Objectively evaluate selected performed processes against applicable process descriptions, standards, and procedures.
Objectivity in quality assurance evaluations is critical to the success of the work. A description of the quality assurance reporting chain and how it ensures objectivity should be defined.
Example Work Products
1. Evaluation reports
2. Noncompliance reports
3. Corrective actions
Subpractices
1. Promote an environment (created as part of work management) that encourages staff participation in identifying and reporting quality issues.
2. Establish and maintain clearly stated criteria for evaluations.
The intent of this subpractice is to provide criteria, based on business needs, such as the following:
• 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 selected performed processes for adherence to process descriptions, standards, and procedures.
4. Identify each noncompliance found during the evaluation.
5. Identify lessons learned that could improve processes.
SP 1.2 Objectively Evaluate Work Products
Objectively evaluate selected work products against applicable process descriptions, standards, and procedures.
Example Work Products
1. Evaluation reports
2. Noncompliance reports
3. Corrective actions
Subpractices
1. Select work products to be evaluated based on documented sampling criteria if sampling is used.
Work products can include services produced by a process whether the recipient of the service is internal or external to the work group or organization.
2. Establish and maintain clearly stated criteria for the evaluation of selected work products.
The intent of this subpractice is to provide criteria, based on business needs, such as the following:
• 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 evaluations of selected work products.
4. Evaluate selected work products at selected times.
5. Identify each case of noncompliance found during evaluations.
6. Identify lessons learned that could improve processes.
SG 2 Provide Objective Insight
Noncompliance issues are objectively tracked and communicated, and resolution is ensured.
SP 2.1 Communicate and Resolve Noncompliance Issues
Communicate quality issues and ensure the resolution of noncompliance issues with the staff and managers.
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 trend analysis results.
When noncompliance issues cannot be resolved in the work group, use established escalation mechanisms to ensure that the appropriate level of management can resolve the issue. Track noncompliance issues to resolution.
Example Work Products
1. Corrective action reports
2. Evaluation reports
3. Quality trends
Subpractices
1. Resolve each noncompliance with the appropriate members of the staff if possible.
2. Document noncompliance issues when they cannot be resolved in the work group.
3. Escalate noncompliance issues that cannot be resolved in the work group to the appropriate level of management designated to receive and act on noncompliance issues.
4. Analyze noncompliance issues to see if there are quality trends that can be identified and addressed.
5. Ensure that relevant stakeholders are aware of results of evaluations and quality trends in a timely manner.
6. Periodically review open noncompliance issues and trends with the manager designated to receive and act on noncompliance issues.
7. Track noncompliance issues to resolution.
SP 2.2 Establish Records
Establish and maintain records of quality assurance activities.
Example Work Products
1. Evaluation logs
2. Quality assurance reports
3. Status reports of corrective actions
4. Reports of quality trends
Subpractices
1. Record process and product quality assurance activities in sufficient detail so that status and results are known.
2. Revise the status and history of quality assurance activities as necessary.