Software Quality Assurance

What  is CMMI?

Software  Models are used to control the process in a company. CMMI is a software model which is used for tracking the process of an organization in control.

CMMI—Capability Maturity Model Integration

CMMI current version is 1.3

CMMI has 22 process areas for implementing the processesProcess areas describe how a process to be implemented.

1.       CM – Configuration Management

2.       MA – Measurement and Analysis

3.       PMC – Project Monitoring and Control

4.       PP – Project Planning

5.       PPQA – Process and Product Quality Assurance

6.       REQM – Requirements Management

7.       SAM – Supplier Agreement Management

8.       DAR – Decision Analysis and Resolution

9.       IPM – Integrated Project Management

10.   OPD – Organizational Process Definition

11.   OPF – Organizational Process Focus

12.   OT – Organizational Training

13.   PI – Product Integration

14.   RD – Requirements Development

15.   RSKM – Risk Management

16.   TS – Technical Solution

17.   VAL – Validation

18.   VER – Verification

19.   OPP – Organizational Process Performance

20.   QPM – Quantitative Project Management

21.  Causal Analysis and Resolution (CAR)

22.  Organizational Performance Management (OPM)

1. Project Planning (PP)

Project Planning process area provides best practices like estimation, project plan preparation including resource planning, scheduling, risk plan etc. and taking commitment. Project Planning Process Areas helps implementers in effective project planning.

2. Project Monitoring and Control (PMC)

Project Monitoring and Control (PMC) process area provides guidance for project management techniques for monitoring through progress reviews, meetings, milestone reviews, status reporting etc. and controlling of issues.

3. Configuration Management (CM)

Configuration Management (CM) process area helps in establishing and maintaining the integrity of work products (artifacts). It provides guidance for identification of Configuration items, control of configuration, status accounting of work products and configuration audits.

4. Integrated Project Management (IPM)

Integrated Project Management (IPM) process area helps in establishing and managing the project and the involvement of relevant stakeholders. It guides for tailoring of standard process for development of project defined process.

5. Measurement and Analysis (MA)

Measurement and Analysis (MA) process area guides for development and sustaining measurement capability within projects leading to management of measurement at org level. It helps in decision making by senior management.

6. Process and Product Quality Assurance (PPQA)

Process and Product Quality Assurance (PPQA) process area helps in managing the quality of processes and products by using audits and quality assurance activities.

7. Decision Analysis and Resolution (DAR)

Decision Analysis and Resolution (DAR) process area help in selecting the best alternative using formal evaluation technique.

8. Quantitative Project Management (QPM)

Quantitative Project Management (QPM) process area is advance measurement and help in quantitative control and improvement of the projects objectives derived from business goals.

9. Risk Management (RSKM)

Risk Management (RSKM) process area helps in identification of potential problems before they occur and planning their mitigation activities planning and taking action on their occurrence.

10. Supplier Agreement Management (SAM)

Supplier Agreement Management (SAM) process area help in the management of the products and services acquired from suppliers.

11. Requirements Management (REQM)

Requirements Management (REQM) process area helps in management of user requirements. It also ensures alignment between the project work and requirements.

12. Requirements Development (RD)

Requirements Development (RD) process area helps in collecting requirements, analyzing them and then detailing them into different requirements like user, customers, product, and product component requirements.

13. Product Integration (PI)

Product Integration (PI) process area helps in assembling the product components into final product and ensuring that the product after integration behaves as intended and deliver the product.

14. Technical Solution (TS)

Technical Solution (TS) process area helps in selecting, designing, and implementing solutions to the project requirements.

15. Validation (VAL)

Validation (VAL) process area helps in ensuring that the product work in its indented environment.

16. Verification (VER)

Verification (VER) process area helps in ensuring that selected work products meet their specified requirements by verifying them.

17. Causal Analysis and Resolution (CAR)

Causal Analysis and Resolution (CAR) process area help in identification of root causes of the issues/defects and then to plan corrective and preventive actions to improve process performance.

18. Organizational Process Definition (OPD)

Organizational Process Definition (OPD) process area helps in establishing and maintaining a library of organizational process assets, work environment standards, and rules and guidelines for teams.

19. Organizational Training (OT)

Organizational Training (OT) process area is associated with the development of skills and knowledge of project team members so they can perform their roles effectively and efficiently.

20. Organizational Performance Management (OPM)

Organizational Performance Management (OPM) process area is to proactive management of the organization’s performance to meet its business objectives.

21. Organizational Process Focus (OPF)

Organizational Process Focus (OPF) helps in planning, implementing, and deploying organizational process improvements. It is based on thorough understanding of current strengths and weaknesses of the organization’s processes and process assets.

22. Organizational Process Performance (OPP)

Organizational Process Performance (OPP) helps in the process improvement activities. It helps in establishing and maintaining a quantitative understanding of the performance of selected processes towards achieving the organizational goals.

Each process area is defined by a set of goals and practices. There are two categories of goals and practices:

goal and practices CMMI

•Generic goals and practices: They are part of every process area.
•Specific goals and practices: They are specific to a given process area.

A process area is satisfied when company processes cover all of the generic and specific goals and practices for that process area.

Generic goals and practices:

Generic goals and practices are a part of every process area.

NOTATIONS:GG –> Generic Goals and GP –> Generic Practice

  • ·GG 1 Achieve Specific Goals

oGP 1.1 Perform Specific Practices

  • ·GG 2 Institutionalise a Managed Process

oGP 2.1 Establish an Organizational Policy

oGP 2.2 Plan the Process

o GP 2.3 Provide Resources

oGP 2.4 Assign Responsibility

oGP 2.5 Train People

oGP 2.6 Manage Configurations

oGP 2.7 Identify and Involve Relevant Stakeholders

oGP 2.8 Monitor and Control the Process

oGP 2.9 Objectively Evaluate Adherence

oGP 2.10 Review Status with Higher Level Management

  • ·GG 3 Institutionalise a Defined Process

oGP 3.1 Establish a Defined Process

oGP 3.2 Collect Improvement Information

  • ·GG 4 Institutionalise a Quantitatively Managed Process

oGP 4.1 Establish Quantitative Objectives for the Process

oGP 4.2 Stabilise Subprocess Performance

  • ·GG 5 Institutionalise an Optimising Process

oGP 5.1 Ensure Continuous Process Improvement

oGP 5.2 Correct Root Causes of Problems

Specific Practices by Goal

1.      Causal Analysis and Resolution (CAR) 

  • ·SG 1 Determine Causes of Defects

o    SP 1.1 Select Defect Data for Analysis

o    SP 1.2 Analyze Causes

  • ·SG 2 Address Causes of Defects

o    SP 2.1 Implement the Action Proposals

o    SP 2.2 Evaluate the Effect of Changes

o    SP 2.3 Record Data

 2. Configuration Management (CM)

  • ·SG 1 Establish Baselines

o    SP 1.1 Identify Configuration Items

o    SP 1.2 Establish a Configuration Management System

o    SP 1.3 Create or Release Baselines

  • ·SG 2 Track and Control Changes

o    SP 2.1 Track Change Requests

o    SP 2.2 Control Configuration Items

  • ·SG 3 Establish Integrity

o    SP 3.1 Establish Configuration Management Records

o    SP 3.2 Perform Configuration Audits

3. Decision Analysis and Resolution (DAR)

·SG 1 Evaluate Alternatives

o    SP 1.1 Establish Guidelines for Decision Analysis

o    SP 1.2 Establish Evaluation Criteria

o    SP 1.3 Identify Alternative Solutions

o    SP 1.4 Select Evaluation Methods

o    SP 1.5 Evaluate Alternatives

o    SP 1.6 Select Solutions

4. Integrated Project Management +IPPD (IPM)

  • ·SG 1 Use the Project’s Defined Process

o    SP 1.1 Establish the Project’s Defined Process

o    SP 1.2 Use Organizational Process Assets for Planning Project Activities

o    SP 1.3 Establish the Project’s Work Environment

o    SP 1.4 Integrate Plans

o    SP 1.5 Manage the Project Using the Integrated Plans

o    SP 1.6 Contribute to the Organizational Process Assets

  • ·SG 2 Coordinate and Collaborate with Relevant Stakeholders

o    SP 2.1 Manage Stakeholder Involvement

o    SP 2.2 Manage Dependencies

o    SP 2.3 Resolve Coordination Issues

5. Measurement and Analysis (MA)

·SG 1 Align Measurement and Analysis Activities

o    SP 1.1 Establish Measurement Objectives

o    SP 1.2 Specify Measures

o    SP 1.3 Specify Data Collection and Storage Procedures

o    SP 1.4 Specify Analysis Procedures

  • ·SG 2 Provide Measurement Results

o    SP 2.1 Collect Measurement Data

o    SP 2.2 Analyze Measurement Data

o    SP 2.3 Store Data and Results

o    SP 2.4 Communicate Results

6. Organizational Innovation and Deployment (OID)

·SG 1 Select Improvements

o    SP 1.1 Collect and Analyze Improvement Proposals

o    SP 1.2 Identify and Analyze Innovations

o    SP 1.3 Pilot Improvements

o    SP 1.4 Select Improvements for Deployment

  • ·SG 2 Deploy Improvements

o    SP 2.1 Plan the Deployment areas

o    SP 2.2 Manage the Deployment

o    SP 2.3 Measure Improvement Effects

7. Organizational Process Definition

  • ·SG 1 Establish Organizational Process Assets

o    SP 1.1 Establish Standard Processes

o    SP 1.2 Establish Life-Cycle Model Descriptions

o    SP 1.3 Establish Tailoring Criteria and Guidelines

o    SP 1.4 Establish the Organization’s Measurement Repository

o    SP 1.5 Establish the Organization’s Process Asset Library

8. Organizational Process Focus (OPF)

  • ·SG 1 Determine Process Improvement Opportunities

o    SP 1.1 Establish Organizational Process Needs

o    SP 1.2 Appraise the Organization’s Processes

o    SP 1.3 Identify the Organization’s Process Improvements

  • ·SG 2 Plan and Implement Process Improvement Activities

o    SP 2.1 Establish Process Action Plans

o    SP 2.2 Implement Process Action Plans

  • ·SG 3 Deploy Organizational Process Assets and Incorporate Lessons Learned

o    SP 3.1 Deploy Organizational Process Assets

o    SP 3.2 Deploy Standard Processes

o    SP 3.3 Monitor Implementation

o    SP 3.4 Incorporate Process-Related Experiences into the Organizational Process Assets

9. Organizational Process Performance (OPP)

  • ·SG 1 Establish Performance Baselines and Models

o    SP 1.1 Select Processes

o    SP 1.2 Establish Process Performance Measures

o    SP 1.3 Establish Quality and Process Performance Objectives

o    SP 1.4 Establish Process Performance Baselines

o    SP 1.5 Establish Process Performance Models

10. Organizational Training (OT)

  • ·SG 1 Establish an Organizational Training Capability

o    SP 1.1 Establish the Strategic Training Needs

o    SP 1.2 Determine Which Training Needs Are the Responsibility of the Organization

o    SP 1.3 Establish an Organizational Training Tactical Plan

o    SP 1.4 Establish Training Capability

  • ·SG 2 Provide Necessary Training

o    SP 2.1 Deliver Training

o    SP 2.2 Establish Training Records

o    SP 2.3 Assess Training Effectiveness

11. Product Integration (PI)

  • ·SG 1 Prepare for Product Integration

o    SP 1.1 Determine Integration Sequence

o    SP 1.2 Establish the Product Integration Environment

o    SP 1.3 Establish Product Integration Procedures and Criteria

  • ·SG 2 Ensure Interface Compatibility

o    SP 2.1 Review Interface Descriptions for Completeness

o    SP 2.2 Manage Interfaces

  • ·SG 3 Assemble Product Components and Deliver the Product

o    SP 3.1 Confirm Readiness of Product Components for Integration

o    SP 3.2 Assemble Product Components

o    SP 3.3 Evaluate Assembled Product Components

o    SP 3.4 Package and Deliver the Product or Product Component

12. Project Monitoring and Control (PMC)

  • ·SG 1 Monitor Project Against Plan

o    SP 1.1 Monitor Project Planning Parameters

o    SP 1.2 Monitor Commitments

o    SP 1.3 Monitor Project Risks

o    SP 1.4 Monitor Data Management

o    SP 1.5 Monitor Stakeholder Involvement

o    SP 1.6 Conduct Progress Reviews

o    SP 1.7 Conduct Milestone Reviews

  • ·SG 2 Manage Corrective Action to Closure

o    SP 2.1 Analyze Issues

o    SP 2.2 Take Corrective Action

o    SP 2.3 Manage Corrective Action

13. Project Planning (PP)

  • ·SG 1 Establish Estimates

o    SP 1.1 Estimate the Scope of the Project

o    SP 1.2 Establish Estimates of Work Product and Task Attributes

o    SP 1.3 Define Project Life Cycle

o    SP 1.4 Determine Estimates of Effort and Cost

  • ·SG 2 Develop a Project Plan

o    SP 2.1 Establish the Budget and Schedule

o    SP 2.2 Identify Project Risks

o    SP 2.3 Plan for Data Management

o    SP 2.4 Plan for Project Resources

o    SP 2.5 Plan for Needed Knowledge and Skills

o    SP 2.6 Plan Stakeholder Involvement

o    SP 2.7 Establish the Project Plan

  • ·SG 3 Obtain Commitment to the Plan

o    SP 3.1 Review Plans that Affect the Project

o    SP 3.2 Reconcile Work and Resource Levels

o    SP 3.3 Obtain Plan Commitment

14. Process and Product Quality Assurance (PPQA)

·SG 1 Objectively Evaluate Processes and Work Products

o    SP 1.1 Objectively Evaluate Processes

o    SP 1.2 Objectively Evaluate Work Products and Services

  • ·SG 2 Provide Objective Insight

o    SP 2.1 Communicate and Ensure Resolution of Noncompliance Issues

o    SP 2.2 Establish Records

15. Quantitative Project Management (QPM)

  • ·SG 1 Quantitatively Manage the Project

o    SP 1.1 Establish the Project’s Objectives

o    SP 1.2 Compose the Defined Processes

o    SP 1.3 Select the Sub processes that Will Be Statistically Managed

o    SP 1.4 Manage Project Performance

  • ·SG 2 Statistically Manage Sub process Performance

o    SP 2.1 Select Measures and Analytic Techniques

o    SP 2.2 Apply Statistical Methods to Understand Variation

o    SP 2.3 Monitor Performance of the Selected Sub processes

o    SP 2.4 Record Statistical Management Data

16. Requirements Development (RD)

  • ·SG 1 Develop Customer Requirements

o    SP 1.1 Elicit Needs

o    SP 1.2 Develop the Customer Requirements

  • ·SG 2 Develop Product Requirements

o    SP 2.1 Establish Product and Product-Component Requirements

o    SP 2.2 Allocate Product-Component Requirements

o    SP 2.3 Identify Interface Requirements

  • ·SG 3 Analyze and Validate Requirements

o    SP 3.1 Establish Operational Concepts and Scenarios

o    SP 3.2 Establish a Definition of Required Functionality

o    SP 3.3 Analyze Requirements

o    SP 3.4 Analyze Requirements to Achieve Balance

o    SP 3.5 Validate Requirements

17. Requirements Management (REQM)

  • ·SG 1 Manage Requirements

o    SP 1.1 Obtain an Understanding of Requirements

o    SP 1.2 Obtain Commitment to Requirements

o    SP 1.3 Manage Requirements Changes

o    SP 1.4 Maintain Bidirectional Traceability of Requirements

o    SP 1.5 Identify Inconsistencies between Project Work and Requirements

18. Risk Management (RSKM)

  • ·SG 1 Prepare for Risk Management

o    SP 1.1 Determine Risk Sources and Categories

o    SP 1.2 Define Risk Parameters

o    SP 1.3 Establish a Risk Management Strategy

  • ·SG 2 Identify and Analyze Risks

o    SP 2.1 Identify Risks

o    SP 2.2 Evaluate, Categorize, and Prioritize Risks

  • ·SG 3 Mitigate Risks

o    SP 3.1 Develop Risk Mitigation Plans

o    SP 3.2 Implement Risk Mitigation Plans

19. Supplier Agreement Management (SAM)

  • ·SG 1 Establish Supplier Agreements

o    SP 1.1 Determine Acquisition Type

o    SP 1.2 Select Suppliers

o    SP 1.3 Establish Supplier Agreements

  • ·SG 2 Satisfy Supplier Agreements

o    SP 2.1 Execute the Supplier Agreement

o    SP 2.2 Monitor Selected Supplier Processes

o    SP 2.3 Evaluate Selected Supplier Work Products

o    SP 2.4 Accept the Acquired Product

o    SP 2.5 Transition Products

20. Technical Solution (TS)

  • ·SG 1 Select Product-Component Solutions

o    SP 1.1 Develop Alternative Solutions and Selection Criteria

o    SP 1.2 Select Product Component Solutions

  • ·SG 2 Develop the Design

o    SP 2.1 Design the Product or Product Component

o    SP 2.2 Establish a Technical Data Package

o    SP 2.3 Design Interfaces Using Criteria

o    SP 2.4 Perform Make, Buy, or Reuse Analysis

  • ·SG 3 Implement the Product Design

o    SP 3.1 Implement the Design

o    SP 3.2 Develop Product Support Documentation

21. Validation (VAL)

  • ·SG 1 Prepare for Validation

o    SP 1.1 Select Products for Validation

o    SP 1.2 Establish the Validation Environment

o    SP 1.3 Establish Validation Procedures and Criteria

  • ·SG 2 Validate Product or Product Components

o    SP 2.1 Perform Validation

o    SP 2.2 Analyze Validation Results.

22. Verification (VER)

  • ·SG 1 Prepare for Verification

o    SP 1.1 Select Work Products for Verification

o    SP 1.2 Establish the Verification Environment

o    SP 1.3 Establish Verification Procedures and Criteria

  • ·SG 2 Perform Peer Reviews

o    SP 2.1 Prepare for Peer Reviews

o    SP 2.2 Conduct Peer Reviews

o    SP 2.3 Analyze Peer Review Data

  • ·SG 3 Verify Selected Work Products

o    SP 3.1 Perform Verification

o    SP 3.2 Analyze Verification Results

How CMMI can be implemented in an organization?

CMMI can be implemented by 2 major approaches

  • ·Capability  Approach/ Continuous Representation
  • ·Maturity  Approach / Staged Representation

Capability Approach/Continuous Representation

Focusing on a single process area and improving that process area to a capability level.

Capability level is the measurement used to measure the capability of a process area

Capability level are rated from 0 to 5


In Capability Approach the whole process area is divided into 4 categories

Category Process Area
Process management Organisational process definition OPD
Organisational process focus OPF
Organisational training OT
Organisational process performance OPP
Organizational Performance Management OPM 
Project management Project planning PP
Project monitoring and control PMC
Supplier agreement management SAM
Integrated project management IPM
Risk management RSKM
Quantitative project management QPM
Engineering Requirements management REQM
Requirements development RD
Technical solution TS
Product integration PI
Verification VER
Validation VAL
Support Configuration management CM
Process and product quality management PPQA
Measurement and analysis MA
Decision analysis and resolution DAR
Causal analysis and resolution CAR

Maturity Approach/Staged Representation

A set of process areas are focused and improving that set of process areas.

Maturity  level is the measurement used to measure the maturity  of a process area

Maturity  level are rated from 1 to 5

Names are given to each maturity level

Maturity level 1- Intial

Maturity level 2 – Managed

Maturity level 3 – Defined

Maturity level 4 – Quantitatively managed

Maturity level 5 – Optimized

Maturity Approach CMMI


process Maturity  Approach


In  Maturity  Approach the whole process area is divided into Maturity levels

Maturity Level 2 – Managed

  • ·CM – Configuration Management
  • ·MA – Measurement and Analysis
  • ·PMC – Project Monitoring and Control
  • ·PP – Project Planning
  • ·PPQA – Process and Product Quality Assurance
  • ·REQM – Requirements Management
  • ·SAM – Supplier Agreement Management

Maturity Level 3 – Defined

  • ·DAR – Decision Analysis and Resolution
  • ·IPM – Integrated Project Management
  • ·OPD – Organizational Process Definition
  • ·OPF – Organizational Process Focus
  • ·OT – Organizational Training
  • ·PI – Product Integration
  • ·RD – Requirements Development
  • ·RSKM – Risk Management
  • ·TS – Technical Solution
  • ·VAL – Validation
  • ·VER – Verification

Maturity Level 4 – Quantitatively Managed

  • ·OPP – Organizational Process Performance
  • ·QPM – Quantitative Project Management

Maturity Level 5 – Optimizing

  • ·Causal Analysis and Resolution (CAR)
  • ·Organizational Performance Management (OPM)

Work Products(Documents)  in CMMI?


  Work Products /Process Assets
 Initiation  Request for Proposal
 Initiation  Proposal/Project Approval
 Planning  KOM /MOM
 Planning  Estimation
 Planning  Project  Task Schedule
 Planning  Tailoring Deviation Waiver
 Planning  PP
 [CM Plan, SQA Plan, M and A Plan,    UDP,TDP]
 Planning  Installation Plan
 Planning  Issues and Risk Log (RT)
 Planning  Life Cycle Model
 Planning  RACI
 Planning  Project Schedule-Base lined
 Planning  Training  Plan
 Training Details /Feed Back
 Requirement  Requirement Elicitation Checklist
 Requirement  BRS
 Requirement  SRS
 Requirement  RTM
 Design  DDS
 Design  Use Case Documents
 Design  Reusable Component Checklist
 Design  DAR  (Decision Analysis & Resolution)
STAGE Work Products /Process Assets
Testing Integration Test Plan  (ITP )
Testing System Test Plan (STP)
Testing Acceptance Test Plan
Testing Integration Test Case  (ITC )
Testing System Test Case (STC)
Testing Bug Report / UAT bugs
All Phases Review Reports (RR)
All Phases Phase End Check Lists
All Phases Lessons Learnt  & Best Practices
All Phases M&A Plan
M&A Data
M&A Charts
All Phases CAR
UAT &Release Internal Release Note
Software Release note
UAT &Release Project Closure and Sign Off
UAT &Release User Manual
Support Project  Docs Baseline (Back up)
Support CR / CCR Note
CR / CCR  Log
Support Impact Analysis
Support Support Log
 SQA Plan  SQA Plan
 SQA Audit Findings
 Audit Reports

How Auditing is done for Projects?

Auditing is done with the help of one Audit Checklist which covers the whole process areas. Checklist has various question which covers all SP and SG of process area. Rating is done based on the follow up of process for each project. The result rating after auditing is called “Process Compliance Index”. After auditing Audit Findings are updated to the project manager through a tool or via mail. Follow up audit is conducted for closing all the audit findings for the project. Audit can be conducted yearly /half yearly/ quarterly  based on the models and status of   the project.

Audit Plan is prepared describing on which all projects have to audited in which all dates and all

NC  Ageing analysis is a measurement done for checking the variance between actual and planned end date of audit findings

Fishbone analysis is done for checking the root cause of the major audit findings

Author : Rinju Rajan Date : 09 Sep 2013