Table of Contents

1 -  AS 4009:1992 SOFTWARE REVIEWS AND AUDITS
4 -  PREFACE
5 -  CONTENTS
7 -  1. Scope and References
7 -  1.1 Scope
7 -  1.2 References
7 -  2. Definitions
8 -  3. Introduction
9 -  3.1 Review Process Prerequisites.
9 -  3.1.1 Management
9 -  3.1.2 Development Staff
9 -  3.1.3 Development Process Planning
9 -  3.1.4 Review Process Planning
9 -  3.2 Audit Process Prerequisites
9 -  3.3 Procedural Description Template
10 -  4. The Management Review Process
10 -  4.1 Objective
10 -  4.2 Abstract
10 -  4.3 Special Responsibilities
10 -  4.4 Input
10 -  4.5 Entry criteria
10 -  4.5.1 Authorization
10 -  4.5.2 Initiating Event
11 -  4.6 Procedures
11 -  4.6.1 Planning
11 -  4.6.2 Overview
11 -  4.6.3 Preparation
11 -  4.6.4 Examination
11 -  4.6.5 Rework
11 -  4.7 Exit Criteria
11 -  4.8 Output
11 -  4.9 Auditability
11 -  5. The Technical Review Process
11 -  5.1 Objective
12 -  5.2 Abstract
12 -  5.3 Special Responsibilities
12 -  5.3.1 Leader
12 -  5.3.2 Recorder
12 -  5.3.3 Team Member
12 -  5.4 Input
12 -  5.5 Entry criteria
12 -  5.5.1 Authorization
12 -  5.5.2 Initiating Event
12 -  5.6 Procedures
12 -  5.6.1 Planning
12 -  5.6.2 Overview
12 -  5.6.3 Preparation
12 -  5.6.4 Examination
13 -  5.7 Exit Criteria
13 -  5.8 Output
13 -  5.9 Auditability
13 -  6. The Software Inspection Process
13 -  6.1 Objective
13 -  6.2 Abstract
13 -  6.3 Special Responsibilities
13 -  6.3.1 Moderator
13 -  6.3.2 Reader
14 -  6.3.3 Recorder
14 -  6.3.4 Inspector
14 -  6.3.5 Author
14 -  6.4 Input
14 -  6.5 Entry Criteria
14 -  6.5.1 Authorization
14 -  6.5.2 Initiating Event
14 -  6.5.3 Minimum Entry Criteria
14 -  6.6 Procedures
14 -  6.6.1 Planning
14 -  6.6.2 Overview
14 -  6.6.3 Preparation
14 -  6.6.4 Examination
14 -  6.6.4.1 Introduce Meeting
15 -  6.6.4.2 Establish Preparedness
15 -  6.6.4.3 Review the Inspection Checklist
15 -  6.6.4.4 Read Software Elements and Record Defects
15 -  6.6.4.5 Review the Defect List
15 -  6.6.4.6 Make Exit Decision
15 -  6.6.5 Rework
15 -  6.6.6 Follow-Up
15 -  6.7 Exit Criteria
15 -  6.8 Output
15 -  6.9 Auditability
15 -  6.10 Data Collection Requirements
16 -  7. The Walkthrough Process
16 -  7.1 Objective
16 -  7.2 Abstract
16 -  7.3 Special Responsibilities
16 -  7.3.1 Moderator
16 -  7.3.2 Recorder
17 -  7.3.3 Author
17 -  7.4 Input
17 -  7.5 Entry criteria
17 -  7.5.1 Authorization
17 -  7.5.2 Initiating Event
17 -  7.6 Procedures
17 -  7.6.1 Planning
17 -  7.6.2 Overview
17 -  7.6.3 Preparation
17 -  7.6.4 Examination
17 -  7.7 Exit Criteria
17 -  7.8 Output
18 -  7.9 Auditability
18 -  8. The Audit Process
18 -  8.1 Objective
18 -  8.2 Abstract
18 -  8.3 Special Responsibilities
18 -  8.4 Input
18 -  8.5 Entry Criteria
19 -  8.6 Procedures
19 -  8.6.1 Planning
19 -  8.6.2 Overview
19 -  8.6.3 Preparation
20 -  8.6.4 Examination
20 -  8.6.5 Reporting
20 -  8.7 Exit Criteria
20 -  8.8 Output
21 -  8.9 Auditability
22 -  Appendixes
22 -  Appendix A - Guide to Process Applications for Critical Software
22 -  A1.
22 -  A2.
23 -  A3.
24 -  Appendix B - Guide to Specific Review Applications
24 -  B1. Software Requirements Review (SRR)
24 -  B2. Preliminary Design Review (PDR)
26 -  B3. Critical Design Review (CDR)
26 -  B4. Software Verification and Validation Plan Review (SVVPR)
27 -  B5. Managerial Reviews
28 -  Appendix C - A Guide to Specific Audit Applications
28 -  C1. The Functional Audit (FA)
29 -  C2. The Physical Audit (PA)
30 -  C3. In-Process Audits
30 -  C4. The Quality Systems Audit (QSA)

Abstract

Provides definitions and uniform requirements for software review and audit processes. This Standard is identical with and reproduced from ANSI/IEEE Std 1028-1988.

RECONFIRMATION NOTICE
Technical Committee IT-015 has reviewed the content of this publication and in accordance with Standards Australia procedures for reconfirmation, it has been determined that the publication is still valid and does not require change.
Certain documents referenced in the publication may have been amended since the original date of publication. Users are advised to ensure that they are using the latest versions of such documents as appropriate, unless advised otherwise in this Reconfirmation Notice.
Approved for reconfirmation in accordance with Standards Australia procedures for reconfirmation on 17 January 2014.
The following are represented on Technical Committee IT-015:

Australian Computer Society
Australian Society for Technical Communication (NSW)
Charles Sturt University
Department of Defence (Australia)
Griffith University
La Trobe University
National Association of Testing Authorities Australia
National ICT Australia
NSW Business Chamber
Quantitative Enterprise Software Performance
Systems Engineering Society of Australia
University of Technology, Sydney

Scope

The purpose of this standard is to provide definitions and uniform requirements for review and audit processes. It does not establish the need to conduct specific reviews or audits; that need is defined by local policy. Where specific reviews and audits are required, standard procedures for their execution must be defined.
This standard provides such definition for review and audit processes that are applicable to products and processes throughout the software life cycle. Each organization shall specify where and when this standard applies and any intended deviations from this standard.

General Product Information

Published
Document Type	Standard
Status	Current
Publisher	Standards Australia
ProductNote	Reconfirmed 30/01/2014. This standard has been reconfirmed in Australia in 2014 and remains current in New Zealand. Reconfirmation Notice 30/01/2014
Pages
ISBN
Committee	IT-015