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The software process is represented schematically in Figure 1. Referring to the figure, each framework activity is populated by a set of software engineering actions. Each software engineering action is defined by a task set that identifies the work tasks that are to be completed, the work products that will be produced, the quality assurance points that will be required, and the milestones that will be used to indicate progress.



 Figure 1 


A generic process framework for software engineering defines five framework activities communication, planning, modeling, construction, and deployment. In addition, a set of umbrella activities-project tracking and control, risk management, quality assurance, configuration management, technical reviews, and others-are applied throughout the process. You should note that one important aspect of the software process has not yet been discussed. This aspect-called process flow-describes how the framework activities and the actions and tasks that occur within each framework activity are organized with respect to sequence and time and is illustrated in Figure 2.

A linear process flow executes each of the five framework activities in sequence, beginning with communication and culminating with deployment (Figure 2 a). An iterative process flow repeats one or more of the activities before proceeding to the next (Figure 2 b). An evolutionary process flow executes the activities in a “circular” manner. Each circuit through the five activities leads to a more complete version of the software (Figure 2 c). A parallel process flow (Figure 2 d) executes one or more activities in parallel with other activities (modeling for one aspect of the software might be executed in parallel with construction of another aspect of the software).


Defining a Framework Activity

Although I have described five framework activities and provided a basic definition of each software team would need significantly more information before it could properly execute any one of these activities as part of the software process. Therefore, you are faced with a key question : What actions are appropriate for a framework activity, given the nature of the problem to be solved, the characteristics of the people doing the work, and the stakeholders who are sponsoring the project?



 Figure 2


For a small software project requested by one person (at a remote location) with simple, straightforward requirements, the communication activity might encompass little more than a phone call with the appropriate stakeholder. Therefore, the only necessary action is phone conversation, and the work tasks (the task set) that this action encompasses are :

  1. Make contact with stakeholder via telephone.
  2. Discuss requirements and take notes.
  3. Organize notes into a brief written statement of requirements.
  4. E-mail to stakeholder for review and approval.

If the project was considerably more complex with many stakeholders, each with a different set of sometime conflicting) requirements, the communication activity might have six distinct actions (described in Chapter 5): inception, elicitation, elaboration, negotiation, pecification, and validation. Each of these software engineering actions would have many work tasks and a number of distinct work products.


Identifying a Task Set

Referring again to Figure 1, each software engineering action (elicitation, an action associated with the communication activity) can be represented by a number of different task sets-each a collection of software engineering work tasks, related work products, quality assurance points, and project milestones. You should choose a task set that best accommodates the needs of the project and the characteristics of your team. This implies that a software engineering action can be adapted to the specific needs of the software project and the characteristics of the project team.



 Figure 3

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Systems Engineering

Systems engineering encompasses all of the activities involved in procuring, specifying, designing, implementing, validating, deploying, operating, and maintaining sociotechnical systems. Systems engineers are not just concerned with software but also with hardware and the system’s interactions with users and its environment. They must think about the services that the system provides, the constraints under which the system must be built and operated, and the ways in which the system is used to fulfill its purpose or purposes.

There are three overlapping stages (Figure 1) in the lifetime of large and complex sociotechnical systems :

  1. Procurement or acquisition During this stage, the purpose of a system is decided; high-level system requirements are established; decisions are made on how functionality will be distributed across hardware, software, and people, and the components that will make up the system are purchased.
  2. Development During this stage, the system is developed. Development processes include all of the activities involved in system development such as requirements definition, system design, hardware and software engineering, system integration, and testing. Operational processes are defined and the training courses for system users are designed.
  3. Operation At this stage, the system is deployed, users are trained, and the system is brought into use. The planned operational processes usually then have to change to reflect the real working environment where the system is used. Over time, the system evolves as new requirements are identified. Eventually, the system declines in value and it is decommissioned and replaced.



Figure 1


These stages are not independent. Once the system is operational, new equipment and software may have to be procured to replace obsolete system components, to provide new functionality, or to cope with increased demand. Similarly, requests for changes during operation require further system development.

The overall security and dependability of a system is influenced by activities at all of these stages. Design options may be restricted by procurement decisions on the scope of the system and on its hardware and software. It may be impossible to implement some kinds of system safeguards. They may introduce vulnerabilities that could lead to future system failures.

Human errors made during the specification, design, and development stages may mean that faults are introduced into the system. Inadequate testing may mean that faults are not discovered before a system is deployed. During operation, errors in configuring the system for deployment may lead to further vulnerabilities. System operators may make mistakes in using the system. Assumptions made during the original procurement may be forgotten when system changes are made and, again, vulnerabilities can be introduced into the system.

An important difference between systems and software engineering is the involvement of a range of professional disciplines throughout the lifetime of the system. For example, the technical disciplines that may be involved in the procurement and development of a new system for air traffic management are shown in Figure 2. Architects and civil engineers are involved because new air traffic management systems usually have to be installed in a new building. Electrical and mechanical engineers are involved to specify and maintain the power and air conditioning. Electronic engineers are concerned with computers, radars, and other equipment. Ergonomists design the controller workstations and software engineers and user interface designers are responsible for the software in the system.



Figure 2


The involvement of a range of professional disciplines is essential because there are so many different aspects of complex sociotechnical systems. However, differences between disciplines can introduce vulnerabilities into systems and so compromise the security and dependability of the system being developed :

  1. Different disciplines use the same words to mean different things. Misunderstandings are common in discussions between engineers from different backgrounds. If these are not discovered and resolved during system development, they can lead to errors in delivered systems. For example, an electronic engineer who may know a little bit about C# programming may not understand that a method in Java is comparable to a function in C.
  2. Each discipline makes assumptions about what can or can’t be done by other disciplines. These are often based on an inadequate understanding of what is actually possible. For example, a user interface designer may propose a graphical UI for an embedded system that requires a great deal of processing and so overloads the processor in the system.
  3. Disciplines try to protect their professional boundaries and may argue for certain design decisions because these decisions will call for their professional expertise. Therefore, a software engineer may argue for a software-based door locking system in a building, although a mechanical, key-based system may be more reliable.


System Procurement

The initial phase of systems engineering is system procurement (sometimes called system acquisition). At this stage, decisions are made on the scope of a system that is to be purchased, system budgets and timescales, and the high-level system requirements. Using this information, further decisions are then made on whether to procure a system, the type of system required, and the supplier or suppliers of the system. The drivers for these decisions are :

  1. The state of other organizational systems If the organization has a mixture of systems that cannot easily communicate or that are expensive to maintain, then procuring a replacement system may lead to significant business benefits.
  2. The need to comply with external regulations Increasingly, businesses are regulated and have to demonstrate compliance with externally defined regulations (e.g., Sarbanes-Oxley accounting regulations in the United States). This may require the replacement of noncompliant systems or the provision of new systems specifically to monitor compliance.
  3. External competition If a business needs to compete more effectively or maintain a competitive position, investment in new systems that improve the efficiency of business processes may be advisable. For military systems, the need to improve capability in the face of new threats is an important reason for procuring new systems.
  4. Business reorganization Businesses and other organizations frequently restructure with the intention of improving efficiency and/or customer service. Reorganizations lead to changes in business processes that require new systems support.
  5. Available budget The budget available is an obvious factor in determining the scope of new systems that can be procured.



Figure 3


In addition, new government systems are often procured to reflect political changes and political policies. For example, politicians may decide to buy new surveillance systems, which they claim will counter terrorism. Buying such systems shows voters that they are taking action. However, such systems are often procured without a cost-benefit analysis, where the benefits that result from different spending options are compared.

Large, complex systems usually consist of a mixture of off-the-shelf and specially built components. One reason why more and more software is included in systems is that it allows more use of existing hardware components, with the software acting as ‘glue’ to make these hardware components work together effectively. The need to develop this ‘glueware’ is one reason why the savings from using off-the-shelf components are sometimes not as great as anticipated.

Figure 3 shows a simplified model of the procurement process for both COTS system components and system components that have to be specially designed and developed. Important points about the process shown in this diagram are :

  1. Off-the-shelf components do not usually match requirements exactly, unless the requirements have been written with these components in mind. Therefore, choosing a system means that you have to find the closest match between the system requirements and the facilities offered by off-the-shelf systems. You may then have to modify the requirements. This can have knock-on effects on other subsystems.
  2. When a system is to be built specially, the specification of requirements is part of the contract for the system being acquired. It is therefore a legal as well as a technical document.
  3. After a contractor has been selected, to build a system, there is a contract negotiation period where you may have to negotiate further changes to the requirements and discuss issues such as the cost of changes to the system. Similarly, once a COTS system has been selected, you may negotiate with the supplier on costs, licence conditions, possible changes to the system, etc.

The software and hardware in sociotechnical systems are usually developed by a different organization (the supplier) from the organization that is procuring the overall sociotechnical system. The reason for this is that the customer’s business is rarely software development so its employees do not have the skills needed to develop the systems themselves. In fact, very few companies have the capabilities to design, manufacture, and test all the components of a large, complex sociotechnical system.



Figure 4


Consequently, the system supplier, who is usually called the principal contractor, often contracts out the development of different subsystems to a number of subcontractors. For large systems, such as air traffic control systems, a group of suppliers may form a consortium to bid for the contract. The consortium should include all of the capabilities required for this type of system. This includes computer hardware suppliers, software developers, peripheral suppliers, and suppliers of specialist equipment such as radar systems.

The procurer deals with the contractor rather than the subcontractors so that there is a single procurer/supplier interface. The subcontractors design and build parts of the system to a specification that is produced by the principal contractor. Once completed, the principal contractor integrates these different components and delivers them to the customer. Depending on the contract, the procurer may allow the principal contractor a free choice of subcontractors or may require the principal contractor to choose subcontractors from an approved list.

Decisions and choices made during system procurement have a profound effect on the security and dependability of a system. For example, if a decision is made to procure an off-the-shelf system, then the organization has to accept that they have very limited influence over the security and dependability requirements of this system. These largely depend on decisions made by system vendors. In addition, off-theshelf systems may have known security weaknesses or require complex configuration. Configuration errors, where entry points to the system are not properly secured, are a major source of security problems.

On the other hand, a decision to procure a custom system means that significant effort must be devoted to understanding and defining security and dependability requirements. If a company has limited experience in this area, this is quite a difficult thing to do. If the required level of dependability as well as acceptable system performance is to be achieved, then the development time may have to be extended and the budget increased.

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Hazard Analysis

Hazard analysis is the process of discovering the root causes of hazards in a safetycritical system. Your aim is to find out what events or combination of events could cause a system failure that results in a hazard. To do this, you can use either a topdown or a bottom-up approach. Deductive, top-down techniques, which tend to be easier to use, start with the hazard and work up from that to the possible system failure. Inductive, bottom-up techniques start with a proposed system failure and identify what hazards might result from that failure.

Various techniques have been proposed as possible approaches to hazard decomposition or analysis. These are summarized by Storey (1996). They include reviews and checklists, formal techniques such as Petri net analysis (Peterson, 1981), formal logic (Jahanian and Mok, 1986), and fault tree analysis (Leveson and Stolzy, 1987, Storey, 1996). As I don’t have space to cover all of these techniques here, I focus on a widely used approach to hazard analysis based on fault trees. This technique is fairly easy to understand without specialist domain knowledge.

To do a fault tree analysis, you start with the hazards that have been identified. For each hazard, you then work backwards to discover the possible causes of that hazard. You put the hazard at the root of the tree and identify the system states that can lead to that hazard. For each of these states, you then identify further system states that can lead to them. You continue this decomposition until you reach the root cause(s) of the risk. Hazards that can only arise from a combination of root causes are usually less likely to lead to an accident than hazards with a single root cause.

Figure 1 is a fault tree for the software-related hazards in the insulin delivery system that could lead to an incorrect dose of insulin being delivered. In this case, I have merged insulin underdose and insulin overdose into a single hazard, namely ‘incorrect insulin dose administered.’ This reduces the number of fault trees that are required. Of course, when you specify how the software should react to this hazard, you have to distinguish between an insulin underdose and an insulin overdose. As I have said, they are not equally serious—in the short term, an overdose is the more serious hazard.



Figure 1


From Figure 1, you can see that :

  1. There are three conditions that could lead to the administration of an incorrect dose of insulin. The level of blood sugar may have been incorrectly measured so the insulin requirement has been computed with an incorrect input. The delivery system may not respond correctly to commands specifying the amount of insulin to be injected. Alternatively, the dose may be correctly computed but it is delivered too early or too late.
  2. The left branch of the fault tree, concerned with incorrect measurement of the blood sugar level, looks at how this might happen. This could occur either because the sensor that provides an input to calculate the sugar level has failed or because the calculation of the blood sugar level has been carried out incorrectly. The sugar level is calculated from some measured parameter, such as the conductivity of the skin. Incorrect computation can result from either an incorrect algorithm or an arithmetic error that results from the use of floating point numbers.
  3. The central branch of the tree is concerned with timing problems and concludes that these can only result from system timer failure.
  4. The right branch of the tree, concerned with delivery system failure, examines possible causes of this failure. These could result from an incorrect computation of the insulin requirement, or from a failure to send the correct signals to the pump that delivers the insulin. Again, an incorrect computation can result from algorithm failure or arithmetic errors.

Fault trees are also used to identify potential hardware problems. Hardware fault trees may provide insights into requirements for software to detect and, perhaps, correct these problems. For example, insulin doses are not administered at a very high frequency, no more than two or three times per hour and sometimes less often than this. Therefore, processor capacity is available to run diagnostic and self-checking programs. Hardware errors such as sensor, pump, or timer errors can be discovered and warnings issued before they have a serious effect on the patient.


Risk Reduction

Once potential risks and their root causes have been identified, you are then able to derive safety requirements that manage the risks and ensure that incidents or accidents do not occur. There are three possible strategies that you can use :

  1. Hazard avoidance The system is designed so that the hazard cannot occur.
  2. Hazard detection and removal The system is designed so that hazards are detected and neutralized before they result in an accident.
  3. Damage limitation The system is designed so that the consequences of an accident are minimized.

Normally, designers of critical systems use a combination of these approaches. In a safety critical system, intolerable hazards may be handled by minimizing their probability and adding a protection system that provides a safety backup. For example, in a chemical plant control system, the system will attempt to detect and avoid excess pressure in the reactor. However, there may also be an independent protection system that monitors the pressure and opens a relief valve if high pressure is detected.



Figure 2


In the insulin delivery system, a ‘safe state’ is a shutdown state where no insulin is injected. Over a short period this is not a threat to the diabetic’s health. For the software failures that could lead to an incorrect dose of insulin are considered, the following ‘solutions’ might be developed :

  1. Arithmetic error This may occur when an arithmetic computation causes a representation failure. The specification should identify all possible arithmetic errors that may occur and state that an exception handler must be included for each possible error. The specification should set out the action to be taken for each of these errors. The default safe action is to shut down the delivery system and activate a warning alarm.
  2. Algorithmic error This is a more difficult situation as there is no clear program exception that must be handled. This type of error could be detected by comparing the required insulin dose computed with the previously delivered dose. If it is much higher, this may mean that the amount has been computed incorrectly. The system may also keep track of the dose sequence. After a number of above-average doses have been delivered, a warning may be issued and further dosage limited.

Some of the resulting safety requirements for the insulin pump software are shown in Figure 2. These are user requirements and, naturally, they would be expressed in more detail in the system requirements specification. In Figure 2, the references to Tables 3 and 4 relate to tables that are included in the requirements document they are not shown here.

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Architectural Patterns

Architectural patterns, are abstract, stylized descriptions of good design practice. They encapsulate knowledge about the organization of system architectures, when these architectures should be used and their advantages and disadvantages. You should not, however, think of an architectural pattern as a generic design to be instantiated. Rather, you use the pattern to understand an architecture and as starting point for creating your own specific architectural design.

As you might expect, the differences between embedded and interactive software means that different architectural patterns are used for embedded systems, rather than the architectural patterns discussed in Chapter 6. Embedded systems’ patterns are process-oriented rather than object- or component-oriented. In this section, I discuss three real-time architectural patterns that are commonly used :

  1. Observe and React This pattern is used when a set of sensors are routinely monitored and displayed. When the sensors show that some event has occurred (e.g., an incoming call on a cell phone), the system reacts by initiating a process to handle that event.
  2. Environmental Control This pattern is used when a system includes sensors, which provide information about the environment and actuators that can change the environment. In response to environmental changes detected by the sensor, control signals are sent to the system actuators.
  3. Process Pipeline This pattern is used when data has to be transformed from one representation to another before it can be processed. The transformation is implemented as a sequence of processing steps, which may be carried out concurrently. This allows for very fast data processing, because a separate core or processor can execute each transformation.



Figure 1


These patterns can of course be combined and you will often see more than one of them in a single system. For example, when the Environmental Control pattern is used, it is very common for the actuators to be monitored using the Observe and React pattern. In the event of an actuator failure, the system may react by displaying a warning message, shutting down the actuator, switching in a backup system, etc.

The patterns that I discuss here are architectural patterns that describe the overall structure of an embedded system. Douglass (2002) describes lower-level, real-time design patterns that are used to help you make more detailed design decisions. These patterns include design patterns for execution control, communications, resource allocation, and safety and reliability.

These architectural patterns should be the starting point for an embedded systems design; however they are not design templates. If you use them as such, you will probably end up with an inefficient process architecture. You therefore have to optimize the process structure to ensure that you do not have too many processes. You also should ensure that there is a clear correspondence between the processes and the sensors and actuators in the system.


Observe and React

Monitoring systems are an important class of embedded real-time systems. A monitoring system examines its environment through a set of sensors and, usually, displays the state of the environment in some way. This could be on a built-in screen, on special-purpose instrument displays or on a remote display. If some exceptional event or sensor state is detected by the system, the monitoring system takes some action. Often, this involves raising an alarm to draw an operator’s attention to the event. Sometimes the system may initiate some other preventative action, such as shutting down the system to preserve it from damage.



Figure 2


The Observe and React pattern (Figure 1 and Figure 2) is a pattern that is commonly used in monitoring systems. The values of sensors are observed and when particular values are detected, the system reacts in some way. Monitoring systems may be composed of several instantiations of the Observe and React pattern, one for each type of sensor in the system. Depending on the system requirements, you may then optimize the design by combining processes (e.g., you may use a single display process to display the information from all of the different types of sensors).

As an example of the use of this pattern, consider the design of a burglar alarm system that might be installed in an office building :

A software system is to be implemented as part of a burglar alarm system for commercial buildings. This uses several different types of sensors. These include movement detectors in individual rooms, door sensors that detect corridor doors opening, and window sensors on ground-floor windows that can detect when a window has been opened.

When a sensor detects the presence of an intruder, the system automatically calls the local police and, using a voice synthesizer, reports the location of the alarm. It switches on lights in the rooms around the active sensor and sets off an audible alarm. The sensor system is normally powered by mains power but is equipped with a battery backup. Power loss is detected using a separate power circuit monitor that monitors the mains voltage. If a voltage drop is detected, the system assumes that intruders have interrupted the power supply so an alarm is raised.



Figure 3


A possible process architecture for the alarm system is shown in Figure 3. In this diagram, the arrows represent signals sent from one process to another. This system is a ‘soft’ real-time system that does not have stringent timing requirements. The sensors do not need to detect high-speed events, so they need only be polled relatively infrequently. The timing requirements for this system are covered.

I have already introduced the stimuli and responses in this alarm system. These are used as a starting point for the system design. The Observe and React pattern is used in this design. There are observer processes associated with each type of sensor and reactor processes for each type of reaction. There is a single analysis process that checks the data from all of the sensors. The display processes in the pattern are combined into a single display process.

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Real Time Operating Systems

The execution platform for most application systems is an operating system that manages shared resources and provides features such as a file system, run-time process management, etc. However, the extensive functionality in a conventional operating system takes up a great deal of space and slows down the operation of programs. Furthermore, the process management features in the system may not be designed to allow fine-grain control over the scheduling of processes.

For these reasons, standard operating systems, such as Linux and Windows, are not normally used as the execution platform for real-time systems. Very simple embedded systems may be implemented as ‘bare metal’ systems. The systems themselves include system startup and shutdown, process and resource management, and process scheduling. More commonly, however, embedded applications are built on top of a real time operating system (RTOS), which is an efficient operating system that offers the features needed by real-time systems. Examples of RTOS are Windows/CE, Vxworks, and RTLinux.



Figure 1


A real-time operating system manages processes and resource allocation for a realtime system. It starts and stops processes so that stimuli can be handled and allocates memory and processor resources. The components of an RTOS (Figure 1) depend on the size and complexity of the real-time system being developed. For all except the simplest systems, they usually include :

  1. A real-time clock, which provides the information required to schedule processes periodically.
  2. An interrupt handler, which manages aperiodic requests for service.
  3. A scheduler, which is responsible for examining the processes that can be executed and choosing one of these for execution.
  4. A resource manager, which allocates appropriate memory and processorresources to processes that have been scheduled for execution.
  5. A dispatcher, which is responsible for starting the execution of processes.

Real-time operating systems for large systems, such as process control or telecommunication systems, may have additional facilities, namely disk storage management, fault management facilities that detect and report system faults, and a configuration manager that supports the dynamic reconfiguration of real-time applications.


Process Management

Real-time systems have to handle external events quickly and, in some cases, meet deadlines for processing these events. This means that the event-handling processes must be scheduled for execution in time to detect the event. They must also be allocated sufficient processor resources to meet their deadline. The process manager in an RTOS is responsible for choosing processes for execution, allocating processor and memory resources, and starting and stopping process execution on a processor.

The process manager has to manage processes with different priorities. For some stimuli, such as those associated with certain exceptional events, it is essential that their processing should be completed within the specified time limits. Other processes may be safely delayed if a more critical process requires service. Consequently, the RTOS has to be able to manage at least two priority levels for system processes :

  1. Interrupt level This is the highest priority level. It is allocated to processes that need a very fast response. One of these processes will be the real-time clock process.
  2. Clock level This level of priority is allocated to periodic processes.

There may be a further priority level allocated to background processes (such as a self checking process) that do not need to meet real-time deadlines. These processes are scheduled for execution when processor capacity is available.

Within each of these priority levels, different classes of process may be allocated different priorities. For example, there may be several interrupt lines. An interrupt from a very fast device may have to pre-empt processing of an interrupt from a slower device to avoid information loss. The allocation of process priorities so that all processes are serviced in time usually requires extensive analysis and simulation.

Periodic processes are processes that must be executed at specified time intervals for data acquisition and actuator control. In most real-time systems, there will be several types of periodic process. Using the timing requirements specified in the application program, the RTOS arranges the execution of periodic processes so that they can all meet their deadlines.



Figure 2


The actions taken by the operating system for periodic process management are shown in Figure 2. The scheduler examines the list of periodic processes and selects a process to be executed. The choice depends on the process priority, the process periods, the expected execution times, and the deadlines of the ready processes. Sometimes, two processes with different deadlines should be executed at the same clock tick. In such a situation, one process must be delayed. Normally, the system will choose to delay the process with the longest deadline.

Processes that have to respond quickly to asynchronous events may be interruptdriven. The computer’s interrupt mechanism causes control to transfer to a predetermined memory location. This location contains an instruction to jump to a simple and fast interrupt service routine. The service routine disables further interrupts to avoid being interrupted itself. It then discovers the cause of the interrupt and initiates, with a high priority, a process to handle the stimulus causing the interrupt. In some high-speed data acquisition systems, the interrupt handler saves the data that the interrupt signaled was available in a buffer for later processing. Interrupts are then enabled again and control is returned to the operating system.

At any one time, there may be several processes, all with different priorities, that could be executed. The process scheduler implements system-scheduling policies that determine the order of process execution. There are two commonly used scheduling strategies :

  1. Non-pre-emptive scheduling Once a process has been scheduled for execution it runs to completion or until it is blocked for some reason, such as waiting for input. This can cause problems, however, when there are processes with different priorities and a high-priority process has to wait for a low-priority process to finish.
  2. Pre-emptive scheduling The execution of an executing process may be stopped if a higher-priority process requires service. The higher-priority process preempts the execution of the lower-priority process and is allocated to a processor.

Within these strategies, different scheduling algorithms have been developed. These include round-robin scheduling, where each process is executed in turn, rate monotonic scheduling, where the process with the shortest period (highest frequency) is given priority; and shortest deadline first scheduling, where the process in the queue with the shortest deadline is scheduled (Burns and Wellings, 2009).

Information about the process to be executed is passed to the resource manager. The resource manager allocates memory and, in a multiprocessor system, also adds a processor to this process. The process is then placed on the ‘ready list’, a list of processes that are ready for execution. When a processor finishes executing a process and becomes available, the dispatcher is invoked. It scans the ready list to find a process that can be executed on the available processor and starts its execution.

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Concurrent Models

The concurrent development model, sometimes called concurrent engineering, allows a software team to represent iterative and concurrent elements of any of the process models described in this chapter. For example, the modeling activity defined for the spiral model is accomplished by invoking one or more of the following software engineering actions: prototyping, analysis, and design.



 Figure 1


Figure 1 provides a schematic representation of one software engineering activity within the modeling activity using a concurrent modeling approach. The activity modeling may be in any one of the states12 noted at any given time. Similarly, other activities, actions, or tasks (e.g., communication or construction) can be represented in an analogous manner. All software engineering activities exist concurrently but reside in different states.

For example, early in a project the communication activity (not shown in the figure) has completed its first iteration and exists in the awaiting changes state. The modeling activity (which existed in the inactive state while initial communication was completed, now makes a transition into the under development state. If, however, the customer indicates that changes in requirements must be made, the modeling activity moves from the under development state into the awaiting changes state.

Concurrent modeling is applicable to all types of software development and provides an accurate picture of the current state of a project. Rather than confining software engineering activities, actions, and tasks to a sequence of events, it defines a process network. Each activity, action, or task on the network exists simultaneously with other activities, actions, or tasks. Events generated at one point in the process network trigger transitions among the states.

A Final Word on Evolutionary Processes

I have already noted that modern computer software is characterized by continual change, by very tight time lines, and by an emphatic need for customer user satisfaction. In many cases, time-to-market is the most important management requirement. If a market window is missed, the software project itself may be meaningless. Evolutionary process models were conceived to address these issues, and yet, as a general class of process models, they too have weaknesses. These are summarized by Nogueira and his colleagues [Nog00] :

Despite the unquestionable benefits of evolutionary software processes, we have some concerns. The first concern is that prototyping [and other more sophisticated evolutionary processes] poses a problem to project planning because of the uncertain number of cycles required to construct the product. Most project management and estimation techniques are based on linear layouts of activities, so they do not fit completely.

Second, evolutionary software processes do not establish the maximum speed of the evolution. If the evolutions occur too fast, without a period of relaxation, it is certain that the process will fall into chaos. On the other hand if the speed is too slow then productivity could be affected.

Third, software processes should be focused on flexibility and extensibility rather than on high quality. This assertion sounds scary. However, we should prioritize the speed of the development over zero defects. Extending the development in order to reach high quality could result in a late delivery of the product, when the opportunity niche has disappeared.

This paradigm shift is imposed by the competition on the edge of chaos. Indeed, a software process that focuses on flexibility, extensibility, and speed of development over high quality does sound scary. And yet, this idea has been proposed by a number of well respected software engineering experts (e.g., [You95], [Bac97]). The intent of evolutionary models is to develop high-quality software14 in an iterative or incremental manner.

However, it is possible to use an evolutionary process to emphasize flexibility, extensibility, and speed of development. The challenge for software teams and their managers is to establish a proper balance between these critical project and product parameters and customer satisfaction (the ultimate arbiter of software quality).

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Software, like all complex systems, evolves over a period of time. Business and product requirements often change as development proceeds, making a straight line path to an end product unrealistic, tight market deadlines make completion of a comprehensive software product impossible, but a limited version must be introduced to meet competitive or business pressure, a set of core product or system requirements is well understood, but the details of product or system extensions have yet to be defined. In these and similar situations, you need a process model that has been explicitly designed to accommodate a product that evolves over time.

Evolutionary models are iterative. They are characterized in a manner that enables you to develop increasingly more complete versions of the software. In the paragraphs that follow, I present two common evolutionary process models.


Prototyping. Often, a customer defines a set of general objectives for software, but does not identify detailed requirements for functions and features. In other cases, the developer may be unsure of the efficiency of an algorithm, the adaptability of an operating system, or the form that human machine interaction should take. In these, and many other situations, a prototyping paradigm may offer the best approach.

Although prototyping can be used as a stand-alone process model, it is more commonly used as a technique that can be implemented within the context of any one of the process models noted in this chapter. Regardless of the manner in which it is applied, the prototyping paradigm assists you and other stakeholders to better understand what is to be built when requirements are fuzzy.



Figure 1


The prototyping paradigm (Figure 1) begins with communication. You meet with other stakeholders to define the overall objectives for the software, identify whatever requirements are known, and outline areas where further definition is mandatory. A prototyping iteration is planned quickly, and modeling (in the form of a “quick design”) occurs.

A quick design focuses on a representation of those aspects of the software that will be visible to end users (e.g., human interface layout or output display formats). The quick design leads to the construction of a prototype. The prototype is deployed and evaluated by stakeholders, who provide feedback that is used to further refine requirements. Iteration occurs as the prototype is tuned to satisfy the needs of various stakeholders, while at the same time enabling you to better understand what needs to be done.

Ideally, the prototype serves as a mechanism for identifying software requirements. If a working prototype is to be built, you can make use of existing program fragments or apply tools (e.g., report generators and window managers) that enable working programs to be generated quickly.

But what do you do with the prototype when it has served the purpose described earlier? Brooks [Bro95] provides one answer :

In most projects, the first system built is barely usable. It may be too slow, too big, awkward in use or all three. There is no alternative but to start again, smarting but smarter, and build a redesigned version in which these problems are solved.

The prototype can serve as “the first system.” The one that Brooks recommends you throw away. But this may be an idealized view. Although some prototypes are built as “throwaways,” others are evolutionary in the sense that the prototype slowly evolves into the actual system.

Both stakeholders and software engineers like the prototyping paradigm. Users get a feel for the actual system, and developers get to build something immediately. Yet, prototyping can be problematic for the following reasons :

  1. Stakeholders see what appears to be a working version of the software, unaware that the prototype is held together haphazardly, unaware that in the rush to get it working you haven’t considered overall software quality or long term maintainability. When informed that the product must be rebuilt so that high levels of quality can be maintained, stakeholders cry foul and demand that “a few fixes” be applied to make the prototype a working product. Too often, software development management relents.
  2. As a software engineer, you often make implementation compromises in order to get a prototype working quickly. An inappropriate operating system or programming language may be used simply because it is available and known, an inefficient algorithm may be implemented simply to demonstrate capability. After a time, you may become comfortable with these choices and forget all the reasons why they were inappropriate. The less-than-ideal choice has now become an integral part of the system.

Although problems can occur, prototyping can be an effective paradigm for software engineering. The key is to define the rules of the game at the beginning, that is, all stakeholders should agree that the prototype is built to serve as a mechanism fordefining requirements. It is then discarded (at least in part), and the actual software is engineered with an eye toward quality.


The Spiral Model. Originally proposed by Barry Boehm [Boe88], the spiral model is an evolutionary software process model that couples the iterative nature of prototyping with the controlled and systematic aspects of the waterfall model. It provides the potential for rapid development of increasingly more complete versions of the software. Boehm [Boe01a] describes the model in the following manner :

The spiral development model is a risk-driven process model generator that is used to guide multi-stakeholder concurrent engineering of software intensive systems. It has two main distinguishing features. One is a cyclic approach for incrementally growing a system’s degree of definition and implementation while decreasing its degree of risk. The other is a set of anchor point milestones for ensuring stakeholder commitment to feasible and mutually satisfactory system solutions.

Using the spiral model, software is developed in a series of evolutionary releases. During early iterations, the release might be a model or prototype. During later iterations, increasingly more complete versions of the engineered system are produced.



 Figure 2


A spiral model is divided into a set of framework activities defined by the software engineering team. For illustrative purposes, I use the generic framework activities discussed earlier. Each of the framework activities represent one segment of the spiral path illustrated in Figure 2. As this evolutionary process begins, the software team performs activities that are implied by a circuit around the spiral in a clockwise direction, beginning at the center. Risk is considered as each revolution is made. Anchor point milestones a combination of work products and conditions that are attained along the path of the spiral are noted for each evolutionary pass.

The first circuit around the spiral might result in the development of a product specification, subsequent passes around the spiral might be used to develop a prototype and then progressively more sophisticated versions of the software. Each pass through the planning region results in adjustments to the project plan. Cost and schedule are adjusted based on feedback derived from the customer after delivery. In addition, the project manager adjusts the planned number of iterations required to complete the software.

Unlike other process models that end when software is delivered, the spiral model can be adapted to apply throughout the life of the computer software. Therefore, the first circuit around the spiral might represent a “concept development project” that starts at the core of the spiral and continues for multiple iterations until concept development is complete. If the concept is to be developed into an actual product, the process proceeds outward on the spiral and a “new product development project” commences.

The new product will evolve through a number of iterations around the spiral. Later, a circuit around the spiral might be used to represent a “product enhancement project.” In essence, the spiral, when characterized in this way, remains operative until the software is retired. There are times when the process is dormant, but whenever a change is initiated, the process starts at the appropriate entry point (e.g., product enhancement).

The spiral model is a realistic approach to the development of large-scale systems and software. Because software evolves as the process progresses, the developer and customer better understand and react to risks at each evolutionary level. The spiral model uses prototyping as a risk reduction mechanism but, more important, enables you to apply the prototyping approach at any stage in the evolution of the product.

It maintains the systematic stepwise approach suggested by the classic life cycle but incorporates it into an iterative framework that more realistically reflects the real world. The spiral model demands a direct consideration of technical risks at all stages of the project and, if properly applied, should reduce risks before they become problematic.

But like other paradigms, the spiral model is not a panacea. It may be difficult to convince customers (particularly in contract situations) that the evolutionary approach is controllable. It demands considerable risk assessment expertise and relies on this expertise for success. If a major risk is not uncovered and managed, problems will undoubtedly occur.

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by AMELIA SAHIRA RAHMA 5116201024 - Saturday, 7 January 2017, 10:11
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There are times when the requirements for a problem are well understood when work flows from communication through deployment in a reasonably linear fashion. This situation is sometimes encountered when well-defined adaptations or enhancements to an existing system must be made (e.g., an adaptation to accounting software that has been mandated because of changes to government regulations). It may also occur in a limited number of new development efforts, but only when requirements are well defined and reasonably stable.



Figure 1


The waterfall model, sometimes called the classic life cycle, suggests a systematic, sequential approach to software development that begins with customer specification of requirements and progresses through planning, modeling, construction, and deployment, culminating in ongoing support of the completed software (Figure 1).



Figure 2


A variation in the representation of the waterfall model is called the V-model. Represented in Figure 2, the V-model [Buc99] depicts the relationship of quality assurance actions to the actions associated with communication, modeling, and early construction activities. As a software team moves down the left side of the V, basic problem requirements are refined into progressively more detailed and technical representations of the problem and its solution.

Once code has been generated, the team moves up the right side of the V, essentially performing a series of tests (quality assurance actions) that validate each of the models created as the team moved down the left side. In reality, there is no fundamental difference between the classic life cycle and the V-model. The V-model provides a way of visualizing how verification and validation actions are applied to earlier engineering work.

The waterfall model is the oldest paradigm for software engineering. However, over the past three decades, criticism of this process model has caused even ardent supporters to question its efficacy [Han95]. Among the problems that are sometimes encountered when the waterfall model is applied are :

  1. Real projects rarely follow the sequential flow that the model proposes. Although the linear model can accommodate iteration, it does so indirectly. As a result, changes can cause confusion as the project team proceeds. 
  2. It is often difficult for the customer to state all requirements explicitly. The waterfall model requires this and has difficulty accommodating the natural uncertainty that exists at the beginning of many projects.
  3. The customer must have patience. A working version of the program(s) will not be available until late in the project time span. A major blunder, if undetected until the working program is reviewed, can be disastrous.

In an interesting analysis of actual projects, Bradac [Bra94] found that the linear nature of the classic life cycle leads to “blocking states” in which some project team members must wait for other members of the team to complete dependent tasks. In fact, the time spent waiting can exceed the time spent on productive work! The blocking states tend to be more prevalent at the beginning and end of a linear sequential process.

Today, software work is fast-paced and subject to a never-ending stream of changes (to features, functions, and information content). The waterfall model is often inappropriate for such work. However, it can serve as a useful process model in situations where requirements are fixed and work is to proceed to completion in a linear manner.

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The existence of a software process is no guarantee that software will be delivered on time, that it will meet the customer’s needs, or that it will exhibit the technical characteristics that will lead to long-term quality characteristics. Process patterns must be coupled with solid software engineering practice. In addition, the process itself can be assessed to ensure that it meets a set of basic process criteria that have been shown to be essential for a successful software engineering.

A number of different approaches to software process assessment and improvement have been proposed over the past few decades :

Standard CMMI Assessment Method for Process Improvement (SCAMPI) : provides a five step process assessment model that incorporates five phases: initiating, diagnosing, establishing, acting, and learning. The SCAMPI method uses the SEI CMMI as the basis for assessment [SEI00].

CMM-Based Appraisal for Internal Process Improvement (CBA IPI) : provides a diagnostic technique for assessing the relative maturity of a software organization, uses the SEI CMM as the basis for the assessment [Dun01].

SPICE (ISO/IEC15504) : a standard that defines a set of requirements for software process assessment. The intent of the standard is to assist organizations in developing an objective evaluation of the efficacy of any defined software process [ISO08].

ISO 9001-2000 for Software : a generic standard that applies to any organization that wants to improve the overall quality of the products, systems, or services that it provides. Therefore, the standard is directly applicable to software organizations and companies [Ant06].



Prescriptive process models were originally proposed to bring order to the chaos of software development. History has indicated that these traditional models have brought a certain amount of useful structure to software engineering work and have provided a reasonably effective road map for software teams. However, software engineering work and the product that it produces remain on “the edge of chaos”.

In an intriguing paper on the strange relationship between order and chaos in the software world, Nogueira and his colleagues [Nog00] state :

The edge of chaos is defined as “a natural state between order and chaos, a grand compromise between structure and surprise” [Kau95]. The edge of chaos can be visualized as an unstable, partially structured stat. It is unstable because it is constantly attracted to chaos or to absolute order.

We have the tendency to think that order is the ideal state of nature. This could be a mistake. Research. supports the theory that operation away from equilibrium generates creativity, self-organized processes, and increasing returns [Roo96]. Absolute order means the absence of variability, which could be an advantage under unpredictable environments. Change occurs when there is some structure so that the change can be organized, but not so rigid that it cannot occur. Too much chaos, on the other hand, can make coordination and coherence impossible. Lack of structure does not always mean disorder.

The philosophical implications of this argument are significant for software engineering. If prescriptive process models5 strive for structure and order, are they inappropriate for a software world that thrives on change? Yet, if we reject traditional process models (and the order they imply) and replace them with something less structured, do we make it impossible to achieve coordination and coherence in software work?

There are no easy answers to these questions, but there are alternatives available to software engineers. In the sections that follow, I examine the prescriptive process approach in which order and project consistency are dominant issues. I call them “prescriptive” because they prescribe a set of process elements—framework activities, software engineering actions, tasks, work products, quality assurance, and change control mechanisms for each project. Each process model also prescribes a process flow (also called a work flow) that is, the manner in which the process elements are interrelated to one another.

Software process models can accommodate the generic framework activities described, but each applies a different emphasis to these activities and defines a process flow that invokes each framework activity (as well as software engineering actions and tasks) in a different manner.


Incremental Process Models

There are many situations in which initial software requirements are reasonably well defined, but the overall scope of the development effort precludes a purely linear process. In addition, there may be a compelling need to provide a limited set of software functionality to users quickly and then refine and expand on that functionality in later software releases. In such cases, you can choose a process model that is designed to produce the software in increments.

The incremental model combines elements of linear and parallel process flows. Referring to Figure 1, the incremental model applies linear sequences in a staggered fashion as calendar time progresses. Each linear sequence produces deliverable “increments” of the software [McD93] in a manner that is similar to the increments produced by an evolutionary process flow.

For example, word-processing software developed using the incremental paradigm might deliver basic file management, editing, and document production functions in the first increment, more sophisticated editing and document production capabilities in the second increment, spelling and grammar checking in the third increment, and advanced page layout capability in the fourth increment. It should be noted that the process flow for any increment can incorporate the prototyping paradigm.



Figure 1


When an incremental model is used, the first increment is often a core product. That is, basic requirements are addressed but many supplementary features (some known, others unknown) remain undelivered. The core product is used by the customer (or undergoes detailed evaluation). As a result of use and/or evaluation, a plan is developed for the next increment. The plan addresses the modification of the core product to better meet the needs of the customer and the delivery of additional features and functionality. This process is repeated following the delivery of each increment, until the complete product is produced.

The incremental process model focuses on the delivery of an operational product with each increment. Early increments are stripped-down versions of the final product, but they do provide capability that serves the user and also provide a platform for evaluation by the user.

Incremental development is particularly useful when staffing is unavailable for a complete implementation by the business deadline that has been established for the project. Early increments can be implemented with fewer people. If the core product is well received, then additional staff (if required) can be added to implement the next increment. In addition, increments can be planned to manage technical risks. For example, a major system might require the availability of new hardware that is under development and whose delivery date is uncertain. It might be possible to plan early increments in a way that avoids the use of this hardware, thereby enabling partial functionality to be delivered to end users without inordinate delay.

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Software project management is an essential part of software engineering. Projects need to be managed because professional software engineering is always subject to organizational budget and schedule constraints. The project manager’s job is to ensure that the software project meets and overcomes these constraints as well as delivering high-quality software. Good management cannot guarantee project success. However, bad management usually results in project failure : the software may be delivered late, cost more than originally estimated, or fail to meet the expectations of customers.

The success criteria for project management obviously vary from project to project but, for most projects, important goals are :

  1. Deliver the software to the customer at the agreed time.
  2. Keep overall costs within budget.
  3. Deliver software that meets the customer’s expectations.
  4. Maintain a happy and well-functioning development team.

These goals are not unique to software engineering but are the goals of all engineering projects. However, software engineering is different from other types of engineering in a number of ways that make software management particularly challenging. Some of these differences are :

  1. The product is intangible A manager of a shipbuilding or a civil engineering project can see the product being developed. If a schedule slips, the effect on the product is visible parts of the structure are obviously unfinished. Software is intangible. It cannot be seen or touched. Software project managers cannot see progress by simply looking at the artifact that is being constructed. Rather, they rely on others to produce evidence that they can use to review the progress of the work.
  2. Large software projects are often ‘one-off ’ projects Large software projects are usually different in some ways from previous projects. Therefore, even managers who have a large body of previous experience may find it difficult to anticipate problems. Furthermore, rapid technological changes in computers and communications can make a manager’s experience obsolete. Lessons learned from previous projects may not be transferable to new projects.
  3. Software processes are variable and organization-specific The engineering process for some types of system, such as bridges and buildings, is well understood. However, software processes vary quite significantly from one organization to another. Although there has been significant progress in process standardization and improvement, we still cannot reliably predict when a particular software process is likely to lead to development problems. This is especially true when the software project is part of a wider systems engineering project.

Because of these issues, it is not surprising that some software projects are late, over budget, and behind schedule. Software systems are often new and technically innovative. Engineering projects (such as new transport systems) that are innovative often also have schedule problems. Given the difficulties involved, it is perhaps remarkable that so many software projects are delivered on time and to budget!

It is impossible to write a standard job description for a software project manager. The job varies tremendously depending on the organization and the software product being developed. However, most managers take responsibility at some stage for some or all of the following activities

  1. Project planning Project managers are responsible for planning, estimating and scheduling project development, and assigning people to tasks. They supervise the work to ensure that it is carried out to the required standards and monitor progress to check that the development is on time and within budget.
  2. Reporting Project managers are usually responsible for reporting on the progress of a project to customers and to the managers of the company developing the software. They have to be able to communicate at a range of levels, from detailed technical information to management summaries. They have to write concise, coherent documents that abstract critical information from detailed project reports. They must be able to present this information during progress reviews.
  3. Risk management Project managers have to assess the risks that may affect a project, monitor these risks, and take action when problems arise.
  4. People management Project managers are responsible for managing a team of people. They have to choose people for their team and establish ways of working that lead to effective team performance.
  5. Proposal writing The first stage in a software project may involve writing a proposal to win a contract to carry out an item of work. The proposal describes the objectives of the project and how it will be carried out. It usually includes cost and schedule estimates and justifies why the project contract should be awarded to a particular organization or team. Proposal writing is a critical task as the survival of many software companies depends on having enough proposals accepted and contracts awarded. There can be no set guidelines for this task, proposal writing is a skill that you acquire through practice and experience.


Risk Management

Risk management is one of the most important jobs for a project manager. Risk management involves anticipating risks that might affect the project schedule or the quality of the software being developed, and then taking action to avoid these risks (Hall, 1998; Ould, 1999). You can think of a risk as something that you’d prefer not to have happen. Risks may threaten the project, the software that is being developed, or the organization. There are, therefore, three related categories of risk :

  1. Project risks Risks that affect the project schedule or resources. An example of a project risk is the loss of an experienced designer. Finding a replacement designer with appropriate skills and experience may take a long time and, consequently, the software design will take longer to complete.
  2. Product risks Risks that affect the quality or performance of the software being developed. An example of a product risk is the failure of a purchased component to perform as expected. This may affect the overall performance of the system so that it is slower than expected.
  3. Business risks Risks that affect the organization developing or procuring the software. For example, a competitor introducing a new product is a business risk. The introduction of a competitive product may mean that the assumptions made about sales of existing software products may be unduly optimistic.

Of course, these risk types overlap. If an experienced programmer leaves a project this can be a project risk because, even if they are immediately replaced, the schedule will be affected. It inevitably takes time for a new project member to understand the work that has been done, so they cannot be immediately productive. Consequently, the delivery of the system may be delayed. The loss of a team member can also be a product risk because a replacement may not be as experienced and so could make programming errors. Finally, it can be a business risk because that programmer’s experience may be crucial in winning new contracts.

You should record the results of the risk analysis in the project plan along with a consequence analysis, which sets out the consequences of the risk for the project, product, and business. Effective risk management makes it easier to cope with problems and to ensure that these do not lead to unacceptable budget or schedule slippage.

The specific risks that may affect a project depend on the project and the organizational environment in which the software is being developed. However, there are also common risks that are not related to the type of software being developed and these can occur in any project. Some of these common risks are shown in Figure 1.

Risk management is particularly important for software projects because of the inherent uncertainties that most projects face. These stem from loosely defined requirements, requirements changes due to changes in customer needs, difficulties in estimating the time and resources required for software development, and differences in individual skills. You have to anticipate risks; understand the impact of these risks on the project, the product, and the business, and take steps to avoid these risks. You may need to draw up contingency plans so that, if the risks do occur, you can take immediate recovery action.



Figure 1


An outline of the process of risk management is illustrated in Figure 2. It involves several stages :

  1. Risk identification You should identify possible project, product, and business risks.
  2. Risk analysis You should assess the likelihood and consequences of these risks.
  3. Risk planning You should make plans to address the risk, either by avoiding it or minimizing its effects on the project.
  4. Risk monitoring You should regularly assess the risk and your plans for risk mitigation and revise these when you learn more about the risk.

You should document the outcomes of the risk management process in a risk management plan. This should include a discussion of the risks faced by the project, an analysis of these risks, and information on how you propose to manage the risk if it seems likely to be a problem.

The risk management process is an iterative process that continues throughout the project. Once you have drawn up an initial risk management plan, you monitor the situation to detect emerging risks. As more information about the risks becomes available, you have to reanalyze the risks and decide if the risk priority has changed. You may then have to change your plans for risk avoidance and contingency management.



Figure 2



Risk Identification

Risk identification is the first stage of the risk management process. It is concerned with identifying the risks that could pose a major threat to the software engineering process, the software being developed, or the development organization. Risk identification may be a team process where a team get together to brainstorm possible risks. Alternatively, the project manager may simply use his or her experience to identify the most probable or critical risks.

As a starting point for risk identification, a checklist of different types of risk may be used. There are at least six types of risk that may be included in a risk checklist :

  1. Technology risks Risks that derive from the software or hardware technologies that are used to develop the system.
  2. People risks Risks that are associated with the people in the development team.
  3. Organizational risks Risks that derive from the organizational environment where the software is being developed.
  4. Tools risks Risks that derive from the software tools and other support software used to develop the system.
  5. Requirements risks Risks that derive from changes to the customer requirements and the process of managing the requirements change.
  6. Estimation risks Risks that derive from the management estimates of the resources required to build the system.

Figure 3 gives some examples of possible risks in each of these categories. When you have finished the risk identification process, you should have a long list of risks that could occur and which could affect the product, the process, and the business. You then need to prune this list to a manageable size. If you have too many risks, it is practically impossible to keep track of all of them.


Risk Analysis

During the risk analysis process, you have to consider each identified risk and make a judgment about the probability and seriousness of that risk. There is no easy way to do this. You have to rely on your own judgment and experience of previous projects and the problems that arose in them. It is not possible to make precise, numeric assessment of the probability and seriousness of each risk. Rather, you should assign the risk to one of a number of bands :



Figure 3


  1. The probability of the risk might be assessed as very low (< 10%), low (10–25%), moderate (25–50%), high (50–75%), or very high (> 75%).
  2. The effects of the risk might be assessed as catastrophic (threaten the survival of the project), serious (would cause major delays), tolerable (delays are within allowed contingency), or insignificant.

You should then tabulate the results of this analysis process using a table ordered according to the seriousness of the risk. Figure 4 illustrates this for the risks that I have identified in Figure 3. Obviously, the assessment of probability and seriousness is arbitrary here. To make this assessment, you need detailed information about the project, the process, the development team, and the organization.

Of course, both the probability and the assessment of the effects of a risk may change as more information about the risk becomes available and as risk management plans are implemented. Therefore, you should update this table during each iteration of the risk process.

Once the risks have been analyzed and ranked, you should assess which of these risks are most significant. Your judgment must depend on a combination of the probability of the risk arising and the effects of that risk. In general, catastrophic risks should always be considered, as should all serious risks that have more than a moderate probability of occurrence.



Figure 4


Boehm (1988) recommends identifying and monitoring the top 10 risks, but I think that this figure is rather arbitrary. The right number of risks to monitor must depend on the project. It might be 5 or it might be 15. However, the number of risks chosen for monitoring should be manageable. A very large number of risks would simply require too much information to be collected. From the risks identified in Figure 4, it is appropriate to consider the 8 risks that have catastrophic or serious consequences (Figure 5).


Risk Planning

The risk planning process considers each of the key risks that have been identified, and develops strategies to manage these risks. For each of the risks, you have to think of actions that you might take to minimize the disruption to the project if the problem identified in the risk occurs. You also should think about information that you might need to collect while monitoring the project so that problems can be anticipated.



Figure 5


Again, there is no simple process that can be followed for contingency planning. It relies on the judgment and experience of the project manager. Figure 5 shows possible risk management strategies that have been identified for the key risks (i.e., those that are serious or intolerable) shown in Figure 4. These strategies fall into three categories :

  1. Avoidance strategies Following these strategies means that the probability that the risk will arise will be reduced. An example of a risk avoidance strategy is the strategy for dealing with defective components shown in Figure 5.
  2. Minimization strategies Following these strategies means that the impact of the risk will be reduced. An example of a risk minimization strategy is the strategy for staff illness shown in Figure 5.
  3. Contingency plans Following these strategies means that you are prepared for the worst and have a strategy in place to deal with it. An example of a contingency strategy is the strategy for organizational financial problems that I have shown in Figure 5.

You can see a clear analogy here with the strategies used in critical systems to ensure reliability, security, and safety, where you must avoid, tolerate, or recover from failures. Obviously, it is best to use a strategy that avoids the risk. If this is not possible, you should use a strategy that reduces the chances that the risk will have serious effects. Finally, you should have strategies in place to cope with the risk if it arises. These should reduce the overall impact of a risk on the project or product.



Figure 6



Risk Monitoring

Risk monitoring is the process of checking that your assumptions about the product, process, and business risks have not changed. You should regularly assess each of the identified risks to decide whether or not that risk is becoming more or less probable. You should also think about whether or not the effects of the risk have changed. To do this, you have to look at other factors, such as the number of requirements change requests, which give you clues about the risk probability and its effects. These factors are obviously dependent on the types of risk. Figure 6 gives some examples of factors that may be helpful in assessing these risk types.

You should monitor risks regularly at all stages in a project. At every management review, you should consider and discuss each of the key risks separately. You should decide if the risk is more or less likely to arise and if the seriousness and consequences of the risk have changed.

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