SQA Plan Template

TM-SQA-01 v2.0
12/16/03

SOFTWARE QUALITY ASSURANCE PLAN

TEMPLATE

TM-SQA-01 V2.0
DECEMBER 16, 2003

Systems Engineering Process Office, Code 212

Space and Naval Warfare Systems Center San Diego
53560 Hull Street
San Diego, CA 92152-5001

Approved for public release; distribution is unlimited

SQA Plan Template
TM-SQA-01 v2.0
12/16/03

PREFACE

This document is a template of a Software Quality Assurance (SQA) Plan using the guidelines provided
in the Institute of Electrical and Electronics Engineers (IEEE) 730-1998, IEEE Standard for Software
Quality Assurance Plans, and IEEE Std 730.1-1995, IEEE Guide for Software Quality Assurance
Planning. This template should be supplemented with project-specific information to produce a SQA
Plan that accurately describes the project’s SQA organization, tasks, role, and responsibilities. The
planning and documenting of SQA activities must agree and be consistent with the project’s Software
Development Plan (SDP) and any other project-planning document. Additionally, the SQA Plan must
comply with Space and Naval Warfare (SPAWAR) Systems Center (SSC) San Diego SQA Policy, which
provides management with appropriate visibility into the process being used by the software project and
of the products being built.
This document supplements the SQA Process. Refer to Section 4, Create/Maintain SQA Plan, of the
SQA Process for a description on the use of this template.
The SSC San Diego Systems Engineering Process Office (SEPO) assumes responsibility for this
document and updates it as required to meet the needs of users within SSC San Diego CA. SEPO
welcomes and solicits feedback from users of this document so that future revisions will reflect
improvements, based on organizational experience and lessons learned.
Users of this document may report deficiencies or corrections using the Document Change Request
(DCR) found on the next page or online through the SSC San Diego Process Asset Library (PAL) at
http://sepo.spawar.navy.mil/. Updates are performed in accordance with the SEPO Configuration
Management Procedure available on the SSC San Diego PAL.

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12/16/03

DOCUMENT CHANGE REQUEST (DCR)

Document Title: Software Quality Assurance Plan Template Tracking Number:      

Name of Submitting Organization:      

Organization Contact:       Phone:      

Mailing Address:      

Short Title:       Date:      

Change Location:      

(use section #, figure #, table #, etc.)
Proposed change:      

Rational for Change:      

Note: For the Systems Engineering Process Office (SEPO) to take appropriate action on a change request,
please provide a clear description of the recommended change along with supporting rationale.
Send to: Commanding Officer, Space and Naval Warfare Systems Center, Code 212, 53560 Hull Street,
San Diego, CA 92152-5001
Fax: (619) 553-6249
Email: sepo@spawar.navy.mil
Submit online: http://sepo.spawar.navy.mil/
DCR Form 9/2002

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TM-SQA-01 v2.0
12/16/03

RECORD OF CHANGES
*A - ADDED M - MODIFIED D - DELETED
NUMBER OF A* CHANGE
VERSION
DATE FIGURE, TABLE OR M TITLE OR BRIEF DESCRIPTION REQUEST
NUMBER
PARAGRAPH D NUMBER
1.3 1/25/00 Entire Document Updated Template to include checklists
for general Software Engineering Process
Verification (Appendix B) and focused
CMM Key Process Area Verification
(Appendix C)
2.0 12/16/03 Entire Document Revised Task definitions and reorganized SQAPT-
them into a separate section; incorporated 003
changes from DCR #SQAPT-003; SQA-0001
removed SW-CMM Key Process Area
validation process and checklists (to be
documented as a separate document –
addressing CMMI verification); added an
“escalation procedure” to Section 7 for
resolution of non-concurrence of SQA
recommendations

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DOCUMENT CONVENTIONS

This document is a Software Quality Assurance (SQA) Plan template. As such, wording in this document
should be supplemented with project-specific information to produce an SQA Plan that accurately
describes the project SQA organization. Therefore, tailor (add, delete, change, or expand) the information
provided in this document
Standard conventions are used within this document to direct the reader to specific sections of the text.
These sections provide instructions and explanations and require users to substitute their own department-
specific information for the generic information provided or to "fill in a blank."
[[text]] Global changes. Items that appear in regular text and are surrounded by double brackets
represent changes that can be made globally throughout the document.
Italics Instructions and explanations. Items that appear in italics represent instructions to the user
and are not to appear in the completed version of the document.
In some cases where information may already be found in another project document, like the Software
Development Plan (SDP), refer to that document rather than duplicate the information in the project SQA
Plan.
The template begins with the Project SQA cover sheet on the page after the next. Delete all pages prior to
the Project SQA cover sheet in the final format of the project SQA Plan. Update the header page to
reflect the document configuration identifier for the project SQA Plan.

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 [[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

[[PROJECT NAME]]
SOFTWARE QUALITY ASSURANCE PLAN

[[CONFIGURATION CONTROL #]]

[[DOCUMENT DATE]]

[[Add your organization name here]]

Space and Naval Warfare Systems Center San Diego
53560 Hull Street
San Diego, CA 92152-5001

Approved for public release; distribution is unlimited

[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

This page intentionally left blank.

 [[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

[[PROJECT NAME]]
SOFTWARE QUALITY ASSURANCE PLAN

[[CONFIGURATION CONTROL #]]

[[DOCUMENT DATE]]

SQA Plan Approvals:

______________________ ____________
SQA Manager Date

______________________ ____________
Project Manager Date

______________________ ____________
Program Manager Date

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[[Configuration Control #]]
[[Document Date]]

PREFACE
This document contains the Software Quality Assurance (SQA) Plan for the [[Project Name]]. The SQA
activities described in this plan are consistent with the [[Project Name]] Software Development Plan (or
Project Management Plan) and other project planning documents. This document has been tailored from
the SQA Plan Template, TM-SQA-01, v2.0.
The [[Code/Project/Office]] assumes responsibility for this document and updates it, as required, to meet
the needs of [[Project Name]]. Users of this document may report deficiencies or corrections using the
Document Change Request found at the end of the document. Updates to this document will be
performed, at least annually, in accordance with the [[Project Name Configuration Management
Process]].
 [[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

RECORD OF CHANGES
*A - ADDED M - MODIFIED D - DELETED
NUMBER OF A* CHANGE
VERSION
DATE FIGURE, TABLE OR M TITLE OR BRIEF DESCRIPTION REQUEST
NUMBER
PARAGRAPH D NUMBER

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[[Document Date]]

TABLE OF CONTENTS
Section Page
SECTION 1. PURPOSE..........................................................................................................................1-4
1.1 Scope........................................................................................................................................1-4
1.2 Identification.............................................................................................................................1-4
1.3 System Overview......................................................................................................................1-4
1.4 Document Overview.................................................................................................................1-4
1.5 Relationship to Other Plans......................................................................................................1-4
1.6 Reference Documents...............................................................................................................1-4
SECTION 2. MANAGEMENT...............................................................................................................2-4
2.1 Organization.............................................................................................................................2-4
2.2 Resources..................................................................................................................................2-4
2.2.1 Facilities and Equipment...................................................................................................2-4
2.2.2 Personnel..........................................................................................................................2-4
SECTION 3. SQA TASKS......................................................................................................................3-4
3.1 Task: Review Software Products.............................................................................................3-4
3.2 Task: Evaluate Software Tools................................................................................................3-4
3.3 Task: Evaluate Facilities..........................................................................................................3-4
3.4 Task: Evaluate Software Products Review Process.................................................................3-4
3.5 Task: Evaluate Project Planning, Tracking and Oversight Processes.......................................3-4
3.6 Task: Evaluate System Requirements Analysis Process..........................................................3-4
3.7 Task: Evaluate System Design Process....................................................................................3-4
3.8 Task: Evaluate Software Requirements Analysis Process........................................................3-4
3.9 Task: Evaluate Software Design Process.................................................................................3-4
3.10 Task: Evaluate Software Implementation and Unit Testing Process........................................3-4
3.11 Task: Evaluate Unit Integration and Testing, CI Qualification Testing, CI/HWCI Integration
and Testing, and System Qualification Testing Processes....................................................................3-4
3.12 Task: Evaluate End-item delivery Process...............................................................................3-4
3.13 Task: Evaluate the Corrective Action Process.........................................................................3-4
3.14 Task: Media Certification........................................................................................................3-4
3.15 Task: Non-Deliverable Software Certification.........................................................................3-4
3.16 Task: Evaluate Storage and Handling Process.........................................................................3-4
3.17 Task: Evaluate Subcontractor Control.....................................................................................3-4
3.18 Task: Evaluate Deviations and Waivers...................................................................................3-4
3.19 Task: Evaluate Configuration Management Process................................................................3-4
3.20 Task: Evaluate Software Development Library Control Process.............................................3-4
3.21 Task: Evaluate Non-Developmental Software.........................................................................3-4
3.22 Task: Verify Project Reviews and Audits................................................................................3-4
3.22.1 Task: Verify Technical Reviews......................................................................................3-4
3.22.2 Task: Verify Management Reviews.................................................................................3-4
3.22.3 Task: Conduct Process Audits.........................................................................................3-4
3.22.4 Task: Conduct Configuration Audits...............................................................................3-4
3.23 Task: Verify Software Quality Assurance...............................................................................3-4
3.24 Responsibilities.........................................................................................................................3-4
3.25 Schedule...................................................................................................................................3-4
 [[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SECTION 4. DOCUMENTATION........................................................................................................4-4
SECTION 5. STANDARDS, PRACTICES, CONVENTIONS AND METRICS...................................5-4
5.1 Metrics......................................................................................................................................5-4
SECTION 6. TEST..................................................................................................................................6-4
SECTION 7. SQA PROBLEM REPORTING AND RESOLUTION.....................................................7-4
7.1 Process Audit Report................................................................................................................7-4
7.1.1 Submittal and Disposition of Process Audit Report..........................................................7-4
7.1.2 Escalation Procedure for Resolution of Non-Concurrence on Process Audit Report........7-4
7.2 Recording Problems in Software Code or Documentation........................................................7-4
7.3 Software Tool Evaluation Report.............................................................................................7-4
7.4 Facilities Evaluation Report......................................................................................................7-4
SECTION 8. TOOLS, TECHNIQUES, AND METHODOLOGIES.......................................................8-4
SECTION 9. CODE CONTROL.............................................................................................................9-4
SECTION 10. MEDIA CONTROL.......................................................................................................10-4
SECTION 11. SUPPLIER CONTROL.................................................................................................11-4
SECTION 12. RECORDS COLLECTION, MAINTENANCE AND RETENTION............................12-4
SECTION 13. TRAINING....................................................................................................................13-4
SECTION 14. RISK MANAGEMENT.................................................................................................14-4
APPENDIX A. LIST OF ACRONYMS.................................................................................................A-4
APPENDIX B. GENERAL SOFTWARE ENGINEERING PROCESS AUDIT CHECKLISTS...........B-4

LIST OF FIGURES
Figure Page
Figure 1-1. [[System Title]] Software......................................................................................................1-4
Figure 2-1. [[Project Name]] Organization..............................................................................................2-4
Figure 7-1. Process Audit Report............................................................................................................7-4
Figure 7-2. Software Tool Evaluation.....................................................................................................7-4
Figure 7-3. Project Facilities Evaluation.................................................................................................7-4
Figure B-1. Project Planning Process Audit Checklist............................................................................B-4
Figure B-2. Project Tracking and Oversight Process Audit Checklist.....................................................B-4
Figure B-3. System Requirements Analysis Process Audit Checklist.....................................................B-4
Figure B-4. System Design Process Audit Checklist..............................................................................B-4
Figure B-5. Software Requirements Analysis Process Audit Checklist..................................................B-4
Figure B-6. Software Design Process Audit Checklist............................................................................B-4
Figure B-7. Software Implementation and Unit Testing Process Audit Checklist..................................B-4
Figure B-8. Unit Integration and Testing Process Audit Checklist.........................................................B-4
Figure B-9. CI Integration Testing and System Qualification Process Audit Checklist..........................B-4
Figure B-10. End-Item Delivery Process Audit Checklist......................................................................B-4
Figure B-11. Software Corrective Action Process Audit Checklist.........................................................B-4
Figure B-12. Media Certification Process Audit Checklist.....................................................................B-4
Figure B-13. Non-Deliverable Software Certification Process Audit Checklist......................................B-4
Figure B-14. Storage and Handling Process Audit Checklist..................................................................B-4

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Figure B-15. Subcontractor Control Process Audit Checklist.................................................................B-4

Figure B-16. Deviations and Waivers Process Audit Checklist..............................................................B-4
Figure B-17. Software Configuration Management Process Audit Checklist.........................................B-4
Figure B-18. Software Development Library Control Process Audit Checklist......................................B-4
Figure B-19. Non-Developmental Software Process Audit Checklist.....................................................B-4

LIST OF TABLES
Table Page
Table 1-1. Software Lifecycle Activities.................................................................................................1-4
Table 1-2. CI Nomenclature/Identification..............................................................................................1-4
Table 3-1. Reviews and Audits................................................................................................................3-4
Table 3-2. Responsibility Matrix.............................................................................................................3-4
Table 4-1. Deliverable Software Products...............................................................................................4-4
Table 4-2. Non-deliverable Software Products.........................................................................................4-4
Table 13-1. SQA Training Matrix..........................................................................................................13-4
 [[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SECTION 1. PURPOSE
The purpose of this plan is to define the [[Project Name]] Software Quality Assurance (SQA)
organization, SQA tasks and responsibilities; provide reference documents and guidelines to perform the
SQA activities; provide the standards, practices and conventions used in carrying out SQA activities; and
provide the tools, techniques, and methodologies to support SQA activities, and SQA reporting.

1.1 SCOPE
This plan establishes the SQA activities performed throughout the life cycle of the [[Project Name]].
This plan is written to follow the Space and Naval Warfare (SPAWAR) Systems Center (SSC) San Diego
SQA policy, reference (a), for [[Project Name]]. Specifically, this SQA Plan will show that the SQA
function is in place for this project. It will show that the SQA group has a reporting channel to senior
management that is independent of the project manager, the project’s software engineering group, and
software related groups that includes Software Configuration Management (SCM), System and Software
Test, and Logistics.
The goal of the SQA program is to verify that all software and documentation to be delivered meet all
technical requirements. The SQA procedures defined herein shall be used to examine all deliverable
software and documentation to determine compliance with technical and performance requirements.
Table 1-1 shows the software life cycle activities of the Configuration Items (CIs), as identified by the
Institute of Electrical and Electronics Engineers (IEEE)/Electronic Industries Association (EIA) Standard
12207 Series, Software Life Cycle Process, reference (b), to which this SQA Plan applies.
In Table 1-1, add or delete activities that apply to the project’s software lifecycle and as specified in the
project’s Software Development Plan (SDP) or other planning document.

1.2 IDENTIFICATION
Table 1-2 shows the CIs to which this plan applies.
If the project chooses to reference the list of CIs from another document, put a pointer here that shows
where the project keeps its list of CIs.
Listed below is a brief description of each of the CIs developed and maintained by [[Project Name]].
a. [[CI #1]] - [[Include a brief description of the CI and its purpose]].
b. [[CI #2]] - [[Include a brief description of the CI and its purpose]].
c. [[CI #3]] - [[Include a brief description of the CI and its purpose]].

1.3 SYSTEM OVERVIEW

The [[System Name]] complete the sentence by providing a description of the system and the intended
use of the system. The system includes [[enter the number of subsystems, e.g., 4]] subsystem(s) within
the system. Figure 1-1 identifies the CIs within each subsystem and highlights those to which this SQA
Plan applies.

TABLE 1-1. SOFTWARE LIFECYCLE ACTIVITIES

SOFTWARE LIFECYCLE ACTIVITY
Project Planning and Oversight
Software Development Environment

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[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

System Requirements Analysis

System Design
Software Requirements Analysis
Software Design
Software Implementation and Unit Testing
Unit Integration and Testing
CI Qualification Testing
CI/Hardware Configuration Item (HWCI)
Integration and Testing
System Qualification Testing
Software Use Preparation
Software Transition Preparation

Life Cycle Maintenance

TABLE 1-2. CI NOMENCLATURE/IDENTIFICATION

NOMENCLATURE ACRONYM CI NUMBER
[[CI Name]] [[Acronym]] [[CI ID number]]
[[CI Name]] [[Acronym]] [[CI ID number]]
[[CI Name]] [[Acronym]] [[CI ID number]]

1.4 DOCUMENT OVERVIEW

This document identifies the organizations and procedures to be used to perform activities related to the
[[Project Name]] SQA program as specified in IEEE Std 730-1998, IEEE Standard for Software Quality
Assurance Plans, reference (c) and IEEE Std 730.1-1995, IEEE Guide for SQA Planning, reference (d).
Section 1 identifies the system to which this SQA Plan applies; provides an overview of the system and
its software functions; summarizes the purpose and contents of the SQA Plan; and describes the
relationship of the SQA Plan to other management plans and lists all documents referenced in this SQA
Plan.
Section 2 describes each major element of the organization that influences the quality of the software.

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[[Configuration Control #]]
[[Document Date]]

Figure 1-1. [[System Title]] Software

Section 3 describes the various SQA tasks
Section 4 lists the baseline documents produced and maintained by the project.
Section 5 identifies the standards, practices and conventions.
Section 6 describes SQA involvement in testing.
Section 7 describes problem reporting and corrective action.
Section 8 describes SQA tools, techniques, and methodologies.
Section 9 describes the configuration management tool used for code control.
Section 10 describes SQA evaluation of media control.
Section 11 describes control of supplier software.
Section 12 describes SQA procedures for record collection, maintenance, and retention.
Section 13 describes SQA training requirements.
Section 14 describes SQA review of the Risk Management process.
Appendix A provides a list of acronyms.
Appendix B provides checklists to be used or tailored for verifying compliance with general software
engineering best practices.

1.5 RELATIONSHIP TO OTHER PLANS

SQA evaluation of the software development processes throughout the life cycle is based on the processes
defined in the [[Project Name]] Software Development Plan (SDP), reference (e). Reference (e) and its
implementation procedures establish the SQA evaluation criteria. The SQA Plan is implemented in
conjunction with the [[Project Name]] Software Configuration Management Plan, reference (f).

1.6 REFERENCE DOCUMENTS

This section lists the documents referenced in this SQA Plan.
For the following, add or delete documents that were referenced in the SQA Plan.
a. SSC San Diego Software Quality Assurance Policy, Version 1.1, October 1997.

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b. IEEE/EIA Standard 12207 Series - Standard for Information Technology – Software life cycle
processes, March 1998.
c. IEEE-Std-730-1998, IEEE Standard for Software Quality Assurance Plans, June 1998.
d. IEEE-Std-730.1-1995, IEEE Guide for Software Quality Assurance Planning, December 1995.
e. [[Project Name]] Software Development Plan, [[Documentation Identification]], [[Document
Date]].
f. [[Project Name]] Software Configuration Management Plan, [[Documentation Identification]],
[[Document Date]].
g. Software Engineering Process Policy, SPAWARSYSCEN SAN DIEGO INST 5234.1, July 2000.
h. [[Program Title]] Program Plan, [[Documentation Identification]], [[Document Date]].
i. Software Quality Assurance Process, PR-SQA-02.
j. Software Quality Assurance Plan Template, TM-SQA-01.
k. A Description of the Space and Naval Warfare System Center San Diego Software Process
Assets, PR-OPD-03.
l. MIL-STD-1521, Technical Reviews and Audits for Systems, Equipments, and Computer
Software.
m. MIL-STD-973, Configuration Management. NOTE: This standard has been superceded by EIA-
649, the Consensus Standard for Configuration Management, but the provisions of MIL-STD-973
are considered useful as a guide for developing Software Configuration Management activities.
n. Peer Review Process, PR-PR-02.
o. Military Standard (MIL-STD)-498, Software Development and Documentation, Data Item
Descriptions (DIDs). NOTE: Although MIL-STD-498 has been superceded by IEEE Std 12207,
the DIDs for MIL-STD-498 are still considered applicable for the support of developing software
engineering procedures and supporting documentation.
p. IEEE Std 1045-1992, IEEE Standard for Software Productivity Metrics, September 1992.
q. IEEE Std 1061-1992, IEEE Standard for a Software Quality Metrics Methodology, December
1992.
r. IEEE Std 982.1-1988, IEEE Standard Dictionary of Measures to Produce Reliable Software, June
1988.
s. Std 982.2-1988, IEEE Guide for the Use of IEEE Standard Dictionary of Measures to Produce
Reliable Software, September 1988.

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SECTION 2. MANAGEMENT
This section describes each major element of the organization that influences the quality of the software.

2.1 ORGANIZATION
Good software practice requires a measure of independence for the SQA group. This independence
provides a key strength to SQA; that is, SQA has the freedom, if the quality of the product is being
jeopardized, to report this possibility directly above the level of the project. While in practice this rarely
occurs, for almost all problems are correctly addressed at the project level, the fact that the SQA group
can go above the project level gives it the ability to keep many of these problems at the project level.
Figure 2-1 shows the SQA organization with relation to the project organization.
P ro g ra m
M a n a g e m e n t/
L in e M a n a g e m e n t
(S p o n s o r)

IV & V SEPO

SQ A

P r o je c t
M anagem ent

SC M

S y s te m s S o ftw a re S o ftw a re S y s te m L o g is t ic s
E n g in e e r in g D e v e lo p m e n t Test Test

Figure 2-1. [[Project Name]] Organization

Replace Figure 2-1 with your project’s organizational structure or reference the organizational chart’s
location. The project may wish to keep a single chart in a central location and reference all of its plans
and procedures to that chart to facilitate maintaining the organization char. Provide a description of the
functional responsibilities for each functional group in the organizational structure.
In describing the functional responsibilities, answer the questions listed below:
a. Who interacts with SQA?
b. Who has authority and delegates responsibilities of interacting functions?
c. What are the reporting relationships among the interacting elements identifying
independence/dependence?
d. Who has product release authority?
e. Who approves the SQA Plan?

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f. What are the reporting lines for escalating conflicts and the method by which conflicts are to be
resolved among the elements?
In each case, add or delete the functional responsibilities that apply.
SQA is responsible for ensuring compliance with SQA requirements as delineated in this SQA Plan. The
SQA organization assures the quality of deliverable software and its documentation, non-deliverable
software, and the engineering processes used to produce software.
The following describes the functional groups that influence and control software quality.
a. Program Management/Line Management (Sponsor) is responsible for the following items:
1. Establishing a quality program by committing the project to implement the Software
Engineering Process Policy, reference (g), and reference (a).
2. Reviewing and approving the [[Project Name]] SQA Plan.
3. Resolving and following-up on any quality issues raised by SQA.
4. Identifying an individual or group independent from the project to audit and report on the
project’s SQA function.
5. Identifying the quality factors to be implemented in the system and software.
6. fill-in additional functional responsibilities.
b. Project Management is responsible for:
1. Implementing the quality program in accordance with references (g) and (a).
2. Identifying the SQA activities to be performed by SQA.
3. Reviewing and approving the [[Project Name]] SQA Plan.
4. Identifying and funding an individual or group independent from the project to perform the
SQA functions.
5. Resolving and following-up on any quality issues raised by SQA.
6. Identifying and ensuring the quality factors to be implemented in the system and software.
7. Identifying, developing and maintaining planning documents such as the Program
Management Plan, reference (h), references (e) and (f), Test Plans, and this SQA Plan.
8. fill-in additional functional responsibilities.
c. System Engineering is responsible for:
1. Reviewing and commenting on the [[Project Name]] SQA Plan.
2. Implementing the quality program in accordance with this SQA Plan.
3. Resolving and following-up on any quality issues raised by SQA related to software
engineering activities.
4. Identifying, implementing, and evaluating the quality factors to be implemented in the system
(software and hardware).
5. Implementing the engineering practices, processes, and procedures as defined in reference (e)
and other program/project planning documents.
6. fill-in additional functional responsibilities.
d. Software Design/Development is responsible for:
1. Reviewing and commenting on the [[Project Name]] SQA Plan.
2. Implementing the quality program in accordance with this SQA Plan.
3. Resolving and following-up on any quality issues raised by SQA related to software design
and development.

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4. Identifying, implementing, and evaluating the quality factors to be implemented in the

software.
5. Implementing the software design/development practices, processes, and procedures as
defined in reference (e) and other program/project planning documents.
6. fill-in additional functional responsibilities.
e. Software Test is responsible for:
1. Reviewing and commenting on the [[Project Name]] SQA Plan.
2. Implementing the quality program in accordance with this SQA Plan.
3. Resolving and following-up on any quality issues raised by SQA related to software test.
4. Verifying the quality factors are implemented in the system, specifically software.
5. Implementing the software test practices, processes, and procedures as defined in reference
(e) and other program/project planning documents.
6. fill-in additional functional responsibilities.
f. System Test is responsible for:
1. Reviewing and commenting on the [[Project Name]] SQA Plan.
2. Implementing the quality program in accordance with this SQA Plan.
3. Resolving and following-up on any quality issues raised by SQA as related to system test.
4. Verifying the quality factors are implemented in the system (software and hardware).
5. Implementing the system test practices, processes, and procedures as defined in reference (e)
and other program/project planning documents.
6. fill-in additional functional responsibilities.
g. Logistics is responsible for:
1. Reviewing and commenting on the [[Project Name]] SQA Plan.
2. Implementing the quality program in accordance with this SQA Plan.
3. fill-in additional functional responsibilities.
h. Software Configuration Management (SCM) is responsible for:
1. Reviewing and commenting on the [[Project Name]] SQA Plan.
2. Implementing the quality program in accordance with this SQA Plan.
3. Resolving and following-up on any quality issues raised by SQA related to SCM.
4. Ensuring the quality factors are implemented in the software related to SCM.
5. Implementing the SCM practices, processes, and procedures as defined in reference (e) and
other program/project planning documents.
6. fill-in additional functional responsibilities.
i. Independent Verification and Validation (IV&V) is responsible for:
1. Reviewing and commenting on the [[Project Name]] SQA Plan.
2. Implementing the quality program in accordance with the [[Project Name]] SQA Plan.
3. Resolving and following-up on any quality issues raised by SQA.
4. Verifying the quality factors are implemented in the system (hardware and software).
5. Implementing the practices, processes, and procedures as defined for IV&V in reference (e)
and other program/project planning documents.
6. fill-in additional functional responsibilities.

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j. Systems Engineering Process Office (SEPO) is responsible for:

1. Keeping references (a) and (g) current.
2. Maintaining the SQA Process, reference (i) and the SQA Plan Template, reference (j).
3. Ensuring SQA training availability, either by vendor or SEPO.
4. Providing assistance in software process engineering and software process improvement.
5. Maintaining the Description of the Space and Naval Warfare System Center San Diego
Software Process Assets, reference (k), that describes many artifacts used to support SQA
verification activities.

2.2 RESOURCES
2.2.1 Facilities and Equipment
SQA will have access to the facilities and equipment as described in reference (e). SQA will have access
to computer resources to perform SQA functions such as process and product evaluations and audits.
2.2.2 Personnel
The SQA effort for this project is person-year effort or indicate the amount of effort if it is less than
100% - ensure the effort agrees with the project Work Breakdown Structure.
Identify the qualification requirements of the SQA Manager
The SQA Manager will be familiar with and will be able to apply the standards and guidelines listed in
Section 1.6. Additionally, the SQA Manager will be familiar with software quality, software
development-related activities, and structured analysis, design, coding, and testing.

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SECTION 3. SQA TASKS

Describe the portion of the software life cycle covered by this SQA Plan, the tasks to be performed with
special emphasis on SQA activities, and relationship between these tasks and the planned major
checkpoints. The sequence of the tasks should be indicated. Tailor this section to reflect those tasks
being verified that relate to the project’s current/projected activities.
The scheduling of SQA tasks is driven by the software development schedule. Therefore, an SQA task is
performed in relationship to what software development activities are taking place. One or more SQA
tasks can be performed concurrently until a task is completed. A task is considered completed when the
required report e.g., SQA Reports, Process Audits Reports, etc. are satisfactorily completed or action
items have been closed. The following tasks, requiring coordination and cooperation with the project
team, shall be performed by SQA.

3.1 TASK: REVIEW SOFTWARE PRODUCTS

Reference (e) identifies all software products to be developed and evaluated, and includes the standards or
guidelines to be followed. As required, SQA shall assist the project in identifying the standards or
guidelines to be followed in developing the software product. Section 4 lists the software products to be
evaluated by SQA and describes the review process to be followed.

3.2 TASK: EVALUATE SOFTWARE TOOLS

SQA shall conduct evaluations of tools, both existing and planned, used for software development and
support. The tools are evaluated for adequacy by assessing whether they perform the functions for which
the tools are intended and for applicability by assessing whether the tool capabilities are needed for the
software development or support. Planned tools are evaluated for feasibility by assessing whether they
can be developed with the techniques and computer resources available or by procurement. Section 7
provides the format for reporting the results of a software tool evaluation.

3.3 TASK: EVALUATE FACILITIES

SQA shall evaluate facilities, both existing and planned, for adequacy by assessing whether they provide
the needed equipment and space used for software development and support. Section 7 provides the
format for reporting the results of evaluating the project’s facilities.

3.4 TASK: EVALUATE SOFTWARE PRODUCTS REVIEW PROCESS

This SQA task assures that quality review processes are in place for all software products, which may
include representations of information other than traditional hard-copy documents, and that these products
have undergone software product evaluation, testing, and corrective action as required by the standard.
SQA shall check that software products that are ready for review are reviewed, verify results are reported
and issues or problems reported are resolved in accordance with reference (e).
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

3.5 TASK: EVALUATE PROJECT PLANNING, TRACKING AND OVERSIGHT

PROCESSES
Project planning, tracking and oversight involves project management to develop and document plans for
Software Development, CI and System Test, Software Installation, and Software Transition. Section 1.6
lists the program/project plans. For project documents to be developed, SQA will assist in identifying the

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appropriate guidelines, standards, or Data Item Description (DIDs), and will assist with the tailoring of
those guidelines, standards, or DIDs to meet the project’s needs.
SQA shall evaluate that the project conducts the relevant activities stated in the Program and Project
plans. To verify that these activities are performed as planned, SQA will audit the processes that define
the activity, and will use reference (e) or other planning document as the measure of whether those
activities are being met.
SQA will use the audit checklists in Figures B-1 and B-2 as guides for conducting the evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7. Any
recommended changes to those plans will require update and approval by project management in
accordance with the configuration management procedure as described in the [[Project Name]] SCM
Plan.

3.6 TASK: EVALUATE SYSTEM REQUIREMENTS ANALYSIS PROCESS

Requirements analysis establishes a common understanding of the customer’s requirements between that
customer and the software project team. An agreement with the customer on the requirements for the
software project is established and maintained. This agreement is known as allocating system
requirements to software and hardware. Section 4 lists the system requirements documents.
SQA activities are listed below:
a. Verify that the correct participants are involved in the system requirements analysis process to
identify all user needs.
b. Verify that requirements are reviewed to determine if they are feasible to implement, clearly
stated, and consistent.
c. Verify that changes to allocated requirements, work products and activities are identified,
reviewed, and tracked to closure.
d. Verify that project personnel involved in the system requirements analysis process are trained in
the necessary procedures and standards applicable to their area of responsibility to do the job
correctly.
e. Verify that the commitments resulting from allocated requirements are negotiated and agreed
upon by the affected groups.
f. Verify that commitments are documented, communicated, reviewed, and accepted.
g. Verify that allocated requirements identified as having potential problems are reviewed with the
group responsible for analyzing system requirements and documents, and that necessary changes
are made.
h. Verify that the prescribed processes for defining, documenting, and allocating requirements are
followed and documented.
i. Confirm that a configuration management process is in place to control and manage the baseline.
j. Verify that requirements are documented, managed, controlled, and traced (preferably via a
matrix).
k. Verify that the agreed upon requirements are addressed in the SDP.
SQA may use the audit checklist in Figure B-3 as a guide for conducting the evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

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3.7 TASK: EVALUATE SYSTEM DESIGN PROCESS

The purpose of the system design process is to develop decisions about the system’s behavioral design
and other decisions affecting the selection and design of system components. System architectural design
is organizing a system into subsystems, organizing a subsystem into Hardware Configuration Items
(HWCIs), CIs, and manual operations, or other variations as appropriate. Section 4 lists the system
design documents.
SQA activities are listed below:
a. Verify that system design documents and the traceability matrix are prepared and kept current and
consistent.
b. Verify that relevant documents are updated and based on approved requirements changes.
c. Verify that design walkthroughs (peer reviews) evaluate compliance of the design to the
requirements, identify defects in the design, and evaluate and report design alternatives.
d. Participate in a sampled set of design walkthroughs and verify all walkthroughs are conducted.
e. Identify defects, verify resolution for previous identified defects, and verify change control
integrity.
f. Selectively review and audit the content of system design documents.
g. Identify lack of compliance with standards and determine corrective actions.
h. Determine whether the requirements and accompanying design and tools conform to standards,
and whether waivers are needed prior to continuing software development.
i. Review demonstration prototypes for compliance with requirements and standards.
j. Verify that the demonstration conforms to standards and procedures.
k. Review the status of design milestones.
SQA may use the audit checklist in Figure B-4 as a guide for conducting the evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

3.8 TASK: EVALUATE SOFTWARE REQUIREMENTS ANALYSIS PROCESS

The purpose of software requirements analysis is to formulate, document and manage the software
requirements baseline; respond to requests for clarification, correction or change; analyze impacts; revise
the software requirements specification; and manage the software requirements analysis and change
process. Section 4 lists the software requirements documents.
SQA activities are listed below:
a. Verify that the software requirements analysis process and associated requirements reviews are
conducted in accordance with the standards and procedures established by the project and as
described in the SDP.
b. Verify that action items resulting from reviews of the software requirements analysis are resolved
in accordance with these standards and procedures.
SQA may use the audit checklist in Figure B-5 as a guide for conducting the evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

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3.9 TASK: EVALUATE SOFTWARE DESIGN PROCESS

Preliminary design activity determines the overall structure of the software to be built. Based on the
requirements identified in the previous phase, the software is partitioned into modules, and the function(s)
of each module and relationships among these modules are defined.
A goal of detailed design is to define logically how the software will satisfy the allocated requirements.
The level of detail of this design must be such that the coding of the computer program can be
accomplished by someone other than the original designer. Section 4 lists the software design documents.
SQA activities are listed below:
a. Verify that the software design process and associated design reviews are conducted in
accordance with standards and procedures established by the project and as described in the SDP.
b. Verify that action items resulting from reviews of the design are resolved in accordance with
these standards and procedures.
c. Evaluate the method used for tracking and documenting the development of a software unit to
determine the method's utility as a management tool for assessing software unit development
progress. Example criteria to be applied for the evaluation are the inclusion of schedule
information, results of audits, and an indication of internal review and approval of its constituent
parts.
d. Verify that the method, such as the Software Development File (SDF) or Unit Development
folder (UDF), used for tracking and documenting the development of a software unit is
implemented and is kept current.
SQA may use the audit checklist in Figure B-6 as a guide for conducting the evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

3.10 TASK: EVALUATE SOFTWARE IMPLEMENTATION AND UNIT TESTING

PROCESS
Software implementation or coding is the point in the software development cycle at which the design is
finally implemented. The process includes unit testing of the software code.
SQA activities are listed below:
a. Verify that the coding process, associated code reviews, and software unit testing are conducted
in conformance with the standards and procedures established by the project and as described in
the SDP.
b. Verify that action items resulting from reviews of the code are resolved in accordance with these
standards and procedures.
c. Verify that the SDF used for tracking and documenting the development of a software unit is
implemented and is kept current.
SQA may use the audit checklist in Figure B-7 as a guide for conducting the evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

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3.11 TASK: EVALUATE UNIT INTEGRATION AND TESTING, CI QUALIFICATION

TESTING, CI/HWCI INTEGRATION AND TESTING, AND SYSTEM
QUALIFICATION TESTING PROCESSES
Software integration and test activities combine individually developed components together in the
developing environment to verify that they work together to complete the software and system
functionality. For joint hardware and software development, integration requires close synchronization of
hardware and software to meet designated integration and test milestones.
In the integration and test phase of the development lifecycle, the testing focus shifts from an individual
component correctness to the proper operation of interfaces between components, the flow of information
through the system, and the satisfaction of system requirements.
SQA activities are listed below:
a. Verify that software test activities are identified, test environments have been defined, and
guidelines for testing have been designed. SQA will verify the software integration process,
software integration testing activities and the software performance testing activities are being
performed in accordance with the SDP, the software design, the plan for software testing, and
established software standards and procedures.
b. Verify any transfer of control of code to personnel performing software integration testing or
software performance testing is being accomplished in accordance with established software
standards and procedures.
c. Verify that as many of the software integration tests as necessary and all of the software
performance tests are witnessed to verify that the approved test procedures are being followed,
that accurate records of test results are being kept, that all discrepancies discovered during the
tests are being properly reported, that test results are being analyzed, and the associated test
reports are completed.
d. Verify that discrepancies discovered during software integration and performance tests are
identified, analyzed, documented, and corrected; software unit tests, and software integration tests
are re-executed as necessary to validate corrections made to the code; and the software unit’s
design, code, and test is updated based on the results of software integration testing, software
performance testing, and corrective action process.
e. Verify the software performance tests produce results that will permit determination of
performance parameters of the software.
f. Verify that the responsibility for testing and for reporting on results has been assigned to a
specific organizational element.
g. Verify that procedures are established for monitoring informal testing.
h. Review the Software Test Plan and Software Test Descriptions for compliance with requirements
and standards.
i. Verify that the software is tested.
j. Monitor test activities, witness tests, and certify test results.
k. Verify that requirements have been established for the certification or calibration of all support
software or hardware used during tests.
SQA may use the audit checklists in Figures B-8 and B-9 as guides for conducting these evaluations.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

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3.12 TASK: EVALUATE END-ITEM DELIVERY PROCESS

This activity is applicable for those projects providing a one-time delivery of a product and may also be
interpreted as required deliveries for a specified time period or time frame.
SQA shall evaluate the activities in preparation for end-item delivery to verify that program or project
requirement, if any, for functional and physical audits of the end-item products are being satisfied. In
some cases, the SQA organization should be allowed to prohibit delivery of certain items, such as
documentation, code, or a system, if the project fails to meet contractual requirements or standards.
SQA may use the audit checklist in Figure B-10 as a guide for conducting this evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

3.13 TASK: EVALUATE THE CORRECTIVE ACTION PROCESS

The corrective action process describes the steps for (1) problem identification and correction occurring
during software development to verify early detection of actual or potential problems, (2) reporting of the
problem to the proper authority, (3) analysis of the problem to propose corrective measures, (4) timely
and complete corrective action, and (5) the recording and follow-up of each problem's status. Problems in
this context include documentation errors, software errors, and noncompliance with standards and
procedures.
SQA activities are listed below:
a. Periodically review the corrective action process and their results against the SCM Plan to assess
the effectiveness of the corrective action process.
b. Perform periodic analysis of all reported problems to identify trends that may disclose generic
problem areas. These analyses shall include the study of the causes, magnitude of impact,
frequency of occurrence, and preventive measures.
SQA may use the audit checklist in Figure B-11 as a guide for conducting this evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

3.14 TASK: MEDIA CERTIFICATION

SQA shall verify that SCM certifies that the media containing the source code, and the media containing
the object code which are delivered to the procuring agency, correspond to one another. SQA shall verify
also that the software version represented by this media matches that on which software performance
testing was performed, or correctly represents an authorized update of the code, as applicable.
SQA may use the audit checklist in Figure B-12 as a guide for conducting this evaluation.
SQA reports, together with the corrective action records, software test reports, and software product
evaluation records can constitute the required evidence for certification.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

3.15 TASK: NON-DELIVERABLE SOFTWARE CERTIFICATION

The project may use non-deliverable software in the development of deliverable software as long as the
operation and support of the deliverable software after delivery to the acquirer do not depend on the non-
deliverable software or provision is made to verify that the acquirer has or can obtain the same software.

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SQA shall certify that the use of non-deliverable software meets the above criteria, that is, deliverable
software is not dependent on non-deliverable software to execute, or verify that the acquirer can obtain
the same software. SQA shall verify that all non-deliverable software used on the project performs its
intended functions.
SQA may use the audit checklist in Figure B-13 as a guide for conducting this evaluation.
SQA reports, together with the corrective action records, software test reports, and software product
evaluation records can constitute the required evidence for certification.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

3.16 TASK: EVALUATE STORAGE AND HANDLING PROCESS

SQA shall verify that there is an established plan, methodology, or set of procedures for storage and
handling of the media. SQA shall evaluate the storage of the software product and documentation to
verify that storage areas for paper products or media are free from adverse environmental effects such as
high humidity, magnetic forces, and dust.
SQA may use the audit checklist in Figure B-14 as a guide for conducting this evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

3.17 TASK: EVALUATE SUBCONTRACTOR CONTROL

SQA shall be responsible for ensuring that the quality of all software products from subcontractors
conforms to the contract requirements and that the subcontractor's SCM plan and procedures are being
followed.
SQA may use the audit checklist in Figure B-15 as a guide for conducting this evaluation.
SQA reports, together with the corrective action records, and software product evaluation records shall be
provided to project management for corrective action by the subcontractor as required.

3.18 TASK: EVALUATE DEVIATIONS AND WAIVERS

SQA shall assist program or project management, with requests for deviations and waivers, if required,
and verify that the deviation or waiver request is processed in accordance with the project’s SCM Plan
and approved by the approving agency.
SQA may use the audit checklist in Figure B-16 as a guide for conducting this evaluation.

3.19 TASK: EVALUATE CONFIGURATION MANAGEMENT PROCESS

CM is the discipline that applies technical and administrative direction and surveillance to (1) identify and
document the functional and physical characteristics of CIs, (2) control the changes to CIs and their
related documentation, (3) record and report information needed to manage CIs effectively, including the
status of proposed changes and the implementation status of approved changes, and (4) audit the CIs to
verify conformance to specifications, interface control documents, and other contract requirements.
SQA activities are listed below:
a. Verify that configuration identification of documents, code, and computer data has established
standards for titling, naming, and describing change status.

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b. Verify that baseline management of changes to the developmental baseline (including documents,
code and computer data) are identified, reviewed, implemented, and incorporated in accordance
with established procedures.
c. Verify configuration control of changes to baseline documents and software are being managed in
accordance with SCM requirements as stated in the SCM Plan.
d. Verify configuration status accounting reports are prepared at established times, are prepared in
accordance with established procedures, and report the status of items that are significant with
respect to the management of the configuration of the software product and documentation.
e. Verify that the personnel assigned to participate in the configuration audits comply with the SCM
Plan.
f. Verify for document control that only approved, up-to-date documentation is provided for use by
project personnel, and that the document distribution process results in receipt of correct
documentation.
g. Verify that the program support library is the single place of storage for the baseline version of all
software. Verify that the identification of all software includes the software name and a unique
version identifier. The evaluation shall also determine that control of access to software products
is being properly exercised and that unauthorized changes to master files cannot occur.
SQA may use the audit checklist in Figure B-17 as a guide for conducting this evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

3.20 TASK: EVALUATE SOFTWARE DEVELOPMENT LIBRARY CONTROL

PROCESS
The SDL functions as the main control point for SCM. A SDL contains all units of code developed for
evolving project CIs, as well as carefully identified listings, patches, errata, CI and system magnetic tapes
and disk packs, and job control streams for operating or building software systems. The SDL also
contains previous versions of the operational software system in the form of magnetic tapes or disk packs.
SQA activities are listed below:
a. Verify the establishment of the SDL and procedures to govern its operation.
b. Verify that documentation and computer program materials are approved and placed under library
control.
c. Verify the establishment of formal release procedures for SCM approved documentation and
software versions.
d. Verify that library controls prevent unauthorized changes to the controlled software and verify the
incorporation of all approved changes.
SQA may use the audit checklist in Figure B-18 as a guide for conducting this evaluation.
The results of this task shall be documented using the Process Audit Form described in Section 7 and
provided to project management. SQA recommendation for corrective action requires project
management’s disposition and will be processed in accordance with the guidance in Section 7.

3.21 TASK: EVALUATE NON-DEVELOPMENTAL SOFTWARE

Non-Developmental Software (NDS) is software that is provided by the contractor, the Government, or a
third party. NDS may be referred to as reusable software, Government-furnished software, or
commercially available software depending on it source. SQA shall verify that non-developmental
software performs its intended functions.

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SQA may use the audit checklist in Figure B-19 as a guide for conducting this evaluation.
SQA reports, together with the corrective action records, software test reports, and software product
evaluation records can constitute the required evidence for certifying the software performs its intended
functions.

3.22 TASK: VERIFY PROJECT REVIEWS AND AUDITS

Define the technical and managerial reviews and audits to be conducted. State how the reviews and
audits are to be accomplished. State what further actions are required and how they are to be
implemented and verified. The type and scope of technical reviews depends heavily on the size, scope,
risk and criticality of the software project. The reviews and audits identified here should be the same as
specified in reference (e).
Table 3-1 identifies the required reviews and audits for the system and software development phases.
3.22.1 Task: Verify Technical Reviews
A primary component of engineering quality into software is the conduct of technical reviews of software
products, both deliverable and non-deliverable. Participants of a technical review shall include persons
with technical knowledge of the software products to be reviewed. The purpose of the technical review
will be to focus on in-progress and final software products rather than the materials generated especially
for the review. SQA will assure that technical reviews are accomplished and will selectively attend them
in accordance with approved sampling techniques. The guidelines of MIL-STD-1521B, Technical
Reviews and Audits for Systems, Equipments, and Computer Software, reference (l), may be used for
conducting a technical review. A summary of each kind of technical review appears below:
a. System Requirements Review (SRR) - the objective is to ascertain the adequacy of the
developer’s efforts in defining system requirements.
b. System Design Review (SDR) - the objective is to evaluate the optimization, correlation,
completeness, and risks associated with the allocated technical requirements. Also included is a
summary review of the system engineering process that produced the allocated technical
requirements and of the engineering planning for the next phase of effort.
c. Software Specification Review (SSR) - the objective is to review the finalized CI requirements
and operational concept. A successful SSR shows that the Software Requirements Specification
(SRS), Interface Requirements Specification (IRS), and Operational Concept Document (OCD)
form a satisfactory basis for proceeding into preliminary software design.
d. Software Preliminary Design Review (PDR) - the objective is to evaluate the progress,
consistency, and technical adequacy of the selected top-level design and test approach,
compatibility between software requirements and preliminary design, and the preliminary version
of the operation and support documents.
e. Software Critical Design Review (CDR) - the objective is to determine acceptability of the
detailed design, performance, and test characteristics of the design solution, and on the adequacy
of the operation and support documents.
f. Software Test Readiness Review (TRR) - the objective is to determine whether the software test
procedures are complete and to assure that the developer is prepared for formal CSCI/SU testing.
g. Formal Qualification Review (FQR) - the test, inspection, or analytical process by which a group
of configuration items comprising the system are verified to have met specific program or project
management performance requirements.

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TABLE 3-1. REVIEWS AND AUDITS

SYSTEM AND SOFTWARE SOFTWARE
REQUIRED AUDITS AND REVIEWS
DEVELOPMENT PHASE PRODUCTS
System Requirements (1) System/Subsystem (1) System Requirements Review (SRR)
Specification (SSS), (2) Process Audits
IRS, OCD (3) Management Review
(2) SDP, SCM Plan, (4) Peer Review
SQA Plan
System Design (1) System/Subsystem (1) System Design Review (SDR)
Design Description (2) Process Audits
(SSDD), Interface (3) Management Review
Design Description (4) Peer Review
(IDD)
Software Requirements (1) SRS, IRS (1) Software Specification Review (SSR)
(2) Process Audits
(3) Management Review
(4) Peer Review
Software Design (1) Software Design (1a) Software Preliminary Design Review
Document (SDD), (PDR)
Database Design (1b) Software Critical Design Review
Description (DBDD), (CDR)
IDD (2) Process Audits
(3) Managerial Review
(4) Peer Review
Software Implementation Software products (1) Process Audits
(2) Management Review
(3) Peer Review
Test (1) Test Documentation (1a) Software Test Readiness Review (TRR)
(1b) Formal Qualification Review (FQR)
(2) Process Audits
(3) Managerial Review
(4) Functional Configuration Audit
(5) Peer Review
Software Release (1) Software Version (1) Production Readiness Review (PRR)
Description (SVD), (2) Process Audits
User documentation (3) Management Review
(4) Physical Configuration Audit
(5) Peer Review
Note: Peer review is discussed in Section 4.

h. Production Readiness Review (PRR) - the objective is to determine the status of completion of
the specific actions that must be satisfactorily accomplished prior to executing a production go-
ahead decision.

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Technical reviews will be conducted to review evolving software products, demonstrate proposed
technical solutions, and provide insight and obtain feedback on the technical effort. The outcome of a
technical review is listed below:
a. Identify and resolve technical issues.
b. Review project status, specifically surface near- and long-term risk regarding technical, costs, and
schedule issues.
c. Arrive at agreed-upon mitigation strategies for identified risks, within the authority of those
present.
d. Identify risks and issues to be raised at joint management reviews.
e. Verify on-going communications between acquirer and developer technical personnel.
The entrance criteria for a technical review will require that an item to be reviewed is distributed to the
group prior to the review meeting. Additionally, a recorder will be assigned to record any issues
requiring resolution stating action item assignee and due date, and decisions made within the authority of
the technical review participants.
Various measurements are collected as part of technical reviews to help determine the effectiveness of the
review process itself as well as the process steps that are used to produce the item being reviewed. These
measurements, reported to the project manager, will include the amount of time spent by each person
involved in the review, including preparation for the review.
3.22.2 Task: Verify Management Reviews
SQA periodic management review of software project status, progress, problems, and risk will provide an
independent assessment of project activities. SQA will provide the following information to
management:
a. Compliance - Identification of the level of compliance of the project with established
organizational and project processes.
b. Problem areas - identification of potential or actual project problem areas based on analysis of
technical review results.
c. Risks - identification of risks based on participation and evaluation of project progress and
trouble areas.
Because the SQA function is integral to the success of the project, SQA will freely communicate its
results to senior management, project management and the project team. The method for reporting
compliance, problem areas, and risks will be communicated in a documented report or memorandum.
Compliance, problem areas, and risks will be followed-up and tracked to closure.
3.22.3 Task: Conduct Process Audits
Software development processes are audited according to the tasks specified in this Section and
performed in accordance with the software development schedule specified in the SDP.
3.22.4 Task: Conduct Configuration Audits
3.22.4.1 Functional Configuration Audit. The Functional Configuration Audit (FCA) is held prior to
software delivery to compare the software as built (including its executable forms and available
documentation) with the software requirements as stated in the baseline SRS. The purpose is to ensure
that the code addressed all, and only, the documented requirements and functional capabilities stated in
the SRS. MIL-STD-973, Configuration Management, reference (m), provides the guidelines for
conducting an FCA. SQA will participate as a member of the FCA team with other FCA team members
to be assigned by the project manager. SQA will assist in the preparation of the FCA findings. Any
follow-up to the reported FCA finding will be monitored and tracked to closure.

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3.22.4.2 Physical Configuration Audit. The Physical Configuration Audit (PCA) is held to verify that
the software and its documentation are internally consistent and are ready for delivery. The purpose is to
assure that the documentation to be delivered is consistent and correctly describes the code. Reference
(m) provides the guidelines for conducting a PCA. SQA will participate as a member of the PCA team
with other PCA team members to be assigned by the project manager. SQA will assist in the preparation
of the PCA findings. Any follow-up to the reported PCA finding will be monitored and tracked to
closure.

3.23 TASK: VERIFY SOFTWARE QUALITY ASSURANCE

The Project Manager requests periodic independent assessments of project SQA. These assessments will
be conducted at least annually. The auditor, who must be independent of the assessed SQA group, will
review SQA audits conducted on the project, including documented findings and corrective actions, and
will consult with project personnel to ensure that SQA activities have been accomplished, and that
corrective actions have been implemented or resolved. The auditor will report findings of the
independent assessment to the Project and, where appropriate, Program Manager.
Independent assessments may be requested of higher-level SQA personnel (where available, Department-
level SQA personnel) or from SEPO.

3.24 RESPONSIBILITIES
This paragraph should identify the specific organizational elements responsible for each task.
The ultimate responsibility for the quality of the [[Project Name]] software and associated documentation
produced by [[SSC San Diego or Agency Name]] rests with the [[Project Name]] Software Project
Manager. The SQA Manager shall implement the SQA procedures defined in this plan.
SQA derives its authority from the Project Manager through the [[SSC San Diego
Branch/Division/Department or Agency Name]] Manager. SQA shall monitor project staff activities and
review products for compliance to applicable standards, procedures, and reference (e). The results of
SQA monitoring and analysis along with SQA recommendations for corrective action shall be reported to
the Software Project Manager, and, as required, to the [[SSC San Diego Branch/Division/Department or
Agency Name]] Manager. All documents and software approved by the Software Project Manager for
release to [[user activity]] shall have been reviewed and approved by SQA. Table 3-2 is a responsibility
matrix for the tasks identified in this Section.

TABLE 3-2. RESPONSIBILITY MATRIX

SQA Plan SQA Prog Proj SCM Sys SW SW Sys Logi
Mgr Mgr Mgr Eng Dev Test Test stics
Develop/Document X X
SQA Plan
Review SQA Plan X X X X X X X X X
Approve SQA Plan X X X

Review Software SQA Prog Proj SCM Sys SW SW Sys Logi

Products Mgr Mgr Mgr Eng Dev Test Test stics

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[[Document Date]]

Review products X X X X X X X X X
Rework by author Applies as applicable
Approve product X X

Evaluate Software SQA Prog Proj SCM Sys SW SW Sys Logi

Tools Mgr Mgr Mgr Eng Dev Test Test stics
Evaluate tool X X X X
Resolve Audit X X
Findings

Evaluate Software SQA Prog Proj SCM Sys SW SW Sys Logi

Facilities Mgr Mgr Mgr Eng Dev Test Test stics
Evaluate facilities X X X
Resolve Audit X X
Findings

Proj Planning, SQA Prog Proj SCM Sys SW SW Sys Logi

Tracking & Mgr Mgr Mgr Eng Dev Test Test stics
Oversight (PPT&O)
Process
Develop/Document X X
SDP and other project
plans (Test Plan,
Training Plan,
Computer Resource
Life Cycle
Management Plan
(CRLCMP))
Review plans X X X X X X X X X
Approve plans X X
Evaluate PPT&O X
Process
Resolve Audit X X
Findings

System Requirements SQA Prog Proj SCM Sys SW SW Sys Logi

Analysis Process Mgr Mgr Mgr Eng Dev Test Test stics

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[[Document Date]]

Develop/document Sys X X
Rqmts
CM Sys Rqmts X
Review Sys Rqmts X X X X X X X X
Approve Sys Rqmts X X
Evaluate/report Sys X
Rqmts Analysis
Process
Resolve Audit X X
Findings

System Design SQA Prog Proj SCM Sys SW SW Sys Logi

Process Mgr Mgr Mgr Eng Dev Test Test stics
Develop/document Sys X
Design
CM Sys Design X
Review Sys Design X X X X X X X X
Approve Sys Design X X
Evaluate/report Sys X
Design Process
Resolve Audit X X
Findings

Software SQA Prog Proj SCM Sys SW SW Sys Logi

Requirements Mgr Mgr Mgr Eng Dev Test Test stics
Analysis Process
Develop/document X X
SW Rqmts
CM SW Rqmts X
Review SW Design X X X X X X X X
Approve SW Rqmts X X
Maintain SDL and X X X
SDFs
Evaluate/report SW X
Rqmts Analysis
Process
Resolve Audit X X

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Findings

Software Design SQA Prog Proj SCM Sys SW SW Sys Logi

Process Mgr Mgr Mgr Eng Dev Test Test stics
Develop/document X X
SW Design
CM SW Design X
Review SW Design X X X X X X X X
Approve SW Design X X
Maintain SDL and X X
SDFs
Evaluate/report SW X
Design Process
Resolve Audit X X
Findings

Software SQA Prog Proj SCM Sys SW SW Sys Logi

Implementation & Mgr Mgr Mgr Eng Dev Test Test stics
Unit Testing Process
Develop/fix code X
CM code X
Code review X X X
Unit Test X X
Maintain SDL and X X X
SDFs
Maintain STR process X
Evaluate/report SW X
Implementation and
Unit Testing Process
Resolve Audit X X
Findings

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Unit Integration and SQA Prog Proj SCM Sys SW SW Sys Logi
Testing Process Mgr Mgr Mgr Eng Dev Test Test stics
Integrate SW X
Test Integrated SW X X
Fix errors X
Maintain SDL and X X X
SDFs
Maintain STR process X
Evaluate/report Unit X
Integration and
Testing Process
Resolve Audit X X
Findings

CI Qualification SQA Prog Proj SCM Sys SW SW Sys Logi

Testing Process Mgr Mgr Mgr Eng Dev Test Test stics
Performance Test X X
Fix errors X
Maintain SDL and X X X X
SDFs
Maintain STR process X
Evaluate/report CI X
Qualification Testing
Process
Resolve Audit X X
Findings

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End-item Delivery SQA Prog Proj SCM Sys SW SW Sys Logi

Process Mgr Mgr Mgr Eng Dev Test Test stics
Prepare/document X
version release doc
Review version release X X X X X X
doc
Approve version X
release doc
Evaluate/report End- X
item Delivery Process
Resolve Audit X X
Findings

Corrective Action SQA Prog Proj SCM Sys SW SW Sys Logi

Process Mgr Mgr Mgr Eng Dev Test Test stics
Follow Corrective X X X X X X X X X
Action Process
Maintain Corrective X
Action Process
Evaluate/report X
Corrective Action
Process
Resolve Audit X X
Findings

Certification (media SQA Prog Proj SCM Sys SW SW Sys Logi

certif., SW) Mgr Mgr Mgr Eng Dev Test Test stics
Follow Certification X X X X X
Process
Certify SW X X

Evaluate/report X
Certification Process
Resolve Audit X X
Findings

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Storage & Handling SQA Prog Proj SCM Sys SW SW Sys Logi
Process Mgr Mgr Mgr Eng Dev Test Test stics
Follow Storage and X X X X X X
Handling Process
Evaluate/report X
Storage and Handling
Process
Resolve Audit X X
Findings

Subcontractor SQA Prog Proj SCM Sys SW SW Sys Logi

Control Mgr Mgr Mgr Eng Dev Test Test stics
Evaluate subcontractor X X X X X X X X
software products
Evaluate/report X
Subcontractor Control
Process
Resolve Audit X X
Findings

Deviations & SQA Prog Proj SCM Sys SW SW Sys Logi

Waivers Mgr Mgr Mgr Eng Dev Test Test stics
Document deviations X X
& waivers
Recommend Approval X
Approve Major Mino
r
Evaluate/report X
Deviation & Waiver
Process
Resolve Audit X X
Findings

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Configuration SQA Prog Proj SCM Sys SW SW Sys Logi

Management Process Mgr Mgr Mgr Eng Dev Test Test stics
Develop/Document X
SCM Plan
Review SCM Plan X X X X X X X X
Approved SCM Plan X X X
Follow SCM processes X X X X X X X X X
Document SCM X
procedures
Evaluate/report CM X
Process
Resolve Audit X X
Findings

SW Development SQA Prog Proj SCM Sys SW SW Sys Logi

Library Control Mgr Mgr Mgr Eng Dev Test Test stics
Process
Establish SDL X
Follow SDL X X X X X X X X
procedures
Evaluate/report SDL X
Process
Resolve Audit X X
Findings

Evaluate Non- SQA Prog Proj SCM Sys SW SW Sys Logi

Developmental SW Mgr Mgr Mgr Eng Dev Test Test stics
Evaluate non- X X X X X X
development SW
Evaluate/report Non- X
developmental SW
Process
Resolve Audit Findings X X
Integrate non- X X X X X
development SW
Resolve integration X X X X X
errors

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Configuration Audits SQA Prog Proj SCM Sys SW SW Sys Logi

Mgr Mgr Mgr Eng Dev Test Test stics
Assist/perform X X X X X X X
configuration audits
Evaluate/report X
Configuration Audit
Process
Resolve Audit X X
Findings

Software Quality SQA Prog Proj SCM Sys SW SW Sys Logi

Assurance Mgr Mgr Mgr Eng Dev Test Test stics
Appoint an X
independent SQA
Auditor
Assist SQA audits X X X X X X X
Evaluate/report SQA X
Audit Process
Resolve Audit X X X
Findings

3.25 SCHEDULE
SQA schedules are closely coordinated with the software development schedule in reference (e). Process
audits will be performed at the beginning of each new phase of development to verify that the appropriate
processes are correctly implemented as defined in the planning documents. In addition, spot-checks
(unscheduled audits) will be made during each phase of development to verify that the processes and
desktop procedures are being followed. At the completion of a software development phase, SQA will
review and report whether all steps required to transition to the next phase have been accomplished.

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SECTION 4. DOCUMENTATION
The documentation that describes and supports the [[Project Name]] software or the software
development process shall be created and updated periodically throughout the development cycle.
Table 4-1 is a list of [[Project Name]] software deliverable products and the associated standard or
guidelines used to develop and maintain the software products. Any tailoring guidelines are also found in
Table 4-1. Table 4-2 is a list of non-deliverable products.
For the project’s software documents to be developed and not yet listed in Tables 4-1 and 4-2, SQA will
assist in identifying the specifications, standards, and Data Item Descriptions (DIDs) to be followed in the
preparation of the required documentation.
List the software products (or reference the document, e.g. CM Plan, that lists the products) that will be
developed/maintained and identify the associated Data Item Description (DID) or standard or guidelines
that are used to develop/ maintain the software product to which this SQA Plan applies in Table 4-1. If
there are any tailoring guidelines, provide that information in Table 4-1. Identify all non-deliverable
products in Table 4-2.
TABLE 4-1. DELIVERABLE SOFTWARE PRODUCTS
DELIVERABLE DID, STANDARD, GUIDELINE
NOMENCLATURE
DOCUMENTATION
[[CI Name]] [[DOCUMENT TYPE, [[DID, e.g., DI-IPSC-81431 of MIL-
e.g., SSS]] STD-498]]
[[CI Name]] [[DOCUMENT TYPE]] [[DID, STANDARD, GUIDELINE]]
[[CI Name]] [[DOCUMENT TYPE]] [[DID, STANDARD, GUIDELINE]]

TABLE 4-2. NON-DELIVERABLE SOFTWARE PRODUCTS

DOCUMENT TITLE
[[Document title]]
[[Document title]]
[[Document title]]

State how the documents are to be checked for adequacy. The document review process should include
the criteria and the identification of the review or audit by which the adequacy of each document shall be
confirmed.
a. All documents will undergo a peer review in accordance with the Peer Review Process, reference
(n).
Upon completion of a peer review, SQA records and reports Peer Review measurements (the item
reviewed, the number of errors detected, the phase when the Peer Review was conducted, the number of
closed error reports, and the number of open error reports) to SEPO.
Upon completion of a peer review, the software product will be submitted to SCM and placed under CM
control. The software product will then be processed in accordance with the SCM software product
approval and release process as described in reference (e).

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SECTION 5. STANDARDS, PRACTICES, CONVENTIONS AND

METRICS
To verify the delivery of a fully conforming, high-quality product, every individual assigned to the project
will participate in quality assurance. Reference (e) defines the procedures by which the software
development staff shall verify the quality of the product during the development process. The remainder
of this section describes the procedures used by SQA to verify that the quality assurance provisions of this
SQA Plan and applicable standards, practices, conventions, and metrics are met.
Identify the standards (mandatory requirements) to be applied. State how compliance with these items is
to be monitored and assured.
[[MIL-STD-498, reference (o) or reference (b)]] is the software development standard used by the
[[Project Name]] and any tailoring of this standard is documented in reference (e). Section 3 identifies
SQA evaluation of the requirements, design, implementation, and test phase to verify compliance with
[[references (o) or (b)]] and reference (e).
Section 4 identifies the associated DID for each software product to be developed and maintained. Any
tailoring of the DID is described in reference (e). SQA will verify documentation format and content
complies with the DID and reference (e).
Standards for logic structure, coding, and code comments are described in reference (e). SQA will verify
source code complies with these standards as detailed in reference (e).
Standards and practices for testing are described in reference (e). SQA will verify testing activities
complies with reference (e).

5.1 METRICS
Identify or reference the standards, practices, and conventions to be used in the definition, collection and
utilization of software measurement data. Cite any internal (e.g., project, corporate) and external (e.g.,
user, customer) requirements or standards with which metrics practices must comply. IEEE Std 1045-
1992, IEEE Standard for Software Productivity Metrics, reference (p) describes conventions for counting
the results of the development processes. IEEE Std 1061-1992, IEEE Standard for a Software Quality
Metrics Methodology, reference (q), provides a methodology for selecting and implementing process and
product metrics. IEEE Std 982.1-1988, IEEE Standard Dictionary of Measures to Produce Reliable
Software, reference (r) and IEEE Std 982.2-1988, IEEE Guide for using reference (r), reference (s)
provide various measures for use in different life cycle phases to gain confidence in the building of
reliable software. To keep metrics simple, an example of cost and schedule metrics is offered.
The following measurements will be made and used to determine the cost and schedule status of the SQA
activities:
a. SQA milestone dates (planned)
b. SQA milestone dates (completed)
c. SQA work scheduled (planned)
d. SQA work completed (actual)
e. SQA effort expended (planned)
f. SQA effort expended (actual)
g. SQA funds expended (planned)
h. SQA funds expended (actual)
i. Number of noncompliance items open
j. Number of noncompliance items closed

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k. Total Number of noncompliance items

SQA is responsible for reporting these measurements to the Project Manager on a monthly basis.

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SECTION 6. TEST
Identify all other tests not included in verification and validation and state the methods used. Describe
any testing techniques or methods that can be used to detect errors, to develop sets of test data, and to
monitor computer system resources.
[[Project Name]] testing activity includes unit level testing, integration testing (at Unit and CI/HWCI
level), performance testing (CI Qualification Testing), and acceptance testing (System Qualification
Testing). Figure 6-1 provides the Test Process Flow. SQA shall audit the testing activities as defined in
reference (e), and shall verify that the software and test documentation is subject to configuration
management control. SQA shall witness the tests and verify that test results are recorded and evaluated.
SQA shall coordinate the maintenance of Problem/Change Report (P/CR), sometimes called Software
Trouble Report (STR), logs with SCM and shall verify that software changes are controlled according to
reference (e). SQA shall witness regression testing resulting from P/CRs or STRs to verify the
effectiveness of the correction.

CM Controlled:
SRS, Design Spec, Testing Test Results Expected Results
Source Code

Test Configuration:
Test Plan, Test
Cases, Test Evaluation
Procedures, Test
Tools, Test
Environment

Errors

Corrections

Table 6-1. Test Process Flow Diagram

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SECTION 7. SQA PROBLEM REPORTING AND RESOLUTION

Describe the practices and procedures to be followed for reporting, tracking, and resolving problems
identified in both software items and the software development and maintenance procesess. State the
specific organizational responsibilities concerned with their implementation.
This section describes the reporting and control system used by SQA to record and analyze discrepancies
and to monitor the implementation of corrective action. The forms utilized by SQA for reporting are the
Process Audit Report, P/CR or STR, Software Tool Evaluation Report, and Facilities Evaluation Report.
Each of these forms and their uses are discussed in the following section.

7.1 PROCESS AUDIT REPORT

SQA reports the results of a process audit and provides recommendations, if necessary, using the Process
Audit Report. The Process Audit Report is used to record that the process is (1) being followed correctly
and working effectively, (2) being followed but is not working effectively, or (3) not being followed.
Figure 7-1 provides the format of a Process Audit Report.
7.1.1 Submittal and Disposition of Process Audit Report
The Process Audit Report is directed to the groups listed below:
a. Senior Management - The results of process audits are used in conjunction with other project
status information to guide senior management attention to identify and mitigate project risks at
the organizational level.
b. SEPG - The SEPG utilizes the process audits results, in conjunction with the results of audits of
other projects, to identify process weaknesses and initiate or enhance process improvement in
specific areas. This data becomes part of the process database so that it is available for future
project analysis and use.
c. Project Manager - The project manager utilizes the report in the ways listed below:
1. To provide insight into whether there is compliance with the development process and its
effectiveness in meeting project goals. Where necessary and appropriate, the project manager
may initiate enforcement activities or initiate change to the established processes using the
approved procedures.
2. To indicate agreement, disagreement, or deferral of recommendations cited in the Process
Audit Report. Should the Project Manager indicate disagreement with the recommendations
recorded on the Process Audit Report, the final disposition of report recommendations is
made by the appropriate Project Sponsor as described in Section 7.1.2.

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PROCESS AUDIT REPORT

TRACKING IDENTIFIER:____________
LEAD AUDITOR:______________________________________ DATE OF REPORT:_____________
AUDIT
TEAM:_____________________________________________________________________________
____________________________________________________________________________________
PROJECT NAME:____________________________________________________________________
DATE OF AUDIT:________________________
PROCESS/PROCEDURE AUDITED:_____________________________________________________
AUDIT CHECKLIST USED: (Attach)_____________________________________________________
AUDIT FINDINGS: (Check one.)
_____ Process/Procedure Acceptable
_____ Process/Procedure Conditionally Acceptable
(Subject to satisfactory completion of action items listed below)
Conditions noted:

_____ Process/Procedure Unacceptable

(Subject to satisfactory completion of action items listed below)
Conditions noted:
____________________________________________________________________________________________A
CTION ITEM (AI):
AI # TITLE ASSIGNED TO: DUE DATE: COMP DATE:___
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
CORRECTIVE ACTION:
____________________________________________________________________________________
DISPOSITION: APPROVE CANCEL DEFER
Project Manager: DATE:
____________________________________________________________________________________
AI CLOSURE:
SQA Sign-off: DATE:
(FILE COMPLETED FORM IN SQA EVALUATION RECORD.)

Figure 7-1. Process Audit Report

7.1.2 Escalation Procedure for Resolution of Non-Concurrence on Process Audit Report
In the event that affected project personnel dispute the findings and recommendations of a Process Audit
Report, SQA will first communicate with the affected Project Manager to resolve the dispute. If the
affected Project Manager also disputes the findings and/or recommendations, the Project Sponsor (or at
least one management level higher than that affected by the Process Audit Report recommended actions)
directs final disposition of Process Audit Report recommendations. The affected project implements,
defers, or cancels the implementation of corrective actions recommended on the Process Audit Report as
directed by the Project Sponsor/Upper Level Manager. This direction is recorded and dated by the

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Project Sponsor (or other management, as appropriate) to be added to the SQA evaluation records of the
project. SQA retains the original record of findings and subsequent resolution data in its audit files.

7.2 RECORDING PROBLEMS IN SOFTWARE CODE OR DOCUMENTATION

Problems found in the software code or documentation that is under configuration management must be
recorded by means of a P/CR (or STR, as appropriate to the project) regardless of how or by whom the
problem was discovered. P/CRs generated by SQA shall be prepared and processed in accordance with
reference (f). SQA shall analyze P/CRs for problem trends in an effort to prevent recurring discrepancies.
SQA shall report the results of P/CR trend analyses along with suggestions for problem resolution and
prevention. The format of the P/CR or STR is found in reference (f).

7.3 SOFTWARE TOOL EVALUATION REPORT

Figure 7-2 provides the format for evaluating software tools as described in Section 3.2.

7.4 FACILITIES EVALUATION REPORT

Figure 7-3 provides the format for evaluating existing and planned [[Project Name]] facilities as
described in Section 3.3.

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SOFTWARE TOOL EVALUATION

SQA:_________________________ DATE OF EVALUATION:___________

Software Tool Evaluated:

Methods or criteria used in the evaluation:

Evaluation Results:

Recommended Corrective Actions

Corrective Action Taken

Figure 7-2. Software Tool Evaluation

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PROJECT FACILITIES EVALUATION

SQA:_________________________ DATE OF EVALUATION:__________

Facility Evaluated (Equipment, User/Test/Library Space):

Methods or criteria used in the evaluation:

Evaluation Results:

Recommended Corrective Actions

Corrective Action Taken

Figure 7-3. Project Facilities Evaluation

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SECTION 8. TOOLS, TECHNIQUES, AND METHODOLOGIES

Identify the special software tools, techniques, and methodologies that support SQA, state their purposes,
and describe their use.
Tools - SQA software tools include, but are not limited to, operating system utilities, debugging aids,
documentation aids, checklists, structuring preprocessors, file comparators, structure analyzers, code
analyzers, standards auditors, simulators, execution analyzers, performance monitors, statistical analysis
packages, software development folder/files, software traceability matrices, test drivers, test case
generators, static or dynamic test tools, and information engineering CASE tools.
Techniques - techniques include review of the use of standards, software inspections, requirements
tracing, requirements and design verification, reliability measurements and assessments, and rigorous or
formal logic analysis.
Methodologies - methodologies are an integrated set of the above tools and techniques. The
methodologies should be well documented for accomplishing the task or activity and provide a
description of the process to be used.
Where applicable, SQA will use SEPO organizational processes and tailor the processes specific to the
project.

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SECTION 9. CODE CONTROL

The purpose of this section is to define the methods and facilities used to maintain, store, secure and
document controlled versions of the identified software during all phases of the software life cycle whose
appropriate use will be verified by SQA. This may be implemented in conjunction with a computer
program library. This may be provided as a part of the SCM Plan. If so, an appropriate reference
should be made.
Code control includes the items listed below:
a. Identifying, labeling, and cataloging the software to be controlled
b. Identifying the physical location of the software under control
c. Identifying the location, maintenance, and use of backup copies
d. Distributing copies of the code
e. Identifying the documentation that is affected by a change
f. Establishing a new version
g. Regulating user access to the code.
[[Project Name]] uses [[identify CM Code Control Software]] for code control. The code control method
is described in reference (f). SQA will conduct ongoing evaluations of the code control process to verify
that the process of controlling the code is effective and in compliance with reference (f). Section 3.19
further describes SQA activities for verifying the SCM process.

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SECTION 10. MEDIA CONTROL

The purpose of this section is to state the methods and facilities to be used, and whose proper use is to be
verified by SQA, to identify the media for each computer product and the documentation required to store
the media, including the copy and restore process, and to protect the computer program physical media
from unauthorized access or inadvertent damage or degradation during all phases of the software life
cycle. This may be provided as a part of reference (f). If so, an appropriate reference should be made.
Media control includes the items listed below:
a. Regularly scheduled backup of the media.
b. Labeled and inventoried media filed in a storage area in accordance with security requirements
and in a controlled environment that prevents degradation or damage to the media.
c. Adequate protection from unauthorized access.
The software media control methods and facilities are described in reference (f). SQA will conduct
ongoing evaluations of the software media control process to verify that the process of controlling the
software media is effective and in compliance with reference (f). Further guidelines for SQA verification
of media control are described in Section 3.16.

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SECTION 11. SUPPLIER CONTROL

The purpose of this section is to state the provisions by which SQA assures that software provided by
suppliers meets established requirements.
Prior to any purchase of software to support the development effort, SQA and project members will
define and provide complete requirements to the supplier/vendor. The Software Tool Evaluation Process
will be followed. Part of the evaluation process will require the supplier or vendor to describe their
technical support, handling of user questions and problems, and software product upgrades. Further
guidance for SQA verification activities is described in Sections 3.17 and 3.21.
In some cases, projects do not foresee purchasing software. If that’s the case, the following paragraphs
may apply.
All supplier software has been operationally tested in the target system. No future supplier software is
planned.

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SECTION 12. RECORDS COLLECTION, MAINTENANCE AND

RETENTION
Identify the SQA documentation to be retained, state the methods and facilities to be used to assemble,
safeguard, and maintain this documentation, and designate the retention period.
SQA activities are documented by records and reports that provide a history of product quality throughout
the software life cycle. Measurement data collected will be reviewed for trends and process improvement.
All SQA records will be collected and maintained in the SDL or archival storage for the life cycle of the
product or a minimum of [state number of years].

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SECTION 13. TRAINING

Identify the training activities necessary to meet the needs of the SQA Plan.
Table 13-1 provides a matrix that identifies the required skills to perform SQA tasks to implement this
[[Project Name]] SQA Plan. The training schedule will be compatible with the project schedule. In some
cases, training will be conducted as On-the-Job (OJT) training.
TABLE 13-1. SQA TRAINING MATRIX
TASK SKILL REQUIREMENTS TYPE SOURCE
Code Reviews Source Language, Peer Classroom/ SEPO, Peer Review
Reviews OJT Process and Workshop
Documentation Software Development and Classroom/ SEPO, Peer Review
Reviews Documentation standards and OJT Process and Workshop
guidelines, Peer Reviews
Process Audits Software Development Life Classroom/ MIL-STD-498, IEEE/EIA
Cycle Processes, Audit OJT 12207
techniques
Testing Testing Methodologies OJT
SQA Management Project Management Classroom/ SEPO, Software Project
OJT Management (SPM) course
Metrics Data Collection and Analysis Classroom/ SEPO, SPM course
OJT
Problem reporting and Configuration Management Classroom/ SEPO, CM Practitioner's
correction action OJT Training
Tools Vendor supplied training Classroom/ Vendor
OJT
Code, Media, and Configuration Management Classroom/ SEPO, CM Practitioner's
Supplier Control OJT Training
Risk Management and Risk Management Process Classroom/ SEPO, SPM course
Analysis OJT
Software Management Software Management Process Classroom/ SEPO, Software
OJT Management for Everyone
(SME) Training, SPM
course

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SECTION 14. RISK MANAGEMENT

Specify the methods and procedures employed to identify, assess, monitor, and control areas of risk
arising during the portion of the software life cycle covered by the SQA Plan.
The [[Project Name]] has developed a risk management plan as identified in [[document name]]. SQA
will review and evaluate the technical risk analysis and any risk reduction plan. SQA reporting will
confirm that the identified risks are managed in accordance with the provisions of the project’s risk
management plans, and that associated action items are reported, managed, and followed through to
closure.

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APPENDIX A. LIST OF ACRONYMS

AI Action Item
CDR Critical Design Review
CMM Capability Maturity Model
CMU Carnegie-Mellon University
CRLCMP Computer Resource Life Cycle Management Plan
CI Configuration Item
DBDD Database Design Description
DCR Document Change Request
DID Data Item Description
EIA Electronic Industries Association
FCA Functional Configuration Audit
FQR Formal Qualification Review
HB Handbook
HWCI Hardware Configuration Item
IDD Interface Design Description
IEEE Institute of Electrical and Electronics Engineers
IRS Interface Requirements Specification
IV&V Independent Verification and Validation
KPA Key Process Area
MIL Military
NDS Non-Developmental Software
OCD Operational Concept Document
OJT On-the-Job
PCA Physical Configuration Audit
P/CR Problem/Change Report
PDR Preliminary Design Review
PP&O Project Planning and Oversight
PRR Product Readiness Review
SCM Software Configuration Management
SDD Software Design Document
SDF Software Development File
SDP Software Development Plan
SDR System Design Review
SEI Software Engineering Institute
SEPO Systems Engineering Process Office
SME Software Management for Everyone
SPAWAR Space and Naval Warfare

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SPI Software Process Improvement

SQA Software Quality Assurance
SRR System Requirements Review
SRS Software Requirements Specification
SSC SPAWAR Systems Center
SSDD System/Subsystem Design Description
SSR Software Specification Review
SSS System/Subsystem Specification
STD Standard
STR Software Trouble Report
SU Software Unit
SVD Software Version Description
TRR Test Readiness Review
UDF Unit Development Folder

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APPENDIX B. GENERAL SOFTWARE ENGINEERING PROCESS AUDIT

CHECKLISTS

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[[Configuration Control #]]
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PROJECT PLANNING PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

____Project Plans and commitments exist and are documented in the SDP.
____Standards governing the project’s software development process are documented and reflected in the
SDP.
____The content of the SDP reflects consistent implementation of organization’s standard software
process.
____The SDP is under configuration management.
____The activities of software estimation are conducted in accordance with Software Estimation Process
and results are documented.
____The organizational database is used for making estimations.
____Software requirements are the basis for software plans, work products, and activities.
____Plans for conducting software configuration management exists and are documented in the SDP or a
separate Software Configuration Management Plan (SCM Plan).
____The SCM Plan is under configuration management.
____Plans for conducting software quality assurance exists and are documented in the SDP or a separate
Software Quality Assurance Plan (SQA Plan).
____Plans for conducting software integration testing exists and are documented in a Software Test Plan
(STP).
____Plans for conducting system testing exist and are documented in a STP
____The STP is under configuration management.
____Plans for conducting software transition exist and are documented in a Software Transition Plan or
Software Development Plan (SDP).
____Project schedules and plans undergo a peer review prior to establishing their baselines.

Figure B-1. Project Planning Process Audit Checklist

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[[Configuration Control #]]
[[Document Date]]

PROJECT TRACKING AND OVERSIGHT PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

____Project measurements are collected in accordance with the Software Measurement Plan.
____Measurements are used for re-planning analysis.
____Project Lead reviews project status on a biweekly basis.
____Branch Head reviews project status on a monthly basis.
____Division Head reviews project status on a quarterly basis.
____Quarterly Reviews are conducted in accordance with the Software Measurement Plan.

Figure B-2. Project Tracking and Oversight Process Audit Checklist

B-3
[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SYSTEM REQUIREMENTS ANALYSIS PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

____The correct participants are involved in the systems requirements analysis process to identify all user
needs.
____Requirements are reviewed to determine if they are feasible to implement, clearly stated, and
consistent.
____Changes to allocated requirements, work products, and activities are identified, reviewed, and
tracked to closure.
____Project personnel involved in the system requirements analysis process are trained in the necessary
procedures and standards applicable to their area of responsibility to do the job correctly.
____The commitments resulting from allocated requirements are negotiated and agreed upon by the
affected groups.
____The commitments are documented, reviewed, accepted, approved and communicated.
____Allocated requirements identified as having potential problems are reviewed with the group
responsible for analyzing system requirements and documents, and necessary changes are made.
____The prescribed processes for defining, documenting, and allocating requirements are followed and
documented.
____A CM process is in place to control and manage the baseline.
____Requirements are documented, managed, controlled, and traced (preferably via a matrix).
____The agreed upon requirements are addressed in the SDP.

Figure B-3. System Requirements Analysis Process Audit Checklist

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[[Configuration Control #]]
[[Document Date]]

SYSTEM DESIGN PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

____System design documents and the traceability matrix are prepared and kept current and consistent.
____Relevant system design documents are updated based on approved requirements changes.
____Design walkthroughs (peer reviews) evaluate compliance of the design to the requirements, identify
defects in the design, and alternatives are evaluated and reported.
____SQA attends a sample set of design walkthroughs. All walkthroughs are conducted.
____Defects are identified and resolved. Change control integrity is maintained.
____The content of system design documents is selectively reviewed and audited.
____Lack of compliance with standards is identified and corrective actions are determined.
____Requirements and accompanying design and tools conform to standards, and needed waivers are
obtained prior to continuing software development.
____Demonstration prototypes comply with requirements and standards.
____The demonstration conforms to standards and procedures.
____The status of design milestones is reviewed.

Figure B-4. System Design Process Audit Checklist

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[[Configuration Control #]]
[[Document Date]]

SOFTWARE REQUIREMENTS ANALYSIS PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

Part 1. Software Requirements

____Software requirements are documented in a Software Requirements Specification (SRS) or other
approved format and are included in a traceabliity matrix.
____The SRS is maintained under configuration management.
____The SRS changes undergo a peer review before they are incorporated into the requirements baseline.
____Ensure that the peer review validates testability of requirements and that appropriate metrics are
established to validate measurable performance requirements.
____Software development plans, work products, and activities are changed to be consistent with changes
to the software requirements.
____Software requirements analysis techniques are consistent with the SDP.
____Automated tools acquired to manage software requirements trouble reports and change requests are
correctly used.
____Software engineering group is trained to perform requirements management activities.
____Measurements are made and used to determine the status of requirements management.
Part 2. Interface Requirements
____Interface requirements are documented in an Interface Requirements Specification (IRS) or other
approved format.
____The IRS is maintained under configuration management.
____The IRS changes undergo peer review before they are incorporated into the requirements baseline.
____Software development plans, work products, and activities are changed to be consistent with changes
to the interface requirements.
____Automated tools are used to manage interface requirements trouble reports and change requests.
____Software engineering group is trained to perform requirements management activities.

Figure B-5. Software Requirements Analysis Process Audit Checklist

SOFTWARE DESIGN PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:

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Procedures:
Part 1. Software Design

____The following documents undergo peer review during this phase of development:
___Software Design Document
___Interface Design Document
___Software Test Plan (Test Ids, Test Cases)
___Software Programmers Manual
___Software Test Description
___Firmware Support Manual
____The following modified documents are placed under CM during this phase of development:
___Software Design Document
___Interface Design Document
___Software Test Plan (Test Ids, Test Cases)
___Software Programmers Manual
___Software Test Description
___Firmware Support Manual
____Design documents and the traceability matrix are prepared and kept current and consistent based on
approved software requirement changes.
____Design walkthroughs evaluate compliance of the design to the requirements, identify defects in the
design, and alternatives are evaluated and reported.
____Design walkthroughs are conducted in accordance with Peer Review Process.
____Changes to the software design are identified, reviewed, and tracked to closure.
____Software design is consistent with the design methodology approved in the SDP.

Figure B-6. Software Design Process Audit Checklist

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[[Configuration Control #]]
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SOFTWARE DESIGN PROCESS AUDIT CHECKLIST (cont)

Project:
Date:
Prepared by:
Procedures:

Part 1. Software Design (cont)

____The method, such as the Software Development Folder or Unit Development Folder, used for
tracking and documenting the development/maintenance of a software unit is implemented and is
kept current.
Part 2. Interface Design
____Interface Requirements are documented in an Interface Design Document (IDD) or other approved
format.
____The IDD is maintained under configuration management.
____The IDD changes undergo peer review.

Figure B-6. Software Design Process Audit Checklist (continued)

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[[Configuration Control #]]
[[Document Date]]

SOFTWARE IMPLEMENTATION AND UNIT TESTING PROCESS AUDIT

CHECKLIST
Project:
Date:
Prepared by:
Procedures:

Part 1. Software Implementation

____Code and the traceability matrix are prepared and kept current and consistent based on approved
software requirement changes.
____Code walkthroughs (peer review) evaluate compliance of the code to the approved design, identify
defects in the code, and alternatives are evaluated and reported.
____Code walkthroughs are conducted in accordance with Peer Review Process.
____Changes to code are identified, reviewed, and tracked to closure.
____Code is maintained under configuration management.
____Code changes undergo peer review before they are incorporated into the software baseline.
____Software coding is consistent with the coding methodology approved in the Software Development
Plan (SDP).
____The method, such as the Software Development Folder or Unit Development Folder, used for
tracking and documenting the development/maintenance of a software unit is implemented and is
kept current.
Part 2. Unit Testing
____Software unit testing is conducted in conformance with the approved standards and procedures
described in the SDP.
____Ensure that passing criteria for unit test is documented, and that compliance has been recorded.
____Results of unit testing are documented in the Software Development Folder or Unit Development
Folder.

Figure B-7. Software Implementation and Unit Testing Process Audit Checklist

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[[Configuration Control #]]
[[Document Date]]

UNIT INTEGRATION AND TESTING PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:
Part 1. Configuration Identification
____The CIs are integrated under change control. If not, go to Part 2; otherwise, continue.
____The CIs integrated into the system were obtained from an authorized Configuration Management
representative in accordance with the SDP.
____The baseline versions of each CI are integrated into the system.
____All CI components of software integration are under change control in accordance with the SCM
Plan.
____If yes, describe how they are identified.
Part 2. Integration Process
____A plan for the integration of the CIs exists.
____The plan specifies the order and schedule in which the CIs are integrated.
____The CIs are integrated in accordance with the schedule and in the specified order.
____The integration plan specifies which version of each CSC and CSU is to be integrated.
____The correct version is integrated.
____The integrated CIs have completed unit testing.
____Any required corrections have been completed.
____The CIs have been retested.
____Test procedures are defined for CI integration.
____The defined procedures are followed.

Figure B-8. Unit Integration and Testing Process Audit Checklist

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[[Configuration Control #]]
[[Document Date]]

UNIT INTEGRATION AND TESTING PROCESS AUDIT CHECKLIST (cont)

Project:
Date:
Prepared by:
Procedures:
Part 2. Integration Process (cont)
____Test cases are defined.
____The defined test cases are followed.
____Test pass/fail criteria are defined.
____The defined test pass/fail criteria are followed.
____The test results are documented in Unit Development Folders.

Figure B-8. Unit Integration and Testing Process Audit Checklist (continued)

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[[Configuration Control #]]
[[Document Date]]

CI INTEGRATION TESTING, AND SYSTEM QUALIFICATION PROCESS AUDIT

CHECKLIST

Project:
Date:
Prepared by:
Procedures:
Part 1. Test Plan
____An approved test plan and test descriptions exists.
____The plan and descriptions used are under configuration management control.
____The latest version of the plan and description are used.
Part 2. Testing Process
____The system software was received from an authorized configuration management source.
____The test environment, including both hardware and software requirements, is set up as required by
the test plan.
____The tests were performed in the correct order.
____Each test case in the test description was executed.
____The system is tested after each CI is integrated.
____Test passing criteria is documented and compliance is recorded.
____The results of the tests are recorded in a test report.
____If yes, describe the information that is recorded and where it is recorded.
____CIs are retested after integration to assure they still satisfy their requirements without interference
from remainder of system.
____The system that results from integration of each CI is placed under configuration management
control.
____If yes, describe how it is identified.

Figure B-9. CI Integration Testing and System Qualification Process Audit Checklist

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[[Configuration Control #]]
[[Document Date]]

CI INTEGRATION TESTING, AND SYSTEM QUALIFICATION PROCESS AUDIT

CHECKLIST (cont)

Project:
Date:
Prepared by:
Part 3. Trouble Reporting
____The discrepancies found are entered into a P/CR or STR Configuration Management system for
change control. If not, describe where they are they recorded.
____The entries are completed at the time the discrepancies are found.
____The P/CR or STR's reference number is kept in the test file. If not, describe where it is kept.
____P/CR or STRs are written when problems are found in the test environment, test plan, test
descriptions, or test cases.
____These P/CR or STRs are sent through the same change control process as software discrepancies.
Part 4. Modifications
____Are modifications or corrections made to the test environment during testing?
____If yes, were the modifications approved through the change control process prior to implementation?
____What documentation of the modifications exists?
____What are the changes?
____Are modifications or corrections made to the test descriptions during testing?
____If yes, were the modifications approved by the change control process prior to implementation?
____What documentation of the modifications exists?
____What is the approving LCCB date? _______________________
____What is the STD change release date? _______________________
____Were the change control procedures in the SCM Plan followed?
____If no, what are the changes?
Part 5. Completion Criteria
____All specified CIs have been integrated into the system.

Figure B-9. CI Integration Testing and System Qualification Process Audit Checklist. (continued)

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[[Configuration Control #]]
[[Document Date]]

CI INTEGRATION TESTING, AND SYSTEM QUALIFICATION PROCESS AUDIT

CHECKLIST (cont)
Project:
Date:
Prepared by:

Part 5. Completion Criteria. (cont)

____All test cases have been executed on the system.
____All P/CRs or STRs are closed out.
____If not, all outstanding P/CRs or STRs are properly documented in the VDD.
____The Software Test Report has been completed and approved.
____The Software Test Report has been placed under change control.
____The appropriate authority has determined whether the system passed or failed integration testing.
____List the individual or group that determined whether the system passed or failed.
____Describe how the pass or fail determination was made.
____The software system is ready to be integrated with operational system.
Part 6. Software Development Files
____The Software Test Report includes any retests due to software failures.
____If yes, list the failures with their corresponding P/CR or STR reference numbers.
____Using the P/CR or STR CM system, list all the CIs changed due to these failures.
____All the software development files of the listed CIs were updated in accordance with SDP.
____If not, list all software development files that were not updated.
Figure B-9. CI Integration Testing and System Qualification Process Audit Checklist. (continued)

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[[Configuration Control #]]
[[Document Date]]

CI INTEGRATION TESTING, AND SYSTEM QUALIFICATION PROCESS AUDIT

CHECKLIST (cont)
Project:
Date:
Prepared by:

Part 7. Software Test Report Accuracy

____The Software Test Report supplies the Configuration Identification Number (CIN) for all test
documents (STP, STD) and software. If not, the Software Test Report is incomplete.
____The tester can run the evaluation tests with the specified CINs? If not, the Software Test Report is
inaccurate.
____The results of these tests match the Software Test Report? If not, the Software Test Report is
inaccurate.

Figure B-9. CI Integration Testing and System Qualification Process Audit Checklist. (continued)

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[[Configuration Control #]]
[[Document Date]]

END-ITEM DELIVERY PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:
Part 1. Audits
____A functional audit was conducted, if required.
____A physical audit was conducted, if required.
Part 2. Package Generation
____The software is generated from the software library in accordance with the SDP.
____If yes, the software is the latest version of the software in the software library.
____If not, why not?
____The documentation is generated from masters controlled by the Configuration Management
personnel as required by the SCM Plan.
Part 3. Delivery Package
____The software media is labeled correctly, showing at a minimum software name, release date, and
correct version number. The checklist in Figure B-12 contains more details on media labeling.
____The Version Description Document is with the software media.
____If yes, the Version Description Document is the correct version for the software.
____The Version Description Document has been formally inspected.
____The User's Manual is with the software media.
____If yes, the User's Manual is the correct version for the software.
____The User's Manual has been formally inspected.

Figure B-10. End-Item Delivery Process Audit Checklist

END-ITEM DELIVERY PROCESS AUDIT CHECKLIST (cont)

Project:
Date:
Prepared by:
Procedures:
Part 4. Media Distribution List
____A distribution list for the deliverable exists.

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 [[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

____If yes, it is complete, all organizations listed, all addresses correct and current.
____If yes, are any organizations listed that do not need to receive deliverable?
____Is the deliverable classified?
____If yes, the personnel on the distribution list have required clearance and need-to-know.
Part 5. Packaging
____The packaging material is suitable for the contents and transmission method used.
____Does package contain a signed transmittal letter?
____If yes, the transmittal information is correct.
____All contents are listed on transmittal contained in package.
____Does package include receipt acknowledgment form?
Part 6. Problem Notification
____There is a specified method for the receiving organization to notify the sender of problems and
deficiencies in the package.
____If yes, describe the method.
____There is a specified method for logging and handling distribution problems. Describe it.
____Distribution problems are handled by a specific person. Identify that person.

Figure B-10. End-Item Delivery Process Audit Checklist (continued)

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[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SOFTWARE CORRECTIVE ACTION PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

Part 1. Implementation of a closed loop Corrective Action (CA) Process

____The CA Process is a closed-loop.
____If yes, does the closed-loop CA Process verify the items listed below?
____All detected problems are promptly reported.
____All detected problems are entered into CA Process.
____Action is initiated on problems.
____Resolution is achieved.
____Status is tracked and reported.
____Records are maintained.
____Problem/change/discrepancy reports are the input.
____If the CA was not resolved with the Project Manager, the problem was escalated to the appropriate
management personnel for resolution, and the final disposition was recorded and filed.
Part 2. Inputs to the Corrective Action Process
____A CA Process exists. Location:
____The CA Process is documented. Location:
____The CA Process is implemented.
Notes:

Figure B-11. Software Corrective Action Process Audit Checklist

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[[Configuration Control #]]
[[Document Date]]

SOFTWARE CORRECTIVE ACTION PROCESS AUDIT CHECKLIST (cont)

Project:
Date:
Prepared by:
Part 3. Classification of Problems by Category and Priority
____Problems are classified by category. Categories include the following.
____Software Problem. The software does not operate according to supporting documentation and
the documentation is correct.
____Documentation Problem. The software does not operate according to supporting
documentation but the software operation is correct.
____Design Problem. The software does not operate according to supporting documentation but a
design deficiency exists.
____Problems are classified by priority. Priorities include the following.
____Priority 1: A software problem that does one of the following:
- Prevents the accomplishment of an operational or mission essential capability specified in
the baseline requirements.
- Prevents the operator's accomplishment of an operational or mission essential capability.
- Jeopardizes personnel safety.
____Priority 2: A software problem that does one of the following:
- Adversely affects the accomplishment of an operational or mission essential capability
specified in the baseline requirements so as to degrade performance and for which no
alternative work-around solution is known.
- Adversely affects the operator's accomplishment of an operational or mission
essential capability for which no alternative work-around solution is known.
____Priority 3: A software problem that does one of the following:
- Adversely affects the accomplishment of an operational or mission essential capability
specified in the baseline requirements so as to degrade performance and for which an
alternative work-around solution is known.
- Adversely affects the operator's accomplishment of an operational or mission
essential capability for which an alternative solution is known.

Figure B-11. Software Corrective Action Process Audit Checklist (continued)

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[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SOFTWARE CORRECTIVE ACTION PROCESS AUDIT CHECKLIST (cont)

Part 3. Classification of Problems by Category and Priority (cont)
____Priority 4: A software problem that is an operator inconvenience or annoyance and which
does not affect a required operational or mission essential capability.
____Priority 5: All other errors.
Part 4. Performance of Trend Analysis.
____Analysis is performed to determine problem areas.
____Underlying factors/root causes are identified, categorized, and prioritized.
____Resources are expended in finding and treating root causes.
Part 5. Evaluation of Corrective Action taken
____Corrective actions are evaluated to verify the items listed below:
____Problems have been resolved.
____Adverse trends have been reversed.
____Changes have been correctly implemented.
____Introduction of no additional problems.
NOTES:

Figure B-11. Software Corrective Action Process Audit Checklist (continued)

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[[Configuration Control #]]
[[Document Date]]

MEDIA CERTIFICATION PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

Part 1. Media Production

____Media containing source code and media containing the object code that are delivered correspond to
one another.
____A documented process that is used to implement production of media from the software library
exists.
____If not, a plan is being created or a reason why one is not needed is being documented. Skip to
Part 2.
____The plan was followed in production of media.
____Software was created from correct files in the software library by CM personnel.
____Documents were created from approved master copies by CM personnel.
Part 2. Media Labeling
____There is a documented standard that is followed in labeling the media.
____If yes, describe the standard method used to identify the product, version, and Configuration
Identification Number.
____Media is clearly labeled.
____The label contains all required information (product, version, and Configuration Identification
Number).
____If software is classified, the media clearly reflects the correct classification.
____Software document is clearly labeled with product, CIN, and version number, if applicable.

Figure B-12. Media Certification Process Audit Checklist

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[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

MEDIA CERTIFICATION PROCESS AUDIT CHECKLIST (cont)

Project:
Date:
Prepared by:

Part 3. Media Contents

____A listing of contents on the media exits.
____If yes, describe where the listing is located.
____The media contains the contents specified in the listing.
____The contents of the media match the label information, i.e., is it the correct version for the correct
hardware platform?
____The documents contain all change pages required for this version of the documents.
Figure B-12. Media Certification Process Audit Checklist (continued)

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[[Configuration Control #]]
[[Document Date]]

NON-DELIVERABLE SOFTWARE CERTIFICATION PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

____Deliverable software is dependent on non-deliverable software.

____If yes, provision is made so acquirer has or can obtain non-deliverable software.
____Non-delivered software performs it’s intended use.
____Non-delivered software is placed under configuration management.

Figure B-13. Non-Deliverable Software Certification Process Audit Checklist

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[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

STORAGE AND HANDLING PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

____Documents and media are stored according to the Software Development Library procedure.
____Storage areas for paper products are free from adverse environmental effects (high humidity,
magnetic forces, heat, and dust)
____Storage areas for media products are free from adverse environmental effects (high humidity,
magnetic forces, heat, and dust)
____Storage containers for classified material are appropriate for level of classified material.

Figure B-14. Storage and Handling Process Audit Checklist

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[[Configuration Control #]]
[[Document Date]]

SUBCONTRACTOR CONTROL PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

____A subcontract manager is designated to be responsible for establishing and managing the software
subcontract.
____Subcontract manager is trained to perform these activities.
____The work to be subcontracted is defined and planned according to a documented procedure.
____The subcontract SOW is reviewed and approved by the project manager, branch head, and division
head.
____The subcontract SOW is managed and controlled.
____The subcontractor is selected according to a documented procedure.
____The contractual agreement between the prime contractor and the software subcontractor is used as
the basis for managing the subcontract. The contractual agreement documents the items listed
below:
____The terms and conditions
____SOW
____Requirements for the products to be developed.
____List of dependencies between subcontractor and prime.
____Subcontracted products to be delivered to the prime.
____Conditions under which revisions to products are to be submitted.
____Acceptance procedures and acceptance criteria to be used in evaluating the subcontractor
products before they are accepted by the prime.
____Procedures and evaluation criteria to be used by the prime to monitor and evaluate the
subcontractor’s performance.

Figure B-15. Subcontractor Control Process Audit Checklist

B-25
[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SUBCONTRACTOR CONTROL PROCESS AUDIT CHECKLIST (cont)

Project:
Date:
Prepared by:
Procedures:

____Subcontractor’s software development plan is reviewed/approved by the prime.

____Approved subcontractor's SDP is used for tracking the software activities and communicating status.
____Changes to the subcontractor's SOW are resolved according to a documented procedure.
____Project manager conducts periodic status/coordination reviews with the subcontractor’s
management.
____Periodic technical reviews and interchanges are held with the subcontractor.
____Formal reviews to address the subcontractor’s accomplishments and results are conducted at selected
milestones.
____Reviews are documented in the SOW.
____Reviews address status of subcontractor software activities.
____Significant issues, action items, and decisions are identified and documented.
____Software risks are addressed.
____Subcontractor’s SDP is refined as appropriate.
____The prime contractor's software quality assurance group monitors the subcontractor’s quality
assurance activities.
____The prime contractor conducts acceptance testing of subcontractor products.
____Subcontractor’s performance is evaluated on a periodic basis, and reviewed with the subcontractor.
____Measurements are made and used to determine the status of the subcontract.
____The activities of the subcontract are reviewed by the Division Head on a quarterly basis.

Figure B-15. Subcontractor Control Process Audit Checklist (continued)

B-26
 [[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

DEVIATION AND WAIVER PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:
____Deviations and waivers are prepared in accordance with the documented procedures in the project
SCM Plan.
____Deviations and waivers are reviewed and approved by the appropriate personnel in accordance with
the project SCM Plan
____Records of deviations and waivers are maintained and reflect current development configuration.

Figure B-16. Deviations and Waivers Process Audit Checklist

B-27
[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SOFTWARE CONFIGURATION MANAGEMENT PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

Part 1. SCM Plan

____Project follows the organizational policy for implementing SCM.
____Group responsible for coordinating and implementing SCM for the project exists.
____A documented and approved SCM Plan is used as the basis for performing SCM activities.
____Configuration control of changes to baseline documents and software are managed in accordance
with the SCM Plan.
____A configuration management library system is established as the repository for the software baseline.
____The CM library is the single place of storage for the baseline version of all software.
____Access to software products in the CM library is in accordance with the Library Control procedures.
____Software work products to be placed under SCM are identified according to the SCM Plan.
____Local Change Control Board (LCCB) exists and implements LCCB procedures.
____Change request and problem reports for all configuration items are handled in accordance with the
PCR procedure.
____Changes to baselines are controlled according to the SCM Plan, LCCB procedure, and PCR
procedure.
____Products from the software baseline library are created and their release is controlled according to
the Library Control procedures.
____Configuration status accounting reports are prepared in accordance with the SCM plan

Figure B-17. Software Configuration Management Process Audit Checklist

B-28
 [[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SOFTWARE CONFIGURATION MANAGEMENT PROCESS AUDIT CHECKLIST

(cont)
Project:
Date:
Prepared by:
Part 2. Configuration Identification
____Product Baselines and the Developmental Library can be identified.
____If yes, describe the method used to identify the Baselines and the Developmental Library.
____List the documents that make up these Baselines and Developmental Library.
____The documentation and the computer storage media containing code, documentation, or both can be
identified.
____If yes, describe the method used to identify the documentation and the computer storage media
and list the documents that are placed under configuration control.
____Each CI and its corresponding components can be identified.
____If yes, describe the method used to identify them.
____A method is used to identify the name, version, release, change status, and any other identification
details of each deliverable item.
____If yes, describe the method used.
____For each customer, identify the deliverable item, version, release, and change status being used.
____A method is used to identify the version of each CI to which the corresponding software
documentation applies.
____If yes, describe the method used.
____List the SRS and SDD for each CI.
____A method is used to identify the specific version of software contained on a deliverable medium,
including all changes incorporated since its previous release.
____If yes, describe the method used.
____The deliverable medium matches the CM masters? List any discrepancies.

Figure B-17. Software Configuration Management Process Audit Checklist (Continued.)

B-29
[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SOFTWARE CONFIGURATION MANAGEMENT PROCESS AUDIT CHECKLIST

(cont)
Project:
Date:
Prepared by:
Part 3. Configuration Control
____An established plan for performing configuration control exists.
____If yes, there is a method to establish a Developmental Library for each CI.
____If yes, describe the method used.
____List the CIs in the Developmental Library.
____A method exits to maintain current copies of the deliverable documentation and code.
____If yes, describe the method used.
____List the current copies. List all discrepancies.

____A method exits to control the preparation and dissemination of changes to the master copies of
deliverable software and documentation.
____If yes, describe the method used.
____Master copies of deliverables reflect only approved changes. List any discrepancies.
____List the changes in current deliverable software/documents.
Part 4. Configuration Status Accounting
____A documented plan for implementing and performing configuration status accounting exists.
____There are status reports on all products comprising the Developmental Libraries and the Functional
Allocated and Product Baselines.
____Proposed and implemented changes to a CI and its associated configuration identification documents
are recorded and reported.
____If yes to two out of three, answer the following. If not, then go to Part 5.

Figure B-17. Software Configuration Management Process Audit Checklist (continued)

B-30
 [[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SOFTWARE CONFIGURATION MANAGEMENT PROCESS AUDIT CHECKLIST

(cont)
Project:
Date:
Prepared by:
Part 4. Configuration Status Accounting (cont)
____Describe the method used to provide traceability of changes to controlled products.
____Describe the method used for communicating the status of configuration identification and
associated software.
____Describe the method for ensuring that delivered documents describe and represent the associated
software.
Part 5. Engineering Change Proposals
____Engineering Change Proposals (ECPs) are prepared in accordance with the appropriate standard.
____Software Change Notices (SCNs) are prepared in accordance with the appropriate standard.
____Describe the method used for handling requested changes to the CI.
____Describe the method used to authorize SCNs and ECPs.

Figure B-17. Software Configuration Management Process Audit Checklist (continued)

B-31
[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SOFTWARE DEVELOPMENT LIBRARY CONTROL PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

Part 1. Establishment of SDL Environment and Control

____The SDL is established and procedures to govern its operation exist.
____The SDL provides a positive means for recognizing related elements (i.e., those versions that
constitute a particular baseline and protecting the software against destruction or unauthorized
modification).
____Documentation and computer program materials approved by the LCCB are placed under library
control.
____All software, tools, and documentation relevant to the software development are placed under library
control.
____Published procedures/standards for the SDL exist.
____SDL procedures include identification of persons/organization responsible for receiving, storing,
controlling, and disseminating library materials.
____Access to SDL is limited to authorized personnel.
____If yes, describe the procedures used to limit access.
____Safeguards are in place to assure that no unauthorized alterations are made to controlled material.
____If yes, describe those safeguards.
____Describe or list the materials to be controlled.
____Describe how the materials are approved and placed under control:
____Describe how changes to the software part are handled and how changes to lines of code are
identified.
____The SDL contains master copies of each CI under Computer Program Library control.

Figure B-18. Software Development Library Control Process Audit Checklist

B-32
 [[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

SOFTWARE DEVELOPMENT LIBRARY CONTROL PROCESS AUDIT CHECKLIST

(cont)
Project:
Date:
Prepared by:

Part 1. Establishment of SDL Environment and Control (cont)

____Periodic back up of the software is performed to prevent loss of information due to any failure of the
Development Library System.
____If yes, describe the backup procedure and frequency of backups.
Part 2. Assurance of Controlled Material Validity
____Duplications from controlled and tested master copies are verified before delivery as exact copies.
____All deliverable software products that are duplicated from controlled and tested master copies are
compared with that master copy to assure exact duplication.
____Describe how identification numbers and revision codes are assigned to controlled documents and
software.
____Describe the way releases of controlled materials are recorded.
____List the people or organization responsible for assurance of software media validity.
____A formal release procedure exists. If so, describe it?
____The material contained in the library is promptly and correctly updated when a change to any of
these materials is authorized.

Figure B-18. Software Development Library Control Process Audit Checklist (continued)

B-33
[[Project Name]] SQA Plan
[[Configuration Control #]]
[[Document Date]]

NON-DEVELOPMENTAL SOFTWARE PROCESS AUDIT CHECKLIST

Project:
Date:
Prepared by:
Procedures:

____Non-developmental software performs its intended functions.

____Non-developmental software is placed under internal CM.
____Data rights provisions and licensing is consistent with the SDP.

Figure B-19. Non-Developmental Software Process Audit Checklist

B-34
 DOCUMENT CHANGE REQUEST (DCR)
Document Title: [[Project Name]] Software Quality Assurance Plan Tracking Number:      

Name of Submitting Organization:      

Organization Contact:       Phone:      

Mailing Address:      

Short Title:       Date:      

Change Location:      

(use section #, figure #, table #, etc.)
Proposed change:      

Rational for Change:      

Note: For the [[Project Name]] to take appropriate action on a change request, please provide a clear
description of the recommended change along with supporting rationale.
Send to: Commanding Officer, Space and Naval Warfare Systems Center, Code 2XX, 53560 Hull Street,
San Diego, CA 92152-5001
Fax: add appropriate fax number
Email: add appropriate email
DCR Form 7/2003