ISO 9000-3
Springer Science+Business Media, LLC
Raymond Kehoe Alka J arvis ISO 9000-3 A Tool for Software Product and Process Improvement Springer
Raymond Kehoe 1358 Suzanne Court San lose, CA 95129 USA Alka larvis 978 Addison Avenue Palo Alto, CA 94301 USA On the cover: An illustration of the business of software development. With 2 figures. Library of Congress Cataloging-in-Publication Data Kehoe, Ray. ISO 9000-3: a tool for software product and process improvement/ Ray Kehoe, Alka Jarvis. p. cm. Includes bibliographical references and index. ISBN 978-1-4612-6883-3 DOI 10.1007/978-1-4612-0725-2 1. Computer software-quality control. I. Jarvis, Alka. II. Title. QA76.76.Q35K44 1995 OOS.I'068'S-dc20 Printed on acid-free paper. ISBN 978-1-4612-0725-2 (ebook) 9S-30S06 1996 Springer Science+Business Media New York Originally published by Springer-V erlag New York, Inc. in 1996 Softcover reprint of the hardcover 1 st edition 1996 All rights reserved. This work may not be translated or copied in whole or in part without the written permission of the publisher,(springer Science+Business Media, LLC) except for brief excerpts in connection with reviews or scholarly analysis. Use in connection with any form of information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed is forbidden. The use of general descriptive names, trade names, trademarks, etc., in this publication, even if the former are not especially identified, is not to be taken as a sign that such names, as nnderstood by the Trade Marks and Merchandise Marks Act, may accordingly be used freely byanyone. Production managed by Francine McNeill; manufacturing supervised by Jeffrey Taub. Typeset in LaTeX using the authors' Microsoft Word files. 9 8 7 6 5 4 3 2 ISBN 978-1-4612-6883-3
Alka: To my husband, Steve, and my parents, Bansilal and Prabha Parikh, for their support and encouragement. Ray: To Mom, Dad, Denise, and three little wolfies.
Acknowledgments The authors want to thank their many friends and colleagues who gave helpful feedback on the contents of this book. We are grateful to the following individuals: Karen Snow, Estella Weems, Joe Blank, Brad "Princeton" Houser, Georgi Brisker, Madhvi Pratt, Mark Gustoff, Cary Schneider, Jeff Schlageter, Chuck Steele, and J.R. Rutledge. Special thanks to Harry Max, an exceptional technical writer. We would especially like to thank Tim Johnson, Sharon Omori, and Virginia Sanchez of the University of Santa Cruz Extension Program, whose vision and hard work in creating the Extension Program has provided us the opportunity to develop the course that this book is based on. Finally, we wish to acknowledge our editor, Martin Gilchrist, whose patience has been most appreciated.
Contents Acknowledgments Introduction Purpose Audience Overview. 1 Introduction to ISO 9000 ISO 9001 and ISO 9000-3 ISO 9001 "ShaHs" and ISO 9000-3 "Shoulds". 2 Overview of Software Engineering Engineering a Software Product The ISO 9000-3 Guideline... The Software Engineering Process What Is Software Engineering?.. Decomposing Systems and Processes A Case for Plans, Specifications, Process, and Procedures. Phase 1: System Engineering/System Analysis Phase 2: Software Requirements Analysis. Phase 3: Design... Phase 4: Implementation. Phase 5: Testing... Phase 6: Maintenance.. vii 1 1 1 2 3 4 4 7 8 10 11 11 12 12 13 14 14 14 15 15
x Contents Configuration Control.......... 15 Reviews, Inspections, and Walk-Throughs 16 Product Quality............. 16 3 ISO 9000-3: Theory, Concept, Themes, Interpretation, and Critique 19 Theory. 19 Concept... 19 Themes.... 20 Interpretation 20 Critique... 22 Criticism and Warning 23 4 ISO 9000-3: Scope and Overview 25 1 Scope... 26 2 Normative References 27 3 Definitions... 27 4 Quality System-Framework. 28 4.1 Management Responsibility 28 4.2 Quality System....... 29 4.3 Internal Quality System Audits 29 4.4 Corrective Action...... 29 5 Quality System-Life-Cycle Activities 29 5.1 General... 29 5.2 Contract Review...... 30 5.3 Purchaser's Requirements Specification. 30 5.4 Development Planning... 30 5.5 Quality Planning...... 31 5.6 Design and Implementation 32 5.7 Testing and Validation... 32 5.8 Acceptance (Testing).... 33 5.9 Replication, Delivery and Installation. 34 5.10 Maintenance....... 34 6 Quality System-Supporting Activities 34 6.1 Configuration Management 34 6.2 Document Control 35 6.3 Quality Records... 35 6.4 Measurement... 6.5 Rules, Practices and Conventions. 6.6 Tools and Techniques... 6.7 Purchasing... 6.8 Included Software Product 6.9 Training..... 35 35 35 36 36 36 5 Supplier Management Responsibility 4 Quality System-Framework. 4.1 Management Responsibility 37 37 37
Contents Xl 6 Purchaser Management Responsibility 45 7 The Supplier's Quality System 51 4.2 Quality System........ 52 4.3 Internal Quality System Audits 54 4.4 Corrective Action....... 56 8 The Purchaser and Supplier Contract 59 5 Quality System-life-Cycle Activities 60 5.1 General... 60 5.2 Contract Review.. 60 9 Identify the Purchaser's Requirements 5.3 Purchaser's Requirements Specification. 10 Development Planning 5.4 Development Planning Basis of Estimate for Design. 5.5 Quality Planning 11 Design and Implementation 5.6 Design and Implementation 12 Testing and Validation 5.7 Testing and Validation 13 Purchaser Acceptance 5.8 Acceptance... 5.9 Replication, Delivery and Installation. 14 Software Maintenance 5.10 Maintenance 15 Configuration Management 6.1 Configuration Management 16 Document Control 6.2 Document Control 17 Quality Records 6.3 Quality Records 18 Measurement, Rules, and Tools 6.4 Measurement. 6.5 Rules, Practices and Conventions. 6.6 Tools and Techniques....... 67 67 71 72 74 84 87 87 93 93 103 103 106 111 III 121 122 133 133 139 139 143 143 147 147
xii Contents 19 Purchasing and Including Third-Party Products 6.7 Purchasing... 6.8 Included Software Product.. 149 149 152 20 Training 6.9 Training 155 155 21 The Audit Process 157 22 Specifying the Purchaser Requirements 159 23 Configuration Management Process 165 24 The Software Process Handbook as the Quality Manual 171 Introduction.................... 171 1.1. Overview... 171 Phase One: Product Specification and Preliminary Planning 173 Purpose.. 173 Deliverables 173 Exit Criteria 173 Description 174 Step 1. Marketing Requirements Analysis 175 Step 2. Preliminary Budget and Schedules 176 Step 3. Phase Two Detailed Estimates of Software Requirements Specification... 177 Phase Two: Engineering Specification and Detailed Planning. 178 Purpose.. 178 Deliverables 178 Exit Criteria 178 Description 178 Step 1. Feasibility Prototyping (Optional) 180 Step 2. Software Requirements Specification 181 Step 3. Software Development Plan 182 Step 4. Documentation Plan 183 Step 5. System Test Plan 184 Phase Three: Product Design. 185 Purpose.. 185 Deliverables 185 Exit Criteria 185 Description 185 Step 1. Software Design Document. 186 Step 2. System Test Specification Description. 187 Phase Four: Product Implementation 188 Purpose.. 188 Deliverables 188 Exit Criteria 188
Contents xiii Description... 188 Step 1. Code and Unit Tests... 189 Step 2. Functional Integration Tests 190 Step 3. Create System Test Cases 191 Phase Five: System Test. 192 Purpose.. 192 Deliverables 192 Exit Criteria 192 Description 192 Step 1. Execute System Test Cases 193 Phase Six: Product Evaluation 194 Purpose.. 194 Deliverables 194 Exit Criteria 194. DesGiption 194 Step 1. Alpha Evaluation 195 Step 2. Beta Evaluation. 196 Phase Seven: Product Release. 197 Purpose.. 197 Deliverables 197 Exit Criteria 197 Description 197 Step 1. Release to Manufacturing. 198 Step 2. Release to Customer... 199 Phase Eight: Maintenance... 200 Attachment A: Marketing Requirements Template 201 Attachment B: Marketing-Engineering Interface. 203 Attachment C: Software Requirements Specification Template 205 Attachment D: Project Development Plan...... 209 Attachment E: Software Design Document Template. 210 Attachment F: System Test Specification Template 213 Attachment G: System Test Specification Template 214 Attachment H: Documentation Plan Template 216 Attachment I: Alpha Evaluation Plan...... 217 Attachment J: Beta Evaluation Plan....... 219 Attachment K: Version Description Document. 221 Further Readings 223 Index 225