Practical Support for ISO 9001 Software Project Documentation: Using IEEE Software Engineering Standards [Multiple-component retail product]

Preface		xiii
1 Introduction and Overview		1	(6)
Introduction		1	(6)
What is ISO 9001?		3	(1)
What ISO 9001 is Not		4	(1)
What are Standards?		5	(2)
2 Summary of ISO 9001		7	(8)
ISO 9001 Principles		7	(8)
Why Should My Organization Implement ISO 9001?		8	(1)
How Does the ISO 9001 Model Work?		8	(1)
What If My Organization Implements ISO 9001?		9	(1)
ISO 9001 Audits		9	(1)
ISO 9001 Conformance, Registration, and Accreditation		10	(1)
Basic Business Model for Software Engineering Organizations		10	(1)
Conformance Pathways		11	(1)
ISO 9001 Benefits		11	(4)
3 Relationship to Software Engineering Standards		15	(10)
Standards Organizations		15	(5)
ISO Technical Committee 176 on Quality Management and Quality Assurance		15	(1)
International Electrotechnical Commission		16	(1)
ISO/IECJoint Technical Committee 001		16	(1)
ISO/IEC JTC1 SC7 Software and Systems Engineering Standards Committee		16	(1)
American National Standards Institute		17	(1)
Institute of Electrical and Electronics Engineers		18	(1)
IEEE S2ESC Software and Systems Engineering Standards Committee		19	(1)
ISO/IEC JTC1 SC7 Software and Systems Engineering Standards Committee (S2ESC)		20	(1)
Relationships Among ISO 9001, ISO 90003, IEEE 12207 and ISO/IEC 15504		20	(1)
Software Engineering Body of Knowledge (SWEBOK)		21	(1)
Capability Maturity Model Integrated (CMMI)		22	(3)
4 Implementation Guidance		25	(18)
Improvement Frameworks Selection		25	(1)
Plan, Do, Check, Act (PDCA) Cycle		25	(1)
IDEAL (Initiating, Diagnosing, Establishing, Acting, and Learning) Model		25	(1)
Set Context		26	(2)
Business Improvement through ISO 9001 Implementation		27	(1)
Customer and Investor Confidence through ISO 9001 Implementation		27	(1)
Build Sponsorship		28	(1)
Improvement Project Stakeholders		28	(1)
Charter Infrastructure		28	(2)
Establish Steering Committee and Process Group		29	(1)
Software Engineering Training		29	(1)
Characterize Current and Desired States		30	(2)
Perform Gap Analysis		31	(1)
Perform Self-Audit Using ISO 9001 Criteria		31	(1)
Develop Recommendations		32	(1)
Set Priorities		32	(1)
Develop the Approach		33	(1)
Goal-Driven Implementation		33	(1)
Plan Actions		33	(3)
Baseline Processes		34	(2)
Create Solution		36	(1)
Pilot/Test Solution		36	(1)
Refine Solution		37	(1)
Implement Solution		37	(1)
Analyze and Validate		37	(1)
ISO 9001 Registration Steps		37	(1)
Propose Future Actions		38	(1)
Implementation Pitfalls		38	(2)
Being Overly Prescriptive		38	(1)
Remaining Confined to a Specific Stage		39	(1)
Documentation, Documentation		39	(1)
Lack of Incentives		39	(1)
No Measurements		39	(1)
Conclusion		40	(3)
5 12207 Primary Life Cycle Processes and ISO 9001		43	(60)
Software Life Cycle (SLC) Selection and Design		43	(3)
Waterfall		44	(1)
Modified Waterfall		44	(1)
V-Shaped		44	(1)
Incremental		44	(1)
Spiral		45	(1)
Synchronize and Stabilize		45	(1)
Rapid Prototype for New Projects		45	(1)
Code-and-Fix		45	(1)
IEEE 12207 Processes		46	(1)
Acquisition		47	(11)
ISO 9001 Goals		47	(3)
Software Acquisition Plan		50	(1)
Software Acquisition Plan Document Guidance		50	(3)
Concept of Operations		53	(1)
Concept of Operations (ConOps) Document Guidance		53	(4)
Decision Tree Analysis		57	(1)
Supply		58	(11)
ISO 9001 Goals		60	(1)
Request for Proposal		61	(1)
Request for Proposal (RFP) Guidance		61	(2)
Joint Customer Technical Reviews		63	(2)
Software Project Management Plan		65	(1)
Software Project Management Plan Document Guidance		65	(4)
Development		69	(22)
ISO 9001 Goals		70	(5)
System Requirements Analysis		75	(1)
System Requirements Specification		75	(1)
System Requirements Specification Document Guidance		75	(5)
Software Requirements Analysis		80	(1)
Software Requirements Specification		80	(1)
Software Requirements Specification Document Guidance		80	(4)
Software Design Document		84	(1)
Software Design Document Guidance		84	(4)
Interface Control Document		88	(1)
Interface Control Document Guidance		88	(3)
Operation		91	(4)
ISO 9001 Goals		92	(1)
User's Manual		93	(1)
User's Manual Document Guidance		93	(2)
Maintenance		95	(8)
ISO 9001 Goals		96	(1)
Transition Plan		96	(7)
6 12207 Supporting Life Cycle Processes and ISO 9001		103	(94)
Supporting Processes		103	(2)
ISO 9001 Goals		103	(2)
Documentation		105	(3)
ISO 9001 Goals		105	(1)
Quality Manual		106	(2)
Configuration Management Record		108	(1)
Configuration Management		108	(13)
ISO 9001 Goals		109	(1)
Software Configuration Management Plan		110	(1)
Software Configuration Management Plan Document Guidance		110	(11)
Quality Assurance		121	(13)
ISO 9001 Goals		122	(1)
Software Quality Assurance Plan		122	(1)
Software Quality Assurance Plan Document Guidance		123	(11)
Verification		134	(10)
ISO 9001 Goals		134	(1)
Inspections		135	(5)
Walk-throughs		140	(4)
Validation		144	(11)
ISO 9001 Goals		144	(1)
Software Test Plan		144	(1)
Software Test Plan Document Guidance		144	(11)
System Test Plan		155	(17)
Joint Review		172	(7)
ISO 9001 Goals		172	(1)
Technical Reviews		173	(3)
Management Reviews		176	(3)
Audit		179	(12)
ISO 9001 Goals		180	(1)
Audits		180	(4)
Software Measurement and Measures Plan		184	(1)
Software Measurement and Measures Plan Document Guidance		184	(7)
Problem Resolution		191	(6)
ISO 9001 Goals		191	(1)
Risk Management Plan		192	(4)
Probability/Impact Risk Rating Matrix		196	(1)
7 12207 Organizational Processes and ISO 9001		197	(38)
ISO 9001 Goals		197	(1)
Management		197	(23)
ISO 9001 Goals		199	(2)
Software Requirements Management Plan		201	(1)
Software Requirements Management Plan Document Guidance		202	(10)
Software Project Management Plan		212	(1)
Software Project Management Plan Document Guidance		212	(6)
Stakeholder Involvement		218	(1)
Work Breakdown Structure (WBS)		218	(1)
Work Breakdown Structure (WBS) for Postdevelopment Stage		219	(1)
Infrastructure		220	(2)
ISO 9001 Goals		220	(2)
Organization's Set of Standard Processes		222	(1)
Improvement		222	(7)
ISO 9001 Goals		222	(3)
Engineering Process Group Charter		225	(1)
Process Action Plan (PAP)		226	(1)
Tailoring Guidelines		227	(2)
Training		229	(6)
ISO 9001 Goals		229	(1)
Training Plan		229	(6)
8 ISO 9001 for Small Projects		235	(12)
Introduction to ISO 9001 for Small Projects		235	(1)
Project Management Plan—Small Projects		236	(11)
Appendix A. IEEE Standards Abstracts		247	(12)
Appendix B. Comparison of ISO 9001 to IEEE Standards		259	(10)
Appendix C. Work Products		269	(118)
Acquisition		269	(3)
Make/Buy Decision Matrix		269	(1)
Alternative Solution Screening Criteria Matrix		269	(1)
Cost—Benefit Ratio		269	(3)
Supply		272	(2)
Recommendations for Software Acquisition		272	(1)
Organizational Acquisition Strategy Checklist		272	(1)
Supplier Evaluation Criteria		272	(1)
Supplier Performance Standards		273	(1)
Development		274	(20)
Requirements Traceability		274	(1)
Software Development Standards Description		274	(5)
System Architectural Design Description		279	(1)
Software Architectural Design Description		279	(1)
Database Design Description		280	(1)
Software Architecture Design Success Factors and Pitfalls		280	(1)
UML Modeling		281	(1)
Unit Test Report		282	(1)
Unit Test Report Document Guidance		283	(7)
System Integration Test Report		290	(1)
System Integration Test Report Document Guidance		290	(4)
Operation		294	(1)
Product Packaging Information		294	(1)
Maintenance		294	(15)
Change Enhancement Requests		294	(1)
Baseline Change Request		294	(3)
Work Breakdown Structure for Postdeployment		297	(9)
Software Change Request Procedures		306	(3)
Quality Assurance		309	(10)
Example Life Cycle		309	(7)
Minimum Set of Software Reviews		316	(1)
SQA Inspection Log		317	(1)
Inspection Log Description		317	(2)
Verification		319	(20)
Inspection Log Defect Summary		319	(1)
Inspection Log Defect Summary Description		319	(1)
Inspection Report		319	(2)
Inspection Report Description		321	(1)
Requirements Walk-through Form		322	(1)
Software Project Plan Walk-through Checklist		322	(1)
Preliminary Design Walk-through Checklist		322	(1)
Detailed Design Walk-through Checklist		323	(1)
Program Code Walk-through Checklist		323	(1)
Test Plan Walk-through Checklist		324	(1)
Walk-through Summary Report		324	(1)
Classic Anomaly Class Categories		325	(1)
Validation		326	(5)
Examples of System Testing		331	(1)
Test Design Specification		332	(1)
Test Case Specification		333	(1)
Test Procedure Specification		334	(1)
Test Item Transmittal Report		335	(1)
Test Log		336	(1)
Test Incident Report		337	(1)
Test Summary Report		338	(1)
Joint Review		339	(1)
Open Issues List		339	(1)
Audit		339	(25)
Status Reviews		339	(2)
Critical Dependencies Tracking		341	(1)
List of Measures for Reliable Software		341	(1)
Example Measures		341	(23)
Measurement Information Model in ISO/IEC 15939		364	(1)
Problem Resolution		364	(2)
Risk Taxonomy		364	(1)
Risk Taxonomy Questionnaire		364	(1)
Risk Action Request		364	(1)
Risk Mitigation Plan		364	(2)
Risk Matrix Sample		366	(1)
Management		366	(7)
Work Breakdown Structure		366	(1)
Work Flow Diagram		367	(5)
Stakeholder Involvement Matrix		372	(1)
Infrastructure		373	(4)
Organizational Policy Examples		373	(2)
Definition Form		375	(1)
Asset Library Catalog		375	(2)
Improvement		377	(7)
Organizational Improvement Checklist		377	(1)
Organization Process Appraisal Checklist		377	(1)
Lessons Learned		377	(5)
Measures Definition for Organizational Processes		382	(2)
Training		384	(3)
Training Log		384	(3)
Appendix D. ISO/IEC Guidance		387	(4)
ISO 9001:2000 Mapping to ISO/IEC Standards		387	(4)
Appendix E. ISO/IEC 90003 Mapping to ISO/IEC 12207		391	(8)
Appendix F. CD ROM Reference Summary		399	(2)
References		401	(6)
IEEE Publications		401	(2)
ISO Publications		403	(1)
Other References		404	(3)
Index		407	(10)
About the Authors		417

SUSAN K. LAND, a Software Program Manager for Northrop Grumman Corporation, is Chair of the IEEE Computer Society's Standards Advisory Board, and a member of its Board of Governors. She is also on the IEEE Computer Society's Software and Systems Engineering Standards Committee and its Professional Practices Committee. She is a Northrop Grumman Technical Fellow, an IEEE Computer Society Certified Software Development Professional, and the author of Jumpstart CMM/CMMI Software Process Improvement: Using IEEE Software Engineering Standards (Wiley). JOHN W. WALZ, has held leadership positions in hardware and software development, engineering, quality planning, quality auditing, quality standards implementation, and strategic planning at Lucent Technologies. Mr. Walz serves on the U.S. Technical Advisory Group to ISO Technical Committee 176: Quality Management and Quality Assurance and is a member of the IEEE Computer Society's Standards Advisory Board as well as its Software and Systems Engineering Standards Committee.