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MODULE 8 Executing the Software Surveillance Plan

This module provides an overview of the execution process of software surveillance and covers topics such as process reviews, product examination, formal reviews and audits, data collection and analysis, and acceptance of products.

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MODULE 8 Executing the Software Surveillance Plan

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  1. MODULE 8Executing the Software Surveillance Plan Lesson 1: Execution Process Overview Lesson 2: The Process Review Sub-Process Lesson 3: The Software Product Examination Sub-Process Lesson 4: The Formal Review and Audit Sub-Process Lesson 5: The Data Collection and Analysis Sub-Process Lesson 6: The Accept Product Sub-Process Lesson 7: Required Surveillance Documentation for Completing the Software Surveillance Record (SSR) Log

  2. Purpose Given the course materials presented, identify the five basic Software Acquisition Management methods used for engaging in software surveillance.

  3. Module Lessons Lesson 1: Execution Process Overview Lesson 2: The Process Review Sub-Process Lesson 3: The Software Product Examination Sub-Process Lesson 4: The Formal Review and Audit Sub-Process Lesson 5: The Data Collection and Analysis Sub-Process Lesson 6: The Accept Product Sub-Process Lesson 7: Required Surveillance Documentation for Completing the Software Surveillance Record (SSR) Log

  4. What Will You Learn in This Module? This module: • Describes the tools you will use to analyze the supplier’s performance for a given task or activity • Prepares you for the follow-on CMS260 SAM Policy Implementation class

  5. Lesson 1: Execution Process Overview Objective: Identify the common requirements of the five sub-processes of the execution step of the software surveillance process.

  6. Lesson Objective Lesson 1: Execution Process Overview Objective: Identify the common requirements of the five sub-processes of the execution step of the software surveillanceprocess.

  7. Execution Process Overview The Software Surveillance Process  Chapter 3 Chapter 4 Chapter 5 Chapter 3, Paragraph 3.18

  8. Applicable SAMI Paragraph Sections Executing the SSP consists of five tasks/activities, described in SAMI Chapter 4. Red numbers indicate SAMI Paragraphs. 4.2 4.5 4.3 4.6 4.4

  9. Common Sub-Process Requirements Engage in the documented surveillance tasks/activities: • Identified in Software Surveillance Plan • IAW quarterly surveillance schedules Take the appropriate action. Document the results of the surveillance activities. Determine the impact to the SSP.

  10. Take Appropriate Action • Issue a Corrective Action Request (CAR) • Issue a Continuous Improvement Opportunity (CIO) • Issue a Report • As required by customer or • For any trend that could impactcost, schedule, or technical performance

  11. Document Results • The SP shall engage in the documented surveillance tasks/activities identified in the Contract, Program, Lite, or Facility SSP(s) in accordance with (IAW) their respective Software Surveillance Schedule(s). • The surveillance tasks/activities include: • Process Reviews • Product Examinations • Formal Reviews and Audits • Data Collection and Analysis • Accept Products

  12. Minimum Documentation of Results Documentation is required for the results of each surveillance activity and typically includes: • Supplier name (add link to applicable SSP) • Name of task/activity performed • Date the task/activity performed • Software Professional’s (SP’s) assessment of the process, product, formal review/audit, data, acceptance of product • Name of the individual who performed the task/activity

  13. Minimum Documentation of Results, Cont. Documentation is required for the results of each surveillance activity and typically includes: • How long it took • If the task/activity satisfied an audit standard. • Surveillance techniques/methods performed • Statistics as applicable (e.g., number of attributes reviewed, number observations made, number of defects found, types of defects, and action taken (CAR, CIO, Report, etc.)) • Any supporting artifacts

  14. Required Template Record an entry for all planned and unplanned software surveillance Tasks/Activities performed in the Software Surveillance Record (SSR) Log.

  15. Determine SSP Impact

  16. Questions

  17. Which document is used to record the results of a surveillance Task/Activity? Knowledge Review Question 1 • SSR Log • DMAS worksheet • DMAR worksheet • SSP worksheet of the applicable SSP template

  18. Which statement is correct? Knowledge Review Question 2 • You can conduct several Tasks/Activities concurrently. • You should perform the Tasks/Activities in sequential order.

  19. What is the typical sequence of common activities performed during each sub-process of the execution step? Knowledge Review Question 3 • Document the results, determine SSP impact, and take action. • Determine SSP impact, take action, and document the results. • Take action, document the results, and determine SSP impact. • Determine SSP impact, document the results, and take action.

  20. Lesson Summary • Identified the common requirements of the five sub-processes of the execution step of the software surveillance process.

  21. Lesson 2: The Process Review Sub-Process Objective: Identify the method of examining a supplier’s process for contractual requirements.

  22. Lesson Objective Lesson 2: The Process Review Sub-Process Objective: Identify the method of examining a supplier’s process for contractual requirements.

  23. The Process Review Sub-Process (SAMI 4.2) Use to determine if a supplier’s processes are: • Compliant with contractual requirements • Being followed • Adequate • Effective • Producing the expected results

  24. Authority and Obligation FAR 42.302(a)(40)– “Perform engineering surveillance to assess compliance with contractual terms for schedule, cost, and technical performance in the areas of design, development, and production.” FAR 42.302(a)(41) – “Evaluate for adequacy and perform surveillance of contractor engineering efforts and management systems that relate to design, development, production, engineering changes, sub-contractors, tests, management of engineering resources, reliability and maintainability, data control systems, configuration management, and independent research and development.”

  25. Process Review Technique(s)/Method(s)

  26. Process Review Technique(s)/Method(s), Cont.

  27. Upon Completion Once the process review is completed: • Take action as appropriate. • Document the results. • Determine SSP impact.

  28. Questions

  29. What is a characteristic of a supplier’s process that is assessed by the SP when performing a process review? Knowledge Review Question 1 • Testable • Adequacy • Cost-effectiveness • Schedule compliance

  30. Under which criterion would you use the compliance technique? Knowledge Review Question 2 • Significant changes to an existing process have occurred. • The supplier’s process has been effective in the past. • Trends had been noted that have resulted in adverse outcomes. • The Software Contract Criticality is rated high.

  31. Lesson Summary • Identified the method of examining a supplier’s process for contractual requirements.

  32. Lesson 3: The Software Product Examination Sub-Process Objective: Identify the method of examining a supplier’s product(s) for contractual requirements.

  33. Lesson Objective Lesson 3: The Software Product Examination Sub-Process Objective: Identify the method of examining a supplier’s product(s) for contractual requirements.

  34. Software Product Examination Sub-Process (SAMI 4.3) Use to determine whether the supplier’s deliverable and non-deliverable products meet contractual requirements: • Specifications • Formats • Content • Performance requirements, etc.

  35. Software Products Any service resulting from a process and/or an output that is either delivered or non-delivered. Examples include: • Schedules • Work packages • SRS/IRS • SDD/IDD • SDP • Code • Design artifacts

  36. Authority and Obligation FAR 42.302(a)(40) – “Perform engineering surveillance to assess compliance with contractual terms for schedule, cost, and technical performance in the areas of design, development, and production.” FAR 42.302(a)(41) – “Evaluate for adequacy and perform surveillance of contractor engineering efforts and management systems that relate to design, development, production, engineering changes, sub-contractors, tests, management of engineering resources, reliability and maintainability, data control systems, configuration management, and independent research and development.”

  37. Software Product Examination Sub-Process Steps Software product examination sub-process steps include the following: • Determine the product to examine and the examination criteria (Prepare) • Conduct the product examination (Engage) • May be performed while conducting a Process Review (Streamline)

  38. Determine the Product to Examine (Prepare) • Determine product examination criteria. • Obtain requirements, standards, drawings, Data Item Descriptions (DIDs), etc., for product. • Determine key characteristics to review. • Determine appropriate examination technique.

  39. Conduct the Product Examination (Engage) Obtain the product(s) to be examined. • Ensure that the product is controlled and uniquely identified. • Ensure that the product is consistent with applicable requirements. • Determine whether the product meets the requirements as identified in the criteria (within scope of examination).

  40. Upon Completion • Take the appropriate action. • Document the results of the surveillance activity. • Determine the impact to the SSP.

  41. Questions

  42. An observation of a supplier performing an inspection and/or test describes which examination technique? Knowledge Review Question 1 • Inspection • Witness • Testing • Verification

  43. Which technique should you use to determine whether a deliverable or non-deliverable meets specifications, performance requirements, and other contractual requirements? Knowledge Review Question 2 • Proofing technique • Compliance technique • Formal review and audit • Product examination

  44. As you conduct a software product examination, what action should you take? Knowledge Review Question 3 • Review materials for validity and adequacy • Determine the key characteristics to review • Ensure that a product is controlled and uniquely identified • Obtain the requirements, standards, drawings, DIDs, etc. for the product

  45. Lesson Summary • Identified the method of examining a supplier’s product(s) for contractual requirements.

  46. Lesson 4: The Formal Review and Audit Sub-Process Objective: Identify the method used to perform a formal review/audit.

  47. Lesson Objective Lesson 4: The Formal Review and Audit Sub-Process Objective: Identify the method used to perform a formal review/audit.

  48. The Formal Review and Audit Sub-Process (SAMI 4.4) FAR 42.302(a)(40) – Perform engineering surveillance to assess compliance with contractual terms for schedule, cost, and technical performance in the areas of design, development, and production. FAR 42.302(a)(67) – Support the program, product, and project offices regarding program reviews, program status, program performance, and actual or anticipated program problems. • Examples of formal reviews and audits include: • System/Software Requirements Review (SRR) • Preliminary/Critical Design Review (PDR/CDR) • Test Readiness Review (TRR) • Physical/Functional Configuration Audit (PCA/FCA)

  49. Formal Reviews and Audits Sub-Process Steps Obtain and review audit requirements (Prepare) • Entrance criteria • Procedures for conducting the review/audit • Related schedules/plans • Exit criteria Ensure that supplier is tracking entrance criteria (Monitor) • Ensure that progress is made as scheduled • Continue to monitor until entry criteria are met EITVOX Model

  50. Formal Reviews and Audits Sub-Process Steps, Cont. Participate in formal review/audit (Engage) • Process reviews/Product examinations • Gather information • Review materials for validity/adequacy • Raise questions/concerns as appropriate • Verify that Action Items (AIs)/minutes are accurately captured Ensure that Supplier is tracking exit criteria and resolving action items (Follow-up) • Ensure that supplier is closing out AIs by established due dates • Ensure that supplier is resolving issues/defects

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