Auditing Software Testing Process

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Auditing Software Testing ProcessAuthor : Exforsys Inc. Published on: 5th Jun 2006

Auditing Software Testing Process

In this tutorial you will learn about Auditing Software Testing Process - Introduction, Types of

Testing Process Audits, Audit to verify compliance, Audit for process improvement/problem

solving,

Audit for Root Cause Analysis, Internal Audits, External Audits, Why Audit Software TestingProcess? How to Audit, What can be audited? and Summary.

Introduction:

To ensure transparency and reliability of the IT systems it may be necessary to audit the

Software Development Processes including the most important aspectSoftware TestingProcess.

Auditing is an important activity in organizations. In the context of testing it helps us ensure that

the Testing processes are followed as defined.

Types of Testing Process Audits

There can be various reasons to conduct Audits. The Audits may serve aim to achieve certaindefinite goals. Based on that we can classify them as follows:

Audit to verify compliance: In this type of auditing the prime motivation is to judge if theprocess complies with a standards. In these scenarios, the actual testing process is compared with

the documented process. For example ISO Standards require us to define our Software testing

process. The audit will try to verify if we actually conducted the testing as documented

Audit for process improvement/problem solving:In this type of audit the motivation is to audit and trace the various steps in the process and try to

weed out process problems. For instance it is observed that too many software defects escapeddetection even though the testing process was apparently followed. So the audit is done as a

preliminary step to collect facts and analyze them.

Audit for Root Cause Analysis
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In this type of audit the motivation is to audit the testing process is to find a Root Cause of a

specific problem. For example the customers discovered a huge problem with the software. Sowe retrace our testing steps to find out what went wrong in this specific case.

Internal Audits

Typically the internal audits are initiated from within the organizations

External Audits

External Audits are done by and initiated by external agencies

Why Audit Software Testing Process?

Auditing Test Process helps the management understand if the process is being followed as

specified. Typically Testing audit may be done for one or more of the following factors:

To ensure continued reliability and integrity of the process To verify compliance of standards (ISO, CMM, etc) To solve process related problems

To find the root cause of a specific problem

To detect or prevent Fraud

To improve the Testing process

Auditing of the Testing process may also be done if the Software Product is a mission criticalone such as used for Medical Life Support Systems

This is done to prevent any loop holes or bugs in the system

How to Audit

Typically the Audit of the Testing Process will include the following steps:

reviewing the Testing process as documented in the Quality Manual

This helps the auditor understand the process as defined.

Reviewing the deliverable documents at each step

Document reviewed include

............... Test Strategy

............... Test Plans

............... Test Cases

............... Test Logs

............... Defects Tracked


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............... Test Coverage Matrix

............... any other relevant records

Each of the above document provides a certain level of traceability that the process was followedand the necessary steps were taken

Interviewing the Project Team at various levels PM, Coordinator, Tester

Interviewing the Project Team members gives an understanding of the thought process prevalent

in those conducting the Testing Process.This can provide valuable insights over an above what was actually documented

ISACAww.isaca.org provides guidelines and standards for Auditing Information Systems &

Software Development Lifecycle

CISA stands for Certified Information Systems Auditor

Similarly independent agencies may verify the Test Processes and SDLC for ensuring

compliance with FDA ( Food and Drug Administration)

What can be audited?

Whether the test process deliverables exist as specified

The only thing that can be really verified in an audit is that the process deliverables exist. Theprocess deliverables are taken as a proof that the necessary steps were taken to do the testing. For

example if Test Logs exist, we assume that testing was done and the Test Logs were created as aresult of actual tests executed.

A separate exercise may be initiated to verify the authenticity of the Test Logs or other test

deliverables

Whether test cases created covered all requirements/use cases

This analysis reveals if the test coverage was sufficient. It indicates that whether the testing teamdid the best to provide adequate amount of testing

Whether all Defects were fixed

The Status of all the Defects logged is checked to verify if all were fixed and verified


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Whether there are any known bugs in the software released

Sometimes all the defects may not be fixed, the software may be released with known problems.Test Logs would indicate the actual results and evidence of any bugs being present.

Whether the levels of testing was effective enough

If Defects pass thru the various levels of testing undetected, it may reflect poorly on the

effectiveness of the testing process

What were the number of defects (Defect Leaks) that went by undetected in each phase Number of iterations of testing in each level Time taken to test each module/component This data may be used for process improvement Versions of source code actually tested

Documents

Auditing Software Testing Process