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 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 by providing 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.
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 may on occasion address the same work product but from different perspectives. Projects 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 project. (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 not producing 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 ensure objectivity.
Examples of ways to perform objective evaluations include the following:
• Formal audits by organizationally separate quality assurance organizations
• Peer reviews, which may be performed at various levels of formality
• In-depth review of work at the place it is performed (i.e., desk audits)
• Distributed review and comment of work products
Traditionally, a quality assurance group that is independent of the project 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.
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. For small organizations, this embedded approach might be the most feasible approach.
If quality assurance is embedded in the process, several issues must be addressed to ensure objectivity. Everyone performing quality assurance activities should be trained. 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 can be escalated as necessary.
For example, when implementing peer reviews as an objective evaluation method, the following issues must be addressed:
• Members are trained and roles are assigned for people attending the peer reviews.
• A member of the peer review who did not produce this work product is assigned to perform the quality assurance role.
• Checklists are available to support the quality assurance activity.
• Defects are recorded as part of the peer review report and are tracked and escalated outside the project when necessary.
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 organizational policies. Those performing quality assurance participate in establishing plans, processes, standards, and procedures to ensure that they fit project needs and that they will be usable for performing quality assurance evaluations. In addition, processes and associated work products to be evaluated during the project are designated. This designation may be based on sampling or on objective criteria that are consistent with organizational policies, project requirements, and project needs.
When noncompliance issues are identified, they are first addressed in the project and resolved there if possible. Noncompliance issues that cannot be resolved in the project are escalated to an appropriate level of management for resolution.
This process area applies primarily to evaluations of project activities and work products, but it also applies to other activities and work products, such as training organizational support groups. For these activities and work products, the term “project” 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 designated performed processes against applicable process descriptions, standards, and procedures.
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.
Typical Work Products
1. Evaluation reports
2. Noncompliance reports
3. Corrective actions
Subpractices
1. Promote an environment (created as part of project management) that encourages employee 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 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 for future products.
SP 1.2 Objectively Evaluate Work Products
Objectively evaluate designated work products against applicable process descriptions, standards, and procedures.
Typical 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 may include services produced by a process whether the recipient of the service is internal or external to the project 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 periods in their lifetime as appropriate, including before and during delivery to the customer.
5. Perform in-progress or incremental evaluations of selected work products against process descriptions, standards, and procedures.
If a service to be evaluated has a process description, then SP 1.1 covers the evaluation of that service against its process description. This specific practice would then instead focus on the service itself—its results, its impacts, etc.
6. Identify each case of noncompliance found during evaluations.
7. Identify lessons learned that could improve processes for future products.
SG 2 Provide Objective Insight
Noncompliance issues are objectively tracked and communicated, and resolution is ensured.
SP 2.1 Communicate and Ensure the Resolution of 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 project, use established escalation mechanisms to ensure that the appropriate level of management can resolve the issue. Track noncompliance issues to resolution.
Typical 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 project.
Examples of ways to resolve a noncompliance in the project include the following:
• Fixing the noncompliance
• Changing the process descriptions, standards, or procedures that were violated
• Obtaining a waiver to cover the noncompliance
3. Escalate noncompliance issues that cannot be resolved in the project 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.
Typical 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.