Chapter 2 – Software Processes

Lecture 1

Chapter 2 Software Processes 1

Topics covered

 Software process models

 Process activities
 Coping with change
 The Rational Unified Process
 An example of a modern software process.

Chapter 2 Software Processes 2

The software process

 A structured set of activities required to develop a

software system.
 Many different software processes but all involve:
 Specification – defining what the system should do;
 Design and implementation – defining the organization
of the system and implementing the system;
 Validation – checking that it does what the customer
wants;
 Evolution – changing the system in response to
changing customer needs.
 A software process model is an abstract
representation of a process. It presents a
description of a process from some particular
perspective. Chapter 2 Software Processes 3
Software process descriptions

 When we describe and discuss processes, we usually

talk about the activities in these processes such as
specifying a data model, designing a user interface, etc.
and the ordering of these activities.
 Process descriptions may also include:
 Products, which are the outcomes of a process activity;
 Roles, which reflect the responsibilities of the people involved in
the process;
 Pre- and post-conditions, which are statements that are true
before and after a process activity has been enacted or a
product produced.

Chapter 2 Software Processes 4

Plan-driven and agile processes

 Plan-driven processes are processes where all of the

process activities are planned in advance and progress
is measured against this plan.
 In agile processes, planning is incremental and it is
easier to change the process to reflect changing
customer requirements.
 In practice, most practical processes include elements of
both plan-driven and agile approaches.
 There are no right or wrong software processes.

Chapter 2 Software Processes 5

Software process models

 The waterfall model

 Plan-driven model. Separate and distinct phases of
specification and development.
 Incremental development
 Specification, development and validation are
interleaved. May be plan-driven or agile.
 Reuse-oriented software engineering
 The system is assembled from existing components.
May be plan-driven or agile.
 In practice, most large systems are developed
using a process that incorporates elements from
all of these models.
Chapter 2 Software Processes 6
The waterfall model

Chapter 2 Software Processes 7

Waterfall model phases

 There are separate identified phases in the

waterfall model:
 Requirements analysis and definition
 System and software design
 Implementation and unit testing
 Integration and system testing
 Operation and maintenance
 The main drawback of the waterfall model is the
difficulty of accommodating change after the
process is underway. In principle, a phase has to
be complete before moving onto the next phase.

Chapter 2 Software Processes 8

Waterfall model problems

 Inflexible partitioning of the project into distinct

stages makes it difficult to respond to changing
customer requirements.
 Therefore, this model is only appropriate when the
requirements are well-understood and changes will be
fairly limited during the design process.
 Few business systems have stable requirements.
 The waterfall model is mostly used for large
systems engineering projects where a system is
developed at several sites.
 In those circumstances, the plan-driven nature of the
waterfall model helps coordinate the work.

Chapter 2 Software Processes 9

Incremental development

Chapter 2 Software Processes 10

Incremental development benefits

 The cost of accommodating changing customer

requirements is reduced.
 The amount of analysis and documentation that has to
be redone is much less than is required with the
waterfall model.
 It is easier to get customer feedback on the
development work that has been done.
 Customers can comment on demonstrations of the
software and see how much has been implemented.
 More rapid delivery and deployment of useful
software to the customer is possible.
 Customers are able to use and gain value from the
software earlier than is possible with a waterfall process.
Chapter 2 Software Processes 11
Incremental development problems

 The process is not visible.

 Managers need regular deliverables to measure progress. If
systems are developed quickly, it is not cost-effective to produce
documents that reflect every version of the system.
 System structure tends to degrade as new increments
are added.
 Unless time and money is spent on refactoring to improve the
software, regular change tends to corrupt its structure.
Incorporating further software changes becomes increasingly
difficult and costly.

Chapter 2 Software Processes 12

Reuse-oriented software engineering

 Based on systematic reuse where systems are

integrated from existing components or COTS
(Commercial-off-the-shelf) systems.
 Process stages
 Component analysis;
 Requirements modification;
 System design with reuse;
 Development and integration.
 Reuse is now the standard approach for building
many types of business system
 Reuse covered in more depth in Chapter 16.

Chapter 2 Software Processes 13

Reuse-oriented software engineering

Chapter 2 Software Processes 14

Types of software component

 Web services that are developed according to service

standards and which are available for remote invocation.
 Collections of objects that are developed as a package
to be integrated with a component framework such as
.NET or J2EE.
 Stand-alone software systems (COTS) that are
configured for use in a particular environment.

Chapter 2 Software Processes 15

Process activities

 Real software processes are inter-leaved sequences of

technical, collaborative and managerial activities with the
overall goal of specifying, designing, implementing and
testing a software system.
 The four basic process activities of specification,
development, validation and evolution are organized
differently in different development processes. In the
waterfall model, they are organized in sequence,
whereas in incremental development they are inter-
leaved.

Chapter 2 Software Processes 16

Software specification

 The process of establishing what services are required

and the constraints on the system’s operation and
development.
 Requirements engineering process
 Feasibility study
• Is it technically and financially feasible to build the system?
 Requirements elicitation and analysis
• What do the system stakeholders require or expect from the system?
 Requirements specification
• Defining the requirements in detail
 Requirements validation
• Checking the validity of the requirements

Chapter 2 Software Processes 17

The requirements engineering process

Chapter 2 Software Processes 18

Software design and implementation

 The process of converting the system

specification into an executable system.
 Software design
 Design a software structure that realises the
specification;
 Implementation
 Translate this structure into an executable program;
 The activities of design and implementation are
closely related and may be inter-leaved.

Chapter 2 Software Processes 19

A general model of the design process

Chapter 2 Software Processes 20

Design activities

 Architectural design, where you identify the overall

structure of the system, the principal components
(sometimes called sub-systems or modules), their
relationships and how they are distributed.
 Interface design, where you define the interfaces
between system components.
 Component design, where you take each system
component and design how it will operate.
 Database design, where you design the system data
structures and how these are to be represented in a
database.
Chapter 2 Software Processes 21
Software validation

 Verification and validation (V & V) is intended to

show that a system conforms to its specification
and meets the requirements of the system
customer.
 Involves checking and review processes and
system testing.
 System testing involves executing the system with
test cases that are derived from the specification
of the real data to be processed by the system.
 Testing is the most commonly used V & V activity.

Chapter 2 Software Processes 22

Stages of testing

Chapter 2 Software Processes 23

Testing stages

 Development or component testing

 Individual components are tested independently;
 Components may be functions or objects or coherent
groupings of these entities.
 System testing
 Testing of the system as a whole. Testing of emergent
properties is particularly important.
 Acceptance testing
 Testing with customer data to check that the system
meets the customer’s needs.

Chapter 2 Software Processes 24

Testing phases in a plan-driven software
process

Chapter 2 Software Processes 25

Software evolution

 Software is inherently flexible and can change.

 As requirements change through changing
business circumstances, the software that
supports the business must also evolve and
change.
 Although there has been a demarcation between
development and evolution (maintenance) this is
increasingly irrelevant as fewer and fewer
systems are completely new.

Chapter 2 Software Processes 26

System evolution

Chapter 2 Software Processes 27

Key points

 Software processes are the activities involved in

producing a software system. Software process models
are abstract representations of these processes.
 General process models describe the organization of
software processes. Examples of these general models
include the ‘waterfall’ model, incremental development,
and reuse-oriented development.

Chapter 2 Software Processes 28

Key points

 Requirements engineering is the process of developing a

software specification.
 Design and implementation processes are concerned
with transforming a requirements specification into an
executable software system.
 Software validation is the process of checking that the
system conforms to its specification and that it meets the
real needs of the users of the system.
 Software evolution takes place when you change
existing software systems to meet new requirements.
The software must evolve to remain useful.
Chapter 2 Software Processes 29
Chapter 2 – Software Processes

Lecture 2

Chapter 2 Software Processes 30

Coping with change

 Change is inevitable in all large software projects.

 Business changes lead to new and changed system
requirements
 New technologies open up new possibilities for improving
implementations
 Changing platforms require application changes
 Change leads to rework so the costs of change include
both rework (e.g. re-analysing requirements) as well as
the costs of implementing new functionality

Chapter 2 Software Processes 31

Reducing the costs of rework

 Change avoidance, where the software process includes

activities that can anticipate possible changes before
significant rework is required.
 For example, a prototype system may be developed to show
some key features of the system to customers.
 Change tolerance, where the process is designed so that
changes can be accommodated at relatively low cost.
 This normally involves some form of incremental development.
Proposed changes may be implemented in increments that have
not yet been developed. If this is impossible, then only a single
increment (a small part of the system) may have be altered to
incorporate the change.

Chapter 2 Software Processes 32

Software prototyping

 A prototype is an initial version of a system used

to demonstrate concepts and try out design
options.
 A prototype can be used in:
 The requirements engineering process to help with
requirements elicitation and validation;
 In design processes to explore options and develop a UI
design;
 In the testing process to run back-to-back tests.

Chapter 2 Software Processes 33

Benefits of prototyping

 Improved system usability.

 A closer match to users’ real needs.
 Improved design quality.
 Improved maintainability.
 Reduced development effort.

Chapter 2 Software Processes 34

The process of prototype development

Chapter 2 Software Processes 35

Prototype development

 May be based on rapid prototyping languages or tools

 May involve leaving out functionality
 Prototype should focus on areas of the product that are not well-
understood;
 Error checking and recovery may not be included in the
prototype;
 Focus on functional rather than non-functional requirements
such as reliability and security

Chapter 2 Software Processes 36

Throw-away prototypes

 Prototypes should be discarded after

development as they are not a good basis for a
production system:
 It may be impossible to tune the system to meet non-
functional requirements;
 Prototypes are normally undocumented;
 The prototype structure is usually degraded through
rapid change;
 The prototype probably will not meet normal
organisational quality standards.

Chapter 2 Software Processes 37

Incremental delivery

 Rather than deliver the system as a single

delivery, the development and delivery is broken
down into increments with each increment
delivering part of the required functionality.
 User requirements are prioritised and the highest
priority requirements are included in early
increments.
 Once the development of an increment is started,
the requirements are frozen though requirements
for later increments can continue to evolve.

Chapter 2 Software Processes 38

Incremental development and delivery

 Incremental development
 Develop the system in increments and evaluate each increment
before proceeding to the development of the next increment;
 Normal approach used in agile methods;
 Evaluation done by user/customer proxy.
 Incremental delivery
 Deploy an increment for use by end-users;
 More realistic evaluation about practical use of software;
 Difficult to implement for replacement systems as increments
have less functionality than the system being replaced.

Chapter 2 Software Processes 39

Incremental delivery

Chapter 2 Software Processes 40

Incremental delivery advantages

 Customer value can be delivered with each

increment so system functionality is available
earlier.
 Early increments act as a prototype to help elicit
requirements for later increments.
 Lower risk of overall project failure.
 The highest priority system services tend to
receive the most testing.

Chapter 2 Software Processes 41

Incremental delivery problems

 Most systems require a set of basic facilities that are

used by different parts of the system.
 As requirements are not defined in detail until an increment is to
be implemented, it can be hard to identify common facilities that
are needed by all increments.
 The essence of iterative processes is that the
specification is developed in conjunction with the
software.
 However, this conflicts with the procurement model of many
organizations, where the complete system specification is part of
the system development contract.

Chapter 2 Software Processes 42

Boehm’s spiral model

 Process is represented as a spiral rather than as

a sequence of activities with backtracking.
 Each loop in the spiral represents a phase in the
process.
 No fixed phases such as specification or design -
loops in the spiral are chosen depending on what
is required.
 Risks are explicitly assessed and resolved
throughout the process.

Chapter 2 Software Processes 43

Boehm’s spiral model of the software process

Chapter 2 Software Processes 44

Spiral model sectors

 Objective setting
 Specific objectives for the phase are identified.
 Risk assessment and reduction
 Risks are assessed and activities put in place to reduce
the key risks.
 Development and validation
 A development model for the system is chosen which
can be any of the generic models.
 Planning
 The project is reviewed and the next phase of the spiral
is planned.

Chapter 2 Software Processes 45

Spiral model usage

 Spiral model has been very influential in helping people

think about iteration in software processes and
introducing the risk-driven approach to development.
 In practice, however, the model is rarely used as
published for practical software development.

Chapter 2 Software Processes 46

The Rational Unified Process

 A modern generic process derived from the work

on the UML and associated process.
 Brings together aspects of the 3 generic process
models discussed previously.
 Normally described from 3 perspectives
 A dynamic perspective that shows phases over time;
 A static perspective that shows process activities;
 A practive perspective that suggests good practice.

Chapter 2 Software Processes 47

Phases in the Rational Unified Process

Chapter 2 Software Processes 48

RUP phases

 Inception
 Establish the business case for the system.
 Elaboration
 Develop an understanding of the problem domain and
the system architecture.
 Construction
 System design, programming and testing.
 Transition
 Deploy the system in its operating environment.

Chapter 2 Software Processes 49

RUP iteration

 In-phase iteration
 Each phase is iterative with results developed incrementally.
 Cross-phase iteration
 As shown by the loop in the RUP model, the whole set of phases
may be enacted incrementally.

Chapter 2 Software Processes 50

Static workflows in the Rational Unified Process

Workflow Description
Business modelling The business processes are modelled using business
use cases.
Requirements Actors who interact with the system are identified and
use cases are developed to model the system
requirements.

Analysis and design A design model is created and documented using

architectural models, component models, object
models and sequence models.

Implementation The components in the system are implemented and

structured into implementation sub-systems.
Automatic code generation from design models helps
accelerate this process.

Chapter 2 Software Processes 51

Static workflows in the Rational Unified Process

Workflow Description
Testing Testing is an iterative process that is carried out in conjunction
with implementation. System testing follows the completion of
the implementation.
Deployment A product release is created, distributed to users and installed in
their workplace.
Configuration and This supporting workflow managed changes to the system (see
change management Chapter 25).
Project management This supporting workflow manages the system development (see
Chapters 22 and 23).
Environment This workflow is concerned with making appropriate software
tools available to the software development team.

Chapter 2 Software Processes 52

RUP good practice

 Develop software iteratively

 Plan increments based on customer priorities and
deliver highest priority increments first.
 Manage requirements
 Explicitly document customer requirements and keep
track of changes to these requirements.
 Use component-based architectures
 Organize the system architecture as a set of reusable
components.

Chapter 2 Software Processes 53

RUP good practice

 Visually model software

 Use graphical UML models to present static and dynamic views
of the software.
 Verify software quality
 Ensure that the software meet’s organizational quality standards.
 Control changes to software
 Manage software changes using a change management system
and configuration management tools.

Chapter 2 Software Processes 54

Key points

 Processes should include activities to cope with change.

This may involve a prototyping phase that helps avoid
poor decisions on requirements and design.
 Processes may be structured for iterative development
and delivery so that changes may be made without
disrupting the system as a whole.
 The Rational Unified Process is a modern generic
process model that is organized into phases (inception,
elaboration, construction and transition) but separates
activities (requirements, analysis and design, etc.) from
these phases.

Chapter 2 Software Processes 55