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PPQA-PLN-0001

Process Quality Assurance Plan

V2.0 8/07/12 © 2012 PINNACLE SOLUTIONS, INC. ALL RIGHTS RESERVED i

PPQA-PLN-0001 QUALITY ASSURANCE PLAN

FOR

PINNACLE SOLUTIONS

VERSION 2.0

7 AUGUST 2012

PPQA-PLN-0001


V2.0 8/07/12 © 2012 PINNACLE SOLUTIONS, INC. ALL RIGHTS RESERVED ii

PREFACE

This document contains the Process and Product Quality Assurance (PPQA) Plan for Pinnacle Solutions,

Inc. (Pinnacle). The PPQA activities described in this plan are consistent with the Software Development

Plan (SDP), the Program Management Plan (PMP), Test Plan and the Configuration Management Plan

(CMP), Hardware Development Plan (HDP), and other program planning documents.

Pinnacle assumes responsibility for this document and updates it, as required, to meet the needs of the

company. Users of this document may report deficiencies or corrections to the Configuration

Management Manager. Updates to this document will be performed at least annually in accordance with

the Configuration Management Process.

PPQA-PLN-0001


V2.0 8/07/12 © 2012 PINNACLE SOLUTIONS, INC. ALL RIGHTS RESERVED iii

RECORD OF CHANGES

*A - ADDED M - MODIFIED D - DELETED

VERSION

NUMBER DATE

FIGURE,

TABLE, OR

PARAGRAPH

NUMBER

A*

M

D TITLE OR BRIEF DESCRIPTION

CHANGE

REQUEST

NUMBER

1.1 3/24/11 5.2 M Updated the metrics section. N/A –

Internal

Audit

1.2 4/27/11 5.2 M Relocated metrics from this plan to the OPS-

GDL-0007 Organizational Metrics guideline and

the Organizational Metrics Repository

N/A-

Internal

Audit

1.3 6/20/11 2.2.3.1 M Modified section by adding Process Area

checklists

N/A-

Internal

Audit

3.2.17 A Added CMMI compliance to Process Areas

1.4 8/29/11 3 M Rewrote Section 3 PPQA Tasks N/A –

Internal

Audit

1.5 11/28/11 M Added Control of Data Management – PPQA

Work Products back in PPQA Plan

80

1.6 12/28/11 Tabe 2, Table 3 A Added Versioned as a control type and approver

as Stakeholder responsibility code

100

1.7 2/20/12 Section 1.5 A

A

Added the Order of Precedence to the Reference

Document Section

Added the Hardware Development Plan to the

Preface

238

2.0 8/7/12 Various M Administrative cleanup, fixed typos, added

copyright notification

Annual

Reivew

PPQA-PLN-0001


V2.0 8/07/12 © 2012 PINNACLE SOLUTIONS, INC. ALL RIGHTS RESERVED iv

Table of Contents

1 INTRODUCTION ................................................................................................................................ 1

1.1 Purpose ......................................................................................................................................... 1 1.2 Scope ............................................................................................................................................ 1 1.3 Identification ................................................................................................................................. 1 1.4 Document Overview ..................................................................................................................... 1 1.5 Reference Documents ................................................................................................................... 1

2 MANAGEMENT ................................................................................................................................. 3

2.1 Organization ................................................................................................................................. 3 2.2 Resources ...................................................................................................................................... 5

2.2.1 Facilities and Equipment ....................................................................................................... 5 2.2.2 Personnel ............................................................................................................................... 5 2.2.3 PPQA Tools, Techniques and Methodologies ...................................................................... 5

2.3 Risk Management ......................................................................................................................... 6

3 PPQA TASKS ...................................................................................................................................... 7

3.1 PPQA Tasks Overview ................................................................................................................. 7

4 PPQA SCHEDULE .............................................................................................................................. 8

5 PPQA QUALITY REPORTING AND RESOLUTION ...................................................................... 9

5.1 PPQA FINDINGS ........................................................................................................................ 9 5.1.1 Escalation Procedure for Resolution of Non-Concurrence on PPQA Finding ..................... 9

6 DATA MANAGEMENT ................................................................................................................... 11

7 TRAINING ........................................................................................................................................ 12

8 LIST OF ACRONYMS AND DEFINITIONS .................................................................................. 13

8.1 Acronyms.................................................................................................................................... 13 8.2 Definitions .................................................................................................................................. 14

Table of Figures Figure 1 Organization ................................................................................................................................... 3 Figure 2 Quality Is Engrained Throughout Product Development ............................................................... 6 Figure 3 PPQA Resolution Finding Process ............................................................................................... 10

Table of Tables Table 1 Process Area Audits ......................................................................................................................... 7 Table 2 Control Types Used ....................................................................................................................... 11 Table 3 Stakeholder Responsibility Codes ................................................................................................. 11 Table 4 PPQA Data Managed ..................................................................................................................... 11 Table 5 Acronyms ....................................................................................................................................... 13

PPQA-PLN-0001


V2.0 8/07/12 © 2012 PINNACLE SOLUTIONS, INC. ALL RIGHTS RESERVED 1

1 INTRODUCTION

1.1 PURPOSE

The purpose of this plan is to define Pinnacle’s Process and Product Quality Assurance (PPQA)

organization, tasks and responsibilities; provide reference documents and guidelines to perform PPQA

activities; provide the standards, practices and conventions used in carrying out PPQA activities; and

provide the tools, techniques, and methodologies to support PPQA activities and reporting.

1.2 SCOPE

This plan establishes the PPQA activities performed throughout a standard life cycle of a program as well

as PPQA activities performed at the corporate level. Specifically, this PPQA Plan will show that the

PPQA function is established and working for Pinnacle. It will show that PPQA has a reporting channel

to senior management that is independent of the program manager. The goal of PPQA is to:

1. Ensure all Pinnacle procedures are being executed

2. Ensure all work products are being developed in accordiance with applicable

templates/instructions

3. Verify all Contract Data Requirements Lisitngs (CDRLs) prior to delivery

1.3 IDENTIFICATION

All Pinnacle programs are subject to this PPQA Plan. Modifications to this plan for specific programs, if

required, are documented and noted in the PM-FRM-0001 Program Plan Worksheet as program tailoring.

1.4 DOCUMENT OVERVIEW

This document states the procedures, tasks and policies used to perform activities related to PPQA as

specified in Quality Systems – Model for quality assurance in design, development, production,

installation, and servicing, International Organization for Standardization (ISO) 9001 as stated in

reference (f) below.

1.5 REFERENCE DOCUMENTS

In the event of a conflict between the text of this document and the references cited herein, this document

takes precedence. However, nothing in this document supersedes applicable laws and regulations unless a

specific exemption has been obtained. Military/Commercial standards and specifications and other

Government documents referred to in this document are to be used as guidance only.

The following documents are referenced in this PPQA Plan.

a. PM-TMP-0002 Program Integrated Master Schedule (IMS) Template

b. CM-PLN-0001 Pinnacle Solutions Configuration Management Plan

c. SDP-PLN-0001 Pinnacle Solutions Software Development Plan

d. Software Development and Documentation, Data Item Descriptions (DIDs), Military Standard

(MIL-STD)-498, Dec 1994

e. CMMI-DEV Version 1.2

f. Quality Systems – Model for quality assurance in design, development, production, installation,

and servicing, International Organization for Standardization (ISO) 9001, Jul 1994

PPQA-PLN-0001



g. PM-FRM-0001 Program Plan Worksheet

h. ENG-TMP-0007 Peer Review Template

i. ENG-TMP-0006 Requirements Traceability Matrix (RTM)

Note: Cradle is often used instead of the template, but Cradle’s format is the same as the RTM

j. ENG-TMP-0005 Acceptance Test Procedures (ATP)

k. ENG-FRM-0005 System Version Description (SVD)

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2 MANAGEMENT

This section describes each major element of the organization that influences the quality of the products

and processes.

2.1 ORGANIZATION

PPQA is independent from the program. This, by nature, grants strength to PPQA. If PPQA finds quality

is being jeopardized, PPQA can report an issue directly to Executive Management. Although most issues

are handled at the program level, PPQA can go above the program level to address issues at a higher level

within the corporate structure.

Figure 1 shows the PPQA organization with relation to the program organization.

Figure 1 Organization

PPQA is responsible for ensuring compliance with PPQA requirements as stated in this PPQA Plan. The

PPQA organization assures the quality of deliverables and supporting documentation, non-deliverable

items, and the engineering processes used to produce them.

The following describes the functional groups that influence and control product and process quality.

a. Executive Management is responsible for the items listed below:

1. Establishing a quality program

2. Establishing and enforcing a quality policy

3. Resolving quality issues raised by PPQA

4. Identifying an individual or group independent from the program to audit and report on the

PPQA function

b. Program Management is responsible for the items listed below:

1. Assisting in the Implementation of the quality program

2. Reviewing and approving the PPQA Plan and any modifications

3. Resolving and following-up on any quality issues raised by PPQA

4. Identifying the quality factors to be implemented in the system and software

PPQA-PLN-0001



5. Identifying, establishing and maintaining planning documents

6. Setting quality goals for the program that support business objectives

7. Coordinating with PPQA on the schedule for QA activities (captured in QA calendar)

8. Ensuring noncompliance issues are resolved before the product is delivered to the customer

c. Engineering is responsible for the items listed below:

1. Assisting in the implementation of the quality program in accordance with this PPQA Plan

2. Resolving and following-up on any quality issues raised by PPQA related to engineering

activities

3. Implementing engineering practices, processes, and procedures consistent with delivering

quality products

4. Conducting peer reviews throughout the product lifecycle

5. Designing in quality factors such as maintainability, expandability, and reliability

6. Conducting performance evaluations to ensure the system converges to established

performance constraints

d. Test is responsible for the items listed below:


2. Resolving and following-up on any quality issues raised by PPQA related to testing

3. Verifying that quality is built into the system

4. Implementing the system test practices, processes, and procedures

5. Performing multiple levels of testing such as unit testing, integration testing, systems testing,

acceptance testing and regression testing

6. Conducting appropriate verification functions to show that the product meets the

requirements

7. Conducting appropriate validation functions to show that the product will work in the

operational environment by the intended users.

e. Configuration Management (CM) is responsible for the items listed below:

1. Reviewing and commenting on the PPQA Plan


3. Resolving and following-up on any quality issues raised by PPQA related to CM

4. Ensuring that quality is engrained in CM processes

5. Implementing the CM practices, processes, and procedures

f. Process and Product Quality Assurance (PPQA) is responsible for the items listed below:

1. Conducting quality audits with respect to product quality

2. Conducting quality audits with respect to process quality

3. Providing visibility into the process and product quality for management through quality

reporting

4. Conducting objective evaluations of customer and maintenance documentation

5. Identifying measurements that support the information needs of the program and organization

and can be used to improve both product and process quality

6. Implementation of the quality program

7. Documenting the PPQA Plan and any modifications

PPQA-PLN-0001



2.2 RESOURCES

2.2.1 Facilities and Equipment

PPQA will have access to all resources required to perform PPQA functions; such as SharePoint, MS

Office, MS Project and Subversion.

2.2.2 Personnel

The PPQA Manager (PPQAM) will be familiar with and will be able to apply all standards and

guidelines. The PPQAM will be familiar with product quality, product development-related activities,

development life cycles, configuration management, CMMI-DEV v1.2, and process improvement. PPQA

is allocated effort/time to perform PPQA activities based on the program’s budget and shown in the

Integrated Master Schedule (IMS) as a level of effort. PPQA activities are schedule in the PPQA calendar.

2.2.3 PPQA Tools, Techniques and Methodologies

PPQA will use the following tools, techniques and methodologies to perform quality assurance tasks.

2.2.3.1 Tools

Tools utilized by PPQA are categorized by their purpose. Categories include: Corporate /Organizational,

Program, and Other.

Program – Program tools are used throughout the development lifecycle. To ensure practices and work

products (documentation) are compliant. These tools are in line with the development lifecycle to ensure

quality is engrained into every phase of development.

2.2.3.2 Technique - Peer Reviews

According to the Capability Maturity Model, the purpose of a peer review is to provide "a disciplined

engineering practice for detecting and correcting defects in software artifacts, and preventing their

leakage into field operations". Peer Reviews are performed as part of the software development process

activity. Peer Reviews assist in identifying and fixing problems early in the program’s lifecycle. A peer

review that identifies a requirements problem during the requirements analysis phase is cheaper and easier

to fix than during coding, manufacturing or procurement. A peer review is performed with the

author/developer and one or more peers to review source code / documentation / drawings in order to

evaluate its technical content and quality. PPQA will monitor peer reviews.

2.2.3.3 Methodologies

Pinnacle believes quality is engrained into a product through the performance and compliance of specific

processes and standards in the product development lifecycle. The below graphic illustrates some of

these processes and standards.

PPQA-PLN-0001



Figure 2 Quality Is Engrained Throughout Product Development

2.3 RISK MANAGEMENT

PPQA responsibilities for risk management are to ensure that

1. risks are being identified and managed; and

2. the risk management database is completed correctly.

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3 PPQA TASKS

3.1 PPQA TASKS OVERVIEW

Process and product audits are performed routinely. They ensure the program’s documented processes are

being followed and verify the processes are efficient. These audits also assist in determining

improvements that could be made to the process to help the program stay on schedule, within budget,

produce quality products and reduce rework. Product audits ensure the products developed are of the

desired quality and that the quality reported in these audits match the program’s quality goals.

PPQA tasks are driven by the completed PM-FRM-0001 Program Plan Worksheet and the completed

PM-TMP-0002 Program Integrated Master Schedule (IMS).

PPQA obtains the completed PM-FRM-0001 Program Plan Worksheet and the completed PM-TMP-0002

Program IMS and schedules monitoring according to the milestone and development schedule outlined in

these documents.

An internal program Kick-Off meeting is held and an overall description of the program is presented. At

this point the PPQAM determines if the PPQA Plan is sufficient for the program or if program specific

tailoring needs to be noted. This information is relayed to the Program Manager, and is noted on the

PM-FRM-0001 Program Plan Worksheet. An example causes for noting revisions may include the

combining of milestone reviews, i.e. Preliminary Design Review (PDR) and Critical Design Review

(CDR).

Reviews are also conducted on all Contract Data Requirements Listing (CDRL) items.

Pinnacle has adopted the CMMI-DEV Model V1.2 as its methodology for incorporating best practices.

To ensure all of the Process Areas (PAs) remain compliant and the passage of time does not cause us to

waiver from proven practices, PPQA performs an annual review of Process Areas procedures and work

products that are not audited during a program’s lifecycle. These reviews are listed below by PA.

Table 1 Process Area Audits

CM PPQA-FRM-0015 Configuration Management Audit Checklist

OT PPQA-FRM-0016 Planning Training Audit Checklist

OPD PPQA-FRM-0031 Organizational Process Definition Practice and Documentation Checklist

OPF PPQA-FRM-0021 Process Asset Library Checklist and PPQA-FRM-0030 OPF Practice

Checklist

PPQA PPQA-FRM-0014 PPQA Audit Checklist

Note: This review is performed by an independent source

SAM PPQA-FRM-0018 Supplier Agreement Management Audit Checklist

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4 PPQA SCHEDULE

PPQA activities related to programs are scheduled in conjunction with other tasks outlined in the PPQA

calendar. Scheduled process reviews include an After Action Review (AAR) and customer feedback after

delivery as well as audits performed during the course of the product development lifecycle.

PPQA also performs audits of organizational activities these are scheduled throughout the year. These

audits assess performance of Training, Procurement, the Process Improvement Group and the Process

Asset Library.

PPQA-PLN-0001



5 PPQA QUALITY REPORTING AND RESOLUTION

Quality monitoring and tasks performed throughout the development lifecycle produce a quality checklist

or report (see Section 3). The complexity of the findings is dependent on the task or audit performed.

The main goal of quality reporting is to ensure quality is developed throughout the product and that a

quality product is delivered. Pinnacle uses the following guide when performing tasks.

5.1 PPQA FINDINGS

5.1.1 Escalation Procedure for Resolution of Non-Concurrence on PPQA Finding

Findings found by PPQA are initially reviewed with the group that is being evaluated. If an agreement

cannot be reached PPQA speaks with the Program Manager, if a decision still cannot be reached it is up to

Executive Management to reach a resolution. PPQA is responsible for documenting the resolution and

archiving it in SharePoint within the Noncompliance Task Database. This process is illustrated in the

diagram below.

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Figure 3 PPQA Resolution Finding Process

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6 DATA MANAGEMENT

PPQA is considered to be the Owner of all work products developed during the performance of PPQA.

These work products consist of audit checklists, this plan and the Noncompliance Tasks database. All

work products with the exception of this plan are stored on the QA SharePoint site. This plan is

maintained in the Process Asset Library (PAL). PPQA follows the CM-PLN-0001 Configuration

Management Plan’s definition of Stakeholder Responsibility Codes and Control Types.

Table 2 Control Types Used

ID Meaning Definition

M Managed These work products require version control and formal change management (for any requested

change after baseline).

V Versioned These work products require version control but do not require formal change management. These

work products are typically internal documents that are maintained by the program (e.g. IMS,

Briefings, Pre-Released Documents)

S Statused These work products do not require version control and are updated throughout the program’s

lifecycle

A Archived These work products once developed do not required updates; they typically capture the state of a

program at a given point in time and just need to be saved for historical purposes

Table 3 Stakeholder Responsibility Codes

ID Meaning Definition

A Approver Role Responsibe for approving the work product

Ad Audit Role responsible for auditing the work product

O Owner Role responsible for developing and controlling the work product (in accordance with the level of

control assigned the work product). The Owner also includes the responsibilities of the Reviewer.

R Reviewer Role responsible for reviewing and committing to the work product

Table 4 PPQA Data Managed

Document Exec

Mgmnt

Process

Improvement

Group

Program

Mgr

CM Engring PPQA Contracts Control

Type

PPQA-PLN-001 Process

and Product Quality

Assurance Plan

R,Ad A R R R O R M

Noncompliance Tasks

Database

R R R O S

Program Audit

Checklists

R R R O A

Process Area Audit

Checklists

R, Ad R R O A

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7 TRAINING

PPQA staff members are required to complete a certain level of training at Pinnacle. The specific training

requirements are determined by supervisors, Executive Management and the corporate Training Manager.

Specific training and resources are available on the Employee Training site on SharePoint.

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8 LIST OF ACRONYMS AND DEFINITIONS

8.1 ACRONYMS

The following alphabetical contractions appear within the text of this plan.

Table 5 Acronyms

AI Action Item

AAR After Action Review

ATP Acceptance Test Procedure

CDR Critical Design Review

CDRL Contract Data Requirements Listing

CM Configuration Management

CMMI Capability Maturity Model Integration

CMP Configuration Management Plan

DID Data Item Description

IEEE Institute of Electrical and Electronics Engineers

IMS Integrated Master Schedule

ISO International Organization for Standardization

PAC Post Award Conference

PDR Preliminary Design Review

PMP Program Management Plan

PMR Program Management Review

PPQA Process and Product Quality Assurance

QA Quality Assurance

RTM Requirements Traceability Matrix

SDD Software Design Document

SDP Software Development Plan

SRR System Requirements Review

SRS Software Requirements Specification

SVD Systems Version Description

TDR Technical Discrepancy Report

TRR Test Readiness Review

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8.2 DEFINITIONS

Functionality – a set of attributes that bear on the existence of a set of functions and their specified

properties. These functions are those that satisfy stated or implied needs.

Maintainability – a set of attributes that bear on the effort needed to make specified modifications

Quality assurance – a planned and systematic pattern of all actions necessary to provide adequate

confidence that the item or product conforms to established technical requirements

Reliability – the ability of a system or component to perform its required functions under stated

conditions for a specified period of time.

Standards – the measures used to evaluate products and identify nonconformance; a basis upon

which adherence to policies is measured.