The Software. Audit Guide. ASQ Quality Press. Milwaukee, Wisconsin. John W. Helgeson

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1 The Software Audit Guide John W. Helgeson ASQ Quality Press Milwaukee, Wisconsin

2 Contents Preface Acknowledgments xv Xlx Part I Audit Fundamentals 1 Chapter 1 Introduction Definitions Process and Quality Quality Auditor's Notes Types of Audits Standards Capability Maturity Model Integration Hierarchy of Standards and Requirements Quality Record Timeline and Name Game General Audit Process Purpose and Scope Contact and Document Requests Review the Documents Announcement Writing the Checklist Opening Meeting The Audit Closing Meeting Writing the Report Present the Report to the Client Review the Corrective Actions Auditing Corrective Actions How to Use the Questions Examples 19 vii

11.2 Contact and Document Requests 16 1.11.3 Review the Documents 16 1.11.4 Announcement 17 1.11.5 Writing the Checklist 17 1.11.6 Opening Meeting 17 1.11.7 The Audit 17 1.11.8 Closing Meeting 17 1.

3 viii Contents Chapter 2 Software Audit Life Cycle Software Development Life Cycles The Waterfall Model The Spiral Model The Incremental Model Prototyping The Object-Oriented Programming System (OOPS) Blending of Models (or Hybrid) Cleanroom Rapid Application Development Agile Extreme Programming How Audits Fit into the Life Cycle Proof of Concept (or Demo) Idea/Functional Specification Analysis/Planning Software Design Coding (and Unit Testing) Test (System Integration) Maintenance (Production and Deployment) 51 Part II Audit Activities 57 Chapter 3 The Audit's Purpose and Scope Purpose Scope Management's Part in an Audit Preparing for the Audit 64 Chapter 4 Opening Meeting The Meeting Introductions Present the Purpose and Scope of the Audit Review Previous Audits Explain the Quality Audit Explain How the Audit Will Work Daily Meetings Questions and Answers An Escort Work Space A Brief Tour Meeting the People Informal Overview Presentation Explain the Questions 73 Chapters Conducting the Audit Roles of the Auditors Lead Auditor Auditor 76

2 How Audits Fit into the Life Cycle 30 2.2.1 Proof of Concept (or Demo) 32 2.2.2 Idea/Functional Specification 34 2.2.3 Analysis/Planning 37 2.2.4 Software Design 41 2.2.5 Coding (and Unit Testing) 46 2.

4 Contents ix 5.2 The Audit WorkSheet/Checklist Findings Form 79 Chapter 6 Meetings and Final Report Caucus Meeting Closing (Exiting) Meeting Final Report Executive Summary Identify Documents Reviewed Preparation Dates Specify the Standards Software Risk Analysis Description of Areas Writing the Report Detail Finding Pages Presenting the Report Corrective Action Requests 90 Chapter 7 Audit Follow-up and Closure Immediate Actions Temporary Actions Permanent Actions Conclusion 95 Part III Audit Constants 97 Chapter 8 "Project" Management Upper and Middle Management Accounting Project Manager '02 Chapter 9 Schedule Types of Project Management Systems Simple Charts Interdependences Partially Completed Baselines Critical Path More Schedule Points 117 Chapter 10 Project Status Reports 119 Chapter 11 Configuration Management Document Control Baselining Software Configuration Control Incident Tracking Incident Report and Analysis Software Meeting or Board Backups and Recovery 135

5 Detail Finding Pages 89 6.6 Presenting the Report 90 6.7 Corrective Action Requests 90 Chapter 7 Audit Follow-up and Closure 91 7.1 Immediate Actions 92 7.2 Temporary Actions 93 7.

5 x Contents 11.8 Disk Array File Server Formal Release Field Configuration Control 140 Chapter 12 Software Quality and Continuous Improvement Software Quality Continuous Improvement 145 Chapter 13 Customer Satisfaction 149 Part IV Audit Processes 153 Chapter 14 Reviewing Software Documents The Governing Standards Quality Manual Contractual Documentation Organizational Chart Schedule General Documents Discussion Software Development Plan Functional Specification Software Requirement Specification Software Design Specification Software Configuration Management Plan Performance Specification Processes, Procedures, and Work Instructions Test Plan Software Quality Plan Database Layouts/Schemas 181 Chapter IS Peer Reviews Peer Review Basics Peer Review of the Sales Order Peer Review of the Software Development Plan Peer Review of the Requirements or Functional Specification Peer Review of the Design Plan Peer Review of the Code Peer Review of the Test Plan 192 Chapter 16 Hidden Software Direct Software S pecialized Drivers Interface Routines for Databases Package Software Protocols for Specialized Hardware Operating Systems Indirect Software Homegrown Debugging Software Simulation Software/Test Equipment Automated Software Testing Scripts 205

3 Contractual Documentation 159 14.4 Organizational Chart 160 14.5 Schedule 162 14.6 General Documents Discussion 164 14.7 Software Development Plan 166 14.8 Functional Specification 167 14.

6 Contents xi Installation Scripts Software to Populate a Database Summary 206 Chapter 17 Firmware Planning Design Testing Configuration Control Production 211 Chapter 18 Software Coding Standards Programs and the Documentation Program Headers Body of the Program Naming Conventions Structures Auto-Generated Code 222 Chapter 19 Metrics Aging and Priority Metrics Performance Metrics Complexity Metrics 226 Chapter 20 Independent Verification and Validation Verification Validation 234 Chapter 21 Testing Unit Testing Functional Testing Integration Testing Acceptance Testing Regression Testing Automated Testing Performance Testing 251 Final Thoughts 255 Index 257

4 Naming Conventions 220 18.5 Structures 221 18.6 Auto-Generated Code 222 Chapter 19 Metrics 223 19.1 Aging and Priority Metrics 225 19.2 Performance Metrics 226 19.

15 Organisation/ICT/02/01/15 Back- up

15 Organisation/ICT/02/01/15 Back- up 15.1 Description Backup is a copy of a program or file that is stored separately from the original. These duplicated copies of data on different storage media or additional