Vishnuvarthanan Moorthy

Jumpstart to Software Quality Assurance

Copyright 2013 Vishnuvarthanan Moorthy
Smashwors !ition
Software "nustry has grown a lot in the last few ecaes# an there are many players are there in
the mar$et% Most of the software is mae in an un$nown country an &y un$nown people%
'hough cost an people competency are the ma(or influencing factor for etermining# who will
prouce the software or provie the service# in reality almost all the contracts are mae &y
loo$ing at elivery methoologies# process maturity an emonstration of technical capa&ilities%
Most of the contracts are not aware for people s$ill# consiering no one $nows which person is
wor$ing in the service provier organi)ation% 'he contracts are aware &ase on *rocesses# past
performance an technical unerstaning# which the service proviers emonstrate along with
goo costing% "t+s &ecause the only way a client can &elieve the un$nown you is# &y $nowing
your way of wor$ing an your processes% ,ou woul agree# most of your clients are not your
neigh&or# frien or relative# so that they can &linly give the wor$ orer to you- .either all our
companies are oing /esearch pro(ects# so that &ase on people competency we are aware
pro(ects-
0ho evelops these processes# who maintains them an how come these processes have &ecome
mature# an how you are a&le to emonstrate your processes an elivery methoologies are in
par or &etter than your competitors# who are those people# who ma$es your prestigious client to
&elieve you1 'here are many# li$e 2perational teams# center of e3cellences# heroic sales team
an vital management team# an &eyon this# we all woul agree it+s the Software Quality
Assurance team which plays $ey role in ensuring process implementation# sta&ility an
capa&ility% 'his &oo$ is written for those who are aspiring to ta$e up a role in Software Quality
Assurance or those who wants to set up a function an get the &enefit out of it or for those who
wants to unerstan# how practically the Software Quality Assurance function wor$s% 'oay#
Software Quality Analyst 4SQA5 role is a $ey component in any successful service provier+s
elivery system%
'o perform as SQA# it+s e3pecte the person evelops all aroun competency re6uire for that
role in the initial years% As they get e3perience they can concentrate on speciali)e areas to
improve their competency an contri&ute to the organi)ations% Many a times# we see the new
SQA+s struggle to get a complete a view of their roles an $nowlege areas in Software Quality
Assurance% 7ac$ of complete unerstaning on software 6uality assurance affects their
prouctivity an career path% 'his &oo$ is intene to provie those etails# which are essential
for Jumpstart to Software Quality Assurance% A SQA can gain e3perience &y wor$ing with
pro(ects# &ut may not learn the &asics# responsi&ilities an techni6ues8methos re6uire to
perform in his8her role- 'his &oo$ provies you the theoretical an pragmatic view on Software
Quality Assurance-
Contents
Quality 9unamentals
Quality Assurance 9unctions
7ifecycle Moels
*ro(ect Management
Configuration Management
Software !stimation
/is$ an "ssue Management
'ailoring an 0aivering
Software !ngineering : ;evelopment
Service Management
/eviews
Metrics
Core SQA Activities
Quality Auits
Quality Control 'ools an <asic Statistics
Stanars 4"S2 =001# 20000# 2>0015 an Moels 4CMM"# *CMM5
Agile Scrum
!arne Value Analysis
/eference Sites
Quality 9unamentals
As we o normally# we will as$ the ifficult 6uestion to ourselves# what is Quality? 0hy this
6uestion is ifficult# &ecause there are so many variant in its efinition% Also 6uality is most
su&(ectively use wor in this wor% 0e all use this wor commonly in our life an " am sure
fre6uency is also high% @owever in a given conition if we show a prouct to multiple people
their evaluation of 6uality on the prouct will iffer much% 9or e3ample if we show a low en
smart mo&ile phone costing aroun 1A0B to ten people# their unerstaning on 6uality will vary#
an some will concentrating on camera features# some will &e on Auio 6uality# some on vieo
6uality# some on feather touch 6uality an so on% Quality in this case is &ase on ifferent
features offere for the price range# an comparison with similar proucts availa&le in mar$et#
an what user thin$s as frienly interface to them% 9or someone who is loo$ing for high en
features in camera in that phone# it+s not of 6uality an for someone who is e3pecting high en
auio this mo&ile is not of 6uality% 0hat this tells us is# Quality is su&(ective in nature an also
it+s etermine &y comparing similar prouct8service availa&le in that range of cost% @owever the
"nternational &oies an Quality Curus have wor$e greatly in this area to reuce su&(ectivity
an &ring in the perspective with which every prouct8service can efine Quality in that
particular instance% 'hey have efine few of the characteristics we shoul consier# while fi3ing
&ounaries an target for our prouct8service Quality%
"S2 efinition for 6uality is# D'he totality of features an characteristics of a prouct or service
that &ears on its a&ility to satisfy the state an implie .eesE which tells us# as long as the
prouct is meeting the agree an implicit re6uirements# we can assume it+s of 6uality% Similarly
the egree to which the prouct+s characteristics e3cel also etermines 6uality as not all the
characteristics are having e6ual importance% Some of them might &e must have an some might
&e li$e to have# an we woul efinitely want the must have features satisfie &y the prouct or
service% 0e all $now most of the &asic software li$e wor# e3cel# etc are having so many features
in them# &ut we woul concentrate on few features li$e wor style# formatting# an review
options more an we may use very rarely the e3port to &log# *;9# etc% 0hen we have wor
ocument creator software which oesn+t have many options in formatting# we woul not prefer#
even it has irect e3port to social meia sites% 0hat it means is# ientify the right features an
satisfying them is also part of Quality%
Quality CurusF
Phil Crosby
GConformance with re6uirements+
"f your prouct meets the state an implie re6uirements# it means your prouct is of Quality%
0hen we &uy a television we see the features liste# if our re6uirements an the features are in
line we go for that television# else we choose some other one which is very close to our
e3pectations% @owever if we on+t what+s written in the feature list# than the prouct has not met
the re6uirements# an we claim it+s not of 6uality%
Juran
;efinitionF Dfitness for purposeE
Quality oes not happen &y accient
Quality is a result of intention an actions
'his is the most use efinition in our normal life% 0e on+t care what+s written in the prouct or
service escription# &ut what we care is# whether this is of real use% Assume we &ought a *;9
software an most of the time we use *;9 conversion to ensure the ocument is not eita&le an
also we e3pect when we convert them from &asic format 4%oc# %3ls# etc5 to *;9 it &ecomes
smaller in si)e# so that we can mail it% Assume the prouct is converting the ocuments well as
*;9 &ut gives you something &ul$y in si)e an you on+t have option to reuce the si)e of final
output# then it+s of very less use# in fact we will search for something which is fitting our
purpose%
2ther than Art# " on+t thin$ in engineering we can say 6uality happens &y accient% !ven in art#
now a ay there is some level of planning an technical perfection has &een &rought
intentionally%
"shi$awa
Quality is &eyon the 6uality of prouct% Quality of after sales service# 6uality of
management# 6uality of the company an 6uality of people : all matter
"t+s simple# when we &uy a car# we (ust on+t say the prouct is awesome# we wait for the
servicing# we wait for replacements an then we say this is a goo prouct% Assume you got the
Costliest car in this worl# &ut the sie mirror which got amage &y a motorist is not availa&le
for replacement an you nee to wait for another few months or the service person has to travel
from some other country to replace it% @ow o you feel a&out your prouct? Most of us will feel
it+s a pain% Assume you have &ought a top selling Antivirus prouct# an its license $ey is not
wor$ing or registering an you are trying to contact their support team# there is no
email8communication from them for 2 wee$s# what will you o with this prouct% "n fact we
assume the prouct sells well# &ecause it has goo service also%
'he 2ther important person in this Quality worl is ;r% !war ;eming an his efinitions an
e3perimentations are worl famous an have change the Quality "nustry a lot% @is 1H
principles of 6uality is a separate &oo$ an we woul recommen the reaers to spent time on
those writings% 'he fact is most of the organi)ations still having &asic pro&lems with 6uality an
many of them have &een alreay pointe out &y ;eming%
'here is something which ;eming has given to the worl# which will ma$e him always the
greatest is the *;CA cycle%
* : *lan
;: ;o
C: Chec$
A:Act
'his is a wheel# *lan:I;o:IChec$:IAct:I*lan
9or improving any system or feature or activity or anything# this cycle of activities are &asic%
"n our normal life we $eep applying this principle without our $nowlege on aily &asis% "f we go
to &uy groceries in a shop# we normally plan what to &uy an ta$e stoc$ at our home# an we a
proucts to our cart# an we chec$ whether we &ought all the re6uire proucts an if not we go
ta$e the relevant proucts an a it to our cart% 'his is the same for going to a &an$ or
purchasing a camera or anything% 0hen we on+t follow this cycle# we have more chance of not
meeting our own e3pectations or failing in something%
'his is the wheel which is aopte in many process improvement moels an stanars li$e "S2
as &asis% 'hough there are many concepts evolve with variations with this &ase moel# this one
remains the &asis an most use improvement wheel%
<ase on all these views# we can efine 6uality something li$e this#
Quality is the degree to which product or service possesses a desired combination of attributes
C: Capability (F: Functionality)
U: Usability
: calability
P: Performance (!: !fficiency)
": "eliability
#: #nstall$ability (P: Portability)
: ecurity
%: %aintainability
An there are always two views e3ists with Quality#
Producer&s view: %eeting "e'uirements
Customer&s view: Fit for use
"n the previous e3amples also we saw# that proucers collect re6uirements from $nown client or
from potential clients through mar$et research an try to meet those re6uirements% @owever for a
customer it+s always# how goo the prouct meets their re6uirements% "n the of e3ample of
mo&ile phone# where every proucer try to etermine the re6uirements well an almost of all of
them might &e meeting what they ientifie as re6uirements# &ut customer feels only few
proucts are really fit for them to use# an that+s the reason few are sol well an few are not%
'he one# who tries to reuce this gap# eventually ma$es success with their prouct or service%
Quality Assurance an Quality ControlF
'here is always some level of confusion in using these terminologies in "nustry an it+s not the
confusion with the activities# &ut it+s more to o with the perspective with which they loo$ at the
Quality Activities% 9irst of all# to achieve 6uality it+s important to have the right intentions# plan
an e3ecution to prevent non conformities# an meet re6uirements an achieve planne services%
'he activities to achieve 6uality can &e primarily split in to Quality Assurance an Quality
Control%
Quality Assurance is efine as set of activities whose purpose is to emonstrate that an entity
will meet all re6uirements% Quality control is efine as set of activities whose purpose is to
ensure that all re6uirements are met in the final prouct8service%
Quality (ssurance Quality Control
*reventive in nature ;etection in nature
9rom &eginning of a pro(ect an in &eginning
of a phase
"n the later part of pro(ect an in mostly en
phase activity
*rocess &ase *rouct &ase
*rocess Quality Assurance team is involve *rouct8Service Quality valiation team is
involve 4!3F 'esters# /eviewers5
2rgani)ational wie Strategy *rouct8Service wise strategy
Quality Assurance is the activity which a Software Quality Analyst is e3pecte to perform% Some
organi)ations call the testing activities as software 6uality assurance an the testers as Software
Quality Analyst# however this is not an inustry wie practice an most of the stanars or
moels on+t recommen testers to &e calle as Software Quality Analyst or Quality Analyst%
As we saw in the ta&le the Quality assurance activities are at organi)ational level an process
&ase it+s important for us to unerstan# how they are &uilt at organi)ational level an what
components are part of it% <e clear# organi)ational wie Quality Assurance strategy is &uilt#
however it+s also tailore an applie at pro(ect level also% 'he organi)ational wie strategies
help to ensure consistency across ifferent proucts8pro(ects in the organi)ation%
0herever we use the term *rouct in this &oo$# please consier Services also along with it%
Quality Management System an its componentsF
'his is the famous wor in the Quality Assurance worl# DQuality Management System 4QMS5E%
0hat is a QMS? "t+s nothing &ut the e3isting management system in your organi)ation# which
has processes# people an tools which are aligne to achieve Quality in the elivery an where
re6uire aitional capa&ilities 4li$e roles8tools5 are ae to ensure that your system is aligne
an wor$ing towars achieving 6uality% 0hen we say financial management system# legal
management system an so on# in an organi)ation# it oesn+t mean a new management team# or
ocuments or tools# it+s the 2rgani)ational management system component which is aligne to
ta$e care of a particular aspect li$e finance or legal nees%
Also &e clear that many people thin$ QMS is nothing &ut set of ocuments# which is not the
reality% A QMS contains *rocesses# 'ools# /oles an /esponsi&ility# *olicy# o&(ectives an so
on% Any component in the organi)ation which is contri&uting to the achievement of Quality in
the prouct8service is part of Quality Management System%
Since we use the wor DSystemE many times here# what is a system? "t+s a set of interrelate
components which along with relevant resources# process the inputs as e3pecte output% "n our
&oy we have igestion system# respiratory system an &loo circulation system# etc% 'hey are
system as they perform certain processes with their interrelate components using relevant
resources an achieve the e3pecte output%
.ow we have use the wor DprocessE few times here# what is a process? "ts set of se6uential
activities performe to achieve esire results using the relevant resources% A system normally
consists of multiple processes% "n the case of /espiratory system in our &oy# the &oy inhales air
is a process# the &oy separates the compouns in air is a process# the compouns are mi3e an
segregate from &loo is a process an &oy e3hales air is another process% "f we want to split
inhaling process in to smaller process# we can o# that+s a su& process% "n this case# nose inhales
air# air is filtere in nostrils# air passes through the respiratory tu&e# air enters insie lung all can
&e su& processes% So who ecies what su& process is an what is process? 'o tell you simply#
we o write only processes an we use processes in normal life# however when we want to
unerstan eeper the activities an control it we split the smaller activities as su& processes%
,ou can even call the entire respiratory system as one process in &oy% Jltimately it+s the
criticality which ecies what the level of process is%
0ith this unerstaning let+s see the components in Quality Management System# which are
usually part of it#
'here are many 7evels of ocuments are part of Quality Management System% "eally these
ocuments are create from 7evel 1 an reaches up to 7evel H% 'his is simple# whatever your
organi)ation is oing an intent to o or the way you want to wor$# all these are ocumente 4it
can &e electronic copy8har copy8auio8vieo8automate tool or any other useful methos5 an
mae availa&le for your employees# so that all of them follow similar wor$ing metho% "n this
case 7evel 1 is Quality Manual# which is the Ape3 ocument in the Quality Management
System% 7evel 2 is methos an processes which are use &y the employees to eliver outputs in
their area% 7evel 3 is Cuielines# chec$lists an templates# they are use most often on aily
&asis an all of them help to ensure consistency in the information the elivera&le contains%
7evel H is /ecors an ;ocuments for valiation# they help us as evience of activity which is
useful for any reference an proof%
Quality ManualF
!very Quality management system contains 6uality manual as ape3 ocument# which provies
etail on how the 6uality policy# o&(ectives are achieve in the organi)ation% 'he scope of
processes# process architecture# an etail of every process is etaile in the manual% 'he Quality
manual helps anyone to unerstan how the system is efine an helps to navigate the
processes%
Quality Manual contains the following sections#
1%0 "ntrouction
1%1 *urpose
1%2 Scope
1%3 /eferences
1%H ;efinitions an Acronyms
2%0 <usiness 2verview
2%1 <usiness Croup
2%2 Vision8 Mission
2%3 A&out 2rgani)ation
2%H .ature of <usiness
2%A 2rgani)ation Structure
2%K <usiness 2&(ectives
3%0 Quality Management System
3%1 Approach
3%2 ;ocumentation Structure
H%0 Quality Management Scope an *olicy
H%1 Scope of Quality Management System
H%2 Quality *olicy
A%0 7ifecycles
K%0 'ailoring of *rocesses
>%0 Quality Management Components
>%1 Management /eview Committee8Steering Committee
>%2 Software !ngineering *rocess Croup
>%3 *olicies
>%H *roceures
>%A *rocesses
>%K Cuielines
>%> Stanars
Anne3ureF *rocess Architecture
Anne3ureF *rocess ;etails
Quality *olicyF
'his is the intention an irection of an 2rgani)ation# in regar to achieve 6uality# as formally
e3presse &y the top management%
!3ampleF D!ffective processes an competent people usage to eliver successful proucts with
high Quality to our clientsE: this can &e a policy of an organi)ation# which e3presses how they
want to achieve the 6uality an the means 4!ffective *rocess an competent people5
*rocessF
Set of activities performe in pre ientifie manner to convert inputs to re6uire outputs# with
usage of relevant resources%
*rocess will vary &ase on the activities se6uence change or alteration of resources or input
variation# etc% 9or an e3ample# if we ta$e cheese ma$ing process# the material8ingreients use is
same an overall set of activities are also same# &ut (ust with variation in usage of material#
application of resources 4li$e heat8ays storage8etc5# there are more than 200 types cheese
prouce% 0hat it means is the process in fact varies an 200 types of processing happen% 0hat
it tells is# a *rocess is with fi3e steps# metho an resources# so that the output also consistent 4a
range5# if we change the process step or resource application level# the results woul vary 4un:
preicta&le5% So every successful organi)ation wants the &est process to &e ocumente an use
&y their employees# so that they can repeat the success%
"n normal life# most of us are following processes# &ut not all of them are written% 0hen we live
as in small family# we communicate the processes to others an ensure every&oy follow the
processes in life% @owever when it comes to an organi)ation where un$nown people wor$ (ointly
to e3ecute some wor$# this oral communication of process will not wor$ in many cases an that+s
the reason we ocument the processes an ma$e it availa&le for everyone%
'he simpler an effective way of writing a process is using !'VL metho% !: !ntry Criteria# ' M
'as$s# V: Valiation criteria an L: !3it Criteria% 'his metho will help in achieving clarity in
writing processes% Similarly if we have a clearly evelope wor$flow# that can help in reucing
chaos%
0e will ta$e for e3ample the 'echnical review process#
!ntry CriteriaF .ew or /evise prouct reay for review
'as$sF *repare for review# conuct review# recor review comments# close the review comments
ValiationF /eview /eport su&mission# Auits
!3it CriteriaF Agree review report
"n aition to these "nputs an outputs# /oles performing the tas$s will &e mentione an
measures consiere for the process%
'he following can &e the *rocess escription etails#
1 2&(ective
2 Scope
3 !ntry Criteria
H Acronyms an A&&reviations
A "nputs
K *rocess ;escriptions
K%1 Activity 1
K%2 Activity 2
K%3 Activity 3
> /ecommenations
N *ermitte 'ailoring
= Measures
10 Valiations
11 Quality /ecors
12 !3it Criteria
13 /eferences 4CMM"# 2ther *rocesses an 2ther Stanars5
1H *rocess *rofile Matri3es
Stanar
Stanars specify uniform use of specific technologies# parameters or proceures when such use
will &enefit the organi)ation% !3F Coing Stanars
Cuielines
Cuielines assist users in implementing policies8 proceures# which may warrant variations# or
which are uner trials an imposition of stanars is not always achieva&le% !3F !stimation
Cuieline
*roceures
*roceures assist in complying with applica&le policies# stanars an guielines% 'hey are
etaile steps to &e followe &y users to accomplish a particular tas$% *roceures may contain
certain templates to &e followe while e3ecuting the tas$%
'emplates
'hey are prescri&e format for creating ocuments8elivera&les e3pecte &y the processes% A
well efine template helps us in achieving consistency in capturing information an reuces the
reunancy%
!arlier we have seen the sections of Quality Manual an process was given# they were nothing
&ut templates% 0e can a the relevant etails to ma$e a ocument out of it%
Chec$lists
'hey help in gathering ata in re6uire manner an also not to miss out any relevant information#
which also help us etermine the occurrence of event%
!3F /eview Chec$list# travel chec$list an so on%
;ocuments in QMSF
;ocuments are $ey part in Quality Management System# as they are live in nature an $ept
upate to communicate the relevant information to the relevant groups in the organi)ation%
;ocuments are part of QMS# an ocuments are also part of pro(ects or prouct evelopment or
any relevant activities% ;ocuments have life an they unergo changes# primarily they are current
an futuristic# an ol ocuments are archive% 'o simply efine the lifecycle of ocuments# we
can say# create# review# release preparation# release O istri&ute# upate an archive an retain%
"n orer to control the ocument in this lifecycle 4tracea&le an easily etecta&le5 it+s important
to assign version num&ers an maintain the release etails% !3ample of ;ocuments can &e a
pro(ect plan# scheule# user manual# etc
/ecors are of special type of ocuments which conveys the information8ata of a particular
instance# simply a snap shot% /ecors are mostly use as evience an they are not moifia&le
an they are ocuments which will unergo changes% !3amples of recors are attenance sheet#
meeting minutes# training fee&ac$s# etc
"n the past we use to have Master 7ist of ;ocument Control sheet as $ey ocument# which has
the complete list of all ocuments an recors# so that &etter control an tracea&ility on
ocuments were achieve at pro(ect level8functional level8organi)ational level% .ow a ay since
we have many tools li$e share point an others# they simply create the master list an our (o& of
manual maintaining them is reuce%
Master 7ist of ;ocument Control
Sl.
No
Document Name Document
ID
Version
No
Author Distributio
n List
Path
/Loc
ation
1 Quality Manual JH!
MAN!
QM!"1
#." M$ %ntire
or&ani'atio
n
7in$
#
(
)
*
+
,
-
.
Master 7ist of /ecors Control
Sl.No $ecor
/
Name
Document
ID
Author 0usto/ia
n
$ecor/
Me/ia
1y2e
$etention
Perio/
Path
/Locatio
n
1 ault
Lo&
System Soft Copy 3 ,ears 7in$
#
(
)
*
+
A Quality Management System contains in aition to these items# /oles an /esponsi&ility
ocument% 0hich is actually escri&es which roles are performing what activities in the
organi)ation%
"n aition to these the Quality Management system may contain repositories% 'hey are nothing
&ut useful information erive from pro(ects which are availa&le for the new pro(ects to refer%
*ast estimations# plans# samples# efects an so on can &e collecte from pro(ects an
categori)e an cleanse an ae as part of repositories% 'hey help for the new pro(ects to
unerstan 6uic$ly from others ata or learning%
'he following are the typical repositories maintaine in organi)ations#
4i5 Measurement /epository
4ii5 !stimation /epository
4iii5 ;efect /epository
4iv5 Service issues /epository
4v5 /is$ /epository
4vi5 7ifecycle /epository
4vii5 'ailoring /epository
4viii5 <est *ractices /epository
4i35 7essons 7earnt /epository
435 Samples /epository
43i5 'echnical Pnow @ow M 9AQ+s
An other ifferent repositories li$e reusa&le repository# omain specific repositories# etc
!very repository may have an ientifie person allocate to maintain it% 'he ata cleansing
activity is performe# &efore aing the ata to a repository% Ae6uate Communication in this
regar will help in &etter utili)ation% Some organi)ations use share point or we& portal to pu&lish
their repositories# an hit counters are ena&le to chec$ how many clic$s to the portal happene
for the repository%
QMS <enefitsF
Q Quality Management System helps an organi)ation to perform effectively%
Q "t helps the 2rgani)ation to eliver Quality *rouct8Service%
Q *ro(ects are hanle systematically an pro(ect eliveries are controlle
Q "t increases the employee confience in performing a tas$%
Q "t ensures systematic way of hanling changes an applying innovative technologies%
Q *rocess sta&ility an capa&ility is improve in the organi)ation
Q "mproves reusa&ility of components in the organi)ation
Q /euction in cost of the prouct evelopment8service elivery
Q "mprovement in elivery cycle time an time to mar$et
Quality Assurance 9unctions
Quality Assurance 4QA5 activities as we iscusse earlier are the one which gives confience to
the organi)ation an to client that &y following the Quality Management System the final
prouct or services will &e of 6uality% "t may not &e possi&le to get the 6uality prouct8services as
soon as we efine set of processes# templates# roles an responsi&ilities# etc 4QMS5 it may nee
few iterations to learn that what+s wor$ing for you an what+s not% Most of the times# the system
is improve &y getting fee&ac$ continuously from the 2perational teams an &y measuring the
process capa&ility% <ase on the fee&ac$ an improvement opportunities the processes an
system components will &e upate &y the ientifie teams% 'hese new upate8revise
processes in the system are implemente &y 2perational teams an again they are measure an
fee&ac$ is collecte% 'he system is upate or revise till the e3pecte 6uality is achieve% "n
orer to perform this cycle 4its similar to *;CA5 we nee ifferent Quality Assurance functions
to act in the system% 'he following are some of the $ey functions within QA#
Software !ngineering *rocess Croup 4S!*C5F
'he group consists of Su&(ect Matter !3perts from various engineering an management areas
an *rocess 6uality assurance mem&ers8 Software Quality Analysts% 9ew of the SM!+s can &e
permanent mem&ers an few can wor$ on nee &asis 4epening on how often their process is
iscusse5% 'ypically each SM! is ientifie with relevant processes in min% 'he *rocess
Quality Assurance Mem&ers who are contri&uting in process efinition an who are performing
facilitation O auits shall represent% 'his helps in getting real issues from the groun an
iscusses with SM! an put it in presenta&le process format%
S!*C is responsi&le for *rocess 9ocus an alignment with &usiness o&(ectives
S!*C ensures that relevant processes are efine to support the elivery
S!*C ensures that process assets are create an maintaine
S!*C ma$es eployment an process action plans
*rocess revision an maintenance is ta$en care &y them
*rocess tailoring an relevant analysis is performe
*rocess "mprovements achievement an sources maintenance
S!*C is responsi&le for process appraisals
S!*C is responsi&le for overall Quality Management System evelopment an
eployment
*rocess Quality Assurance8 Software Quality Analyst CroupF
'his group consists of people who has competency on process 6uality assurance% 'ypically it
inclues people who can unerstan the process architecture# its application an improvement
nees% *rocess compliance activities li$e QA reviews an *rocess compliance auits are
performe &y them% "nepenency an o&(ectivity shoul &e maintaine on forming this group%
*ro(ect facilitation an han holing on *rocess implementation
*rocess training performe &y them
*rouct Quality Assurance review performe
*rocess Compliance Auits are performe
*ro(ect level metrics analysis support
'ailoring of processes are supporte
"nteract with S!*C# pro(ect teams an metrics team to provie relevant upates
Some organi)ations use them for /is$ Assessment or other security compliance stanars
implementation%
Metrics Analyst CroupF
'his group consists of people who have unerstaning on pro(ect management# statistics an
process control% 'heir a&ility to unerstan the ata an process is important to o further
analysis% 'he pro(ect management unerstaning is more of logical unerstaning of pro(ect+s
phases an actual conition% 'he analysis an reporting shall &e meaningful for the pro(ect an
organi)ation to use it for informe ecision ma$ing% 'his group may not e3ist in all organi)ations
as separate group an may &e availa&le wherever high volume of ata is there an criticality of
ata analysis for ecision ma$ing is high%
Auit CroupF
"n some organi)ations separate auit groups are forme an they may &e in aition to the auits
performe &y Software Quality Analysts 4SQA5 or at corporate level auiting on few critical
accounts% 'ypically traine auitor with multiple moels an stanars $nowlege is part of the
team%
*rocess ConsultancyF
9ew organi)ations eliver Software *rocess consultancy services with their SQA team% 'he
mem&ers in the team are chosen &ase on the e3perience in hanling clients an potential to
solve pro&lems% 'ypically the services can &e to the local mar$et or to the "nternational mar$et
an also it may &e for e3isting clients or for new clients% 'he team shall &e having separate
elivery moel an pricing moel to attract the clients an eliver services% "n this case# the SQA
team is no longer a support team# &ut revenue generating operational team%
Characteristic of a goo SQAF
'he SQA can &e part of any of the mentione teams# though it+s e3pecte he is part of the
process QA group an facilitate the pro(ects% @owever if the SQA has e3perience in all the
relevant roles then it+s an ae avantage for the 2rgani)ation% 9or an SQA to &e successful the
following are the $ey characteristics he8she shoul have#
a5 Coo 7istening A&ility
&5 A&ility to visuali)e an form the pro&lem statement
c5 A&ility to visuali)e solution an its moifications over a perio of time
5 <elieving every comple3 pro&lem has simple solutions
e5 A&ility to fin multiple solutions
f5 A&ility to separate emotions# process# people in a given conte3t
g5 9act fining a&ility
h5 7ess istraction from the goal
i5 /eay to accept mista$es an stan firm on ecisions
(5 !sta&lish 2&(ectivity an &e non &iase
$5 Analy)e a pro&lem from process point of view an from people point of view
l5 /is$ &ase evaluations shoul &e the goal
m5 Jnerstan client nees an &usiness moels
n5 'hin$ li$e senior management an &ring solutions with larger perspective
o5 Concentration on prevention an on aressing root causes
7ifecycle Moels
Software is evelope using istinct phases an they are arrange in a manner that the prouct
can &e prouce on time with 6uality% 'his arrangement of phases to eliver prouct8service is
calle lifecycle% 'here are lifecycles with pre:arrange phases an each of them having their own
controls is availa&le# an they are commonly use in organi)ations% 7ifecycles ten to eclare the
way the evelopment8service relate activities will &e e3ecute in a pro(ect% 'he phases in a
lifecycle# has clear o&(ective to achieve# has clear tas$s an performe in time perio 4time
perio &loc$5% 'he phases are customi)a&le an can &e efine on our own to suit our
evelopment8services% Similarly the lifecycles are customi)a&le an can &e efine on our own
with arrangements of phases%
7ifecycle &ecomes important to communicate the way we are going to evelop the prouct to
every sta$eholers an what to e3pect an when# &ecomes clearer with this%
Some of the &asic stanar lifecycles are#
0aterfall Moel
"ncremental Moel
V Moel
"terative Moel
An there are many other moels availa&le commercially to use% @owever many of them are
customi)e version of these &ase moels an sometime with /is$ !valuation of progressing with
pro(ect% "n aition# if we wor$ with maintenance pro(ect then we have maintenance lifecycle#
<usiness "ntelligence# Migration# conversion pro(ects an so on has their own lifecycles% <e
clear# when we $now what we want to prouce an what are the $ey steps# how important for us
to valiate the prouct early in its evelopment 4internally8client5# etc can help us to customi)e
or evelop our own moels% So we woul leave it to you to customi)e the lifecycle moel or
select some of the commercially availa&le moel for your prouct evelopment8service elivery%
0aterfall MoelF
'he simplest metho use in software evelopment is this waterfall moel% 'he phases have
clear se6uence an no overlaps% 'he initial phase starts with /e6uirements phases# where at the
en of the phase the re6uirements ocuments are prouce an signe off# an then in
su&se6uent esign phase the esign relate activities are e3ecute an esign ocuments are
create an signe off% "n construction phase# coing an unit testing is performe% "n 'esting
phase test e3ecution is performe on the prouct an finally the prouct gets release in release
phase%
Salient *oints :
Clear ;istinctive phases
Simpler flow
Any change re6ueste &y client in the mile phases# has to go through the previous
phases
!n of each phase prouces &aseline ocuments8wor$ proucts
/e6uirements are fro)en in this moel at the &eginning itself# however in normal life# the
re6uirements are more of evolving in nature or client $eep aing few to ensure prouct
is of current an useful in nature
7ong uration pro(ects is not suita&le for this type# consiering lot of apprehension will
&e create in client an evelopment team min# as they see the e3ecuta&le software only
in the last perio of evelopment%
"ncremental MoelF
'he core re6uirements are collecte in the "nitial stage% 'he re6uirements are reali)e as prouct
in multiple incremental cycles &y splitting the re6uirements in to relevant moules8&loc$s which
can prouce wor$a&le software# an which can &e eploye% !very incremental cycle as
aitional feature to the prouct an &efore the final release the prouct is teste in complete an
release%
9or e3ample if a &an$ wants to provie &an$ing services through A'M# they may go on
eveloping the software with multiple increments an initially with few &asic features to launch
with 4 withrawal O account statement5# then they $eep aing new features 4 loan re6uest#
change of client aress# etc5%
Salient features
!ach "ncrement prouces useful software
!ach "ncrement is having aitional features# which are planne
!ach "ncrement also aresses eficiencies ientifie in previous cycle
Client can see the prouct features in efine timeline
Changes can &e accommoate in the same cycle or in the ne3t cycle
'his lifecycle is commonly use as structure lifecycle% "f we notice the waterfall moel is
followe in each increment in this case% "nstea we can apply V moel in each increment or any
other &ase moel on each increment% 'hat will give customi)e lifecycle%
V MoelF
<y the shape it loo$s li$e the alpha&et DVE# so it+s referre as V moel% ;on+t as$# why can+t it
can &e $ept flat an why as DVE% 'he (ustifying point is# each phases from re6uirements till
coing has their own testing phases 4unit test to system test5 to test the elivera&le% Similarly it
represents Verification an Valiation activities% 'his V moel is what most of us use in practical
life% @owever we customi)e this moel# &y aing it insie another moel or in a cycle% 'he
moel &rings in the clarity on testing activities an well efine testing practices# helps us to
prouce &etter 6uality prouct%
/e6uirements are teste with System tests# @igh 7evel esign is teste with "ntegration tests# an
similarly the coe an low level esign components are teste with Jnit testing% 'his is practical
&ecause in the re6uirements phases itself the testing preparation starts%
Salient points
<etter *rouct testing methoology
Clear phases an covers all the engineering &asics
!ach phase contri&utes to further ownstream phases
"n multivenor environment# where ifferent teams wor$ on ifferent parts of lifecycle#
this is very useful moel
<etter efect prevention an control activities can &e e3ercise%
As we iscusse earlier it represents Verification an Valiation activities# let+s see what they
are#
VerificationF
Simple ;efinitionF "t chec$s# DAre we &uiling the prouct right?E
Verification is an activity which ensures that prouct evelopment is as per the stanars an
goals in a phase% <asically we chec$ the conformance to re6uirements%
9or e3ample# you want to go from Mum&ai 4"nia5 to Colum&us 4JS5# an you have to ta$e three
flights Mum&ai to 7onon# 7onon to .ew ,or$# .ew ,or$ to Colum&us% 7et+s see what
verification in this (ourney is%
9rom Mum&ai when you reach 7onon# you chec$ whether you have collecte8ta$en your
relevant articles# if there any form to su&mit in airport i you fill it an you have all relevant
etails 4tic$et8accessories5 to &oar the ne3t flight% All these activities are only verifying
whether you have reache the place as per plan an followe the guiance8stanar to reach
there an reay for ne3t phase%
ValiationF
Simple ;efinitionF "t chec$s# DAre we &uiling the right prouct?E
Valiation is an activity which ensures that prouct evelopment is as per the goal an intent of
the pro(ect8program% 0e $eep chec$ing at every phase# the fitness of the prouct for purpose%
"n our e3ample# when we reach 7onon# we chec$ the path an time to see whether we will &e
a&le to reach Colum&us on time% "f we &elieve we are alreay late8early# we might &e as$ing for
alternate flights to reach the place% "n valiation we chec$ for the final goal%
0hat it means is# we $eep oing Verification an Valiation together in most of the cases#
however $nowlege on what is verification an what is valiation# will help in &etter planning
an e3ecution% "n software evelopment# Verification is primarily performe with techni6ues li$e
reviews# inspections an wal$through# etc Valiation is performe using testing# prototype an
client valiation# etc
"terative MoelF
'he prouct is evelope with num&er of iterations% 'he initial iteration concentrating on the
critical features of the prouct# the su&se6uent iterations a8moify or correct the features an
get eploye for ta$ing the fee&ac$% 'his moel is goo when we have a prouct where the
re6uirements are unclear an the outcome nees goo amount of involvement of client an
evelopment team has to e3periment few things% 'he phases are arrange in a manner# that
evaluation of the software is one of the critical phases to progress or to continue the pro(ect% 'his
moel consiers the /is$ !valuation in iterations for &etter planning an e3ecution of the
prouct evelopment% 'his moel is use along with "ncremental moel in many circumstances%
Salient featuresF
*rouct features can &e evaluate 6uic$ly%
*ro(ect team gets 6uic$ fee&ac$ an the level of confience increases
/e6uirements clarity increases
"t can &ecome uncontrolla&le if not manage with clear e3pectations# as iterations coul
lea to surprise aitions%
Apart from these moels# we have /ational Jnifie *rocess 4/J*5# *rototype# Spiral an so
many other lifecycle moels are availa&le% @owever as we escri&e earlier lifecycle moels can
&e customi)e an create# an it nees &asic unerstaning on the phases an output we nee at
the en of each phase an clear purpose on what we want to achieve% /is$ evaluation phase
aition in any moel will &enefit# however it epens on the nee an cost of evelopment%
Some &asics for Customi)ing8creating lifecycles
Clear *hases ientifie
!ach phase has clear elivera&les an actions ientifie in it
"nterrelationship &etween ifferent phases are e3plaine
Se6uence or arrangement of phases to e3ecute prouct evelopment8Service elivery is
ocumente
Client involvement level8nee to &e consiere on esigning the lifecycle
/e6uirements Change /is$s to &e consiere
.ee of evaluation an /esearch activities# to &e consiere in esigning the lifecycle
Milestones# sign offs an elivery payments to &e consiere
!ach phase to &e value aition to the prouct evelopment8service elivery
7ifecycle shoul &e a&le to &uil confience on prouct 6uality 4Verification O
Valiation5 consierations%
An other $ey features re6uire for the relevant conte3t to &e consiere appropriately%
*ro(ect Management
A *ro(ect is a temporary activity to evelop a prouct or eliver a service an which has efinite
start an en% 0e too have pro(ects in life# our schoolingR internships# (o& an sometimes people
consier marriage also as pro(ect% "t+s always confusing that we $eep listening to the wors
pro(ects# program an proucts% 'here are many efinitions availa&le for them in *ro(ect
Management <oy of Pnowlege 4*M"5 an in "S2 stanars% @owever for our simpler
unerstaning# *ro(ects has clear start an en timeline an normally we e3pect it to contain
marginal volume of wor$ to e3ecute an eliver prouct or service% A program can comprise of
many pro(ects# whereas the program is large an continuous in nature% 'he comple3ities in a
program coul &e higher an a significant change in the resultant environment is e3pecte ue to
a program% *rouct is an outcome of pro(ect an8or program% 'he prouct evelopment
companies have prouct level lifecycle an prouct level plan# an multiple pro(ects can &e part
of ma$ing the prouct level plan succee%
*ro(ect Management is application of $nowlege# s$ills# tools an techni6ues to pro(ect activities
in orer to meet the pro(ect goals an re6uirements% "ts managing the epenencies# resources for
achieving the target8eveloping prouct8elivering services as planne%
!very pro(ect has assigne *ro(ect Manager# who hanles the *ro(ect Management% 9or a
Software Quality Analyst it+s important to unerstan the pro(ect management an to &e a&le to
thin$ in line with pro(ect manager% 0e woul recommen that the SQA is in par with the *ro(ect
manager%
*ro(ect Management has the following *hasesF
*ro(ect planning to start with# *ro(ect Monitoring an control an then *ro(ect closure
*ro(ect *lanningF
*urpose of this phase is to evise a plan an get commitment from all the sta$eholers towars
the plan%
'his is the initial phase in *ro(ect Management# some organi)ations has "nitiation as
separate phase &efore this%
Scope of wor$8Contractual terms are unerstoo
!stimations on Scheule# !ffort an Cost is performe
Commitment on eliveries an goals are mae from pro(ect managers8elivery heas
*ro(ect resources are ientifie for successful elivery
*ro(ect 2rgani)ation is forme an responsi&ilities allocate
/is$s an epenencies are ientifie an trac$e
Create a *ro(ect plan which integrates all other su& plans of e3ecution
Cet commitment from internal an e3ternal sta$eholers on the plan
*ro(ect Monitoring an ControlF
*urpose of this phase is to monitor the progress of pro(ect an trac$ the actual parameters an
elivera&les# an controls the parameters to achieve success in the pro(ect%
Monitor the !ffort an scheule along with eliveries
Monitor the ris$s an issues in the pro(ect
Monitor the team motivation an utili)ation
Monitor the elivera&le 6uality an prouctivity
Monitor the commitments are &eing met &y all sta$eholers
Control the variations in !ffort8Scheule8Cost an other ientifie parameters
Monitor the contractual clauses an scope of wor$ commitments
Jpate the plan as per scope changes 4if any5 with ae6uate impact analysis
!nsure the communication flow with relevant sta$eholers
!scalate as re6uire to the relevant mem&ers
!nsure the eliveries are met as per the commitment
*ro(ect closureF
'his is the final phase of pro(ect management# where a complete unerstaning on how the
pro(ect was performe an final settlement of activities are performe# so that the pro(ect can &e
formally close in an organi)ation%
*ro(ect financial settlements are close
Client sign off is o&taine
All relevant information pertaining to pro(ect is archive
"nformation useful for other pro(ects are share with QA function
*ro(ect Closure report is prepare
Sta$eholers are communicate with pro(ect closure etails%
7esson learnt ocuments are prepare%
An other internal e3pectations are met%
*ro(ect *lanF
*ro(ect Management as we iscusse earlier has many activities to &e performe# however the
$ey activity is pro(ect plan preparation% Most of the activities we mentione here# either
contri&utes to preparation of this ocument or revolves aroun trac$ing an e3ecuting pro(ect as
per this ocument%
So what is a pro(ect plan an why it+s re6uire?
*ro(ect plan is a complete roamap for reali)ing your pro(ect% "t contains all the relevant
information from your contract to lifecycle to resources to communication an scheule# etc%
'his is the complete reali)ation plan &ase on which pro(ect will &e e3ecute%
"f you are as$e to evelop a single page we& application with (ust a screen with information an
you are the only one# who is going to wor$# " on+t thin$ you nee a pro(ect plan% @owever if
you are given with a we& page evelopment with various functional etails of a school an you
an your frien is going to wor$# may &e you &oth nee at least a scheule to wor$ on% "n case
you have to evelop an interactive we& page for an eucational institute an 20 people are
wor$ing than# you may nee a plan to &etter escri&e the way the responsi&ilities will &e share
an timelines more clearly% "n case the same is with 100 people# o we thin$# we can manage
everyone without a plan an clarity in communications? 0e efinitely nee a plan%
"n the event of ma$ing a pro(ect plan# in fact many things will &ecome clear for the pro(ect
manager an team%
A pro(ect plan consists of following elements#
1 "ntrouction
1%1 *urpose
S;escri&e the purpose of the ocumentI
1%2 Scope
S;escri&e what is in the scope an what is not in the scope of the ocumentI
1%3 A&&reviations an Acronyms
S7ist the a&&reviations an acronyms availa&le in the ocumentI
1%H ;efinitions
S7ist the efinitions which re6uire e3planation for &etter unerstaning in the ocumentI
1%A /eferences
S;escri&e the ocuments 8 wor$ proucts that are referre to evelop this ocumentI
2 *ro(ect *rofile
Pro)ect *ame:
Client *ame and Contact +etails:
Pro)ect billing type:
+omain:
,echnology:
tart +ate:
!nd +ate:
Pro)ect -verview:
Pro)ect cope:
Pro)ect -b)ectives and .oals:
(ssumptions and Constraints:
3 *ro(ect !nvironment
!nvironment ;etails
@arware
2perating System
Compiler
"nterfacing @arware8Software
H 7ifecycle Moel# *hases O ;elivera&les
S"nsert 7ifecycle moel flowI
*ro(ect *hases ;elivera&les
A 0or$ <rea$ ;own Structure with Scheule
S7in$ !3cel or %mpp or other file format specifying the tas$s an scheuleI
K Jser Acceptance Criteria
> *ro(ect !stimation
S*rovie a lin$ to the *ro(ect+s !stimation wor$sheets 8 artifactsI
N /esource *lan
N%1 @arware
S"nclue the num&er of servers# test machines# share machines# es$tops8laptops or any other
special harware li$e switches# routers that may &e re6uire &y the team%I
;escription Configuration8Specification Quantity
/e6uire
Start
;ate
!n ate
@arware S.ameI
Software S.ameI
2thers S.ameI
N%2 Competency !valuation an 'raining *lan
S7in$ to resource Competency evaluation sheet an also ientify the trainings accoringlyI
N%3 @uman /esource *lan
S%.o .ame of the /esource /ole T "nvolvement Start ;ate !n ;ate
1
2
3
H
A
= *ro(ect 2rgani)ation
SCraphically inicate &elow the pro(ect team structure I
=%1 /oles O /esponsi&ilities
/ole /esponsi&ilities
10 Sta$eholers an ;epenencies
S;ocument the pro(ect+s internal an e3ternal epenencies I
Sta$eholers ;epenency
;escription
7ifecycle *hase /e6uire &y 4;ate5
11 /is$ an "ssue Management
S*rovie 7in$ to /is$ Management log O "ssue log I
12 Configuration Management an Change Management
S*rovie lin$ to the Configuration Management *lan with Change Management etailsI
13 Communication *lan
"nformation
re6uire
Sta$eholer8s 0hen
4phase8fre6uency5
*urpose
0ee$ly
/eport
Monthly
/eport
2thers
1H Verification an Valiation
S7ist /eviews an 7in$ to 'est *lan8strategyI
1A *ro(ect 'rac$ing *lan
'rac$ing Moe 9re6uency *articipants
*ro(ect progress review
*ro(ect Monitoring /eview
Milestone /eview
Client review
2thers
1K Quality Management
S*rovie lin$ to the Quality *lan or Scheule with activitiesI
1> *rocess *lanning
SJse 'ailoring Sheet to plan for the processesI
1N 2ther *lans
S"nicate other plans li$e *rouct integration plan# installation plan# training plan for users# etc
hereI%
1= 0arranty Support
S"nicate the 0arranty perio# an terms of 0arranty support I
Pey elements in this planF
'he following are the $ey components we woul li$e to verify or ensure#
'he scope of wor$ shoul &e as per contractual terms
;epenencies with client shoul &e clear an it shoul not &e part of assumptions
Assumptions ocumente here# shoul not &e am&iguous in nature
0or$ <rea$ own Structure to have tas$s which are less than H man ays uration as far
as possi&le for &etter controlling
Jsage of Cantt chart helps in scheuling an scheuling to have epenencies of tas$s
an resource allocation affiliate with it%
!stimation with proven techni6ues helps in managing the pro(ect with realistic goals
/esources an their roles# responsi&ilities allocation in formal manner helps in evaluation
an &etter clarity in reporting an action completion%
'he support plans li$e Quality plan# test plan# ris$ plan# configuration plan an other
plans helps to ensure the ates are in sync# no role clashes# epenencies are clear# etc%
Some organi)ations calls this as integrate pro(ect plan# as all other plans are integrate
with this one plan%
Milestones are ientifie clearly# which is a specific point in time in a pro(ect# where
important elivera&les or goo amounts of ays are spent% 'his is a specific point# where
organi)ation an client may &e intereste to loo$ &ac$ at the pro(ect progress# evaluate
an plan8re:plan for future course%
0arranty perio has to &e unerstoo an the plan shoul cover it%
"ssue management an escalation management are $ey areas in pro(ect management#
where ientification an trac$ing of them can &e li$e scienceR however &ringing actions
to close them is more of an art# as we are ealing with client or $ey sta$eholers%
A pro(ect manager is not a machine an pro(ect plan is not manufacturing plan fe in to a
machine# its management# which nees application of $nowlege in the right conte3t an
at right time% 'here is goo amount of (ugment involve an great amount of people
emotions involve% A pro(ect manager shoul &e aware of all the pro(ect management
techni6ues an $nowlege areas to &e a &etter informe person# an he can use the
relevant techni6ues to erive solutions# however the logic an people value consieration
an application of certain solution in certain conte3t is still an art%
/is$ management is important for &etter pro(ect management% "f you $eep ientifying an
trac$ing an closing ris$s with respect to your pro(ect# nearly you will achieve half
success with it%
'he pro(ect plan is revise whenever there is eviation foun from current state an the
planne state# also whenever the future state is going to change from what was planne
earlier% 'he pro(ect plan has to &e $ept up to ate# as this the plan everyone is following% "t+s
li$e $eeping the roa signals up to ate# if the roa is &loc$e# &ut your signal says you can
travel in the roa# it will only create confusion%
@owever when smaller teams wor$ an less comple3 activities are performe# the pro(ect
teams (ust (ump in to re6uirements an coing% "n this case# even esign ta$es less priority# so
we e3pecting a etaile plan are (ust a ream% @ence organi)ations come out with small
pro(ect plan templates# an in some other cases# they (ust as$ a Cantt chart of scheule to
procee with%
0hat an SQA can chec$F
Chec$ the Scope of wor$ an Contractual terms ocumente in plan
Chec$ the acceptance criteria
Chec$ the estimations an scheule with stanar methos an etails
Chec$ the 7ifecycle phases an elivera&les clarity
Chec$ the pro(ect organi)ation structure
Chec$ the reporting methos an communications
"n aition chec$ the pro(ect plan template an process planning an all sections in
pro(ect plan for completeness
Chec$ if the pro(ect plan is reviewe internally an comments are capture
Chec$ if the pro(ect plan is approve
Chec$ *ro(ect meetings are happening an actions capture an trac$e to closure
Chec$ the Minutes of meeting# Status report an other relevant recors
Chec$ the Metrics report of the pro(ects an how pro(ect is progressing
Chec$ the scheule an effort is $ept up to ate an all the changes in scope is
capture an the plan is revise accoringly
Chec$ the competency evaluation of team an trainings they have unergone%
Chec$ pro(ect closure report is prouce
'he points given here are some of the $ey pointsR however they are not comprehensive in nature%
!very organi)ation normally has wor$ prouct review chec$list for SQA activities an they have
to follow them to chec$ the pro(ect plan an relate e3ecution%
Configuration Management
Configuration Management is ientifying an managing the configura&le items to support
integrity in elivery of service or prouct% Configuration management is critical in prouct
evelopment an in comple3 eliveries% Sometimes there is very low attention is pai to this area
an those results in wrong &uil# failure in installation# etc% Configuration Management
sometimes loo$e only along with release# however configuration management starts from the
&eginning of a pro(ect till the prouct is eploye an maintaine%
"t involves activities li$e configura&le items ientification# setting up of configuration control
&oar# <aseline the configura&le items# manage the change re6uests# apply changes# an perform
status accounting an Configuration Auits% "n aition to this# naming convention an &ac$up
an retrieval are also important activities in configuration management%
Configura&le itemF Any component which is part of the prouct evelopment# an a change in
the prouct without ae6uate control can have negative impact to the prouct
evelopment8pro(ect# an then the item is a configura&le item an shoul &e ientifie an
trac$e% 'his inclues planning elements# logs# coe an all other relevant items%
A laptop has so many components an if we change one component an put in some other one
which is availa&le in your house# will it wor$? @opefully we will not o thisR instea we will
chec$ the current configuration# serial num&er# version of the component an will replace it with
a compati&le component% Similarly in a pro(ect you can+t have a wrong pro(ect plan# wrong
source coe or wrong M2MR in fact all these are configura&le items%
Configuration Control <oarF 'his is team of ientifie mem&ers who has the authority to
evaluate any new change proposal 4re6uest5 an ecie on approval or re(ection% 'hey
unerstan the &usiness# time# conte3t an change impact# etc to ecie on the change re6uest%
Configuration SystemF "t involves tools8irectories# metho an resources to hanle configura&le
items an manage them% !3F SV.8CVS8VSS an so on# along with proceures
.aming Conventions an VersioningF !ach configura&le item is assigne with uni6ue naming%
.ormally this is efine &y organi)ation or client given guieline is followe% 0e can ecie
&ase on the pro(ect name# epartment name# category of ocument# name of ocument an
&ase on that we can generate 3 letter short conventions to ma$e a la&el%
LLL:,,,:UUU: 1%0
LLL: pro(ect name
,,,: Category of item
UUU: name of ocument
0hat is 1%0 here?
'his is the versioning part of the Configura&le item% As the ocument will unergo changes#
having a naming convention will only help us separate the ocument from one another# &ut not
&etween its own versions%
'ypically we follow#
0%1 M raft version
0%2 M upate raft version# an 0%3# 0%H li$e that for all raft versions
1%0 M /elease version
1%1 M /evise version for minor change 4"ncrease &y 0%1 for minor changes5
2%0 M /evise /elease version 4 for ma(or changes increase it to ne3t full igit5
@owever for prouct evelopments they normally use three or four igit versioning# li$e 1%0%0 or
1%0%0%0
Sometimes organi)ations use few tools for managing configurations# which has the a&ility to
provie internal versioning num&er an manages them% So the organi)ations on+t use aitional
versioning in the ocument% "n such a case# it+s important to give the changes etails when they
save the ocument for each new version an also to perform fre6uent configuration auits to
ensure that the current ocuments are uploae in to the Configuration system%
"n case of ocuments# it+s a normal practice for organi)ations to upate the versioning an
naming convention in @eaer89ooter of ocument an similarly the revision etails in the
ocument+s first few pages or in last page# with etails on what is revise an when%
Configuration Manager8ControllerF 'his person is responsi&le for managing configura&le items
an relevant configurations for each release% 'his person also nees to perform the status
accounting an managing the changes% !very pro(ect shall have this role ientifie%
<aseline of Configura&le "temF A &aseline point is critical to 6uality an ientifie configura&le
item as part of a &aseline% 'his ensures that the configura&le items are availa&le for use an that+s
the one# every&oy shoul refer% 9or e3ample# a pro(ect plan is ientifie as configura&le item#
&ut when every&oy will start using or referring is when it+s &aseline% A &aseline point for
*ro(ect plan is it+s approve internally &y the elivery management% 2nce the plan is approve it
will &e move to the &aseline foler# hence from now onwars# everyone will &e referring this
plan as &aseline plan to wor$% Any further changes to this plan can+t &e one ar&itrarily# it has to
follow change management proceure an the new &aseline has to &e informe to relevant
sta$eholers%
Change managementF
Change /e6uestsF 'his is of two types# one coming from client an coul &e mainly on scope of
wor$ relate changes 4aition8moification8etc5 an another one coming from internally# this
coul &e either change in scope8prouct8service which we want to evaluate an apply along with
client or change in internal ocuments as part of evelopment% "n all the cases# the change
re6uests are raise an epening upon the type of change re6uests 4stanar8minor8ma(or5 it+s
sent to configuration control &oar for evaluation%
"mpact AnalysisF Almost all the change re6uests unergo impact analysis# where the ifferent
components which will get impacte an effort8scheule involve an conte3t an timing of
change is evaluate% 0hen its stanar change re6uests which has preefine path an pre
approve# then impact analysis on+t play role there% 'hese impact analysis reports are use &y
Configuration control &oar for further ecision ma$ing%
Change "mplementationF 'he approve changes are ta$en for implementation an the relevant
components are upate% As re6uire &y the change# the components may &e teste or evaluate
with other methos% 2n successful valiation of changes the relevant sta$eholers are informe%
All the change re6uests are trac$e using a change re6uest log with the current state of progress
an it+s upate an maintaine%
Status AccountingF
At any given point in time# the statuses of configura&le items are ta$en as snapshot% 'his inclues
ta$ing the current escription of configura&le items from your tool 4in olen ays Master list of
ocuments an recors use to support this5# Status of change re6uests# status of items which are
in the process of change implementation% A com&ination of these will actually gives the status
accounting in a particular point in time% 'his activity is repeate at fre6uent intervals or &ase on
the nee% 'his is critical# as any point in time# if you want to restore &ac$ to a wor$ing conition
of your prouct# it+s possi&le with status accounting%
0hen 0inows operating system crashes the restoration happens to a previous ate# which is
availa&le# when the 2S was wor$ing% 'his is nothing &ut the status accounting recors availa&le
for that perio an version of those files availa&le# so 0inows goes &ac$ to that point in time
wor$ing software%
Configuration AuitingF
Configuration Auits help in ensuring that relevant versions are inclue in the right &aselines
an the system is reay for release with right configurations% Configuration Auit consists of
physical an functional configuration auits% 'he purpose of physical configuration auit is to
ensure that relevant configura&le item is availa&le with the right etails an in right
&aseline8&uil% "n 9unctional configuration auit the purpose is to ensure that the right content is
availa&le in the configura&le item an completeness of the configura&le item% 'hese &oth ensure
the integrity of the final release%
"f you &uy a television an you see a user manual of ;V; player or you foun the user manual
of 'V# &ut the contents are for some other series 'V of that &ran# or you fin the sections are
misarrange with their titles# it means there was no Configuration Auit conucte in it%
Configuration *lan inclues the following#
1%0 2verview
1%1 *urpose
1%2 Scope
2%0 Configuration Management System
2%1 /oles an /esponsi&ilities
2%2 /esources O 'ools
2%3 .aming Convention for C"s
2%H CM /epository Structure
2%A "nterface with other 'eams
3%0 Configuration "entification an <aseline etails
3%1 <aselines
S7V <aseline *urpose O *oint of <aseline Contents
3%2 Configuration "tems
S7V C" "; C" .ame Approve <y <aseline ;etails
H%0 Change Management an /elease
H%1 Access Control /ights
H%2 Change /e6uest trac$ing
H%3 Change Control proceure
H%H Versioning
H%A <ac$ an /estore
H%K "nterface with &uil or *rouct "ntegration plan reference
H%> /elease an .um&ering
A%0 Status Accounting an Configuration Auiting
A%1 Status Accounting
A%2 Configuration Auiting
Configuration Management <enefitsF
<etter trac$ing of changes
Clarity in outputs an management
Supportive to &etter release management
/euction in reunancy issues
Management of &aselines an its components
Supports comple3 evelopment environments
Support continuous &uils
Supports in istri&ute wor$ing team moels to manage the configurations%
Software !stimation
!stimation in software inustry is an area where lots &een e3perimente an there are few
methos availa&le with us to o &etter estimation compare 1A years or so% "n our normal life we
o estimation regular &asis without much pro&lem# li$e we estimate our arrival time# we estimate
height# si)e# weight an so many% <ut how o we o# mostly it+s &ase on past e3periences an
some e3trapolation# aition of &uffer to counteract un$nown characteristics%
"n software !stimation we mainly concentrate on estimating Si)e# effort# cost an scheule% 'he
estimations are performe in various instances li$e#
*roposal stage
*ro(ect planning stage
/e6uirements stage
;esign Stage
0henever Change in scope happens
'he estimation flow coul &e &roaly put in this way#
0e will see some of the estimation methos which are use in inustry commonly#
'hree point !stimationF
"n this metho the estimations are &ase on three ifferent values for any given conte3t% 'he
pessimistic# optimistic an most li$ely values are the three ifferent values consiere in this
metho% !ffort is irectly calculate using this metho without any si)e% 'his metho is use in
some organi)ations where the estimation has lesser role 4smaller pro(ects8tas$s5% !3perience of
the mem&ers estimating# plays $ey role in the success of estimation in this metho% @owever in
some cases this metho is use for Si)e calculation &ase on 72C for the programs an the final
erive Si)e is multiplie with prouctivity to erive effort%
!stimation valueW 42ptimistic valueX pessimistic value X HY 4most li$ely value558 K
0ie <an ;elphiF
'his another metho &ase on e3pertise in an activity# in this metho also the effort is irectly
erive an no si)e calculation% "n this metho# the e3perts are calle an e3plaine the
re6uirements an relate conte3ts# an they are as$e to provie their estimation separately
without any iscussion with others%
'he estimations are plotte an the lowest an highest values are eclare an rationale for them
is unerstoo from the mem&ers% "n a session the conte3t an availa&le more etails are provie
to the mem&ers# an again they are as$e to estimate% "n this way at some point# the values are
closer an that &ase on consensus that estimates is ta$en for further usage%
Stanar Components MethoF
"n this metho# &ase on overall scope of wor$# the ifferent components which have to &e
prouce are liste own% 'here are rules create to ientify the components with certain level of
comple3ity% <ase on the rules# every component 4&ase on type5 is assigne with certain
comple3ity% .ormally the components are classifie as li$e simple# meium an comple3% 'he
effort allocation is &ase on their comple3ity value% "t+s more of relative effort allocation# as the
simple component ta$es some L hours# the meium component may ta$e 1%AY L hours in that
way its allocate% 'he !ffort in this metho is calculate mainly for construction phase using the
componentsR hence the effort has to &e e3trapolate to cover other phases in evelopment
4/e6uirement# esign# testing# etc5 an overall evelopment effort erive% 0ith this the
aitional effort for pro(ect management# 6uality assurance# configuration management# &uffer
effort# etc are ae to erive the final effort% 'his metho is mostly aopte in many
organi)ations as usual metho% @owever not having a si)e value# ma$es this metho wea$% 'he
comparison with other pro(ects is not possi&le# &ecause the si)e of the prouct is un$nown%
@owever it+s simple an effective in many conte3ts# as long as the team follows the rules clearly%
"n this same metho# few organi)ations a weightage &ase on# simple wor$ e6uivalent to 1
unit of si)e 41 ay effort5 an as the comple3ity increases the unit also allocate with higher
weightage# an the total is calculate as Jnit of 0or$% 'hey use this value as Si)e%
9unction *oint MethoF
'his metho is one of the most use methos in estimation% 'his is &asically a measurement
metho for si)ingR however this is use in the early stages of the pro(ect# with the availa&le
re6uirements an features etails% 'he Si)e calculation is getting refine over a perio as there is
clarity in re6uirements an in features% 'his si)e measuring metho was pu&lishe first &y A J
Al&recht of "<M% Currently this metho is owne &y "nternational 9unction *oint Jser Croup
4"9*JC5 an they have &rought in few changes to cope with newer technologies an type of
pro(ects% 9unction points measure the functionality elivere &y an application from the user+s
perspective%
9unctionality classification
"n 9unction point calculation we nee to fi3 the &ounary of the application first% 0hat is
inclue# e3clue# ata accesse from other applications# interface with harware# etc are
ientifie an &ounary is fi3e%
'he functionality is classifie as !3ternal "nput 4 *rocessing ata or control information which
enters in to the application &ounary5# !3ternal 2utput4 *rocesse ata or information that e3its
the application &ounary5# !3ternal "n6uiry 4 *rocess retrieves ata from the application
&ounary with re6uest5# "nternal 7ogical 9ile 4Jser ientifia&le group of logically relate ata
maintaine within the application &ounary5 an !3ternal "nterface 9ile 4Jser ientifia&le group
of logically relate ata use within the application &ounary# &ut maintaine &y e3ternal
application8 interfaces5%
'he ifferent functionalities are ientifie uner these categories an liste% !ach of them are
classifie for their comple3ity# &ase on the recor8files an ata elements they hanle an they
are classifie as 7ow# Average# @igh comple3ities 4pre fi3e ta&les with values &ase on ta&les
helps to fin the comple3ities5% 'hen they are converte in to function point count using the
weightage &ase on comple3ities% 'he ta&le with weights for all five types of functionalities is
availa&le 4pre:efine5
Multiplying the num&er of functionalities with relevant weightage gives Jna(uste 9unction
point count%
@owever few organi)ations use the 1H Ceneral system characteristics 4li$e ata communication#
performance# online ata entry# etc5 an apply the influence level 40 to A scales5# to &ring a value
which is calle Varia&le A(ustment 9actor 4VA95% 'he count of total influences are calculate
&y aing the influences egree# this value can &e minimum 0 to ma3imum >0 4the reason is 1H
times of A5%
A(uste 9unction *oints are erive using W Jna(uste 9unction *oint count Y VA9
0hereas VA9 W 0%KA X 40%01Y 'otal ;egree of "nfluence5
0hat it means is VA9 can &e on the lower sie 0%KA an higher sie 1%3A an can &e any value in
&etween% So if the una(uste function point is 100# then &ase on VA9# the a(uste function
point can vary &etween values KA to 13A%
"n aition to these estimation methoologies there are cosmic function point metho# Jse case
point estimation# feature point estimation an other methos are availa&le% 'hese methos are
useful in estimating si)e an from there the effort is calculate%
"n Cosmic9* metho they use /ea# 0rite# an !ntry an !3it type of ata movement an
&efore that the functional processes an su& processes are ientifie% 'his metho is more useful
in multi tier architecture environment%
0ithout si)e when we erive effort# we lose the avantage of comparison with other pro(ects an
also we will not a&le to calculate the prouctivity% As *rouctivity is something which is erive
&y comparing the Si)e prouce with effort consume# the case when we on+t have
prouctivity# further analysis an improvement &ecomes ifficult% 0henever a metho gives
si)e# the effort is erive &ase on the past &enchmar$e prouctivity value in the organi)ation
4&y multiplying5 to erive the effort%
Sometimes organi)ations compare the estimate effort with actual effort an claim that as
prouctivity# which is actually not% 0e may say that+s an estimation ine3 value which help as to
compare plan with actual% @owever such metrics always &rings inaccuracy# as we may o wrong
estimation# or poor performance% @ence we can+t clearly attri&ute these $ins of metrics%
2nce the effort estimates are erive from Si)e or through irect methos# then we ientify the
resources an count# which will help us to fi3 the scheule% 'he resources are selecte
consiering what coul &e the optimum si)e an lifecycle# etc# so that timelines can &e met for
the elivera&les% Cost estimations are erive &y using the resource cost an infrastructure cost
an contri&ution margin8profit margins an total cost is erive%
/is$ O "ssue Management
/is$s are uncertainties in a pro(ect# which coul negatively impact the pro(ect% /is$ management
is a formal activity which consists of /is$ ientification# !valuation an implementation of
action plans% /is$ management in a pro(ect is the responsi&ility of pro(ect manager%
2rgani)ations may have /is$ Management strategy evise at organi)ational level to guie the
pro(ect manager%
/is$ "entification M /is$ "entification shoul &e normally performe along with the team an
usage of ris$ ientification chec$list an loo$ing at past similar pro(ect+s ris$ log# woul help in
ientifying ris$s% "entifie ris$s are normally tagge with category an source% 'hese help to
analy)e the ris$s an to &uil ris$ repository%
/is$ !valuation M /is$s are analy)e an evaluate% 'he pro&a&ility an Severity of impact are
(uge 4can have certain guiance at organi)ational level5 an from that /is$ !3posure "ne3 is
calculate% *ro&a&ility tells us# the chance of ris$ happening in our pro(ect 4a scale of 0 to 1 is
useR sometimes customi)e scales are also use5% Severity of "mpact tells us# how &a the
pro(ect can get impacteR if that happens 4a scale of 1 to A or any customi)e value can &e use5%
/is$ !3posure "ne3 is a multiplication of these two values#
/is$ !3posure "ne3W *ro&a&ility of occurrence Y severity of impact
<ase on the final /is$ !3posure "ne3 of ientifie /is$s they are targete for /is$ treatment%
"n aition to this ris$ priority 4timely response5 is also evaluate# as some ris$s nee to &e
aresse immeiately an others coul &e little later# though their ris$ e3posure value is high%
/is$ StrategiesF
'he following are ifferent ways of managing ris$s#
/is$ AvoianceF !nsure that ris$s on+t appear# &y refraining8changing a tas$% 9or e3ample#
change in contract to avoi ris$ or not unerta$ing a wor$8e3clusion from scope
/is$ MitigationF 'a$e actions to reuce the impact or pro&a&ility of ris$% 9or e3ample# 7ac$ of
$nowlege in a omain# is mitigate with Pnowlege transfer from a su&(ect matter e3pert%
0hen the ris$ mitigation fails to reuce the impact or pro&a&ility# then ris$ contingency plan
shoul &e there to treat the ris$% 9or e3ample# in this same case when there is no improvement in
$nowlege# recruiting a su&(ect matter e3pert in to the pro(ect can &e the contingency plan%
/is$ 'ransferF 'ransferring the ris$ to someone% 9or !3ample# su& contracting a pro(ect to some
other organi)ation
/is$ AcceptanceF 0hen the ris$ mitigation cost is more than the impact create &y ris$ we may
accept the ris$% 9or e3ample# usage of particular free tool increases effort in pro(ect# &ut the other
commercially availa&le are costlier an it woul outweigh the current cost incurre &y the
increase effort# then we will (ust accept the ris$%
/is$ Management actionsF
!very ientifie ris$ is etaile with source an category# they are evaluate for pro&a&ility an
impact# /is$ e3posure ine3 is calculate an priority is upate% 'hen &ase on treatment
strategy# ris$ mitigation action an contingency actions are entere appropriately% 'he actions are
allocate to a personR the target ate for completion of the action is entere%
/is$s an their actions are evaluate on fre6uent &asis 4wee$ly8&i wee$ly5 an the effectiveness
of actions an tren of the ris$s are monitore% 0herever the ris$ e3posure ine3 is not reucing#
new actions are ientifie an trac$e%
/is$ logF
A simple mean to ientify an trac$ ris$s in one place in pro(ect#
/is
$ "
/is$
;etai
l
Source
O
Categor
y
*ro&a&ilit
y
"mpac
t
/is$
e3posur
e "ne3
*riorit
y
Mitigation
O
Contingen
cy action
'arget
ate O
/esponsi&
le
Statu
s
"ssue ManagementF
Any isruption# which is impacting the pro(ect aversely# is an issue% /is$s when they reali)e in
a pro(ect# it &ecomes issue% 0e may see a ris$ &ecoming issue or une3pecte isruption coming
in to pro(ect% "n "ssue management# the severities of "ssues are logge an time priority is
trac$e% As alreay the issue is isrupting your pro(ect# there is no waiting perio# a stringent set
of timelines set to ta$e corrective actions# however if the actions are not complete then its
escalate immeiately%
"ssue " ;ate
/aise
"ssue
;etails
Severity 'ime
*riority
Corrective
action
'arget ate
O
/esponsi&le
Status
'ailoring an waiveringF
2rgani)ational level efine processes may not &e suita&le to all pro(ects as it is# an hence we
have the concept calle tailoring% 'ailoring is more of pre:analy)e an pre:approve in nature%
'his is &ecause at organi)ational level there will &e tailoring guieline create an availa&le on
when tailoring can &e performe# the ifferent segments of pro(ects an allowe tailoring for
them are ocumente in that%
2rgani)ations mostly classify their pro(ects &ase on Si)e of the pro(ects# technology an type of
pro(ects# an for each segments given here the allowa&le tailoring in terms of each process
4activities tailoring an template tailoring5 is pre ientifie8guiance given%
So pro(ects can select the tailoring &ase on tailoring guieline# &y consiering the characteristics
of pro(ect an client given re6uirements on process% *ro(ects can list the entire processes an
what activities are tailore an what not# along with template etails% .ormally this tailoring
nees the Software Quality Analyst approval# who is assigne for the pro(ect%
*rocess
.ame
'ailore80aivere Stanar
Activity
'ailoring
O etails
Stanar
'emplate
'ailoring
O ;etails
0aiver O
/eason
,es8.o ,es8.o :
SinfoI
,es8.o :
SinfoI
0aivering comes in to place when tailoring goes &eyon the guieline an it+s actually changes
the process so much or a process itself is not followe% 'he waiver nees S!*C approval an
elivery team approval# as not following a process or completely ifferent process has its own
impact an it has to &e evaluate%
Software !ngineering M ;evelopment
Software !ngineering consists of /e6uirements# ;esign# Coing an 'esting# &uil an release
an /eview activities% An unerstaning on these engineering activities helps the Software
6uality analyst to perform the (o& more effectively% 0e will see them in &rief in this section#
/e6uirements !ngineeringF
Software Quality is greatly influence with the 6uality of /e6uirements engineering process% 'he
effort spent an valiations performe in this phase always correlate with 6uality of outcome%
"n the initial ays this phase was not really given that much importance an re6uirements
engineering was not structure# hence the inustry face lot of pro&lems% 2ver a perio of time#
when people unerstan that poor re6uirements capturing lea to most of the ma(or failures# the
re6uirements engineering concepts get strengthene an &etter structure activities are
introuce in re6uirements engineering% As per "!!! the efinition for /e6uirement is# D A
conition of capa&ility neee &y a user to solve a pro&lem or achieve an o&(ectiveR A conition
or capa&ility that must &e met or possesse &y a system to satisfy a contract# stanar#
specification# or other formally impose ocumentE
/e6uirements engineering consists of re6uirements evelopment an re6uirements management%
"n /e6uirements evelopment# we have re6uirements elicitation# re6uirements escription#
re6uirements valiation%
/e6uirements !licitationF
'here are various methos &y which re6uirements can &e collecte from client% .ot always we
e3pect the client to give all re6uirements e3plicitly an many times they may assume few things#
&ut as a evelopment organi)ation8service provier we can+t &e living with less information an
provie a prouct which is not fit for use% "f a patient comes to a octor an tells his compliant to
consult with the octor# it+s e3pecte the octor as$s relevant 6uestions an unerstans the
conition well# &efore getting into solution# &ecause the solution shoul &e useful an cure the
pro&lem for the patient% "n a similar way# it+s the responsi&ility of software organi)ation to
en6uire an collect the relevant information to &uil the software8provie service%
'here are various techni6ues li$e o&serving the wor$# Apprenticing# interviewing the client#
performing wor$shop# conference room piloting 4in *ac$ages this is normal techni6ue5 an
throw away prototype%
/e6uirements ;escriptionF
'he /e6uirements shall &e ocumente in a formal manner% Most of the time <usiness
/e6uirements are capture an then Software /e6uirements Specification ocument is create%
'he re6uirements are normally classifie as 9unctional an .on: 9unctional re6uirements%
9unctional re6uirements are specific to the prouct features an .on functional re6uirements
helps in ensuring the compliance# security# performance an other re6uirements which are
neee for efficiency of software%
Jse cases# Jse case iagram# ata flow iagram# !ntity relationship iagram an other are
common way of e3pressing the functionalities% !ach re6uirement shall &e uni6uely tracea&le%
Software /e6uirements Specifications shall have the following etails#
1%0 Software Application Scope
2%0 2verall ;escription
2%1 Application *erspective
2%2 Jser Characteristics
2%3 *rouct 9unctions
2%H Assumptions an epenencies
2%A /e6uirements Su&set
3%0 9unctional /e6uirements
3%1 /e6uirement Suni6ue iI
3%1%1 "nputs
3%1%2 *rocess
3%1%3 2utput
3%1%H 'esta&ility
3%1%A ;epenencies
3%1%K ;ata
3%1%> /eports 4if any5
S/epeat /e6uirementsI
H%0 Specific /e6uirements
H%1 "nterface /e6uirements
H%2 /eport formats
A%0 /e6uirements Moel
A%1 Jse case ;iagrams
A%2 Class ;iagrams
A%3 ;ata flow ;iagrams
A%H !ntity relationship ;iagrams
K%0 .on 9unctional /e6uirements
K%1 *erformance
K%2 Security
K%3 /egulatory compliance
K%H 7icensing re6uirements
K%A Safety
K%K 2thers
/e6uirements are analy)e for their applica&ility# achieva&ility# completeness# etc an &ase on
that they are move to a particular moule or to a particular release%
/e6uirements ValiationF 'he /e6uirements capture are valiate &ase on various availa&le
methos% Jsage of prototypes# conference room piloting# performing meeting with client or
review &y client all of them contri&uting to valiation of re6uirements% /e6uirements are
reviewe internally &efore it+s sent to client% !very organi)ation supposes to have a review
chec$list to help the reviewer% @owever having a chec$list with too many points is never a goo
way# as most of the time the chec$list will &e ignore in practical life%
/e6uirements ManagementF
/e6uirements are often ten to change or we foun that few re6uirements can+t &e elivere in
the way we planne% @ence management of re6uirements is $ey for successful elivery# in
aition whenever there is change in scope# organi)ations face pro&lem in fining the actual
impact an in estimation% A well manage re6uirements list with ae6uate tracea&ility helps in
reucing this pro&lem% !very re6uirement liste or ientifie shall &e unerstoo well &y the
esign team# evelopment team# testing team an &y client% 'his unerstaning an clarifications
ma$es things clear for the pro(ect team to wor$ on% A &i:irectional tracea&ility matri3# with
which we can trace a re6uirement from# &usiness re6uirements "; :Isoftware re6uirements ";:
I@igh level esign section:I7ow level esign section:Iprogram ";:Iunit test case ";:I
"ntegration test case ";:ISystem test case ";:I<uil ";:I /elease ";# till release an from a
release &ac$ to &usiness re6uirement specification "; is possi&le with &i:irectional tracea&ility%
<us%
/e6
";
Soft%
/e6
";
@igh
7evel
;esign
7ow
7evel
;esign
*rogram
";
Jnit
test
";
"ntegratio
n 'est ";
System
'est ";
<uil
";
/elease
";
;esign !ngineeringF
;esign *rocess helps in translating the re6uirements in to solution specifications% ;esign
inclues logical splitting of moules for &etter control an unerstaning% Structure esign
ma$ing with ae6uate guielines an stanars is the nee of the hour for &etter esigning%
;esigning involves three levels a5 Architecture creation &5 @igh level esign creation an c5 7ow
7evel esign creation%
Software Architecture efines the components of an relationships among all the software
involve in eveloping# testing an operating the application% Architecture inclues operating
systems# ata&ases# mile ware# ifferent tiers involve# moules an applications involve%
Architecture can consist of functional an physical epicture in nature% 2n nee &asis the
architecture can &e of etaile nature for each tier8 ata&ase8networ$# etc separately efine%
Architecture shall &e verifie for scala&ility# maintenance# porta&ility# performance# ro&ustness
an open stanars% 2n eveloping the architecture there coul &e multiple options on selection
of components or esigning the layers itself# in such cases the alternates has to &e capture an
final ecision to &e erive &ase on formally evaluate &enefits%
1% "ntrouction
1%1 Scope
1%2 ;efinitions8Acronyms8A&&reviations
1%3 Conventions 8 .otations
1%H /eferences
2% Architecture 2&(ectives
3% Architecture Constraints
H% Alternatives consiere
A% Alternative chosen with (ustification
K% Software Architecture
>% @arware Architecture
N% .etwor$ Architecture
=% 9unctional Architecture
10% ;ata&ase Architecture
11% !3ternal "nterfaces
11%1 'hir party components
11%2 2ther applications
11%3 @arware ;evices
12% Assumptions
@igh 7evel esign
@igh level esign presents the logical view of the physical computer implementation% 'he
esigner ecomposes the system into software moules8components an ientifies functionalities
of each component $eeping functional inepenence in min% "t specifies functional esign#
ata&ase esign# communication esign# user interface esign# etc%
1% 2verview
1%1% "ntrouction
1%2% *urpose
1%3% Scope
1%H% ;efinitions an A&&reviations
1%A% 7ist of /eferences
2% System Moel
2%1% "mplementation view of !/;8;9;
2%2% Jse:Case /eali)ations
3% 7ogical View
H% Moules "nteraction View
H%1% Moules Specifications
H%2% Moule "ntegration etails
A% "nterface ;etails
A%1% Jser "nterfaces
A%2% Software "nterfaces
A%3% @arware "nterfaces
K% Security View
>% ;eployment View
N% "mplement View
N%1% 7ayers 2verview
N%2% Components
N%3% "nterface
=% ;ata&ase View
7ow level ;esign
7ow level esign provies etaile aspects which helps the eveloper to unerstan an coe
6uic$ly% Some organi)ations may not have split of @igh 7evel an 7ow esign# &ut instea one
single esign ocument% Cetting too much etail in low level esign is again &ase on criticality
an cost8time involve in it%
1% "ntrouction
1%1 Scope
1%2 ;efinitions8Acronyms8A&&reviations
1%3 Conventions 8 .otations
1%H /eferences
2% ;escription of Jnits
2%1 Jnit Specifications
2%1%1 Jnit Specification ";
2%1%2 Creation ;ate
2%1%3 Screen ;esign
2%1%H Valiation 7ogic
2%2 Jnits "ntegration ;etails
3% *seuo coe
H% /e:usa&le components
H%1 /eusa&le components use
H%2 /e:usa&le components to &e evelope
A% ;ata Manipulations
K% !rror *rocessing
>% "nterfaces
N% *erformance
=% Assumptions
"t+s important to ensure less coupling 4high epenency &etween moules5 an more of
cohesiveness 4internal elements &ining in a moule5 is there in the esign%
Coing an 'estingF
Coing activity is the &ase where the prouct is reali)e in to an e3ecuta&le shape% Coing nees
preparation# where the esign an re6uirements are unerstoo &y the evelopers% 'hey
unerstan the evelopment# test an prouction environments# so that eployment can &e
unerstoo% Sometimes coing is &ase on component test cases evelope over the low level
esign# this is test riven evelopment% 'he eveloper may chec$ for the e3iting reusa&le coe or
open source coe to use# however they have to &e clear on the origin an unerstaning on the
"ntellectual property rights 4what can &e use an when# is it allowe# etc5% 'hey have to follow
the coing stanars an naming conventions when they coe% 'he coe may &e aily integrate
or wee$ly integrate or so on# hence the configuration practices ientifie for the team has to &e
followe% !na&ling efault eitors in the coing environment helps to reuce the rewor$ an
improves coe 6uality% Sometimes organi)ations thin$ that efect is in(ecte in this activity an
that can &e remove using ae6uate testing# this is a wrong conception% 'he efects are in(ecte
from re6uirements activity itself an the efect in(ecte at that stage is more evastating than the
efects in(ecte at coing 4though volume may &e more5
'esting involves operating an application or application components uner controlle conition
to evaluate the results in orer to iscover the error% "n Some cases# testing is use as 6ualifying
the software% 9or &etter unerstaning on 'esting efinitions# please refer "S'Q< 4"nternational
Software 'esting Qualification <oar+s materials an Pnowlege areas5 site%
'here are ifferent $ins of testing availa&le an few of them are given for reference#
<lac$ &o3 'estingF 'esting is &ase on functionality an the esign an coe is not valiate in
this%
0hit &o3 'estingF 'ests are &ase on coverage of coe statements# &ranches# paths an
conitions%
Smo$e8sanity 'estingF "nitial testing to chec$ if the software is goo enough to ta$e for etaile
test%
/egression 'estingF /e:testing after fi3ing of efects or moifications% .ormally automate tests
are use to reuce the human effort# in such cases# regression test scripts are written%
7oa 'estingF 'esting the application uner heavy loas to chec$ when the application fails
*erformance 'estingF Jner ifferent conition how the performance8response of the application
is teste
Security 'estingF @ow well the system is protecte from unauthori)e access# intentional
amages# etc% *enetration testing is performe to chec$ possi&le penetration in to the system to
chec$ the various failure points%
Alpha 'estingF 'esting is performe in the organi)ation itself with some other evelopers8 with
potential users to chec$ the prouct% 'his testing is performe &efore &eta testing%
<eta 'estingF 'esting is performe &y the en users in their environment an fee&ac$s are
given# this is useful ma$ing minor changes &efore final release%
Acceptance 'estingF 'ests are performe &y client or representative of client% 'he re6uirements
agree are teste in the client environment an this test helps to accept the software &y client%
7evels of 'estingF
Component8Jnit 'estingF 'his is the lowest level of testing an it concentrates on lowest unit
verification% 'his testing is one &y the programmer themselves with clearly written unit test
cases% Sample of units are a screen# a message &o3# etc% "n unit testing the &asic fiels# low level
interfaces# unit &ounaries are chec$e%
"ntegration 'estingF "ntegration tests concentrates on verifying component interfaces# moule
interfaces% 'he target is to see if the integration wor$s fine% "ntegration testing has many
approaches li$e &ig &an testing# &ottom up testing# top own testing an sanwich testing%
System 'estingF 'he test is performe to chec$ is the software re6uirements are met with the
final prouct% 'esting is normally conucte on the complete system8application% 'he software is
valiate for functional an non: functional re6uirements% 'he system test environment shoul
&e a replica of client prouction environment as far as possi&le% /elevant clients supplie ata
can &e use for this testing purpose%
'est ActivitiesF
'he testing process starts with unerstaning of the re6uirements an ma$ing a test strategy to
test the prouct% 'est Strategy can &e ocumente as part of test plan or it can &e a separate
ocument% 'est Strategy &alances &etween cost of testing an /is$ on prouct 6uality% A goo
testing will cover all the features an critical features ae6uately teste with# test cases with
a&ility to iscover efects% Chec$ing the 6uality of testing is often ifficult# however the process
of testing can &e controlle# test case coverage# verification of test cases can &e performe% "n
some organi)ations they use preiction moels# which are &ase efects ientifie in earlier
phases using review an other techni6ues% 0hen the preicte num&er of efects is not ientifie
in testing# then the organi)ation tries to unerstan or control the testing activities%
'est plan inclues the following#
1%0 "ntrouction
1%1 *urpose
1%2 Scope
1%3 Acronym an A&&reviations
2%0 'est Strategy
2%1 'eam Structure
2%2 Scope of 'esting
2%3 'est "tems
2%H 9eatures to &e teste
2%A Approach
3%0 !ntry an !3it Criteria
3%1!ntry Criteria
S;escri&e the !ntry Criteria for this 'estingI
3%2 !3it Criteria
S;escri&e the !3it Criteria for this 'estingI
3%3 "tems *ass89ail Criteria
3%H Suspension an /esumption Criteria
3%A Acceptance Criteria
H%0 'est ;elivera&les
A%0 'esting 'ools
K%0 'esting 'as$s
>%0 'est Configuration
>%1 !nvironment .ees
N%0 /esponsi&ilities
=%0 Staffing an 'raining .ees
10%0 Scheules
11%0 /is$s an Contingencies
12%0 ;efect /eporting an Management
'est Case escriptions are normally part of a test log with uni6ue i an tracea&ility is
esta&lishe with the re6uirements% 'he tools which are use for managing the tests# has
capa&ility to enter the tracea&ility with re6uirements# trac$ the e3ecution# log the efects an
provie reports on efect age# tren# etc
System test report issue &y the testing epartment is manatory for release# in some
organi)ations% System report consists of final status of efects an how many are $nown#
accepte an their criticality% "t specifies the release version or &uils which was teste an how
many test cases are teste an coverage of testing# etc%
<uil an /eleaseF
'he software is integrate as per the prouct integration plan an each &uil is prepare with
clear &uil note% Some of the newer technologies an tools are having continuous &uil# in such
case the &uil etails are maintaine in the environment itself% /elease process consists of
verification of relevant items availa&le for release 4source coe8programs8pac$ages8user
manual8installation manual8support ocuments8etc5% /elease chec$list is often use to review the
final set of elivera&les an all relevant approvals from testing# 6uality assurance an esign
team shoul &e availa&le &efore release% "n some organi)ations release auit is performe# this is
important when its prouct evelopment organi)ation an when they o the launch%
/elease .otes typically contains the following information#
*rouct8*ro(ect etailsF
/elease .ote versionF
/elease Contents
Serial " Component ;etails State of /elease Version
System /e6uirementF
2perating System /e6uirementF
;epenenciesF
Pnown "ssuesF
Moe of ;eliveryF
ApprovalsF
Service Management
Services are intangi&le in nature an can only &e reali)e an also a service may reach the client
immeiately unli$e a prouct% @ence service management has to &e loo$e ifferently than
prouct evelopment% An organi)ation shoul &e prepare to eliver service with ae6uate
preparation# &efore entering in to service elivery# as the services are immeiately consume &y
client%
2rgani)ation prepares for Service elivery &y analy)ing their current capa&ilities an what $in
of services they will &e a&le to provie% 'he organi)ation prepares the complete roamap for a
particular service# ientifies the uni6ue offerings# wor$s on the cost an prepares a service
catalogue% "n this process they also evaluate the resources they have to provie such services%
0here re6uire they wor$ on eveloping the service system 4inclues tools# methos# resources#
reports# governance# etc5% 'he ientifie services are offere to the client an &ase on the
service catalogue an escriptions# the service agreement is esta&lishe% Service agreements
typically consists of ifferent services# coverage# support urations# e3clusion# service levels#
penalty clauses# 6uality of service# etc%
'he applications which have to &e maintaine or service etails are transferre to the
organi)ation from client or from another venor% 'ypically in service transitions the plans are
mae for application transfer# $nowlege transfer# tool information transfer# process transfer an
ata transfer# etc% 'here are intermeiate phases ientifie as re6uire% 'he Service transition is
evaluate using 'ransition Completion chec$s% Many organi)ations have preefine evaluation
sheets an metho to ecie on service transition completion an they are reporte to all the
sta$eholers an approval o&taine%
Service elivery involves the agree services &eing elivere as per the service agreement an
maintaining of service system to eliver the services% 'his is a continuous process as per the
agree contract an normally of long uration% "f the application maintenance is the service
agree then# incient management# service re6uest management# pro&lem management# change
management an release management plays $ey role% "n aition is the service es$ has to &e
maintaine &y the organi)ation# then they are esta&lishe an service es$ personnel are traine
4normally in service transition itself5%
Services are close as per the agree timeline# in case of no renewal of contract% "n such a case
the relevant ocuments are archive an $nowlege transition to new service provier is given%
"n some cases the client might as$ some support as technical e3pert# to &e there with new venor%
Services are close an financial accounts are close an pro(ect given ocuments are store in
relevant repository% "n case of a service phase out# the service line etails are archive an
relevant communications are mae to the sta$eholers%
Service ;es$F
Service ;es$ is the first level interactive team with users an they capture an recor the client
given re6uests8complaints% Service es$ can &e central or istri&ute an they can &e 2HY> or
customi)e wor$ing ays an hours &ase% Service es$ people nee customer facing s$ills an
they are also provie with certain pre ientifie solutions an information etails# which they
themselves can share with users to close the re6uest% Service es$ team normally creates uni6ue
i for each re6uests8complaints# which can &e trace for closure% 'he service entry system an
transfer of tic$ets are typically automate with tools%
Service /e6uestF
'he service /e6uests are typically information re6uest &ase an they can &e with processing or
without processing% 'he re6uest an complaints are first analy)e an then it+s etermine
whether it+s a service re6uest or incient 4isruption to e3pecte service for user5# then service
re6uest is assigne to relevant team mem&er who is availa&le 4as per plan5% 'he service re6uest is
resolve an the status is upate for fi3% 'he client confirmation an fee&ac$ is ta$en as
neee%
"ncient ManagementF
"ncients are raise &y user an logge &y service es$% 'he incients are classifie an
prioriti)e li$e ma(or incient# technical8application wise8etc# priority high# priority meium#
priority low# etc% 9or ma(or incients there are typically criteria availa&le to classify them an
separate proceure availa&le to inform relevant sta$eholers an ta$e immeiate actions to
restore the service &ac$% 'ypically the ma(or incients are ta$en for further root cause analysis
an it can initiate pro&lem management% 0henever there is wor$aroun ientifie an that can
&e use in similar conitions then $nowlege ata&ase is upate% 'ypically high priority tic$ets
may not have coe fi3es# an low priority tic$ets may have coe fi3es an then testing is
performe an fi3 is applie afterwars% 'he users are informe on fi3# an typically a time limit
is given to user to respon for ensuring closure# else the status is move to closure automatically%
*ro&lem ManagementF
'he repeate incients# ma(or incients# trens 4proactive pro&lem management5 are all triggers
for pro&lem management% *ro&lem recors are create an category is ientifie an resource is
assigne% 'he pro&lem is investigate an error recor is create# further analy)e on error# will
help in unerstaning the error an solution relate to it% 'his conition is $nown error an the
Pnown error ata&ase is upate 4P!;<5% 'he relevant /e6uest for Change 4/9C5 recor is
create an it goes through change management process to implement the solution%
Change ManagementF
'he Change re6uest can &e of stanar change re6uest# which is pre approve in nature# an
changes are implemente an the change re6uest is close% "n case of emergency change re6uest
the change approval &oar with emergency team with relevant protocol approves it an the
changes are implemente an then changes are move to prouction% "n the conte3t of normal
change re6uest# it+s analy)e for minor an ma(or C/ an accoringly coing# testing# roll out
plan an moving to prouction happens%
/elease ManagementF
/elease management plays vital role an release can &e of full# elta or pac$age release% /elease
management helps in ensuring the configuration management ata&ase an efinitive software
li&rary an efinitive harware li&rary are upate an relevant version of prouct8change is
getting implemente% "n aition roll out strategy an roll &ac$ strategy is mae availa&le%
/elease Manager /ole is responsi&le for release to the prouction% /elease plan inclues training
to relevant users also%
/eviews
/eviews are formal evaluation techni6ue in which software re6uirements# esign# or coe are
e3amine in etail &y a group of persons other than the author4s5 to etect faults# violations of
evelopment stanars an other pro&lems 4as per "!!! ;efinition5%
'ypically reviews are use as part of Verification activities# however &ase on the conte3t an
purpose they can &e valiation metho also% /eviews are consiere as Static Verification an
Valiation metho# whereas 'esting is ynamic Verification an valiation metho% /eviews are
typically use to etect efects at the early stage for removal% 'hey reuce the overall rewor$
cost compare to completely epening on testing activity to remove efects%
9or !3ample# 1 re6uirement is aresse with multiple ta&les in esign# with multiple programs
in coing# many test cases are written in testing% "f the re6uirement is wrongly written# reviews
can eliminate the efect at the &eginning in re6uirement phase itself# an can reuce unnecessary
rewor$% 0hereas if we wait for testing to fin # that its wrong re6uirement # the rewor$ increases
also with too much e3pectation on testing activities# it may not eliver the e3pecte results%
Activity /e6 ;esign Coing 'esting Client
Acceptance
@ien
;efects
;efects
"n(ection
10 1A 100 A 0 .A
/eviews X
'esting:
;efect
/emoval
N 12 H0 K0 K 4130:12K5 W
H
2nly
'esting
&ase
;efect
/emoval
.A .A .A =0 20 4130:
1105W20
"n the previous ta&le we can see# without ae6uate review# it+s ifficult for testing to etect all
the efects an client will also fin many efects in their acceptance testing%
/eviews are &roaly of three types we can say# 'echnical reviews# "nspections# 0al$through%
0e will see them &riefly#
'echnical /eviewF
'he o&(ective of technical reviews it to evaluate conformance to specifications an plans# also to
ensure integrity% 'echnical reviews are performe with selecte reviewers an they are 6ualifie
technically to review the wor$ prouct% /eviews are performe on the ocuments li$e
re6uirements specification# esign ocument# test cases# etc% 'he ocument to &e reviewe is sent
even when NAT complete stage in some cases for ensuring# there is no separate cycle for rewor$%
@owever in many cases the 100T complete ocument is sent for review% 'he review team may
have leaer when it group review# an he is responsi&le for preparation of final report% "n case of
*eer review# the ientifie peer will perform the review an will share the review comments%
/eviews are formal in natureR however they are not too rigi% 'he review comments have to &e
aresse &y the author of the ocument% "n software inustry we see many times this metho
&eing use# an especially in pro(ect8service organi)ations%
"nspectionF
'he o&(ective of inspection is to etect efects in the wor$ prouct an ensure that resolution is
provie to that% "nspection is formal# structure with ae6uate supportive materials 4chec$list
forms# etc5% "nspections are planne well in avance in planning stages% 'he inspection team is
ientifie# the moerator is ientifie# an every mem&er in the inspection team is supplie with
the wor$ prouct8ocument% 'here is separate inspection meeting conucte# an the efects are
iscusse an moerator governs the meeting# a recorer recors it% 'he rewor$ has to &e one
&y the author8proucer &ase on the inspection report an they are followe up for closure% "n
prouct &ase organi)ations we can see inspection metho usage%
0al$throughF
'he o&(ective is to fin efects# loo$ for alternatives an this is also serves as learning forum%
'he proucer8author wal$throughs ocument along with peers% 'he comments8o&servations are
note% 'he proucer can ecie on aressing the comments% 'he closure verification is
performe in su&se6uent stages of evelopment an not with any separate follow up% 0e can say
this metho is semi formal in nature% "n software inustry we see this metho is use often in
Coe review# as coe wal$through% A wal$through report is prouce%
Sample review log#
Versio
n
No
3or4
Pro/uct
$e5 /
Section
ID
$e6ie7
0omment
s
Se6erit
y
De5ect
In8ecte
/
Phase
1y2e o5
De5ect
Action
1a4en
to
0losur
e
Statu
s
$emar4
s




;efects are logge with severity# efect in(ecte phase an type of efect# these ata in aition
with efect causes will help in causal analysis# an prevention of efects in further pro(ects an
improve the process%
Metrics
Measurement is the process with which num&ers are assigne to attri&utes of real worl entities
in the real worl% 0e use the wor measurement as process as well as escri&ing attri&ute value
also% Measurement is typically a irect 6uantification# which involves one single value# whereas
Metric is an inirect 6uantification# which involves calculation an using more than one
measure% Many a time# metrics gives us the relevant information# to ta$e ecision an to
compare8&enchmar$ performances% "f we want to &uy a car# an we want to $now the efficiency
of a car# we on+t as$ the measure of miles it can run or we on+t as$ how much gallon petrol
can &e fille in the car# we as$ how much miles it can run for a gallon of petrol% 'his helps us to
6uantify as well as to compare with another car to unerstan the efficiency%
Similarly when it comes to software inustry# if we want to $now# out of 2 given pro(ects which
one is having &etter prouctivity# we nee as$ the effort as well as the si)e of prouct they
prouce% 0ithout a metric 4calculation &ase on measures5 the comparison is not via&le or
useful% "f you notice the two e3amples given here# we have spo$en a&out efficiency when it
comes to car an prouctivity when it comes to human% "n fact calculation an measures
involve wise they &oth are same 4output8input5# however for human we always measure 4or use
the wor5 prouctivity an for other non human resource we use the wor efficiency%
<roaly software measures can &e categori)e as#
*rocess Metrics M use for 6uantifying process
*rouct Metrics M use for 6uantifying prouct an its 6uality
*ro(ect Metrics M use for 6uantifying pro(ect relate performances
/esource Metrics: use for 6uantifying /esources usage8utili)ation# etc
Measurement activity involves cost# an having too many measures an useless measures will
lea to inefficiency in the system an increase cost% As we $now measures are important to
unerstan the current status an to control the activities% "f you are frien is waiting for you in a
shop an he calls an as$s you# how far you? 2r how long it will ta$e? ,ou can+t answer him
that you are some istance away or long istance away# you nee to 6uantify an tell him a value
li$e A miles away or 20 minutes to reach% <asically num&ers helps us to imagine an measures
helps to &uil accuracy to imagination% Measures has to &e accurate an precise# if we lac$ them#
it will create &a reputation an averse impact% 0e have to remem&er that ata is costly%
So how o we ientify which measures8metrics we nee in our organi)ation? 9or this it+s &etter
to use framewor$ li$e Coal Question Metric to &ring measures% "n this metho the Coal which
we want to achieve is escri&e an then relevant 6uestions on what we want to $now to achieve
the goal is ientifie# then the metric which will give us the information an to control is
ientifie% 'his is simpler an effective metho to ientify the metrics an organi)ation nees%
Coal 'o /euce ;efects in prouct 'o /euce Cost of prouct
Question
0hat is current ;efect
7evel
@ow much the testing is
effective in removing
efects
0hich phase contri&utes
more effort
0hat is current
prouctivity
Metric ;efect ;ensity# 'est
Containment !ffectiveness
*hase wise !ffort ;istri&ution#
*rouctivity
As iscusse here# the metrics shoul &e &ase on the organi)ational goal an nee for
information for ecision ma$ing% @owever few metrics given here for your reference#
Metric 'ype Jnit 9ormula
!ffort Variance *ro(ect Metric *ercentage 4Actual !ffort: *lanne
!ffort5Y1008*lanne !ffort
Scheule Variance *ro(ect Metric *ercentage 4 Actual !n ;ate : *lanne
!n ;ate5Y1008 4*lanne !n
;ate : Actual Start ;ate5
'esting ;efect
Containment
!ffectiveness
*rocess Metric ratio 'est ;etecte ;efects8 4*re an
*ost release efect5
;efect ;ensity *rouct Metric ;efect Count8
Si)e Jnit
'otal ;efects ;etecte8Si)e of
prouct
/esource Jtili)ation /esource Metric *ercentage /esource time logge
Y1008'otal availa&le time of
resource in pro(ect
*rouctivity /esource Metric Si)e unit8Man
ays
Si)e of prouct8 'otal !ffort
/eview !fficiency *rocess Metric ;efect Count8
Man hours
;efects ientifie in /eview8
/eview !ffort Spent
Service Management Metrics
Metric 'ype Jnit 9ormula
S7A Compliance *ro(ect Metric *ercentage 4no% of total tic$ets close within
turnaroun time5Y1008.o% of total
tic$ets
Application
Availa&ility
*rouct Metric *ercentage 4Agree Service 'ime:;own time
uring Agree Service 'ime5Y1008
4Agree Service 'ime5
Change /e6uest
Closure ratio
*rocess Metric *ercentage 4.um&er of Change /e6uests
;elivereY1008.um&er of Change
/e6uests /eceive 5
<ac$log "ne3 *ro(ect Metric *ercentage 4.o of tic$ets in the month : .o% of
tic$ets close in the month5Y1008.o%
of total tic$ets in the month
'he Metrics given here are calle 7agging "nicators# as they can only e3plain the situation when
the activity is complete# an they can only provie information that we nee to control the
future phase or perio% 'here are few metrics which are calle leaing inicators# which can
help us in preiction of future course% "n a car when we rea that how many miles we have
crosse# it+s more of lagging inicator# however if the car gives the preicte time to reach your
estination with help of C*S 4istance# traffic level# miles per hour5# then these measures act as
7eaing "nicators% "n software inustry# S$ill ine3# /e6uirements sta&ility ine3# Si)e# esign
comple3ity an other measures which are either calculate at the &eginning of pro(ect8phase or
early phases of lifecycle# which with the help of a preiction moel# if they are a&le to contri&ute
to the preiction of final results# then they are leaing inicators%
Metrics are too calculate in efine fre6uencies an it shoul &e efine each metric% 'ypically
wee$ly# monthly an milestone &ase fre6uencies are use% 'he calculation of metric an
analysis shoul &e one within few ays from the last ate which contri&utes to ata# so that
action implementation an its results can &e stuie in the ne3t perio%
Metrics are of no use unless they are analy)e an actions are ta$en% 9or analysis of metrics the
right tools to &e use% Craphical tools are of great help in analy)ing the metrics% @owever right
usage of tools is important an it shouln+t give wrong perspective of values% 9or showing
percentage of ifferent contri&utors8stratification in a metric# a pie chart is apt an usage of &ar
chart shoul &e avoie% A &ar chart is use more to show the count or iscrete values of
segments in a metric% So selection of charts has to &e well unerstoo an use% Similarly in a
&ar chart of value spanning to 1 to 100# if we show only N0 to =0 in an enlarge scale# the chart
will loo$ completely ifferent%
.ow we can see how the charts can &e manipulative# as the same values with ifferent scales
gives ifferent perception% As long as you have smart auience an people who can spent time to
unerstan# then you on+t have pro&lem otherwise you o have%
"mportant ifference that people shoul $now is the ifference &etween efficiency an
effectiveness% !ffectiveness is always relate to 6uality an it+s a percentage measure an
!fficiency is an energy measure an it coul &e of ratio or percentage%
,our organi)ational metrics program shoul ta$e care#
;on+t (ust &ring measures# (ust &ecause they are popular in inustry
;on+t measure iniviual as part of pro(ects
Appreciate ata su&mission
Convey importance of measure an eucate on accuracy an precision
Support with right tools
;on+t have high target# (ust &ecause you have measures
As$ for action items &ase on measure an convey the importance
'ry to collect measures as close to the actual wor$8activity8happening
Core SQA Activities
Software Quality Assurance activities are primarily performe &y the mem&er# who is ientifie
as software 6uality analyst% 'his person provies pro(ect facilitation support# performs wor$
prouct reviews# conucts 6uality gate review# /elease chec$s an performs Auits% 'hough the
responsi&ility of implementing the processes is there with pro(ect team# a Software Quality
Analyst plays $ey role in ensuring that 6uality assurance activities are performe as e3pecte%
*ro(ect 9acilitation SupportF
'he Act in which an SQA supports a pro(ect &y efining specific process elements#
implementing them an ensures that the processes yiels meaningful results to the pro(ect# is
pro(ect facilitation% 'he SQA may nee to perform various tas$s to ma$e the pro(ect aware of
processes# train them# chec$ the implementation# an o analysis so that the pro(ect is a&le to use
the processes for successful elivery%
*ro(ect Pic$ offF *articipate in pro(ect $ic$ off an e3plain process planning an e3ecution to
team% Contract clauses are stuie an unerstoo &y the SQA to ensure pro(ect elivers them%
*ro(ect *lanningF Support the teams with relevant artifacts from 6uality management systemR
ensure that the team prouces stanar artifacts an where neee client instructions are
followe% SQA is e3pecte to have complete unerstaning of the 6uality management system
an the options availa&le in it% Selection of lifecycles# selection of methos# relevant templates#
etc has to &e guie &y the SQA% Similarly the organi)ational process assets li$e sample plans
repository# estimation repository# ris$ repository# etc can &e emonstrate &y SQA to pro(ect to
ma$e them aware an use them% A SQA is e3pecte to thin$ as pro(ect manager an to support
the pro(ect in &uiling in a successful plan an SQA own the Quality assurance part of the plan%
Quality assurance at pro(ect level oesn+t stop with process an tools# an SQA may go an chec$
if the verification an valiation activities are appropriately planne# so that 6uality assurance of
the prouct is a reality%
!stimationF SQA shoul &e aware of the relevant estimation methos an he8she shoul &e a&le
valiate the application of the methos# templates# tools an organi)ational metrics use
4stanar prouctivity5# etc from the point of view of process% 9or e3ample in estimation its
e3pecte the pro(ect team ocuments the ris$s an constraints an then a &uffer or upate any
relevant variation to it# this step may not &e followe &y pro(ect team or pro(ect has ae a
&uffer of 1AT# whereas permissi&le limit it AT# cases li$e this SQA shoul &e a&le to point out
an as$ for approvals8technical review from senior elivery mem&ers%
'ailoringF *rocess planning is responsi&ility of pro(ect team an SQA% Consiering SQA+s have
seen the process usage an process assets usage multiple times# they shoul &e a&le to guie on
selection of process an tailor them% @ow a tool e3pert guies the user on how to go a&out tool
an what features are useful when# similarly SQA shoul &e a&le to e3plain the process an what
is appropriate when% 0here re6uire# SQA can help in customi)ing the process# templates# etc%
'rainingF SQA shoul &e a&le to ta$e training on the 6uality management system an its
components as re6uire% As many of the mem&ers in a pro(ect may nee refresher or firsthan
information on newer processes an templates# training at pro(ect level is effective in process
implementation% "n aition any specific training on causal analysis an metrics can &e hanle
&y SQA# where possi&le organi)ational level training can &e conucte on these concepts%
Metrics Analysis supportF 'he Metrics# its relevant template usage an interpretation of charts#
unerstaning of ata can &e helpe8supporte &y SQA% @owever preparation of metrics report
an writing actions &ase on report shall &e avoie &y SQA% Consiering an SQA unerstan
the num&ers an charts well# he8she can help a pro(ect team to unerstan them as well% @owever
the num&ers from pro(ect point of view can &e only &etter visuali)e an owne &y pro(ect team
alone%
Causal AnalysisF A SQA helps in performing causal analysis activity at pro(ect level% 0henever
the final outcome is at ris$ ue variation in intermeiate phase outcome 4e3F effort variance#
efect rate# scheule variance# etc5 the SQA &ase on the evise triggers can initiate the causal
analysis along with the pro(ect manager% SQA can help pro(ect team with steps in causal analysis
4usage of pareto to fin significant category# usage of fish&one to fin root cause# usage of &rain
storming to fin solution# etc5 an helps them to come out with action plans an support them in
trac$ing to closure% 'he final changes in the actual outcome can &e chec$e for improvement
using hypothesis tests%
2ngoing supportF SQA has to &e $ept engage in pro(ect# so that the varying conte3t in the
pro(ect is unerstoo &y him# an the process planning is $ept upate to suit that% "n aition the
timely intervention an support to pro(ect team is important to reali)e the prouct evelopment
with planne processes% 9or e3ample# efects are normally capture for efect analysis which
helps in efect prevention# &ut if for one wee$ the activity is not happening ue to certain
constraints# the SQA shoul &e availa&le to monitor an raise this as a concern in the pro(ect
meeting# so that the pro&lem coul &e resolve 6uic$ly an corrective actions can &e ta$en%
@owever if the SQA is involve only in review# then he comes after a month an fins the
pro&lem# then no one will &e reay to log the efects# as the volume they misse to log might &e
so high an pro(ect will try to avoi ta$ing this (o&% /emem&er not all activities of 6uality
assurance are irectly contri&utes to reali)ation of prouct in a pro(ect# some of them are lin$e
to the organi)ational maturity an contri&ution to other pro(ects% @ence people who thin$ only
for the pro(ect an for that instance may not &e reay to support this% As a system what coul
improve in software inustry is the inirect activities can &e supporte with tools for improving
efficiency an people time spent is less in them% @owever &e clear the tools also nees ata in
clear form# if *ro(ect enters efects or learning or ris$ in a messy form# the tool can+t o much
an *ro(ect effort will not go own% Sometimes people try to &ring in lean concept to software
practices# it+s a welcome# however the iscipline followe in all areas shoul also &e consiere#
an not only the selecte points of lean application% Similarly the less repetitiveness8uni6ueness
of pro(ects is to &e consiere%
0or$ *rouct /eviewsF
'he SQA wor$ prouct reviews are completely ifferent from technical review% 'he purpose of
this wor$ prouct review is to ensure that the wor$ prouct meets the 6uality stanars#
guielines# templates# regulations an planne processes are use to prouce the wor$ prouct#
along with completeness an integrity of the wor$ prouct% 'he purpose is not to fin efect# &ut
the purpose here is to ensure compliance of wor$ prouct with esta&lishe stanars%
'ypically the following wor$ proucts are reviewe &y SQA#
*ro(ect plan
!stimation
Support plans 4Configuration plan# test plan# etc5
/is$ an "ssue Management log
/e6uirements ;ocument
Solution ;esign
Coe review reports
'est cases
'est e3ecution report an efect closure
Scheuling
Metrics analysis reports
/elease plan
/elease artifacts
2ther agree elivera&les 4as per contract an plan5
/elease chec$s are &asically performe &efore release an it+s typically &ase on chec$list% 0e
have to remem&er our aim is to ensure 6uality prouct is elivere to client an with right
configurations# the tools li$e process which we use is only to ensure we &uil 6uality prouct% So
we shoul not &e only &othere a&out process an even the results% Any poor result in one way
means that we have to correct something in our process%
Quality CatesF
Quality Cates are normally ientifie points in lifecycle 4en of phase8milestone5 where the
elivera&les an status of pro(ect parameters are chec$e from 6uality assurance point of view%
'he concerns are highlighte an any critical eviation ientifie in 6uality gate reviews will
ensure that it+s resolve &efore moving to ne3t phase% 'his is very important in prouct &ase
organi)ations# as they can+t affor to have proucts with efects sol to millions of customers%
@owever many pro(ect8service &ase organi)ations also have aopte 6uality gates for &etter
compliance an elivery%
Sample Quality Assurance plan template#
1% "ntrouction
1%1 *urpose an scopeF
1%2 *ro(ect etailsF
2% SQA activities planne in *ro(ectF
2%1 *ro(ect 9acilitation ActivitiesF
2%2 0or$ *rouct /eviewsF
2%3 AuitsF
2%H /eporting an !scalationF
3% *lan for Quantitative ManagementF
3%1 Quality CoalsF
2&(ective 'arget Value
3%2 Quantitative <aseline /eferenceF
H% Measurement an analysis planF
H%1 Measurement o&(ectivesF
H%2 Metrics
1 Metric ";
2 Metric .ame
3 2&(ective
H Measurements to &e mae
A Metric ;escription
K Source of ;ata
> /esponsi&ility
N 9re6uency
= /eports ;istri&ution
H%3 ;ata Collection an Storage *roceuresF
H%H Analysis an /eporting *roceures
H%A Methos an 'ools
A% Quality Assurance an ;efect *reventionF
A%1 Stanars an CuielinesF
A%2 'oolsF
A%3 'echni6ues an MethoologiesF
A%H Causal Analysis ;etailsF
S'rigger# Analysis proceure# e3ecution# proactive analysis# responsi&ilitiesI
K% /eference ;ocumentsF
S'est plan# Verification plan# pro(ect plan# etcI
Quality Auits
Auit : An o&(ective e3amination of a wor$ prouct or set of wor$ proucts against specific
criteria% Also auit is an evaluation of an organi)ation# system# process# pro(ect or prouct
against efine re6uirements% Auit is sampling &ase%
DSystematic# inepenent an ocumente process for o&taining audit evidence an
evaluating it o&(ectively to etermine the e3tent to which audit criteria are fulfille%E
Auit evience consists of Drecors# statements of fact or other information# relevant to the
auit an which are verifie%E
Auit criteria are a Dset of policies# proceures# or other re6uirements against which collecte
auit evience is compare%E
"nternal AuitingF
"nternal Auiting is an inepenent# o&(ective assurance an consulting activity esigne to a
value an improve an organi)ation+s operations%
"t helps an organi)ation accomplish its o&(ectives &y &ringing a systematic# iscipline approach
to evaluate an improve the effectiveness of ris$ management# control# an governance
processes%
Auit !3pectationsF
An auit is e3pecte to chec$# oes the Quality System meet the re6uirements of the relevant
Quality System Stanar8moel or Contract? ;oes the organi)ation o what the Quality System
specifies? "s the Quality System# as implemente# effective in ensuring maintenance an
improvement of the 6uality of proucts an services?
Auit is not an alternative to an inspection operation an cannot serve as a crutch to an
ineffective inspection or 6uality system
'ypes of AuitF
Q 9irst *arty Auit 4"nternal Auits5
Q Secon *arty Auit 4Customer Auits5
Q 'hir *arty Auit 4Auit Agencies5
@ori)ontal an Vertical AuitsF
Q @ori)ontal Auit : Assess same aspect in all pro(ects%
Q Vertical Auit : Assess all aspects in one pro(ect
Q forwar trac$ing
Q &ac$war trac$ing
Q @y&ri Auits : Mi3ing @ori)ontal an Vertical Auits
Auit 'eamF
2ne or more auitors conucting an auit# supporte if neee &y 'echnical !3perts% 'he
auitors are lea &y 7ea Auitor% 2ne or more auitees represent the function or the
organi)ation%
7ea Auitor /esponsi&ilitiesF 4Secon party an 'hir party auits5
Q .egotiate scope
Q Selection of auit team
Q *lanning the auit
Q /epresenting O Managing the auit team
Q 2pening O Closing Meeting
Q *reparation O Su&mission of /eport
Q Quality Control of auit
Auit /esponsi&ilitiesF
Q Communicating auit re6uirements to auitees
Q "nvestigating through "nterviews
Q ;ocumenting o&servations an evience
Q Verifying the effectiveness of Quality System
Q Verifying the implementation of *rocesses in pro(ect
Q /eporting results to the 7ea Auitor8 *ro(ect team
Q Assisting 7ea Auitor 4 Secon an 'hir party team5
Auitees /esponsi&ilitiesF
Q <eing availa&le for auit as per the scheule
Q Co:operating with the auitor an proviing factual information on the status of
implementation of the 6uality system8*rocesses
Q Agreeing on corrective actions 8 preventive actions an closing the non:conformances as
per the target ate
"n "nternal Quality Auits we may not have a lea auitor role manatorily# that+s the reason for
mentioning secon party an thir party as reference on whenever we tal$ a&out lea auitor in
this &oo$%
2&(ective !viencesF
'he o&(ective eviences inclue ocumentations li$e plans# specs# coe etc% .oting own the
statement of what people tol an o&serving auitees reaction an reviewing recors%
"n "nternal Quality Auits# some organi)ations may only use ocuments an recors as o&(ective
evience%
"nterviewing !3pectations from AuitorF
Q 7isten attentively
Q ;on+t isagree# critici)e or interrupt
Q Cet agreement on your summary of what has &een sai
Q As$ open ene 6uestions
Q <e polite an consierate for others feelings
"nterview QuestioningF
2pen:ene 6uestions
Q o not presuppose the answer
Q provie the opportunity for the interviewees to e3press their ieas an concerns
Q allow for a spontaneous# unstructure response
!/ample: Please describe your role and responsibilities0
;irect 6uestions
Q may presuppose the answer 4assumes something alreay e3ists5
Q as$ the interviewee for specific information
!/ample: Please tell us what criteria you use to perform your technical review evaluations0
'ransition 6uestions
Q 6uestions a&out 6uestions
Q use to guie the interview process
!/ample: +id we miss anything1 +id you e/pect us to as2 about anything else1
Close en 6uestions
Q *roviing the e3pecte answer an unerstaning it happens are not?
!/ample: 3ou are conducting monthly "eviews isn&t it1
'erms to &e clear in AuitsF
2&(ective !vienceF
Q ;ata supporting the e3istence or variance of something%
.on:ConformityF
Q .on fulfillment of a re6uirement%
Q Ma(or nonconformityF 'he a&sence or total &rea$own of a system to meet QMS
re6uirements%
Q Minor non:conformityF Systems are in place# &ut there is lac$ of evience to
support activities &eing one8lapse in implementation%
CorrectionF
Q Action to eliminate a etecte nonconformity%
Corrective actionF
Q Action to eliminate the cause of a etecte nonconformity%
*reventive actionF
Q Action to eliminate the cause of a potential nonconformity%
!3ampleF An o&servation# which specifies there is a potential non conformity% 7i$e the technical
specifications in a !/* pro(ects is store in winows file system# however consiering the
volume of such ocuments create in pro(ects an versioning is only manage manually# the
auitor can give o&servation# that pro(ect may have potential issue in later stage% @ere the
preventive action is applica&le# as the non conformance is still not yet occurre% 'hey can store
the ocuments in a &etter configuration tool as part of preventive action%
Auit *rocessF
Q *lanning
Q Auit 'eam Selection
Q Auit .otification
Q 2pening Meeting
Q Conuct of the Auit
Q Closing Meeting
Q Auit /eport
0hen we o internal 6uality auit# we may not have opening meeting an closing meeting%
*lanning an AuitF
'he auit plan shoul &e esigne to &e fle3i&le in orer to permit changes in emphasis &ase on
information gathere uring the auit# an to permit effective use of resources%
Q ;efine the scope
Q /efer the stanar8moel
Q !stimate O efine the scheule
Q "entify the Auitees
Q 7ist the Auitors
Q Cet approval for plan
Q ;istri&ute to Sta$eholers
2pening Meeting
Q <rief the scope# announce the o&(ective of auit an get commitment for auit from the
sta$eholers%
Q <rief the auit coe of conucts%
Conucting Auit
Q 'he Auit shoul &e conucte as planne &y auitors an full support to &e given &y the
auitees an Management% 'he auit chec$list can &e use for performing the auit &y
the auitor%
Q 7isten carefully for the e3pecte an une3pecte wors
Q !3plore more on re6uire conte3t
Q Jse interview 6uestioning methos
Q /eview ocuments &ase on efine process
Q @ave the chec$list8moel8stanar
Q 'a$e notes appropriately
Q Corro&orate the ocuments an oral affirmation
Auitees can react in anyways li$e iversionary tactics# elaying tactics# Arguments a&out the
Gpractical significance+# e3plaining the situation or proviing e3pecte answer%
/ecoring of evience to ta$e careR ;eficiency or non:compliance must &e a failure to comply
with the letter or the intent of a re6uirement% Avoi placing &lame on iniviuals &y name%
Mention the o&(ective evience in the non:compliance report
*reparation of /eportF
Consoliate the reports an create summary &ase on finings% Create .C reports an
o&servation%
"t shoul &e ate an signe &y 7ea Auitor in case of Secon an 'hir party Auits
Auit report shoul contain the scope an o&(ectives clearly an the etails of auit 4auitees#
time# functions# etc5 the reference stanar8moel8QMS system use shoul &e liste% 'he /eport
shoul contain .onconformities an 2&servations%
'he Auit report shoul &e istri&ute to all the relevant sta$eholers%
Closure Meeting
Q *resent the report to senior management an auitees% Cet the ate of closure from the
Auitees for ientifie .C+s in their functions
Auit 9ollow upF
Q 'he Auitees has to provie agree timeframe to ta$e correction# corrective action an
preventive action 4wherever applica&le5 &ase on auit report%
Q 'he completion an effectiveness of corrective action shoul &e verifie%
Q 'his verification may also &e part of a su&se6uent auit%
Quality Control 'ools an <asic Statistics
'he Quality Control tools are Seven an each of them has their own purpose an helps in &etter
control%
a5 Chec$ Sheet
&5 9low Chart
c5 *areto Chart
5 Cause an !ffect ;iagram
e5 @istogram
f5 Scatter *lot
g5 Control Charts
Chec$ SheetF
'hey are use mainly categori)e an count the ata 6uic$ly on the fiel% 0e have to agree on
how an what $in of ata to collecte# once the clarity is esta&lishe# the ata can &e counte
using this sheet%
9or e3ample# if we monitor the alert messages coming in A applications for half an hour to ta$e
count# we can mar$ one straight line for each count an once if we reach the fifth count it+s
mar$e &y the crosse mar$ on the four lines% 9rom K
th
count to =
th
line it+s mar$e in the same
way an 10
th
one is a crosse line% 'his helps in ta$e count 6uic$ly uner ifferent category%
9low ChartF
'hese charts help us to istinguish the activities# an etail each activity in to multiple tas$s#
ecision loops# ata storage# etc% 'he chart also helps in ientifying the pro&lematic tas$s or the
activity which has less etail# an to concentrate in those activities to resolve it%
*areto ChartF
Vilfreo *areto the "talian economist use this chart in istinguishing the $ey factors which
contri&utes significantly to the results% @e use this chart emonstrate that N0T of wealth is there
with 20T of population% 'his tool is highly use in performing causal analysis software inustry
in istinguishing which are the vital factors which we nee to concentrate in analy)ing any
outcome%
'o construct the chart we have to ta&ulate the ata in escening orer in a column an in
another column we nee to ta$e the cumulative values% 'he causes or factors are liste in the
hori)ontal a3is% 'he fre6uency is given in the , a3is% 0e can raw vertical &ars &ase on the
factors an their fre6uency an use a line graph for the cumulative figure to raw% 0e can create
a percentage scale on the right sie vertical a3is% A *areto shoul have minimum N causes8factors
in hori)ontal a3is to rawR else it will not &e useful%
"n the e3ample given here on efects category an fre6uency of a testing in a pro(ect# we can see
stanar# logical an cosmetic efects are playing vital role in the total count% @ence we can
concentrate on oing further analysis on these efects an try to reuce or prevent them%
Cause an !ffect ;iagramF
'his iagram is also $nown as 9ish&one iagram &y it loo$s% 'his iagram is a way &y which a
pro&lem8!ffect can &e loo$e in a structure way to ientify causes uner various influencing
factors% 'he !ffect is always entere in the right han sie an the &one is e3tene towars left%
'he factors which are influencing the effect are rawn as &ones which are connecte to the
&ac$&one rawn% !ach of the ma(or factors can &e thought a&out an using ifferent techni6ues
li$e &rainstorming an others# the causes which creates the effect is ientifie an they are
connecte in the relevant &one 4factor5% 'he ifferent factors an the causes coming uner that
are ientifie an rawn% 0herever ata e3ists that can &e ae to the causes to 6uantify that
4even 6uic$ survey can help5# so that we get clear iea# out of the few causes ientifie which
one shoul &e first resolve8corrective actions to &e planne%
@istogramF
'he purpose of histogram is to show the istri&ution of ata% 'he stuy on central tenency an
variation will help us to unerstan the &ehavior of process%
@istogram can &e manually also constructe# &y using the formula 4@ighest value in ata set M
lowest value in ata set58 4total count of ata points :15R we will get the with using this formula%
'he L a3is to &e plotte with 1times with# 2 times with an so on% .ow we nee to plot the
fre6uency of ata in the region of with an construct this as &ar graph%
@istogram helps us to 6uic$ly unerstan large amount of ata coming from a process# &y
plotting% @istogram com&ine with Specification limit an calculation of capa&ility helps in
process capa&ility analysis%
9or e3ample# we have 1K pro(ects ata on efect ensity# the histogram gives the graphical view
which is easier for us to unerstan how the ispersion is%
*ro(ects *rouctivity
*ro(ect 1 0%>N
*ro(ect 2 0%KK
*ro(ect 3 0%>1
*ro(ect H 0%NN
*ro(ect A 1%1
*ro(ect K 0%=N
*ro(ect > 0%AA
*ro(ect N 0%N
*ro(ect = 0%=H
*ro(ect 10 0%KH
*ro(ect 11 0%>2
*ro(ect 12 0%>>
*ro(ect 13 0%NH
*ro(ect 1H 0%2H
*ro(ect 1A 0%HA
*ro(ect 1K 0%AH
Scatter *lotF
'his plot shows the possi&le relationship &etween two varia&les% 'his tool is useful when we
want to unerstan the cause an effect relationship or to select varia&les to construct preiction
moels%
9or e3ample if we want to stuy prouctivity an customer satisfaction are they relate# an then
we can raw a scatter plot an stuy%
0e can see wea$ positive correlation is there% "t+s wea$ &ecause the points are not closer enough
an it+s positive since the L a3is prouctivity increase the , a3is CSA' 4Customer Satisfaction5
increases% 7i$e that we have a5 wea$ negative correlation &5 no correlation c5 Strong positive
correlation 5 Strong negative correlation%
/emem&er the charts have no sense on their ownR the logic has to &e applie &y human% "f you
put scatter plot ata on rainfall in 7onon an traffic (am in Mum&ai# you may get strong
correlation also# &ut it has no sense%
Control ChartsF
Control charts are means of ifferentiating special cause of variation from common cause of
variation% 0e ta$e 3sigma as allowa&le variation# as economically its via&le to control variation
within that limits# an if we try to achieve 100T it will cost us more &ut returns will &e less% Any
ata point &eyon 3sigma we ta$e as a special cause an we analy)e% 0hat it means if all the
points are falling within the limits is that we are loo$ing at a sta&le process% Control charts shall
&e use on ata coming from a controlla&le process an not on something which is not
controlla&le%
0e can+t use control chart to show rainfall in *aris# wee$ &y wee$# as that+s not something
which is controlla&le 4&etter use some tren chart5% Control charts shall &e selecte &ase on the
type of ata we have% @owever in software inustry consiering the uni6ueness an tailoring#
mostly ":M/ 4"niviual Moving /ange8 LM/5 charts are use for all $in of ata%
'otal *rocess variation W Common Cause of VariationX Special Cause of Variation
Special Cause of VariationF
9luctuations not inherent to a process
;ata outsie control limits or tren
/epresents pro&lems to &e correcte or improvements to incorporate into the process
Common Cause of VariationF
"nherent ranom variations
Consist of numerous small causes of ranom varia&ility
"n the a&ove given picture ay wise review time spent is given% "f &y controlling review time# if
the final value of interest , 4for e3ample ;efect containment effectiveness5 can &e achieve#
then we might intereste in controlling the review time% "n this chart we on+t see any point
which is &eyon the JC7 an 7C7 whereas the JC7 is meanX3 sigma an 7C7 is mean M 3
Sigma% JC7 an 7C7 are control limits which are irectly calculate from the ata% 'hese
control limits are etermine &y inherent variation in the process% A ata point &eyon these
limits inicates Special cause of variation an all the ata points within the control limits are
&ecause of common cause of variation% "n this chart there is no special cause of variation% Control
limits are often calle as Voice of *rocess% 0hen there is very less ata points the control limits
erive will &e only trail limits an as the ata points increase 4more than 2>5 the natural limits
can &e e3hi&ite &y the process% 0henever the special causes occurs they ten to change the
control limits too much# in such case the special cause point has to &e stuies an corrective
actions to &e ientifie an wor$e on# in parallel the point can &e remove from the plot an
recalculation to &e performe% Such removals shoul &e recore for the user reference%
Specification 7imits are efine &y the customer or &y management# they are often calle as
Voice of Customer% 'hey help to unerstan whether the process is capa&le enough to eliver the
e3pectation%
Control charts helps mainly in statistical process control an the first step in esta&lishing process
control is to remove special cause of variation an ensure that process is sta&le% "n orer to chec$
the process sta&ility# we use the western electric rules 4committee from western electric company
presente this5# which are set of rules applie to chec$ the sta&ility in control charts for the ata
from process%
Any single ata point falling a&ove the X3Z limit
'wo consecutive points falling a&ove the X2Z limit
'hree consecutive points falling a&ove the X1Z limit
Seven consecutive points falling a&ove the centerline
'en consecutive points falling &elow the centerline
Si3 consecutive points falling &elow the :1Z limit
9our consecutive points falling &elow the :2Z limit
"n the e3ample what we have given here# no test fails%
*rocess Capa&ilityF
*rocess capa&ility is the a&ility of a process to consistently meet specifie customer:
riven re6uirements
Specification limits are set &y management in response to customers+ e3pectations
'he upper specification limit 4JS75 is the largest value that can &e o&taine an still
conform to customers+ e3pectations
'he lower specification limit 47S75 is the smallest value that is still conforming
A process is capa&le when the control limits are within the process specification limits% 'he
process capa&ility can &e calculate using the relevant formula% Sometime people apply
specification limits on the control charts# which can create confusion instea it can &e applie on
a histogram with the same ata# which will &e useful to interpret clearly%
Statistics JsageF
ome basic definitions to 2now:
*opulationF "t is the group of all items of interest to a statistics practitioner%
*arameterF A escriptive measure of a population is calle a parameter
SampleF "t is a set of ata rawn from the population
StatisticF A escriptive measure of a sample is calle statistic%
"n Statistics we have escriptive statistics 4which gives etails on characteristic of ata5 an
"nferential Statistics 4which is use to infer a set of ata to ma$e ecisions5%
;escriptive statistics provies a summary of characteri)ation of a istri&ution 4i%e% a set of
num&ers5
A characteri)ation of a central tenency 4e%g% mean# meian# an moe5
A characteri)ation of ispersion 4e%g% variance# stanar eviation# inter 6uartile range#
an range5
Mean is the arithmetic average# Meian is the central value of the given ata setR Moe is the
most fre6uently occurring ata%
Central tenency implies locationF
Q Mile of group values
Q <alance point
;ispersion implies spreasF
Q ;istance &etween values
Q @ow much the values ten to iffer from one another
'hese two are use together to unerstan to &aseline of a process performance%
0hen the ata is normal istri&ution we use mean as part of central tenency representation an
we use stanar eviation to imply ispersion% 0e can unerstan this &y performing .ormality
'est% A tool li$e Minita& can give graphical istri&ution which also have Anerson:;arling
.ormality test results isplaye 4if * value greater than I0%0A# then we consier as .ormal
;istri&ution5%
Statistical "nferenceF 'he process of ma$ing an estimate# preiction# or ecision a&out a
population using sample%
Confience levelF is the proportion of times that an estimating proceure woul &e correct# if the
sampling proceure is repeate for very large num&er of items% Mostly we use =AT Confience
level in software inustryR however for stringent values ==T is also use%
"n aition to this we nee to $now a&out ifferent ata types#
;iscrete8Attri&ute ;ataF
.ominalF Categorical ata where the orer of the categories are ar&itrary e3F evelopment type#
efect type
2rinalF .ominal ata with an orering an may have une6ual intervals% !3F *riority levels#
Severity
Continuous8Varia&le ;ataF
"ntervalF Continuous ata that has e6ual interval% !3F ays# temperature
/atioF "nterval ata set that has true )ero value# an ecimal values are possi&le% !3F ;efect
;ensity# prouctivity# etc
Segmentation is relate to .ominal ata an Stratification is relate to 2rinal ata%
@ypothesis 'estsF
A formal way of ma$ing a comparison an eciing whether or not the ifference is significant#
&ase on statistical analysis
@ypothesis testing consists of a null an alternative hypothesisF
Q 'he null hypothesis states that the mem&ers of the comparison are e6ualR there is no
ifference 4a concrete# efault position5
Q 'he alternative hypothesis states that there is ifferenceR it is supporte when the null
hypothesis is re(ecte%
'he conclusion either re(ects or fails to re(ect the null hypothesis%
/emem&er the &asis of this test is only &ase on null hypothesis an it+s always the ata are
e6ual 4sample &elong to same population5# an when a null hypothesis fails automatically we
select alternate hypothesis%
*:value is the one &ase on which we can simply raw conclusion on the hypothesis test results%
"t+s the pro&a&ility value of the e3treme values &ase on test statistic &eing part of the
population# an when the pro&a&ility value is &elow 0%0A 4consiering significance level of A5#
then we re(ect null hypothesis as it+s in the lowest pro&a&ility region which is an error region
4alpha5% 'he simplest way we use this is# when * value is greater than 0%0A than we on+t re(ect
.ull# when * value is lower than 0%0A than we re(ect .ull @ypothesis%
@ypothesis test is mainly use in software to infer if the sample values we have rawn are
representing the population# li$e prouctivity of 1A pro(ects can &e ta$en for hypothesis test to
chec$ o they represent the 2rgani)ational average 1%H 9*8effort% Similarly when a process is
change for improvement the results can &e teste using hypothesis test to prove that statistically
the new results are significant enough to claim the improvement% 9or e3ample# Coe review rate
is 100 lines8hour an after change in process an introuction of tools# when we plot in control
chart# we ientify many points are going &eyon the control limits an we woul li$e to see if
there is improvement in process &ehavior# so we select two sample hypothesis test to test if there
is significant change# an if the null hypothesis is re(ecte 4* value is less than 0%0A5 then we can
prove that process has change%
@ypothesis test selection is &ase on type of ata# .ormal istri&ution 4parametric5 or .on
.ormal ;istri&ution 4non parametric5 an the num&er of samples to compare
;ata
'ype4Column5
Sample 4/ow5
"nterval8/atio
Mean
"nterval8/atio
Variance
2rinal
Meian
2rinal
Variance
.ominal
Similarity
2ne Sample 1 sample ' 'est 1 sample Chi
S6uare 'est
1 sample
wilco3on
Signe
/an$ test
1 sample
$olmogorov
smirnov test
Chi
S6uare
'wo Sample 2 sample ' test8 *aire
' test
9 test87evene
'est
Mann
0hitney
test
Sigel 'u$ey
test
9isher
!3act test
Multiple
Samples
Analysis of Variance
4A.2VA58Multivariate
Analysis of variance
4MA.2VA5
<artlett 'est8
7evene test
Prus$al
0allis
'est
A van er
wesren
normal
score test
Chi:
S6uare
'est
"n the &elow given ta&le# we want to see if the review process is improve after aing a new
review tool an change in process# so we test the ata &efore an .ew ata coming from the
process# using hypothesis test%
;ata typeF /atio# ;istri&utionF .ormal ;istri&ution 4in normality tests the samples shows * value
greater than 0%0A5 an we have two samples with us% @ence consiering the mean 4.ormal
;istri&ution8parametric test5# we go for two sample ' test% Since the ata is from same process#
an chec$e after a perio of time from same pro(ect# we go for paire ' test%
/eview 'ime .ew /eview 'ime
= >
K H
> H
N >
= =
12 11
1H 12
> K
= H
10 >
12 =
1H A
11 K
1H N
1A K
11 10
.ull @ypothesisF <oth samples are e6ual
Alternate @ypothesisF 'hey are not e6ual
@ypothesis 'est /esultsF
'he test results show that * value is 0%00 S 0%0A which means re(ect null hypothesis# so the
sample are not e6ual an it means there is significant change in process%
Control Charts# histograms an hypothesis tests along with statistical moels 4regression# logistic
regression# ummy varia&le regression# etc5 are highly use in software inustry now a ay#
hence it+s recommene for reaers to spen time in this topic in researching an improving
$nowlege in this area%
Stanars 4"S2 =001# 20000# 2>0015 an Moels 4CMM"# *CMM5
Stanars specify the re6uirements# whereas the moels share the &est practices to &e followe%
"S2 =001F 200N
"s a Quality management system re6uirements stanar% 'he stanar specifies the re6uirements
which the organi)ations+ 6uality management system to meet to get certifie% 'he stanar was
last revise in 200N an it+s in use% "S2=001 is not a prouct8service certification an it+s only
applica&le for the 6uality management system% @owever from a customer point of view what it
means is# on any prouct8service efects# the customer can approach the certifie organi)ation
an that will &e aresse in systematic manner% Also the organi)ation which is certifie is $eep
wor$ing to improve the prouct 6uality an system in a continual manner%
'he stanar oesn+t specify how e3actly your processes shoul &e or practices shoul &e# &ut it
gives the e3pectation on what it shoul meet%
"S2 =001 Stanar ClausesF
Clause 1F Scope
Scope of application specifies on Quality management system an customer satisfaction
e3pectations an applica&le statutory an regulatory re6uirements
Clause 2F .ormative /eference
.ormative /eference which refers "S2 =000F200A
Clause 3F 'erms an ;efinitions
;efinitions an 'erminologies# again this refers to all "S2 =000F200A for referring them%
Clause HF Quality Management System
Quality Management System shoul &e with manate an re6uire processes an their
interaction an se6uences well ocumente% Management commitment# resource
availa&ility an monitoring an measuring of the system along with continual
improvement shoul &e ocumente%
;ocumentation re6uirements which specifie Quality policy# 6uality manual shoul &e
availa&le%
Quality manual with scope of QMS# !3clusion an inclusion with stanar+s clause an
scope of system to &e mentione along with process etails%
;ocument an /ecors controls e3pectations are given
Clause AF Management /esponsi&ility
Management shoul show commitment in esta&lishing policy# o&(ectives# manual an
communication on e3pectation on customer focus an implementation of the system
Customer Satisfaction shoul &e monitore an top management to &e committe for
this%
Quality policy which is appropriate for the &usiness an which communicates the intent
of 6uality activities in the organi)ation to &e ocumente an maintaine%
Quality 2&(ectives shall &e esta&lishe# which typically covers the pro(ects an support
functions performance o&(ectives% 'here shall &e a 6uality plan escri&ing how they will
&e achieve an process will &e forme an maintaine%
2rgani)ation shoul appoint a management representative who is from management an
who will &e responsi&le for QMS esta&lishment# implementation an maintenance%
@e8she ta$es ecision on &ehalf of management an promotes customer awareness%
/esponsi&ilities an Authorities to &e clearly efine in the organi)ation%
2rgani)ation to have appropriate internal communication mechanism for communicating
QMS effectiveness%
Management /eviews shall &e conucte at regular intervals 4with Management
/epresentative5# which ientifies changes neee in QMS# *olicy an o&(ectives# with
consieration of Auit results# customer fee&ac$# .on conformities in prouct#
preventive an corrective action# follow up points from previous meeting# improvement
proposals as inputs an coul provie outputs li$e improvements implemente in QMS#
prouct relate improvements8changes# resource nees aresse# etc with all the
activities an incluing the Management /eview is recore an maintaine%
Clause K%0 M /esource Management
Ae6uate resources to implement the 6uality management system to &e mae availa&le in
the organi)ation% /esources inclue human# software# harware# facilities# safety# etc
@uman resources etails on (oining# inuction# competency evaluation# training#
eploying in wor$# responsi&ilities# evaluation to &e maintaine%
;etails of "nfrastructure 4harware# software# facilities# etc5 to &e esta&lishe with clear
uni6ue ientification# ownership# assignment# trac$ing# transfer# close ownR etc an
perioical maintenance is e3pecte%
Clause >%0 M *rouct reali)ation
*rouct reali)ation shoul have a plan 4prouct plan8pro(ect plan5 with etails on
o&(ectives# process re6uirements# verification# valiation# criteria for prouct acceptance#
etc
Customer /e6uirements to &e collecte# /eview to &e performe an /e6uirements
shoul &e agree with customers
;esign an ;evelopment activities to &e planne 4;esign# coing# review# testing5 with
ae6uate etails%
;evelop esign from /e6uirements# perform coing an evelop relevant manuals to
support the prouct%
*erform perioical review of the pro(ect progress to ensure esign an evelopment
commitment%
*erform reviews an unit test on the intermeiate wor$ proucts 4esign ocument#
coe# etc5 an chec$ the final reainess
*erform testing to valiate the prouct using relevant testing 4 "ntegration testing# system
testing# etc5
Change Management shoul &e followe on ma$ing any changes to prouct an its
functionalities%
'o esta&lish a purchase process an to have approve venor list 4&ase on perioical
evaluation5# maintain purchase orer# invoices# elivery receipts# verification an
acceptance recors an aing to inventory%
!sta&lish tracea&ility to prouct functionalities throughout evelopment an control on
process
'rac$ customer given ocuments8ata separately an ensure the prouct an its
components are $ept with a configuration system%
Any measuring an monitoring evice use in pro(ects shoul &e cali&rate%
Clause N%0 M Measurement# Analysis an "mprovement
Measure customer satisfaction an ta$e action as neee
@ave internal Quality Auit system esta&lishe with clear o&(ectivity# have annual8semi:
annual 6uality plan# perform auits as per efine methos# recor o&servations#
istri&ute non conformances# follow up on verifying implementation of actions%
@ave measures to monitor the process performance# esta&lish trens an ta$e appropriate
actions%
@ave measures to monitor the proucts# esta&lish trens an ta$e appropriate actions%
.on conforming prouct 4;efective5 must &e ientifie an controlle an appropriate
resolution to &e provie% 'he recors shall &e analy)e for corrective actions%
Customer satisfaction# prouct 6uality# process performance# etc shall &e analy)e an
actions to &e emonstrate%
Continual "mprovement plan shoul &e availa&le# which can &e &ase on improvement
re6uest# corrective an preventive actions# client suggestions# Management /eview
Meeting guiance# etc
Corrective an preventive actions ientifications an application shoul &e in a
ocumente proceure an actions to &e ta$en an improvement shoul &e
emonstrate%
'o approach "S2 =001 Certification the QMS shoul &e esta&lishe an implemente for a
perio of more than 3 months 4minimum5# &ecause 3 management review cycles an 2 "nternal
6uality auits shoul &e emonstrate to the auitors% A certification Agency 4who is accreite
to an Accreitation agency: who represents "S2 in national8regional level5 can perform thir
party Auit an issues certification% *re:Auit can &e use to valiate few aspects of QMS with
your auitors an Stage 1 auit is mainly focusing on scope# ocumentation of QMS an relevant
recors an Stage 2 concentrate on implementation an effectiveness of QMS% At the en of
Stage 2 auit when there is no Ma(or .on compliances an the minor non compliance are
aresse than certification will &e issue% Surveillance auit coul &e on annual8semi:annual
&asis# as re6ueste &y organi)ation an en of 3 years re:certification is re6uire%
"S2 20000:1F2011
'his is a Service management system re6uirements stanar% 'he stanar specifies the
re6uirements which the Service organi)ations+ Service management system to meet to get
certifie% 'he stanar was last revise in 2011 an it+s in use% "S220000:1 is not a Service
Quality certification an it+s only applica&le for the Service management system% @owever from
a customer point of view what it means is# on any service elivery pro&lems# the customer can
approach the certifie organi)ation an that will &e aresse in systematic manner% Also the
organi)ation which is certifie is $eep wor$ing to improve the Service 6uality an Service
system in a continual manner%
'he stanar oesn+t specify how e3actly your processes shoul &e or practices shoul &e# &ut it
gives the e3pectation on what it shoul meet%
"S2 20000:1 Stanar ClausesF
Clause 1F Scope
Scope specifies that this stanar is can &e applie &y service see$ing organi)ation# Service
provier an auiting &oies for conformity auits% 'he clause H re6uirements shoul &e fulfille
&y the service organi)ation 4which is see$ing certification5 on their own# an clauses A to = can
&e fulfille with own activities or with the su&contracte8other parties who is performing them
with agreement%
Clause 2F .ormative /eference
'here is no normative reference for this stanar% @owever this clause is $ept# to ensure
uniformity in contents with other stanars%
Clause 3F 'erms an ;efinitions
;efinitions an 'erminologies are given in this section%
Clause HF Service Management System Ceneral /e6uirements
'op management shall emonstrate commitment to esta&lish policy# o&(ective# service
management system# service planning# etc% Communicate the importance of Service
Quality an Service Management system implementation% 'o conuct management
reviews# ensure continual improvement an managing the ris$s to the services%
Service Management *olicy is esta&lishe in the organi)ation an its communicate an
unerstoo &y all the employees
'he system shoul have clear roles# responsi&ilities an authori)es allocate to support
the implementation
Management /epresentative to &e ientifie an he8she shoul &e part of management
team% 'he person is responsi&le for esta&lishing service system# implementation an
maintenance of the service system% 'he person is responsi&le for ensuring relevant
resources are availa&le# the system is operate# statutory an regulatory re6uirements are
met an also to $eep the management informe a&out it%
*rocesses shall &e esta&lishe to ensure the supplier or internal groups are operating as
per the e3pectations% 'he process interaction points# e3pectations# responsi&ilities an
reporting shall &e clearly mentione% 0herever supplier is involve# supplier
management process coul &e use to monitor an control an wherever internal groups
are involve Service level management process can &e use%
;ocuments an recors shoul &e create to efine# operate an control the Service
management system# this inclues# Service management policy# o&(ectives# processes
re6uire# S7A+s# service management plan# catalogue of services an other re6uire
proceures an recors re6uire &y the stanar%
;ocuments shoul &e create# reviewe# approve an changes are controlle#
communicate an availa&le for use# versioning an naming conventions to &e followe#
archive the o&solete ocuments an trac$ the customer given8thir party ocuments
separately%
/ecors shoul &e legi&le# reaily ientifia&le an retrieva&le% 'here shall &e proceure
for maintaining ocuments an recors%
;etermine an provie resources li$e human# technical# an financial to ensure Service
management system is esta&lishe# operate an controlle% @uman resources shoul
trac$e for their role# competency# training an evaluations an recors to &e maintaine%
;efine Service management system scope# location# client# technology etails% Create a
service management plan to aress# the o&(ectives# system etails# resources re6uire#
$nown limitations# policies# stanars# statutory an regulatory re6uirements# authorities
an responsi&ilities# involving supplier# integration of process an how effectiveness of
service system will &e monitore# controlle an improve% 'he plan shall &e create#
maintaine an reviewe at regular intervals%
'he Service management system shoul &e operate &ase on service management plan
for esign# transition# elivery an improvement of services% Service Management system
shoul &e operate &y allocation of &uget an funs# authority an responsi&ility
allocation for resources# technical an financial resource allocation an monitoring#
"entification an assessment of ris$ an hanling them# Service process management
an service management system operation%
Service management system shall &e monitore &y internal auit program an &y
management review% 'he internal auit program shall &e o&(ectives an verify the "S2
20000:1 re6uirements# Service management system e3pectations an process
implementation# the auit shoul have auit plan# e3ecution as per plan an auit results
communication% 9ollow up an closure of auit results is e3pecte% 'he management
review shall happen on perioical intervals# an to review the auit results# client
fee&ac$# Service non conformity# current an forecaste resource nees 4human#
technical# etc5# ris$s# status of changes in Service management system# follow up actions
from previous meeting# service improvement re6uests an others%
2rgani)ation to have service improvement targets on 6uality# capa&ility# cost#
prouctivity# etc% 'o ensure the approve improvements are implemente# their effect on
service improvements# improvements reporting% /evision of policies# proceures an
roles to improve the service management system%
Clause A%0F ;esign an 'ransition of new or change services
'he Service provier shall ta$e approval for new or change services from client an
intereste parties to &ring in% 'he change management process shall &e applica&le in
changing the services% 'he planning for new or change services to inclue# Authorities
an responsi&ilities# activities# communication to intereste parties# resource on human#
technical# information an financial resource# time scale for planne activities# ris$
management# epenencies# testing# acceptance criteria for change service# measura&le
service outcomes from new or change services% 'he services which are remove have to
&e ispose appropriately with archival# isposal# etc% 'he service provier shall evaluate
the a&ility of other parties involve an plan for meeting them%
'he new or change service esign an ocumentation shall inclue# authorities an
responsi&ilities for new service# activities to &e performe &y customer# service provier
an other parties# change re6uirements for human resources# technical an information
resources for new8change services# changes to service management system# policies#
new S7A+s# new catalogues# proceures an measures to manage the new or change
services%
'he new or change services shall &e verifie an teste for the plan an actual of the
service re6uirements an esign% 'he acceptance criteria an proceures shall &e
monitore for the change services% 'he release an eployment process shall &e use to
eploy the services in the relevant areas%
Clause K%0F Service ;elivery *rocess
'he service provier shoul have an agreement on the services to &e provie% 'he
catalogue of services shoul have agree S7A% 'he service provier can monitor an
review the services as re6uire an in planne intervals% 'he service provier shoul have
an internal agreement with internal group an monitor an analy)e them 4for targets an
components availa&ility5# to meet the service elivery% /esults shall &e monitore an as
re6uire causal analysis is performe to improve the elivery% Any changes to the service
components shall &e as per change management process%
Service reports shall have clear ientity# purpose# user etails an service reports shall
have etails on performance targets an actual# ma(or incients8impacts# performance
uner heavy loa# non conformities in service# tren information# customer complaints#
satisfaction #etc 'he actions shall &e monitore an trac$e to closure%
Service provier shoul ientify the ifferent services an their e3pecte level of service
along with their service continuity% 'he re6uirements for service continuity an
availa&ility are etermine &ase on agreement with client% Access right# en to en
availa&ility of service# service response times are ientifie for planning%
Service continuity plan an availa&ility plans to &e prepare an maintaine% Any change
shall &e as per change management process% Service continuity involves proceure on
aressing a ma(or loss8interruption# availa&ility level targets# recovery phase an
approach to &e &ac$ to normal conitions% 'he service continuity plans# CM;< an other
relevant ata shoul &e availa&le to access at the time of ma(or loss from other place%
Service continuity an availa&ility plans to &e maintaine% Availa&ility levels to &e
monitore an reviewe an actions to &e planne% Service continuity plans to &e teste
an availa&ility plans to &e teste an results to &e recore% /eviews shoul &e
conucte on the results an actions rawn%
'here shall &e &ugeting an costing for people# infrastructure# share resources#
overheas# capital an operating e3penses# share services# supplies# facilities# etc% 'he
costing shoul inclue inirect costs also% 'he costing has to &e approve &y finance% 'he
cost against the &uget to monitore an &uget revise accoringly or cost to &e
controlle%
'he Service provier shall maintain a capacity plan consiering current capacity an
forecaste re6uirements an e3pecte capacity% "mpact on availa&ility# service continuity
an service levels to &e ocumente% 'he timescales# threshols an cost for upgraing
services to &e etaile% *otential impact on new technology# statutory an regulatory
re6uirements change shall &e consiere% 'he service provier shall monitor# analy)e an
tune service capacity%
"nformation security policy is esta&lishe# an ris$ assessment is performe an ae6uate
controls are esta&lishe% "nformation security auits are performe an improvements are
ientifie% Any change /e6uests shall &e assesse for information security ris$s# an
upating the controls%
Clause >%0F /elationship *rocess
'he service provier shall have a point of contact assigne to each client% 'he service
reports to &e share with client an any fee&ac$ from the client shall &e analy)e an
appropriate action to &e ta$en% 'here shall &e ocumente proceure for client complaints
hanling# an accoringly every complaint to &e recore# analy)e an actions to &e
ta$en an reporte &ac$ to client% Customer satisfactions shall &e measure perioically
an analy)e an actions to &e ta$en%
Service provier shall have supplier contract which inclues# scope# epenency# service
re6uirements# service levels# statutory an regulatory re6uirements to meet# capacity an
availa&ility re6uirements# contract e3ceptions# authorities an responsi&ilities# reporting
mechanism# &asis for charging# etc%
Clause N%0F /esolution *rocess
"ncient management shall &e there to recor# prioriti)e# classify# Jpation recors#
escalation# resolution# closure% *roceure for incient management an service re6uest
shall &e esta&lishe% "mpact an priority to &e ocumente# the team wor$ing on these
incient an service re6uest shall have access to $nown error# relevant etails to access%
'he etails of the status shall &e ocumente for each incient% 'he release management
process shall &e use for releases% 'he customer shall &e informe on the status# an
whenever the service targets can+t &e met the customer to &e informe% ;ocumente
efinition of Ma(or incient shoul &e there an whenever ma(or incient happens
accoringly it shoul &e hanle% 'he top management shall &e informe a&out the ma(or
incients%
*ro&lem management shall &e a ocumente proceure# an in pro&lem management
recoring# prioriti)ing# classification# Jpation of recors# escalation# resolution an
closure to &e performe% 'he service provier shall analy)e tren on incient an
pro&lem# an the root causes to &e ientifie% *ro&lems re6uiring changes to &e raise
with /e6uest for change% 0here root causes are ientifie an only temporary wor$
aroun is there will result in $nown error% !ffectiveness of $nown error an pro&lem
management shoul &e monitore an analy)e an controlle%
Clause =%0F Control *rocesses
'here shall &e ocumente proceure for ientifying an controlling of configura&le
item% !ach of them shoul have uni6ue ientification# tracea&ility with other C"# version#
naming# etc an it shoul &e part of CM;< an uni6uely tracea&le% <aseline shoul &e
one for the C"+s an the electronic an physical storage of C"+s an &ac$ up to &e
monitore% Change management process shall &e followe on changing the C"+s%
Configuration auits an status accounting shoul &e performe on the C"+s%
Change management policy which etermines C"+s for change management# criteria use
for etermining changes which coul give ma(or impact shoul &e esta&lishe%
!mergency changes shall have a proceure% /e6uest for changes shall &e impact
analy)e# approve an evelopment changes shall &e performe% 'he changes to &e
teste &efore release% Scheule of changes shall &e prepare with approve changes an
eployment status an they shoul &e followe% 'he CM;< to &e upate for the
relevant changes in C"% 'here shall &e a &ac$ out plan esta&lishe an maintaine for roll
outs%
Service provier shall plan the release of change services or components in iscussion
with the client an other parties% 'here shoul an emergency release efinition an when
to follow etails% /eleases to &e teste prior to eployment% 'he acceptance test criteria
shall &e met an releases shoul &e one in the live environment% 'he release success or
failure shall &e monitore an analy)e%
"S2 2>001F200A
'his is an "nformation Security Management System /e6uirements stanar% 'his is aopte in
most part of the worl for "nformation Security controlling in "' organi)ations% 'here are N
clauses in this stanar%
Clause 1F Scope specifies the application of this stanar to "nformation processing organi)ations
an etails it%
Clause 2F .ormative /eference to "S2 1>>==F200A
Clause 3F 'erms an ;efinitions are given
Clause HF "nformation Security Management System /e6uirements
"nformation Security Management System shoul &e with manate an re6uire
processes an their interaction an se6uences well ocumente% Management
commitment# resource availa&ility an monitoring an measuring of the system along
with continual improvement shoul &e ocumente%
/is$ Assessment metho an application an ientification security threats an control
using the control o&(ectives shall &e ocumente an maintaine%
;ocumentation re6uirements which specifie "nformation Security policy# "SMS manual
shoul &e availa&le%
"SMS manual with scope of "SMS# !3clusion an inclusion with stanar+s clause an
scope of system to &e mentione along with process etails%
;ocument an /ecors controls e3pectations are given in this stanar%
Clause A%0F Management /esponsi&ility
Management shoul show commitment in esta&lishing Security policy# Security
o&(ectives# manual an communication on e3pectation on customer focus# security
e3pectations an implementation of the system
"nformation Security policy which is appropriate for the &usiness an which
communicates the intent of "SMS activities in the organi)ation to &e ocumente an
maintaine%
Security 2&(ectives shall &e esta&lishe# which typically covers the pro(ects an support
functions# infrastructure# @uman resources# management# etc% 'here shall &e a 6uality
plan escri&ing how they will &e achieve an process will &e forme an maintaine%
2rgani)ation shoul appoint an "nformation Security officer who is from management
an who will &e responsi&le for "SMS esta&lishment# implementation an maintenance%
@e8she ta$es ecision on &ehalf of management an promotes Security awareness%
'he /is$s are assesse from &usiness perspectives an relevant controls are applie after
evaluation% "nepenent evaluation of /is$ assessment is re6uire%
Statement of Applica&ility shall &e prepare &ase on the threats an controls
implemente for them an to &e maintaine%
/esponsi&ilities an Authorities to &e clearly efine in the organi)ation%
2rgani)ation to have appropriate internal communication mechanism for communicating
"SMS effectiveness%
Clause K%0F "nternal "SMS Auits
@ave internal "nformation Security Management System Auit system esta&lishe with
clear o&(ectivity# have annual8semi: annual 6uality plan# perform auits as per efine
methos# recor o&servations# istri&ute non conformances# follow up on verifying
implementation of actions%
"nformation Security Auits shall verify the /is$ Assessment metho# Statement of
applica&ility# control o&(ectives implemente an the operational level security chec$s%
0here re6uire technical personnel support can &e ta$en%
Clause >%0F Management /eview
Management Security /eviews shall &e conucte at regular intervals 4with "nformation
Security officer5# which ientifies changes neee in "SMS# *olicy an o&(ectives# with
consieration of Auit results# customer fee&ac$# threats to "nformation Security#
Security incients an events# preventive an corrective action# follow up points from
previous meeting# improvement proposals as inputs an coul provie outputs li$e
improvements implemente in "SMS# Control relate improvements8changes# resource
nees aresse# etc with all the activities an incluing the Management Security
/eview is recore an maintaine% "nfrastructure an resources to &e reviewe for
appropriateness an for security%
Clause N%0F "SMS "mprovement
Measure "nformation Security effectiveness an ta$e action as neee an measure the
control o&(ectives effectiveness an esta&lish trens an ta$e appropriate actions%
Security "ncients an events must &e ientifie an controlle an appropriate
resolution to &e provie% 'he recors shall &e analy)e for corrective actions%
/is$ Assessment metho shall &e revise as necessary an it shoul &e as fre6uently
whenever there is any change in any component in the system% 'he Statement of
applica&ility shoul &e revise as re6uire%
Continual "mprovement plan shoul &e availa&le# which can &e &ase on improvement
re6uest# corrective an preventive actions# client suggestions# Management Security
/eview Meeting guiance# etc% Corrective an preventive actions ientifications an
application shoul &e in a ocumente proceure an actions to &e ta$en an
improvement shoul &e emonstrate%
'here are controls efine uner 11 omains# 3= control o&(ectives an 133 controls efine%
'he omains are#
Security *olicy
2rgani)ation of "nformation Security
Assets Management
@uman /esource Security
*hysical an !nvironmental Security
Communications an 2perations Management
Access Control
"nformation system ac6uisition# evelopment an maintenance
"nformation Security "ncient Management
<usiness Continuity *lanning
Compliance
'he /is$ assessment shoul ta$e care the &usiness process# assets involve# threats applica&le#
vulnera&ility to the threats# type of threat 4confientiality8integrity8Availa&ility5# threat level an
vulnera&ility level# ris$ e3posure level 4&ase on &usiness impact# ris$ level5# /is$ measure#
applica&le ris$ treatments an controls re6uire% /is$ assessment results shoul &e repeata&le
an reprouci&le# hence efine methoology8tools are re6uire to perform it%
<ase on this Statement of Applica&ility is generate an relevant controls are implemente% 'he
controls effectiveness is measure% 'he /is$ Assessment is repeate on perioical intervals# as
well as when there are new threats or &usiness process changes happen%
CMM" 4Capa&ility Maturity Moel "ntegration5
CMM" 4Capa&ility Maturity Moel "ntegration5 is a *rocess "mprovement Moel# which has
collection of "nustry &est practices to implement in 2rgani)ations to achieve process capa&ility
an maturity% CMM" is a proven approach to achieve &etter performance results% CMM" is more
of a framewor$ which contains the moel# trainings an appraisal components which helps an
organi)ation to implement the moel in successful way to get &enefit out of it% CMM" over the
years has shown lot of success consiering organi)ations are getting ramatic improvements in
effectiveness# efficiency an 6uality%
'he current version of CMM" is Version 1%3 an it got release in year 2010 an relate
appraisal version SCAM*" v1%3 also availa&le% 'he moel can &e ownloae for free in CMM"
"nstitute site% CMM" has three ifferent Constellations in its prouct suite% As efinition Da
constellation is su&set of CMM" prouct suite relevant to improvement in a particular area of
interestE% 'he constellations are CMM" for ;evelopment# CMM" for Services an CMM" for
Ac6uisition%
CMM" for ;evelopment : Aresses guiance on prouct8System evelopment8!ngineering
CMM" for Services : Aresses guiance on elivering services to internal an e3ternal entities
CMM" for Ac6uisition M Aresses supply chain management# ac6uisition an outsourcing
processes in government an in "nustry%
'hese CMM" Constellations are having set of *rocess Areas esigne to achieve results in that
area% @owever there are 1K common process areas &etween all the three moels% 'he other
process areas are specific to that constellation% "n this &oo$# we are limiting ourselves with
CMM" ;ev 4CMM" for ;evelopment5 an CMM" SVC 4CMM" for Services5% "n CMM" ;ev we
have K specific *rocess Areas an in CMM" SVC we have >X1 Specific *rocess Areas% 'he
CMM" ;ev consists in total 22 *rocess Areas an CMM" Svc consists in total 234X Service
System ;evelopment5 *rocess Areas%
*rocess Area is a cluster of relate practices to achieve certain results% *rocess Areas are
organi)e in terms of Coals an each Coal consists of set of practices# which woul help to
achieve the goals% An !3ampleF Configuration relate practices to &e performe in prouct
evelopment or in Service ;elivery are collecte an esta&lishe uner one process area calle
DConfiguration ManagementE% /is$ ientification an hanling practices are esta&lishe uner
D/is$ ManagementE process area%
CMM" consists of two representations# Stage /epresentation an Continuous /epresentation%
Stage /epresentation is aopte &y most of the organi)ations as its giving them guiance an
&enchmar$ing with other 2rgani)ations# 0hereas continuous representation is aopte &y
2rgani)ations which are clear in their area of improvement an are comforta&le with the
practices in all other areas 4or comforta&le with the level of performance5%"n Stage
/epresentation# 2rgani)ation+s Maturity level is provie with A ifferent process maturities% "n
Continuous /epresentation# !ach process Areas+ capa&ility levels are presente with K levels% A
representation in CMM" is analogous to a view into a ataset provie &y a ata&ase% <oth
representations provie ways of implementing process improvement to achieve &usiness goals%
<oth representations provie the same technical content# &ut organi)e into ifferent ways%
Maturity 7evel ;efinition Characteristic
7evel 1 "nitial *oor Control O @eroism
7evel 2 Manage *ro(ect *rocesses O /eactive
7evel 3 ;efine 2rgani)ation *rocess O *roactive
7evel H Quantitatively Manage *reicta&le an controlle *rocess
7evel A 2ptimi)ing *rocess "mprovement O "nnovation
Ysource M CMM" Moel
Maturity 7evel CMM" ;ev *rocess Areas CMM" Svc *rocess Areas
7evel 2 /e6uirements Management /e6uirements Management
*ro(ect *lanning 0or$ *lanning
*ro(ect Monitoring an Control 0or$ Monitoring an Control
Supplier Agreement Management Supplier Agreement Management
Configuration Management Configuration Management
Measurement an Analysis Measurement an Analysis
*rouct an *rocess Quality
Assurance
*rouct an *rocess Quality
Assurance
:::::::::::: Service ;elivery
7evel 3 /e6uirements ;evelopment Strategic Service Management
'echnical Solution "ncient /esolution an *revention
*rouct "ntegration Service 'ransition
Verification Service Continuity
Valiation Capacity an Availa&ility
Management
"ntegrate *ro(ect Management "ntegrate 0or$ Management
/is$ Management /is$ Management
;ecision Analysis an resolution ;ecision Analysis an resolution
2rgani)ational 'raining 2rgani)ational 'raining
2rgani)ational *rocess ;efinition 2rgani)ational *rocess ;efinition
2rgani)ational *rocess 9ocus 2rgani)ational *rocess 9ocus
:::::::::::: Service System ;evelopment 4A5
7evel H Quantitative *ro(ect Management Quantitative 0or$ Management
2rgani)ational *rocess *erformance 2rgani)ational *rocess
*erformance
7evel A 2rgani)ational *erformance
Management
2rgani)ational *erformance
Management
Causal Analysis an /esolution Causal Analysis an /esolution
YA M Aitional *rocess AreaF Applica&ility ecie &y .ee of the 2rgani)ation
CMM" ;evelopment M Sample artifacts etails for reference%
Process (rea$ pecific .oals 4 pecific
Practices
,ypical C%%# (rtifact
/e6uirements Management
SC 1 Manage /e6uirements
S* 1%1 Jnerstan /e6uirements /e6uirements ;ocument[ Collection of re6uirements O mails
S*1%22&tain Commitment to
/e6uirements
Sign off on /e6uirement[agreement on re6uirements
S* 1%3 Manage /e6uirements Changes Change log
S* 1%H Maintain <iirectional
'racea&ility of /e6uirements
'racea&ility matri3
S* 1%A !nsure Alignment &etween
*ro(ect 0or$ an /e6uirements
Jpation of pro(ect plan
/e6uirements ;evelopment
SC 1 ;evelop Customer /e6uirements
S* 1%1 !licit .ees /e6uirements meeting M2M8prototype
S* 1%2 'ransform Sta$eholer nees into
Customer /e6uirements
<usiness /e6uirements
SC 2 ;evelop *rouct /e6uirements
S* 2%1 !sta&lish *rouct an *rouct:
Component /e6uirements
Software /e6uirements Specification ocument
S* 2%2 Allocate *rouct:Component
/e6uirements
Software /e6uirements Specification ocument
S* 2%3 "entify "nterface /e6uirements "nterface /e6uirements in S/S
SC 3 Analy)e an Valiate /e6uirements
S* 3%1 !sta&lish 2perational Concepts
an Scenarios
Jse Case #timeline scenarios# etc
S* 3%2 !sta&lish a ;efinition of /e6uire
9unctionality an Quality Attri&utes
activity iagram# use case
S* 3%3 Analy)e /e6uirements /e6uirements efect8review
S* 3%H Analy)e /e6uirements to Achieve
<alance
/e6uirements allocation8moule wise re6uirements# ris$s
S* 3%A Valiate /e6uirements Analysis with client8prototype etc
'echnical Solution
SC 1 Select *rouct:Component
Solutions

S* 1%1 ;evelop Alternative Solutions an
Selection Criteria
Alternative solutions8evaluation report8selection criteria
S* 1%2 Select *rouct:Component
Solutions
;ocumente solution
SC 2 ;evelop the ;esign
S* 2%1 ;esign the *rouct or *rouct
Component
*rouct Architecture
S* 2%2 !sta&lish a 'echnical ;ata
*ac$age
'echnical ata pac$age
S* 2%3 ;esign "nterfaces Jsing Criteria "nterface esign8Criteria87ow 7evel esign
S* 2%H *erform Ma$e or <uy Analysis ma$e8&uy8reuse analysis
SC 3 "mplement the *rouct ;esign
S* 3%1 "mplement the ;esign Source coe
S* 3%2 ;evelop *rouct Support
;ocumentation
user manual8prouct manual
*rouct "ntegration
SC 1 *repare for *rouct "ntegration
S* 1%1 !sta&lish an "ntegration Strategy "ntegration Strategy
S* 1%2 !sta&lish the *rouct "ntegration
!nvironment
*rouct integration strategy to have environment etails
S* 1%3 !sta&lish *rouct "ntegration *rouct integration plan
*roceures an Criteria
SC 2 !nsure "nterface Compati&ility
S* 2%1 /eview "nterface ;escriptions for
Completeness
"ntegration review chec$list
S* 2%2 Manage "nterfaces upate interfaces8M2M
SC 3 Assem&le *rouct Components an
;eliver the *rouct

S* 3%1 Confirm /eainess of *rouct
Components for "ntegration
<uil reainess chec$
S* 3%2 Assem&le *rouct Components <uil
S* 3%3 !valuate Assem&le *rouct
Components
/elease /eainess Chec$list
S* 3%H *ac$age an ;eliver the *rouct
or *rouct Component
/elease .ote8/elease
Verification
SC 1 *repare for Verification
S* 1%1 Select 0or$ *roucts for
Verification
/eviews8Jnit test plan
S* 1%2 !sta&lish the Verification
!nvironment
'emplates8chec$lists8tools# etc
S* 1%3 !sta&lish Verification *roceures
an Criteria
/eviews8Jnit test plan4proceure5
SC 2 *erform *eer /eviews
S* 2%1 *repare for *eer /eviews peer review scheule8meeting planning# etc
S* 2%2 Conuct *eer /eviews peer review report
S* 2%3 Analy)e *eer /eview ;ata ;efect closure
SC 3 Verify Selecte 0or$ *roucts
S* 3%1 *erform Verification Jnit testing
S* 3%2 Analy)e Verification /esults an
"entify Corrective Action
;efect Analysis O ;efect prevention
Valiation
SC 1 *repare for Valiation
S* 1%1 Select *roucts for Valiation System 'est plan
S* 1%2 !sta&lish the Valiation
!nvironment
'est !nvironment set up
S* 1%3 !sta&lish Valiation *roceures
an Criteria
System 'est plan
SC 2 Valiate *rouct or *rouct
Components

S* 2%1 *erform Valiation 'est !3ecution /esults
S* 2%2 Analy)e Valiation /esults ;efect Analysis O ;efect prevention
*ro(ect *lanning
SC 1 !sta&lish !stimates
S* 1%1 !stimate the Scope of the *ro(ect 'op 7evel 0<S# wor$ *ac$age escription
S* 1%2 !sta&lish !stimates of 0or$
*rouct an 'as$ Attri&utes
Si)e# estimating moel
S* 1%3 ;efine *ro(ect 7ife Cycle 7ife cycle ocumente 4 mostly in *ro(ect plan5
S* 1%H ;etermine !stimates of !ffort an
Cost
!ffort O cost of pro(ect 4 mostly in *ro(ect plan5
SC 2 ;evelop a *ro(ect *lan
S* 2%1 !sta&lish the <uget an Scheule <uget an scheule 4 mostly Pic$ off8initiation ec$ etc5
S* 2%2 "entify *ro(ect /is$s /is$ "entification chec$list8/is$ log
S* 2%3 *lan for ;ata Management ;ata Management plan 4mostly in pro(ect plan8charter5
S* 2%H *lan for *ro(ect /esources *ro(ect resources 4mostly in pro(ect plan8charter5
S* 2%A *lan for .eee Pnowlege an
S$ills
S$ill Matri3 &y roles
S* 2%K *lan Sta$eholer "nvolvement Sta$eholer Matri3
S* 2%> !sta&lish the *ro(ect *lan *ro(ect plan
SC 3 2&tain Commitment to the *lan
S* 3%1 /eview *lans that Affect the
*ro(ect
/evise plan8/eview comments
S* 3%2 /econcile 0or$ an /esource
7evels
/evise *lan
S* 3%3 2&tain *lan Commitment Approval O *lan commitment from sta$eholers
*ro(ect Monitoring an Control
SC 1 Monitor *ro(ect Against *lan
S* 1%1 Monitor *ro(ect *lanning
*arameters
!ffort# scheule# other measures 4Metrics report5
S* 1%2 Monitor Commitments Commitment monitoring 4Meeting M2M8issues# etc5
S* 1%3 Monitor *ro(ect /is$s /is$ 7og8wee$ly8&iwee$ly8monthly reports
S* 1%H Monitor ;ata Management ;ata Confientiality8availa&ility an integrity monitoring
4Meeting M2M5
S* 1%A Monitor Sta$eholer "nvolvement Sta$eholer participation 4Meeting M2M5
S* 1%K Conuct *rogress /eviews Monthly reviews8&iwee$ly reviews
S* 1%> Conuct Milestone /eviews Milestone meeting 4Sometimes Monthly8&iwee$ly reviews5
SC 2 Manage Corrective Action to
Closure

S* 2%1 Analy)e "ssues "ssue 7og
S* 2%2 'a$e Corrective Action Action items 4mostly in M2M or in a log8tool5
S* 2%3 Manage Corrective Action Action Closure status an etails 4mostly in M2M or in a log8
tool5
/is$ Management
SC 1 *repare for /is$ Management
S* 1%1 ;etermine /is$ Sources an
Categories
/is$ Source an category 4can &e part of /is$ log8sheet an
applie to each ris$5
S* 1%2 ;efine /is$ *arameters /is$ *arameters typically impact Y pro&a&ility WI/is$
!3posure
S* 1%3 !sta&lish a /is$ Management
Strategy
Strategy ocument8guiance in /is$ log itself
4 threshol8mitigation8contingency8acceptance8avoiance8role
s5
SC 2 "entify an Analy)e /is$s
S* 2%1 "entify /is$s 7ist of "entifie ris$s 4ris$ log5
S* 2%2 !valuate /is$s /is$ !3posure an priority
SC 3 Mitigate /is$s
S* 3%1 ;evelop /is$ Mitigation *lans Mitigation actions 4to reuce ris$ e3posure: mostly in ris$
log5
S* 3%2 "mplement /is$ Mitigation *lans Action closure an /is$ rating moifications
Configuration Management
SC 1 !sta&lish <aselines
S* 1%1 "entify Configuration "tems Configura&le items list 4mostly in Configuration plan5
S* 1%2 !sta&lish a Configuration
Management System
Configuration repository# approval mechanism 4mostly in
configuration *lan5
S* 1%3 Create or /elease <aselines <aselines list8criteria 4mostly in configuration plan5
SC 2 'rac$ an Control Changes
S* 2%1 'rac$ Change /e6uests Change re6uests logge
S* 2%2 Control Configuration "tems Change re6uests status upate
SC 3 !sta&lish "ntegrity
S* 3%1 !sta&lish Configuration
Management /ecors
Status Accounting 8configuration history reports
S* 3%2 *erform Configuration Auits Configuration auit4functional8physical5
Measurement an Analysis
SC 1 Align Measurement an Analysis
Activities

S* 1%1 !sta&lish Measurement 2&(ectives ;efine measurement o&(ectives 4org level can &e mappe to
pro(ect level5
S* 1%2 Specify Measures !ffort8efect8scheule8utili)ation# etc
S* 1%3 Specify ;ata Collection an
Storage *roc
ata source# collection# fre6uency4metric guieline8report
itself5
S* 1%H Specify Analysis *roceures proceure to analy)e 4graphs8chart8points to consier5
SC 2 *rovie Measurement /esults
S* 2%1 2&tain Measurement ;ata Metrics /eport
S* 2%2 Analy)e Measurement ;ata Metrics /eport
S* 2%3 Store ;ata an /esults Metrics /eport
S* 2%H Communicate /esults Meeting minutes8monthly8&imonthly reports
*rocess an *rouct Quality Assurance
SC 1 2&(ectively !valuate *rocesses an
0or$ *roucts

S* 1%1 2&(ectively !valuate *rocesses Auit report 4*rocess Auit5
S* 1%2 2&(ectively !valuate 0or$
*roucts an Services
0or$ prouct /eview /eport 4SQA review on elivera&les5
SC 2 *rovie 2&(ective "nsight
S* 2%1 Communicate an !nsure
/esolution of .C "ssues
.on compliance closure /eport
S* 2%2 !sta&lish /ecors .on compliance closure /eport
"ntegrate *ro(ect Management
SC 1 Jse the *ro(ect+s ;efine *rocess 'ailoring
S* 1%1 !sta&lish the *ro(ect+s ;efine
*rocess
tailoring chec$list8ocument 4of organi)ation process with
pro(ect conte3t5
S* 1%2 Jse 2rgani)ational *rocess Assets
for *lanning *ro(ect Activities
estimation8measurements8ris$s# etc use for planning 4mostly
in pro(ect plan5
S* 1%3 !sta&lish *ro(ect\s wor$
!nvironment
;ocumente *ro(ect environment 4mostly in pro(ect plan5
S* 1%H "ntegrate *lans integrate pro(ect plan
S* 1%A Manage the *ro(ect Jsing the /evise integrate pro(ect plan8upates &ase on it
"ntegrate *lans
S* 1%K !sta&lish 'eams 'eam roles an guiance 4Mostly in pro(ect plan5
S* 1%> Contri&ute to the 2rgani)ational
*rocess Assets
7essons learnt8&est practices8improvements# etc
SC 2 Coorinate an Colla&orate with
/elevant Sta$eholers

S* 2%1 Manage Sta$eholer "nvolvement 'eam Meetings8issue log8*ro(ect meetings
S* 2%2 Manage ;epenencies "ssue #epenency log O closure of actions
S* 2%3 /esolve Coorination "ssues "ssue #epenency log O closure of actions
2rgani)ational 'raining
SC 1 !sta&lish an 2rgani)ational
'raining Capa&ility

S* 1%1 !sta&lish the Strategic 'raining
.ees
7in$e training nees with &usiness o&(ectives 4mostly
annual 'raining plan 8strategy ocument5
S* 1%2 ;etermine 0hich 'raining .ees
Are the /esponsi&ility of the
2rgani)ation
*ro(ect level O 2rg level training : liste 4in plan5
S* 1%3 !sta&lish an 2rgani)ational
'raining 'actical *lan
'raining Calenar
S* 1%H !sta&lish 'raining Capa&ility 'raining environment# trainer etails ocumente at org% level
SC 2 *rovie .ecessary 'raining
S* 2%1 ;eliver 'raining 'raining elivery recor
4"nvite8material8fee&ac$8attenance5
S* 2%2 !sta&lish 'raining /ecors 'raining elivery recor 4"nvite8material8fee&ac$5
S* 2%3 Assess 'raining !ffectiveness 'raining fee&ac$ evaluation83K0 fee&ac$8performance
chec$# etc
2rgani)ational *rocess 9ocus
SC 1 ;etermine *rocess:"mprovement
2pportunities

S* 1%1 !sta&lish 2rgani)ational *rocess *rocess .ees O etails 4mostly in Quality Manual5
.ees
S* 1%2 Appraise the 2rgani)ation+s
*rocesses
Auit8appraise8review organi)ation process
S* 1%3 "entify the 2rgani)ation\s
*rocess "mprovements
"mprovement log 4&ase on appraisals an from pro(ects5
SC 2 *lan an "mplement *rocess
Actions

S* 2%1 !sta&lish *rocess Action *lans "mprovement 7og 4 with C/8improvement an action plan5
S* 2%2 "mplement *rocess Action *lans "mprovement 7og status4 with C/8improvement an action
plan5
SC 3 ;eploy 2rgani)ational *rocess
Assets an "ncorporate e3periences

S* 2%1 ;eploy 2rgani)ational *rocess
Assets
;eployment plan with status
S* 2%2 ;eploy stanar processes ;eployment plan with status
S* 2%3 Monitor the "mplementation ;eployment plan with status
S* 2%H "ncorporate !3periences into the
2rgani)ational *rocess Assets
Jpate /epositories 4!stimation8ris$8efects8samples# etc5
2rgani)ational *rocess ;efinition
SC 1 !sta&lish 2rgani)ational *rocess
Assets
;efine *rocesses
S* 1%1 !sta&lish Stanar *rocesses ;ocumente process ;efinitions
S* 1%2 !sta&lish 7ife:Cycle Moel
;escriptions
7ifecycle escription 4waterfall8incremental8iterative# etc5
S* 1%3 !sta&lish 'ailoring Criteria an
Cuielines
'ailoring Cuieline 4 mostly &y process5 an Criteria
4small8large# etc5
S* 1%H !sta&lish the 2rgani)ation+s
Measurement /epository
Metrics repository
S* 1%A !sta&lish the 2rgani)ation+s
*rocess Asset 7i&rary
/epositories 4!stimation8ris$8efects8samples# etc5
S* 1%K !sta&lish wor$ !nvironment 0or$ !nvironment etails 4 mostly in Quality manual5
Stanars
S* 1%> !sta&lish rules an guielines for
teams
'eaming norms 4mostly in Quality manual5
;ecision Analysis an /esolution
SC 1 !valuate Alternatives
S* 1%1 !sta&lish Cuielines for ;ecision
Analysis
Cuieline 4when to use# criteria# responsi&le# etc5
S* 1%2 !sta&lish !valuation Criteria Criteria to evaluate ecision4it will vary &ase on the conte3t5
S* 1%3 "entify Alternative Solutions ;ocument alternate solution 4separate ;A/ sheet use in
many org%5
S* 1%H Select !valuation Methos !valuation techni6ues 4*ugh matri3# cost &enefit# weighte
average# etc5 4;A/ sheet to have the metho5
S* 1%A !valuate Alternatives Valuation of each alternative solution 4;A/ sheet5
S* 1%K Select Solutions 9inal Solution 4 ;A/ sheet5
CMM" Services M Sample Artifact for reference
Process (rea$ pecific .oals 4 pecific
Practices
,ypical C%%# (rtifact
Configuration Management
SC 1 !sta&lish <aselines
S* 1%1 "entify Configuration "tems Configura&le items list 4mostly in Configuration plan5
S* 1%2 !sta&lish a Configuration
Management System
Configuration repository# approval mechanism 4mostly in
configuration *lan5
S* 1%3 Create or /elease <aselines <aselines list8criteria 4mostly in configuration plan5
SC 2 'rac$ an Control Changes
S* 2%1 'rac$ Change /e6uests Change re6uests logge
S* 2%2 Control Configuration "tems Change re6uests status upate
SC 3 !sta&lish "ntegrity
S* 3%1 !sta&lish Configuration
Management /ecors
Status Accounting 8configuration history reports
S* 3%2 *erform Configuration Auits Configuration auit4functional8physical5
Measurement an Analysis
SC 1 Align Measurement an Analysis
Activities

S* 1%1 !sta&lish Measurement 2&(ectives ;efine measurement o&(ectives 4org level can &e mappe to
pro(ect level5
S* 1%2 Specify Measures !ffort8efect8scheule8utili)ation# etc
S* 1%3 Specify ;ata Collection an
Storage *roceures
ata source# collection# fre6uency4metric guieline8report
itself5
S* 1%H Specify Analysis *roceures proceure to analy)e 4graphs8chart8points to consier5
SC 2 *rovie Measurement /esults
S* 2%1 2&tain Measurement ;ata Metrics /eport
S* 2%2 Analy)e Measurement ;ata Metrics /eport with Analysis
S* 2%3 Store ;ata an /esults Metrics /eport in ;ata&ase O Communication
S* 2%H Communicate /esults Meeting minutes8monthly8&imonthly reports
*rocess an *rouct Quality Assurance
SC 1 2&(ectively !valuate *rocesses an
0or$ *roucts

S* 1%1 2&(ectively !valuate *rocesses Auit report 4*rocess Auit5 with .oncompliance O
corrective actions
Auit chec$list
S* 1%2 2&(ectively !valuate 0or$
*roucts
*rocess QA /eview /eport
SC 2 *rovie 2&(ective "nsight
S* 2%1 Communicate an /esolve
.oncompliance "ssues
.on compliance closure /eport
Mail of report &eing share with sta$eholers
S* 2%2 !sta&lish /ecors Auit plan
.on compliance closure /eport
Status of corrective actions
/e6uirements Management
SC 1 Manage /e6uirements
S* 1%1 Jnerstan /e6uirements /e6uirements ;ocument[ Collection of re6uirements O mails
S* 1%2 2&tain Commitment to
/e6uirements
Sign off on /e6uirement[agreement on re6uirements
S* 1%3 Manage /e6uirements Changes Change log
S* 1%H Maintain <iirectional
'racea&ility of /e6uirements
Service /e6uirements tracea&ility matri3
/e6uirements trac$ing system
S* 1%A !nsure Alignment &etween 0or$
*roucts an /e6uirements
Jpation of pro(ect plan
Supplier Agreement Management
SC 1 !sta&lish Supplier Agreements
S* 1%1 ;etermine Ac6uisition 'ype 'ype of Suppliers an Ac6uisition types
S* 1%2 Select Suppliers Supplier list an Venor !valuation sheet
S* 1%3 !sta&lish Supplier Agreements *urchase 2rer# Contract# S20
SC 2 Satisfy Supplier Agreements
S* 2%1 !3ecute the Supplier Agreement /eceive *rouct# 'rac$ Supply : 'rac$ing status
S* 2%2 Accept the Ac6uire *rouct Acceptance report# inception report
S* 2%3 !nsure 'ransition of *roucts 'ransition plans# hanover report
'raining reports
Service ;elivery
SC 1 !sta&lish Service Agreements
S* 1%1 Analy)e !3isting Agreements an
Service ;ata
Analysis of past S7A\s an S20 O Analysis of reports
S* 1%2 !sta&lish the Service Agreement Service agreement8 Contract etc
SC 2 *repare for Service ;elivery
S* 2%1 !sta&lish the Service ;elivery
Approach
*ro(ect8Service management plan with the agree Service
elivery approach 4"ncient8pro&lem# etc5
S* 2%2 *repare for Service System
2perations
Valiation of Pnowlege 'ransfer8
Valiation of Service System tool 4training etc58
operational reainess assessment
S* 2%3 !sta&lish a /e6uest Management
System
"ncient Management tool8 7og
SC 3 ;eliver Services
S* 3%1 /eceive an *rocess Service
/e6uests
"ncient Management recor in the tool8 7og
S* 3%2 2perate the Service System Service logs from the tool8
*erformance Status reports
S* 3%3 Maintain the Service System Corrective or preventive maintenance change re6uests8
Change /e6uests on the service system
0or$ *lanning
SC 1 !sta&lish !stimates
S* 1%1 !sta&lish the Service Strategy Service Strategy ;ocument
S* 1%2 !stimate the Scope of the 0or$ 'op 7evel 0<S# wor$ *ac$age escription
S* 1%3 !sta&lish !stimates of 0or$
*rouct an 'as$ Attri&utes
Si)e# estimating moel
S* 1%H ;efine 7ifecycle *hases 7ife cycle ocumente 4 mostly in *ro(ect 8Service
management plan5
S* 1%A !stimate !ffort an Cost !ffort O cost of pro(ect 4 mostly in *ro(ect plan5
SC 2 ;evelop a 0or$ *lan
S* 2%1 !sta&lish the <uget an Scheule <uget an scheule 4 mostly Pic$ off8initiation ec$ etc5
S* 2%2 "entify /is$s /is$ "entification chec$list8/is$ log
S* 2%3 *lan ;ata Management ;ata Management plan 4mostly in pro(ect plan8charter5
S* 2%H *lan the /esources *ro(ect resources 4mostly in pro(ect plan8charter5
S* 2%A *lan .eee Pnowlege an
S$ills
S$ill Matri3 &y roles
S* 2%K *lan Sta$eholer "nvolvement Sta$eholer Matri3
S* 2%> !sta&lish the 0or$ *lan *ro(ect plan8Service Management *lan
SC 3 2&tain Commitment to the *lan
S* 3%1 /eview *lans 'hat Affect the
0or$
/evise plan8/eview comments
S* 3%2 /econcile 0or$ an /esource
7evels
/evise *lan
S* 3%3 2&tain *lan Commitment Approval O *lan commitment from sta$eholers
0or$ Monitoring an Control
SC 1 Monitor the 0or$ Against the *lan
S* 1%1 Monitor 0or$ *lanning
*arameters
!ffort# scheule# other measures 4Metrics report5
S* 1%2 Monitor Commitments Commitment monitoring 4Meeting M2M8issues# etc5
S* 1%3 Monitor /is$s /is$ 7og8wee$ly8&iwee$ly8monthly reports
S* 1%H Monitor ;ata Management ;ata Confientiality8availa&ility an integrity monitoring
4Meeting M2M5
S* 1%A Monitor Sta$eholer "nvolvement Sta$eholer participation 4Meeting M2M5
S* 1%K Conuct *rogress /eviews Monthly reviews8&iwee$ly reviews
S* 1%> Conuct Milestone /eviews Milestone meeting 4Sometimes Monthly8&iwee$ly reviews5
SC 2 Manage Corrective Action to
Closure

S* 2%1 Analy)e "ssues "ssue 7og
S* 2%2 'a$e Corrective Action Action items 4mostly in M2M or in a log8tool5
S* 2%3 Manage Corrective Actions Action Closure status an etails 4mostly in M2M or in a log8
tool5
Capacity an Availa&ility Management
SC 1 *repare for Capacity an
Availa&ility Management

S* 1%1 !sta&lish a Capacity an Service management plan with etails on
Availa&ility Management Strategy @uman8"nfra8technological capacity an availa&ility for
agree service
S* 1%2 Select Measures an Analytic
'echni6ues
Capacity an availa&ility measures an analysis techni6ue
S* 1%3 !sta&lish Service System
/epresentations
process simulation 4system simulation5# Simulation of inflow
an capacity an availa&ility with e3cel
SC 2 Monitor an Analy)e Capacity an
Availa&ility

S* 2%1 Monitor an Analy)e Capacity 'ren charts on service resource usage ata
S* 2%2 Monitor an Analy)e Availa&ility 'rens on availa&ility# analysis an action
S* 2%3 /eport Capacity an Availa&ility
Management ;ata
Service system performance reports
Service availa&ility reports
;ecision Analysis an /esolution
SC 1 !valuate Alternatives
S* 1%1 !sta&lish Cuielines for ;ecision
Analysis
Cuieline 4when to use# criteria# responsi&le# etc5
S* 1%2 !sta&lish !valuation Criteria Criteria to evaluate ecision4it will vary &ase on the conte3t5
S* 1%3 "entify Alternative Solutions ;ocument alternate solution 4separate ;A/ sheet use in
many org%5
S* 1%H Select !valuation Methos !valuation techni6ues 4*ugh matri3# cost &enefit# weighte
average# etc5 4;A/ sheet to have the metho5
S* 1%A !valuate Alternative Solutions Valuation of each alternative solution 4;A/ sheet5
S* 1%K Select Solutions 9inal Solution 4 ;A/ sheet5
"ncient /esolution an *revention
SC 1 *repare for "ncient /esolution an
*revention

S* 1%1 !sta&lish an Approach to "ncient
/esolution an *revention
SQ* with etails on Service "ncient hanling approach
S* 1%2 !sta&lish an "ncient Management
System
Service "ncient logging 'ool8 7og
SC 2 "entify# Control# an Aress
"niviual "ncients

S* 2%1 "entify an /ecor "ncients Service "ncient tic$et recor
S* 2%2 Analy)e "niviual "ncient ;ata Ma(or incient# repeat incient analysis
S* 2%3 /esolve "ncients Jpate resolution in the tool8 log
S* 2%H Monitor the Status of "ncients to
Closure
Closure Service incient log8 Status upate8 !scalation ata
4mail8tool ref etc5
S* 2%A Communicate the Status of
"ncients
Status reports8 Communication mail
SC 3 Analy)e an Aress Causes an
"mpacts of Selecte "ncients

S* 3%1 Analy)e Selecte "ncients /eport of unerlying causes of incients8
;ocumente causal analysis activities
S* 3%2 !sta&lish Solutions to /espon to
9uture "ncients
Pnowlege ata &ase
S* 3%3 !sta&lish an Apply Solutions to
/euce "ncient 2ccurrence
Change in Service ;elivery system li$e a tool8 proceure 8
policies etc%
Service System 'ransition
SC 1 *repare for Service System
'ransition

S* 1%1 Analy)e Service System
'ransition .ees
Compati&ility analysis of current an post:transition service
systems
<aseline service system components
Mitigations for of ientifie transition "ssues an ris$s
S* 1%2 ;evelop Service System
'ransition *lans
'ransition plans for service system transition 4tools# process#
competency5
S* 1%3 *repare Sta$eholers for Changes Strategy of training an transition
'ransition communication an notification artifacts 4e%g%#
emails# system announcements# &ulletin &oars5
SC 2 ;eploy the Service System
S* 2%1 ;eploy Service System "nstallation recors
Components "nstallation instructions
2perational scenarios an proceures
S* 2%2 Assess an Control the "mpacts of
the 'ransition
*ost eployment review
<ac$ out 8 roll&ac$ results# if neee
Service impacts ue to eployment issues
Service System ;evelopment
SC 1 ;evelop an Analy)e Sta$eholer
/e6uirements

S* 1%1 ;evelop Sta$eholer
/e6uirements
Customer re6uirements
!n:user re6uirements
S* 1%2 ;evelop Service System
/e6uirements
Service system /e6uirements O software re6uirement
specification
S* 1%3 Analy)e an Valiate
/e6uirements
*rototype# Valiation of re6uirements
SC 2 ;evelop Service Systems
S* 2%1 Select Service System Solutions Architecture of solution# Service system esign
S* 2%2 ;evelop the ;esign Coe an evelop service software# evelop components of
service system
S* 2%3 !nsure "nterface Compati&ility "nterface ientification within components an e3ternal
components of service system
S* 2%H "mplement the Service System
;esign
"mplemente service system components
'raining materials
Jser# operator# an maintenance manual
S* 2%A "ntegrate Service System
Components
Service system integration plan# &uil the service system
SC 3 Verify an Valiate Service
Systems

S* 3%1 *repare for Verification an
Valiation
Verification tools# environment# test strategy# simulation plan
S* 3%2 *erform *eer /eviews peer review chec$list# peer review report
S* 3%3 Verify Selecte Service System
Components
/eview an unit test
S* 3%H Valiate the Service System Valiation reports an results# 'est /esults
"ntegrate 0or$ Management
SC 1 Jse the ;efine *rocess for the
0or$

S* 1%1 !sta&lish the ;efine *rocess tailoring chec$list8ocument 4of organi)ation process with
pro(ect conte3t5
S* 1%2 Jse 2rgani)ational *rocess Assets
for *lanning 0or$ Activities
estimation8measurements8ris$s# etc use for planning 4mostly
in pro(ect plan5
S* 1%3 !sta&lish the 0or$ !nvironment ;ocumente *ro(ect environment 4mostly in pro(ect plan5
S* 1%H "ntegrate *lans integrate pro(ect plan
S* 1%A Manage the 0or$ Jsing
"ntegrate *lans
/evise integrate pro(ect plan8upates &ase on it
S* 1%K !sta&lish 'eams 'eam roles an guiance 4Mostly in pro(ect plan5
S* 1%> Contri&ute to 2rgani)ational
*rocess Assets
7essons learnt8&est practices8improvements# etc
SC 2 Coorinate an Colla&orate with
/elevant Sta$eholers

S* 2%1 Manage Sta$eholer "nvolvement 'eam Meetings8issue log8*ro(ect meetings
S* 2%2 Manage ;epenencies "ssue #epenency log O closure of actions
S* 2%3 /esolve Coorination "ssues "ssue #epenency log O closure of actions

Strategic Service Management
SSC 1 !sta&lish Strategic .ees an
*lans for Stanar Services

S* 1%1 Cather an Analy)e ;ata Analy)e ata on the organi)ation+s capa&ilities 4past
performance report5
Analy)e ata on strategic nees# Analysis report
S* 1%2 !sta&lish *lans for Stanar
Services
Strategic plan on stanar service# catalogue# nees
SC 2 !sta&lish Stanar Services
S* 2%1 !sta&lish *roperties of Stanar
Services an Service 7evels
Critical attri&utes of stanar services
2rgani)ation+s set of stanar service levels
Common an varia&le parts of stanar services
S* 2%2 !sta&lish ;escriptions of Stanar
Services
Service Catalog with specific instructions

Service Continuity
SC 1 "entify !ssential Service
;epenencies

S* 1%1 "entify an *rioriti)e !ssential
9unctions
/is$ Assessment# <usiness continuity assessment report
S* 1%2 "entify an *rioriti)e !ssential
/esources
prioriti)ation &ase on Assessment 4<usiness continuity
assessment report5
SC 2 *repare for Service Continuity
S* 2%1 !sta&lish Service Continuity *lans <usiness Continuity plan
S* 2%2 !sta&lish Service Continuity
'raining
Service continuity training material
'raining recors
S* 2%3 *rovie an !valuate Service
Continuity 'raining
'raining /ecors on &usiness continuity
SC 3 Verify an Valiate the Service
Continuity *lan

S* 3%1 *repare for the Verification an
Valiation of the Service Continuity *lan
*lan for <usiness continuity chec$
S* 3%2 Verify an Valiate the Service
Continuity *lan
/eview report
S* 3%3 Analy)e /esults of Verification
an Valiation of the Service Continuity
*lan
/esults of Simulation 'est report O improvement
recommenations

/is$ Management
SC 1 *repare for /is$ Management
S* 1%1 ;etermine /is$ Sources an
Categories
/is$ Source an category 4can &e part of /is$ log8sheet an
applie to each ris$5
S* 1%2 ;efine /is$ *arameters /is$ *arameters typically impact Y pro&a&ility WI/is$
!3posure
S* 1%3 !sta&lish a /is$ Management
Strategy
Strategy ocument8guiance in /is$ log itself
4 threshol8mitigation8contingency8acceptance8avoiance8role
s5
SC 2 "entify an Analy)e /is$s
S* 2%1 "entify /is$s 7ist of "entifie ris$s 4ris$ log5
S* 2%2 !valuate# Categori)e# an
*rioriti)e /is$s
/is$ !3posure an priority
SC 3 Mitigate /is$s
S* 3%1 ;evelop /is$ Mitigation *lans Mitigation actions 4to reuce ris$ e3posure: mostly in ris$
log5
S* 3%2 "mplement /is$ Mitigation *lans Action closure an /is$ rating moifications
2rgani)ational 'raining
SC 1 !sta&lish an 2rgani)ational
'raining Capa&ility

S* 1%1 !sta&lish Strategic 'raining .ees 7in$e training nees with &usiness o&(ectives 4mostly
annual 'raining plan 8strategy ocument5
S* 1%2 ;etermine 0hich 'raining .ees
Are the /esponsi&ility of the
2rgani)ation
*ro(ect level O 2rg level training : liste 4in plan5
S* 1%3 !sta&lish an 2rgani)ational
'raining 'actical *lan
'raining Calenar
S* 1%H !sta&lish a 'raining Capa&ility 'raining environment# trainer etails ocumente at org% level
SC 2 *rovie 'raining
S* 2%1 ;eliver 'raining 'raining elivery recor
4"nvite8material8fee&ac$8attenance5
S* 2%2 !sta&lish 'raining /ecors 'raining elivery recor 4"nvite8material8fee&ac$5
S* 2%3 Assess 'raining !ffectiveness 'raining fee&ac$ evaluation83K0 fee&ac$8performance
chec$# etc
2rgani)ational *rocess 9ocus
SC 1 ;etermine *rocess "mprovement
2pportunities

S* 1%1 !sta&lish 2rgani)ational *rocess
.ees
*rocess .ees O etails 4mostly in Quality Manual5
S* 1%2 Appraise the 2rgani)ation+s
*rocesses
Auit8appraise8review organi)ation process
S* 1%3 "entify the 2rgani)ation\s
*rocess "mprovements
"mprovement log 4&ase on appraisals an from pro(ects5
SC 2 *lan an "mplement *rocess
Actions

S* 2%1 !sta&lish *rocess Action *lans "mprovement 7og 4 with C/8improvement an action plan5
S* 2%2 "mplement *rocess Action *lans "mprovement 7og status4 with C/8improvement an action
plan5
SC 3 ;eploy 2rgani)ational *rocess
Assets an "ncorporate !3periences

S* 3%1 ;eploy 2rgani)ational *rocess
Assets
;eployment plan with status
S* 3%2 ;eploy Stanar *rocesses ;eployment plan with status
S* 3%3 Monitor the "mplementation ;eployment plan with status
S* 3%H "ncorporate !3periences into
2rgani)ational *rocess Assets
Jpate /epositories 4!stimation8ris$8efects8samples# etc5
2rgani)ational *rocess ;efinition
SC 1 !sta&lish 2rgani)ational *rocess
Assets
;efine *rocesses
S* 1%1 !sta&lish Stanar *rocesses ;ocumente process ;efinitions
S* 1%2 !sta&lish 7ife:Cycle Moel
;escriptions
7ifecycle escription 4waterfall8incremental8iterative# etc5
S* 1%3 !sta&lish 'ailoring Criteria an
Cuielines
'ailoring Cuieline 4 mostly &y process5 an Criteria
4small8large# etc5
S* 1%H !sta&lish the 2rgani)ation+s
Measurement /epository
Metrics repository
S* 1%A !sta&lish the 2rgani)ation+s
*rocess Asset 7i&rary
/epositories 4!stimation8ris$8efects8samples# etc5
S* 1%K !sta&lish 0or$ !nvironment
Stanars
0or$ !nvironment etails 4 mostly in Quality manual5
S* 1%> !sta&lish /ules an Cuielines for
'eams
'eaming norms 4mostly in Quality manual5
*CMM 4*eople Capa&ility Maturity Moel5
'he *eople Capa&ility Maturity Moel 4*eople CMM5 is a Dframewor25 that helps organi)ations
to successfully aress their critical people issues% <ase on the &est current practices in fiels
such as human resources# $nowlege management# an organi)ational evelopment# the *eople
CMM guies organi)ations in improving their processes for managing an eveloping their
wor$forces%
Q Software !ngineering "nstitute 4S!"5 is the proucer of this moel
Q 2rgani)ations li$e "<M# Microsoft# Citi&an$# <oehm# etc%# having contri&ute for
&ringing out the first version of *:CMM release in the year 1==A%
Q /eleasesF
1==A: *CMM version 1%0
2001: *CMM version 2%0
'he *eople CMM provies guiance to organi)ations in selecting immeiate improvement
actions that help organi)ations
Q Characteri)e the maturity of their wor$force practices
Q "ntegrate wor$force evelopment with process improvement
Q <ecome an employer of choice
Q "mprove the a&ility of organi)ations to attract# evelop# motivate# organi)e an retain
talent%
Q !nsure alignment &etween the iniviual goals an organi)ation+s goal%
Q ;evelop wor$force re6uire to e3ecute &usiness strategy%
Q *rioriti)e activities for improving wor$force capa&ility
'he moel has five maturity level an the etails of process area is given &elow#
9or etaile reference please visitF sei%cmu%eu
Agile Scrum
'here are many agile methoologies availa&le li$e Scrum# !3treme *rogramming# 9eature
riven evelopment# agile ata# etc 2ut of these Scrum is popular an most use "'
*ro(ect8service &ase organi)ations% 'he scrum principles are easy to unerstan# it can &e use
with ifferent technologies an tools%
Scrum is a framewor$ structure to support comple3 prouct evelopment% Scrum consists of
Scrum 'eams an their associate roles# events# artifacts# an rules% !ach component within the
framewor$ serves a specific purpose an is essential to Scrum+s success an usage% 4Scrum
Cuie# 200=5
Scrum *rinciplesF
'ime &o3
Cross functional teams
'ransparency
*riority riven
;emonstration of results
/esponsiveness to change
Scrum *rocessF
Scrum 'eamF
Scrum 'eam consists of Scrum Master# *rouct owner an Scrum 'eam 4evelopment team5%
'he teams are self organi)ing an cross functional in nature an also e3pecte to &e smaller in
si)e K to = people%
Scrum Master is a process coach# team facilitator an removes roa &loc$s% @e ensures that
scrum theoryR principles are ahere an limit the interaction with others 4outsie team5 with
team as neee%
*rouct 2wner is responsi&le for prouct an its functionality% @e a(usts priorities an feature
list in prouct &ac$log% *rouct owner is one person% @e accepts or re(ects the results of wor$%
@e provies ae6uate information to evelopment team for unerstaning the wor$%
Scrum 'eam8;evelopment 'eam is with iniviuals who are responsi&le for the prouct% Cross s
functional team consists of eveloper# tester an QA8;esigner 4as re6uire5R however they may
not &e calle with those roles insie the pro(ect% 'he team shoul self organi)e themselves an
ensure they unerstan the wor$ an eliver wor$ing prouct%
Sprint in ScrumF
A Sprint is a time &o3e effort to eliver wor$ing software% .ormally it spans &etween 2 to H
wee$s% A sprint has wor$ items in sprint &ac$ log prioriti)e# an any change within the sprint is
not accepte# else the sprint will &e restarte% A sprint has planning meeting# review an
/etrospective meetings%
/eleaseF
'he ientifie feature for wor$ing software is erive from the prouct &ac$log an relevant
num&ers of sprints are ientifie% Jsually a release is mae in once in 3 months%
<ac$logsF
'he Scrum pro(ect has ifferent &ac$logs create an maintaine to facilitate results%
*rouct <ac$logF
<ase on prouct strategy# the pro(ect ientifies the features re6uire for the prouct an the
prouct &ac$ log contains all the functionalities an features liste an reviewe% /eleases can
&e ientifie with it an relevant sprints are ientifie% 'he prouct owner is responsi&le for
maintaining the features%
Sprint <ac$logF
'his contains the features an functionalities e3pecte in a sprint% 'echnical re6uirements# esign
can &e part of the sprint &ac$ log% Jser stories are typically part of the &ac$log%
Sprint ActivitiesF
Sprint *lanningF
A preplanning happens in the previous sprint to unerstan the goals an at the &eginning of a
sprint the planning meeting happens to fi3 the o&(ectives an functionalities% *rouct owner
etails the efinition an features% 9rom prouct &ac$log the relevant features are ta$en for the
sprint% <ase on the user stories the tas$s are ientifie% *rouct owner# scrum master an the
evelopment team is involve%
;aily ScrumF
'hey o a stan up meeting for 1A minutes# an they chec$ what has &een one from previous
meeting# what will &e one &efore ne3t meeting an what constraints they have% <ase on that#
the team wor$s on their aily tas$%
Sprint /eviewF
'he prouct emonstration is given to the prouct owner% 'he prouct owner can accept or re(ect
the prouct features%
Sprint /etrospectiveF
Sprint retrospective meeting is mainly for the team an they iscuss# what went well# what can
&e change# etc this helps in continually improving an organi)ing themselves
Sprint 'as$sF
'as$s are erive &ase on Sprint &ac$ log
!stimate the tas$s using any of 9i&onacci# ' shirt si)ing or po$er methos
"nterepenencies are consiere
;evelopment team selects the wor$ tas$s
'as$s are complete as per the priority
/elevant outputs are store 4wi$i page8esign8test cases8 coe in environment5
'he uncomplete tas$s 4features5 are move &ac$ to the prouct log
0or$ing features are emonstrate in the Sprint /eview meeting
;efinition of ;one is the criteria &ase on which a user story will &e consiere as complete%
<urn own Chart is use to monitor the effort availa&ility with the user stories to &e evelope%
Velocity is a measure use to etermine the spee of completion% "t is the story points complete
4as per efinition of one5 in a sprint% A team+s velocity is more useful measure# if we monitor
that in at least few sprints% 'his measure helps in etermining the timeline re6uire for release%
!arne Value Analysis
!arne Value Analysis is techni6ue that helps to unerstan the eviations in the pro(ect
parameters early an correct them% 'he metho gives estimate value at the time of completion#
which helps us to unerstan# what will &e the cost at the time of completion% "n this metho
scope# scheule an cost are integrate together% 'his metho is not a statistical preiction
moel# as it oesn+t consier the inherent variations 4range5 an instea preicts a single point
value%
0ith !arne Value Analysis# the ris$s are manage well# the pro(ects are aware of eviations in
scheule an cost variance# an effective control is possi&le# all tas$s are inclue in calculation
an less error%
As we $now that# first we form the scope 4etaile wor$ &rea$ own structure5 an then we
scheule an allocate resources 4cost5% 'hese three are together e3presse in earne value
metho an cost unit is commonly use to measure an preict% After forming the scheule we
allocate the effort &y resource which results in cost% 'he month &y month or milestone &ase cost
is availa&le with us &ase on our wor$ &rea$ own structure# this forms the planne value% At
any point in time in a month we $now what is the planne value of cost for those tas$s supposes
to &e complete on that point in time%
As a slight variation to traitional !arne value analysis# we can assume effort wherever the
wor cost comes in% 'his is &ecause# in organi)ations they on+t monitor in terms of cost% 2thers
can follow it as cost% 'he !arne value is at any point in time# what is the T of wor$ complete
an what is the planne value in proportion of completion# they have earne% "n a case where
re6uirements activities are allocate with 1000B 4planne value5 for 10 tas$s# an &y the ate of
e3pecte completion when we chec$# they have only complete >0T of wor$ 4only > tas$s5# then
the !arne Value is >00B% Assume to complete the > tas$s itself# they have spent =00B 4actual
value5 instea of their earne value of >00B# then we can unerstan there is variation%
Scheule variation can &e unerstoo &y loo$ing at the 10 tas$s completion on e3pecte ate is
not one &ut only > are performe% @ence if you ta$e 4!arne Value: *lanne Value5 we can
easily unerstan it+s of :300B% Any value in .egative means we are elaye# an anything in
positive means we are avance in scheule% /emem&er in !arne Value# we use single measure
cost to represent other parameters% @owever it+s proportionate an unerstana&le% 'he same is
calculate as Scheule performance "ne3 4S*"5 with 4!arne Value8*lanne Value5% @ere we
have 4>00810005# which is 0%>% Anything less than 1 is we are elaye an anything a&ove 1 are
we are ahea# an 1 means we are as per target%
Cost variation can &e unerstoo &y loo$ing at the completion of > tas$s an its earne value an
actual cost% @ere we are not comparing with 10 tas$s# instea for the > tas$s we complete# what
is the variation till now% 0e use 4!arne Value M Actual Cost5 to calculate Cost Variation# here it
its 4>00 M =005# so :200B is cost variance at this point in time% .egative here means we are over
the &uget% Cost *erformance "ne3 4C*"5 is calculate using 4!arne Value8Actual Value5# in
this case its 4>008=005# which is 0%>> an anything less than 1 is we are poor 4over the &uget5%
At this point we unerstoo on how we calculate the Scheule variation an cost variation#
$nowing this a pro(ect team might want to preict the final value at the time of completion 4!AC
M !stimate At Completion5% 'o calculate this value# "n case 1# we nee to $now the !stimate 'o
Complete 4!'C: cost from now on5 which is# when there is huge eviation an the planne
values are no longer useful# then we can go ahea to estimate the cost for pening tas$s newly% "n
such case its# Actual Cost X !'C%
"n our case if the final &uget at completion is A000B an as of now we have alreay consume
=00B an if the !stimate to Complete is giving us another HA00B 4new calculation for pening
tas$s5% 'hen our !stimate At completion is =00XHA00 W AH00 B when compare to <uget at
Completion 4<AC5
"n Secon case where instea of reoing the estimation for su&se6uent tas$s 4instea of !'C5#
the pro(ect team may &e comforta&le to go ahea with the cost for the su&se6uent tas$s# the
reasons coul &e the eviation happene in the past is a rare case% 'hen we calculate !stimate at
completion using# Actual Value X 4<ugete At Completion M !arne Value5# in our case# =00X
4A000:>005# which is A200B
"n thir case# the team &elieves that the variation happene now# coul &e the $in of variation
they will face in future also# then they can calculate !AC# using Actual Value X 44<ugete At
Completion M !arne Value58C*"5# in our case# 4=00 X 44A000: >00580%>>55# which is KHNH% .ow
we also $now that why we calculate C*" earlier%
"n !arne Value Analysis we have to careful in ta$ing the T completion of tas$s an &ringing
the !arne Value% *artially complete tas$s shoul &e calculate with clear guielines an
shoul not allow variations% MS pro(ect $in of tool allows us to calculate these values in &etter
way%
<elow given a Sample on calculation#
'ime
*erio
*lanne
Value
!arne
Value
Actual
Cost
<AC Scheule
Variance
Cost
Variance
S*" C*" !'C !AC
12 Jun
13
100 100 100 >00 0 0 1 1 K00 >00
1H Jul
13
200 200 220 >00 0 :20 1 0%=1 AA0 >A0
1H Aug
13
300 2H0 300 >00 :K0 :K0 0%N 0%N A>A N1A
12 Sep
13
H00 3K0 HH0 >00 :H0 :N0 0%= 0%N1 H1A >>A
10 2ct
13
A00 >00 >>A
12 .ov
13
K00 >00 >>A
1H ;ec
13
>00 >00 >>A
"n this case# we can see that !stimate At Completion varies# as the other parameters Actual Cost
an !arne Value vary%
/eference Sites
a5 www%cmmiinstitute%com
&5 www%"S2%org
c5 www%cosmicon%com
5 Seir%sei%cmu%eu
e5 www%pro(ectreference%com
f5 www%as6%org
g5 Sepo%spawar%navy%mil
h5 www%rspa%com
i5 Stattre$%com
(5 Software%gsfc%nasa%gov8process%cfm
$5 www%processimpact%com
l5 www%s6aforums%com
m5 www%crosstal$online%org
n5 !lsmar%com