Software Auditing

OUTLINE (Return to Main)

1. Software auditing — The basics
   1. Software auditing — The basics
      1. Quality concepts, terms and definitions
   2. Quality defined
   3. Prevention vs. detection
   4. Defect detection techniques
   5. Defect prevention techniques
   6. Audit defined
      1. Audit defined
   7. Audit principles
      1. Benefits and consequences of audits
   8. Benefits of audits
   9. Consequences of audits
   10. Professional conduct (Independence, objectivity, conflict of interest and confidentiality)
2. Software audit initiating and planning (cont.)
   1. Independence and objectivity
   2. Conflict of interest
   3. Confidentiality and proprietary information
   4. Types of audits
      1. Internal audits
      2. External audits (Second party and third party)
      3. Quality system audits
      4. Process audits
      5. Product audits
      6. Project audits
      7. Supplier audits
   5. The audit process
   6. Participant roles
      1. Client
      2. Auditor management
      3. Lead auditor
      4. Auditors
      5. Auditee management
      6. Auditee
      7. Escort
   7. Industry standards and models related to auditing
      1. ISO 9001:2000
      2. IEEE software engineering standards
      3. SEI capability maturity model®
3. Software audit initiating and planning
   1. Audit initiation
      1. Audit initiation step
      2. Audit initialization
      3. Audit entry criteria
      4. Audit scope and purpose
      5. Audit inputs
      6. Audit inputs — Exercise
   2. Software audit planning
      1. Audit planning step
      2. Auditor management planning responsibilities
      3. Lead auditor planning responsibilities
      4. Audit strategies
      5. Estimation considerations
      6. Audit plan
      7. Communication and distribution of the audit plan
4. Software audit preparation
   1. Preparation responsibilities
      1. Audit preparation step
      2. Auditor preparation responsibilities
      3. Lead auditor preparation responsibilities
      4. Benefits of good preparation
   2. Documentation review
      1. Documentation review purpose
      2. Process definition
      3. Documentation review — Exercise
   3. Audit tools
      1. Checklists
      2. Standard checklist items
      3. Checklist — Example
      4. Checklist — Case study exercise
      5. Planning checklist item verification
      6. Planning checklist item verification — Case study exercise
      7. Interviews
         1. Interview questions
         2. Open-ended questions
         3. Context free questions
         4. Interview question — Case study exercise
      8. Sampling
5. Software audit execution
   1. Steps in the execution of an audit
      1. Audit execution step
      2. Audit execution process
   2. The opening meeting
      1. Conducting the opening meeting
      2. Opening meeting — Example agenda
      3. Conducting an opening meeting — Case study exercise
   3. Gathering objective evidence
      1. Objective evidence defined
      2. Gathering objective evidence
      3. Examining documents and records
      4. Observing an event or process
      5. Interviewing
      6. Taking notes
      7. Audit execution — Case study exercise
   4. Daily meetings
      1. Daily audit team meetings
      2. Classifying findings
      3. Daily feedback meetings
   5. Evaluating effectiveness
      1. Audit conclusions
      2. Evaluating effectiveness
   6. The closing meeting
      1. Conducting the closing meeting
      2. Closing meeting — Example agenda
      3. Conducting a closing meeting — Case study exercise
6. Software audit reporting
   1. Audit report
      1. Audit reporting step
      2. Turning requirements into audit results
      3. Audit report
   2. Audit record retention
      1. Complete checklists
      2. Audit records
      3. Record retention
7. Corrective action and follow-up
   1. Corrective action
      1. Audit corrective action and verification follow-up step
      2. Corrective action
      3. Corrective action plan
      4. Evaluating corrective actions
      5. Evaluating a corrective action plan — Case study exercise
   2. Verification follow-up
8. Audit program management
   1. Audit program administration
      1. Audit program objectives
      2. Long-term audit planning
      3. Resource requirements
      4. Linkage to business performance
      5. Linkage to process improvement
      6. Evaluation of audit program effectiveness
      7. Factors affecting audit quality
   2. Software audit process
      1. Audit program procedures
      2. Audit program schedule
      3. Audit record keeping
   3. Audit personnel
      1. Qualifications
      2. Selection
      3. Training
      4. Performance evaluation

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