4.15. PROCESS AND PRODUCT QUALITY ASSURANCE

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:
· 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.
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 advantage of the overlap in order to minimize duplication of effort while taking care to maintain the 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 assure 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 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. For small organizations, this 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 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 can be escalated as necessary.
For example, in implementing peer reviews as an objective evaluation method:
· 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 role of QA.
· Checklists are available to support the QA 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 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.
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.
This process area applies primarily to evaluations of the activities and work products of a project, 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.
Related Process Areas
Refer to the Project Planning process area for more information about identifying processes and associated work products that will be objectively evaluated.
Refer to the Verification process area for more information about satisfying specified requirements.

Specific Goal and Practice Summary

SG 1 Objectively Evaluate Processes and Work Products
SP 1.1 Objectively Evaluate Processes
SP 1.2 Objectively Evaluate Work Products and Services

SG 2 Provide Objective Insight
SP 2.1 Communicate and Ensure Resolution of Noncompliance Issues
SP 2.2 Establish Records

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.

SP 1.1 Objectively Evaluate Processes

Objectively evaluate the designated performed processes against the 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 the 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 and services.

SP 1.2 Objectively Evaluate Work Products and Services

Objectively evaluate the designated work products and services against the 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.
2. Establish and maintain clearly stated criteria for the evaluation of 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 the evaluations of work products.
4. Evaluate work products before they are delivered to the customer.
5. Evaluate work products at selected milestones in their development.
6. Perform in-progress or incremental evaluations of work products and services against process descriptions, standards, and procedures.
7. Identify each case of noncompliance found during the evaluations.
8. Identify lessons learned that could improve processes for future products and services.

SG 2 Provide Objective Insight

Noncompliance issues are objectively tracked and communicated, and resolution is ensured.

SP 2.1 Communicate and Ensure Resolution of Noncompliance Issues

Communicate quality issues and ensure 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 results of trend analysis.
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.
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 where possible.
2. Document noncompliance issues when they cannot be resolved within the project.
Examples of ways to resolve noncompliance within 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 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.
4. Analyze the noncompliance issues to see if there are any quality trends that can be identified and addressed.
5. Ensure that relevant stakeholders are aware of the results of evaluations and the 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 the 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 such that status and results are known.
2. Revise the status and history of the quality assurance activities as necessary.