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APPENDIX C

Purpose

The purpose of this procedure is to guide the performance of the functional and Physical audit activities on the configuration management system including the storage media, system, and the tools for accessing the configuration system. The procedure, when performed, ensures the logical and Physical consistency between the contents of the configuration management system and approves the readiness for performing the baselining.

 

Functional

Definitions

No

Term

Definition

1

Functional Configuration Audit (FCA)

 

The objective of a Functional Configuration Audit is to provide an independent evaluation of the configuration items' actual functionality and to prove its consistency with the requirement specifications. Specifically this audit is held prior to baselining to verify that all requirements specified in the Software Requirements Specification (SRS) have been met.

Entry Criteria (AND)

No

Criteria

Exit Criteria Of

1

CM Environment Approval

RITSOL_CM_Establishing_CM_Environment_Procedure

2

Conducing QA audit calling

RITSOL_PM_Monitoring_and_Control_Procedure

Inputs

No

Input

Coming from/Output Of

1

Approved Configuration Management Plan

RITSOL_CM_Planning_Procedure

2

CM Environment

RITSOL_CM_Establishing_CM_Environment_Procedure

3

Current version of the CI list

Continuously updated during the working in the RITSOL_CM_Maintaining_CM_Environment_Procedure

4

Current version of the RTM

Continuously updated during the working in the RITSOL_PD_Process Procedures

5

Approved Updated Work Products

RITSOL_PR_Reworking_Procedure

6

Approved Unit Test Defect Summary Report

(If Reached)

RITSOL_PD_Unit_Test_Execution_Procedure

7

Approved Integration Test Defect Summary Report

(If Reached)

RITSOL_PD_Integration_Test_Execution_Procedure

8

Approved System Test Defect Summary Report

(If Reached)

RITSOL_PD_System_Test_Execution_Procedure

9

Approved Closed NCs

RITSOL_QA_Follow-up_Procedure

10

Approved Escalation Reports

RITSOL_QA_Follow-up_Procedure

11

Approved Closed CRs

RITSOL_CM_Change_Management_Procedure

12

Approved Required System Documentation

RITSOL_PD_Implementation_Procedure

Activities

No

Activity

Responsible

Input

Output

Temp/Form

1

Determine the configuration item to be audited.

CCB

Approved Configuration Management Plan and current version of the CI list

Identified CIs

RITSOL_CM_ Functional_ Configuration Audit_

Report

2

Check the consistency of the RTM and document NCs

 

CCB

Identified CIs and Current Version of the RTM

Identified NCs

RITSOL_CM_ Functional_ Configuration Audit_

Report

3

Check the consistency and the integrity of the information of all related work products related to each other according to the RTM.

CCB

Identified CIs and Current Version of the RTM

Identified NCs

RITSOL_CM_ Functional_ Configuration Audit_

Report

4

Review the results of all peer reviews to ensure that all major, minor defects or both, according to the baselining criteria in the CM plan, have been corrected.

CCB

Identified CIs and Approved Updated Work Products

Identified NCs

RITSOL_CM_ Functional_ Configuration Audit_

Report

5

Review the results of all executed test types, if reached in the project life cycle, to ensure that the all major, minor defects or both, according to the baselining criteria in the CM plan, have been corrected.

CCB

All Test Defect Summary Reports

Identified NCs

RITSOL_CM_ Functional_ Configuration Audit_

Report

6

Review the results of all QA audits to ensure that the all major, minor NCs or both, according to the baselining criteria in the CM plan, have been tracked to closure.

CCB

Approved Closed NCs and Approved Escalation Reports

Identified NCs

RITSOL_CM_ Functional_ Configuration Audit_

Report

7

Review all CRs to ensure that the implementation of all approved CRs have been done correctly in all impacted CIs.

CCB

Approved Closed CRs

Identified NCs

RITSOL_CM_ Functional_ Configuration Audit_

Report

8

Review all related system documentation to ensure that it reflect the current system status.

 

CCB

Approved Required System Documentation

Identified NCs

RITSOL_CM_ Functional_ Configuration Audit_

Report

9

Determine the suitable corrective actions, preventive actions (optional) and closure criteria to resolve all NCs.

CCB

Identified NCs

Identified Corrective Actions

RITSOL_CM_ Functional_ Configuration Audit_

Report

10

Track all NCs to closure and verify the closure.

CCB

Identified Corrective Actions

Closed NCs

RITSOL_CM_ Functional_ Configuration Audit_

Report

11

Conduct QA audit as per the QA process and plan.

QAR

As per the process

As per the process

As per the process

12

Conduct CM activities as per the CM process and plan.

CC

As per the process

As per the process

As per the process

13

Collect measurements as per the measurement plan.

MC

As per the process

As per the process

As per the process

14

Monitor the progress as per the PM process and plan.

PM

As per the process

As per the process

As per the process

15

Approve the outputs of the procedure.

PM

Closed NCs

Approved Closed NCs

 

Outputs

No

Output

Going To/Input Of

1

Approved Closed NCs

RITSOL_CM_Baselining_Procedure

Exit Criteria

No

Criteria

Entry Criteria Of

1

Closed NCs Approval

RITSOL_CM_Baselining_Procedure

Metrics

These measures can be useful to support the process enactment, or future enactments:

·         Actual versus planned time and effort.

Subjects for Review

·         None

Records

·         Functional Configuration Audit Report

Configurable Items

·         None

 

Physical

Definitions

No

Term

Definition

1

Physical Configuration Audit (PCA)

The objective of the Physical Configuration Audit is to provide an independent evaluation of the configuration items to confirm these components are consistent with each other and to their specifications.

Entry Criteria ((1 AND 2) OR (1 AND 3))

No

Criteria

Exit Criteria Of

1

Approved CM Environment

RITSOL_CM_Establishing_CM_Environment_Procedure

2

Conducing QA audit calling

RITSOL_PM_Monitoring_and_Control_Procedure

3

Request for audit

The calling procedure that has a need for instant audit

Inputs

No

Input

Coming from/Output Of

1

Approved configuration management plan

RITSOL_CM_Planning_Procedure

2

CM environment

RITSOL_CM_Establishing_CM_Environment_Procedure

3

Current version of the CI list

Continuously updated during the working in the RITSOL_CM_Maintaining_CM_Environment_Procedure

4

Approved Closed CRs

RITSOL_CM_Change_Management_Procedure

5

Approved Baselines

RITSOL_CM_Baselining_Procedure

6

Approved Tested Backups

Continuously created during the working in the RITSOL_CM_Maintaining_CM_Environment_Procedure

Activities

No

Activity

Responsible

Input

Output

Temp/Form

1

Identify the percentage of CI to be reviewed.

 

Independent CC

Approved Configuration Management Plan and current version of the CI list

Identified Percentage of CIs

RITSOL_CM_ Physical_ Configuration Audit_

Report

2

Determine the configuration item to be audited.

 

Independent CC

Approved Configuration Management Plan and current version of the CI list

Identified CIs

RITSOL_CM_ Physical_ Configuration Audit_

Report

3

Ensure that only current and approved CIs versions are in use.

Independent CC

Identified CIs

Identified NCs

RITSOL_CM_ Physical_ Configuration Audit_

Report

4

Check the structure of the CM repository against the planned structure in the CM plan.

Independent CC

Identified CIs and CM Environment

Identified NCs

RITSOL_CM_ Physical_ Configuration Audit_

Report

5

Check that all names are matching the naming conventions defined in the CM plan.

Independent CC

Identified CIs and CM Environment

Identified NCs

RITSOL_CM_ Physical_ Configuration Audit_

Report

6

Check the integrity of the configuration items and its attributes according to the CM plan.

Independent CC

Identified CIs and CM Environment

Identified NCs

RITSOL_CM_ Physical_ Configuration Audit_

Report

7

Check the existence and correctness of access rights and security roles.

Independent CC

CM Environment

Identified NCs

RITSOL_CM_ Physical_ Configuration Audit_

Report

8

Check the integrity of the data recorded for status accounting purposes in the document revision histories.

Independent CC

Approved Closed CRs and Identified NCs

Identified NCs

RITSOL_CM_ Physical_ Configuration Audit_

Report

9

Check that all previous baselines (if they exist) met the required baselining criteria according to the CM plan.

Independent CC

Approved Baselines

Identified NCs

RITSOL_CM_ Physical_ Configuration Audit_

Report

10

Check the existence and correctness of all backups.

 

Independent CC

Approved Tested Backups

Identified NCs

RITSOL_CM_ Physical_ Configuration Audit_

Report

11

Determine the suitable corrective actions, preventive actions (optional) and closure criteria to resolve all NCs.

CC and Independent CC

Identified NCs

Identified Corrective Actions

RITSOL_CM_ Physical_ Configuration Audit_

Report

12

Track all NCs to closure and verify the closure.

CC and Independent CC

Identified Corrective Actions

Closed NCs

RITSOL_CM_ Physical_ Configuration Audit_

Report

13

Conduct QA audit as per the QA process and plan.

QAR

As per the process

As per the process

As per the process

14

Conduct CM activities as per the CM process and plan.

CC

As per the process

As per the process

As per the process

15

Collect measurements as per the measurement plan.

MC

As per the process

As per the process

As per the process

16

Monitor the progress as per the PM process and plan.

PM

As per the process

As per the process

As per the process

17

Approve the outputs of the procedure.

SM

Closed NCs

Approved Closed NCs

 

Outputs

No

Output

Going To/Input Of

1

Approved Closed NCs

RITSOL_CM_Baselining_Procedure

 

Exit Criteria

No

Criteria

Entry Criteria Of

1

Closed NCs Approval

RITSOL_CM_Baselining_Procedure

Metrics

These measures can be useful to support the process enactment, or future enactments:

·         Actual versus planned time and effort

Subjects for Review

·         None

Records

·         Physical Configuration Audit Report

 

 

Quality Management System (QMS)