Process and Product Quality AssurancePPQA

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Process and Product Quality Assurance(PPQA)

• FromCMMI-SE/SW/IPPD,V1.1
• LaboratorySoftware Engineering
• ReporterYun-Chen Chan
• Date2005/03/24

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Outline

• PPQA Introduction
• PPQA Purpose
• Related Process Areas
• Context of PPQA
• Specific Practices by Goals
• Specific and Generic Goals
• PPQA Process
• Knack for running PPQA
• Quality Audit Workshop
• PPQA Simulation

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Outline

• PPQA Introduction
• PPQA Purpose
• Related Process Areas
• Context of PPQA
• Specific Practices by Goals
• Specific and Generic Goals
• PPQA Process
• Knack for running PPQA
• Quality Audit Workshop
• PPQA Simulation

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PPQA Introduction

• Purpose
• To provide staff and management with objective
  insight into the processes and associated work
  products
• High-quality products and services
• Eliminate rework and project churn
• Identify noncompliance issues
• Identify quality trends

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Related Process Areas
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Context of PPQA
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Specific Practices by Goal-SG1

• SG1 Objectively Evaluate Processes and Work
  Products
• Adherence of the performed process and associated
  work products and services to applicable process
  descriptions, standards, and procedures if
  objectively evaluated.

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Specific Practices 1.11
SG1

• Objectively Evaluate Processes
• Objectively evaluate the designated performed
  processes against the applicable process
  descriptions, standards, and procedures.
• Sub-pracitices
• Promote an environment (created as part of
  project management) that encourages employee
  participation in identifying and reporting
  quality issues
• Establish and maintain clearly stated criteria
  for the evaluations
• Use the stated criteria to evaluate performed
  processes for adherence to process descriptions,
  standards, and procedures
• Identify each noncompliance found during the
  evaluation
• Identify lessons learned that could improve
  processes for future products and services

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Specific Practices 1.12
SG1

• Typical work products
• Evaluation reports
• Noncompliance reports
• Corrective actions

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Specific Practices 1.21
SG1

• Objectively Evaluate Work Products and Services
• Objectively evaluate the designated performed
  work products and services against the applicable
  process descriptions, standards, and procedures.
• Sub-pracitices
• Select work products to be evaluated, based on
  documented sampling criteria if sampling is used
• Establish and maintain clearly stated criteria
  for the evaluations of work products
• Use the stated criteria during the evaluations of
  work products
• Evaluate work products before they are delivered
  to the customer
• Evaluate work products at selected milestones in
  their development

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Specific Practices 1.22
SG1

• Identify each case of noncompliance found during
  the evaluations
• Identify lessons learned that could improve
  processes for future products and services

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Specific Practices by Goal-SG2

• SG2 Provide Objective Insight
• Noncompliance issues are objectively tracked and
  communicated, and resolution is encured

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Specific Practices 2.11
SG2

• Communicate and Ensure Resolution of
  Noncompliance Issues noncompliance issues with
  the staff and managers
• Sub-Practies
• Resolve each noncompliance with the appropriate
  members of the staff where possible
• Document noncompliance issues when they cannot be
  resolved within the project
• Escalate noncompliance issues that cannot be
  resolved within the project to the appropriate
  level of management designated to receive and act
  on noncompliance and addressed
• Analyze the noncompliance issues to see if there
  are any quality trends that can be identified and
  addressed
• Ensure that relevant stake holders are aware of
  the results of evaluations and the quality trends
  in a timely manner

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Specific Practices 2.12
SG2

• Periodically review open noncompliance issues and
  trends with the manager designated to receive and
  act on noncompliance issues
• Track noncompliance issues to resolution

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Specific Practices 2.13
SG2

• Typical work products
• Corrective action reports
• Evaluation reports
• Quality trends

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Specific Practices 2.21
SG2

• Establish Records
• Establish and maintain records of the quality
  assurance activities
• Sub-Practies
• Record process and product quality assurance
  activities in sufficient detail such that status
  and results are known
• Revise the status and history of the quality
  assurance activities as necessary

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Specific Practices 2.22
SG2

• Typical work products
• Evaluation logs
• Quality assurance reports
• Status reports of corrective actions
• Reports of quality trends

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Generic Practices with Special Significance to
PPQA

• GP2.2 Establish and maintain the plan for
  performing the validation process
• GP2.3 Provide adequate resources for performing
  the validation process, developing the work
  products, and providing the services of the
  process
• GP2.4 Assign responsibility and authority for
  performing the process, developing the work
  products, and providing the services of the
  process and product quality assurance process
• GP2.10 Objectively evaluate adherence of the
  process and product quality assurance process
  against its process description, standards, and
  procedures, and address noncompliance

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The Structure of PPQA Process
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Knack for running PPQA

• Case Study Project Plan milestone Review
• Actors
• PM
• PPQA
• CM
• Responsibility
• PM Creating a PPQA plan
• PPQA Directing the Project plan execution
• CM Manage the PPQA result into CM process
• Output
• PPQA Plan
• Tracing Plan

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Outline

• PPQA Introduction
• PPQA Purpose
• Related Process Areas
• Context of PPQA
• Specific Practices by Goals
• Specific and Generic Goals
• PPQA Process
• Knack for running PPQA
• Quality Audit Workshop
• PPQA Simulation

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AUDITING SKILLS

• TIME MANAGEMENT

• FACT FINDING

• REPORTING

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Time Management

• Use Check Lists as Aide-Memoir
• Do not waste time on friendly chatting
• If the area being covered is large provide a
  map or guide
• Beware of other distracting methods

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USE OF CHECKLISTS

• ADVANTAGES
• Focus on Specifics
• Aide Memoir
• Used for Note taking
• DISADVANTAGES
• Inhibits flexibility
• Becomes a Questionnaire
• Copy Cat Audits

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USE OF CHECKLISTS

• Focus on Essentials
• Aid to Audit Planning
• Maintain Audit Direction
• Permit Continuity

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Fact Finding Techniques
Ask ??? Verify ! ! ! Observe 444

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Fact Finding
Good Auditor Qualities

• Objective
• Fair
• Friendly
• Patient
• Thorough
• Good Communication Skills
• Calm under Pressure
• Calm under Provocation

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Fact Finding
Audit Methods
"I have six honest men, They help me in all I
do, Their names are Where, What, When, How, Why
and Who. Seventh Friend Show Me
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Fact Finding
Good Practices

• Speak clearly and simply
• Look at the person
• Do not project superiority
• Smile, be relaxed
• Be unemotional and impartial
• Rephrase questions, if necessary
• Give praise where deserved
• Do not look for trouble

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Fact Finding
Bad Practices

• Do Not
• Ask too many questions at once
• Say you understand, when you don't
• Answer your own question
• Get into an argument
• Rely on your memory
• Take sides
• Criticize Individuals

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AUDITING SKILLS
REPORTING

• REPORTS SHOULD HAVE
• A well laid out Title Page
• An Introduction
• Summaries, where applicable
• Necessary appendices attached
• Consistent usage of terms
• Appropriate Page Numbers
• REPORTS SHOULD BE
• Clear and unambiguous
• In correct logical order
• Objective Constructive
• Accurate

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Reporting
Typical Contents of an Audit Report
REPORT REFERENCE DATE OF AUDIT DEPARTMENT(S)
VISITED AUDIT SCOPE AUDIT BASIS PERSONNEL
SEEN PROCEDURE REFERENCES OBSERVATIONS AGREED
ACTIONS CORRECTIVE ACTION SCHEDULE FOLLOW UP
RECOMMENDATIONS REPORT DISTRIBUTION LIST
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Reporting

• CONDUCTING MEETINGS
• Speak with Authority
• Listen with care
• Maintain good manners
• Watch Body Language
• Control the situation
• Finish with clear objectives

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Reporting

• REPORTS SHOULD NOT CONTAIN
• Insignificant Details
• Confidential Information
• Any points not discussed
• Ambiguous Statements
• Auditor's opinion

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JUDGING NON-CONFORMANCE

• AGAINST
• POLICY
• PROCEDURES
• STANDARDS
• PRACTICES / INSTRUCTIONS
• REQUIREMENTS

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Reporting
NON-CONFORMANCE CATEGORIES
Major System Breakdown and Cumulative effect
of similar deficiencies. All /
Always / Never. Minor Deficiency that
occurred rarely or in one
instance. Few / Occasionally / Odd
Times. Observation
Opportunities for improvements. Always ask
Is it happening increasingly?
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Reporting
RECORDING NON CONFORMANCES
Factual Observation Established
Criteria Identified Location Person
Involved Attribution to Standards /
Models Detailed Explanation
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Reporting
CORRECTIVE ACTION
MINOR ISOLATED ERRORS HAPPENING TOO
FREQUENTLY TOO MANY MINOR LAPSES INADEQUATE
CONTROL
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Audit Follow-up
AT SUCCESSIVE AUDITS VARY
METHODS AUDITORS DEPTH
SCOPE
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Audit Follow-up
MANAGEMENT REVIEW
SYSTEM OVERVIEW ASSESSMENT OF AUDIT
REPORTS INFLUENCE ON AUDIT PROGRAMME CORRECTIVE
ACTIONS TO SYSTEM
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Audit Follow-up
OBJECTIVES
ENSURE CORRECTIVE ACTION TAKEN EVALUATE
EFFECTIVENESS PERMIT SATISFACTORY CONCLUSION
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Audit Follow-up
OPTIONS
LIMITED RE-AUDIT REVIEW OF DOCUMENTATION VERIFICAT
ION AT THE NEXT AUDIT
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Outline

• PPQA Introduction
• PPQA Purpose
• Related Process Areas
• Context of PPQA
• Specific Practices by Goals
• Specific and Generic Goals
• PPQA Process
• Knack for running PPQA
• Quality Audit Workshop
• PPQA Simulation

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PPQA Simulation

• Case Study Project Plan milestone Review
• Actors
• PM
• PPQA
• CM
• Responsibility
• PM explain project plan process
• PPQA Directing the Project plan auditing
• CM Manage the PPQA result into CM process
• Output
• Audit Report

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QA

• Thank you very much.