SOFTWARE ENGINEERING

MCA
Second Semester

Bharathidasan University
Centre for Distance and Online Education
Chairman:
Dr. M. Selvam
Vice-Chancellor
Bharathidasan University
Tiruchirappalli-620 024
Tamil Nadu
Co-Chairman:
Dr. G. Gopinath
Registrar
Bharathidasan University
Tiruchirappalli-620 024
Tamil Nadu

Course Co-Ordinator:
Dr. A. Edward William Benjamin
Director-Centre for Distance and Online Education
Bharathidasan University
Tiruchirappalli-620 024
Tamil Nadu
The Syllabus is Revised from 2021-22 onwards

Reviewer
Mrs. T. Lucia Agnes Beena, Asst. Professor & Head, Dept of Information Techonology, St. Joseph’s college
Author:
Trichy – 620 002
Dr. T. Dheepak, Asst Professor, Dept of Computer Science, CDOE,
Bharathidasan University, Trichy

Author
Rohit Khurana, CEO, ITL Education solutions Ltd.
Units (1-14)

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 SYLLABI-BOOK MAPPING TABLE
Software Engineering
Syllabi Mapping in Book

BLOCK I : INTRODUCTION
Unit 1 Software: Role of software, Software myths. Generic view of Unit 1: Software
process: A layered technology, a process framework, The Capability (Pages 1-14);
Maturity Model Integration (CMMI) Unit 2: Process Patterns
Unit 2 Process patterns, Process assessment, Personal and Team (Pages 15-24);
process models. Unit 3: Process Model
Unit 3 Process model: The waterfall model, Incremental process models, (Pages 25-36)
Evolutionary process models, The Unified process.

BLOCKII: REQUIREMENTENGINEERING
Unit 4 Design and Construction, Requirement Engineering Tasks, Unit 4: Design and Construction
Requirements Engineering Process, Validating Requirements. (Pages 37-53);
Unit 5 Building the Analysis Model: Requirement analysis, Data Unit 5: Building the Analysis Model
Modeling concepts, Object-Oriented Analysis (Pages 54-68);
Unit 6 Modeling: Scenario-Based Modeling, Flow-Oriented Modeling Unit 6: Modeling
Class-Based Modeling, Creating a Behavioral Model. (Pages 69-81)

BLOCK III : SYSTEM DESIGN

Unit 7 Design Engineering: Design process and quality, Design Unit 7: Design Engineering
concepts, the design model. (Pages 82-94);
Unit 8 Architectural Design: Software architecture, Data design, Unit 8: Architectural Design
Architectural styles and patterns, Architectural Design. (Pages 95-109);
Unit 9 User interface design: The Golden rules, User interface analysis Unit 9: User Interface Design
and design, Interface analysis, Interface design steps, Design (Pages 110-119)
evaluation.

BLOCK IV: SYSTEM TESTING

Unit 10 Testing Strategies: Approach to Software Testing, Unit Unit 10: Testing Strategies
Testing, Integration Testing, Test strategies for Object-Oriented (Pages 120-176);
Software, Validation Testing, System Testing, the art of Debugging, Unit 11: Product Metrics
Black-Box and White-Box testing. (Pages 177-202)
Unit 11 Product Metrics: Software Quality, Product Metrics, Metrics
for Analysis Model, Design Model, Source code and Metrics for testing,
Metrics for maintenance. Metrics for Process and Projects Domains:
Software Measurement, Metrics for Software Quality and Software
Process.

BLOCK V: RISKAND QUALITYMANAGEMENT

Unit 12 Risk Strategies: Reactive vs. Proactive Risk strategies, software Unit 12: Risk Strategies
risks, Risk identification (Pages 203-208);
Unit 13 Risk Protection and refinement: Risk projection, Risk Unit 13: Risk Projection
refinement, Risk Mitigation, Monitoring and Management, RMMM and Refinement
Plan. (Pages 209-214);
Unit 14 Quality Management: Quality concepts, Software quality Unit 14: Quality Management
assurance, Software Reviews, Formal Technical reviews, Statistical (Pages 215-240)
Software quality Assurance, Software reliability, The ISO 9000 quality
standards.
 CONTENTS
BLOCK II: INTRODUCTION
UNIT 1 SOFTWARE 1-14
1.0 Introduction
1.1 Objectives
1.2 Role of Software
1.2.1 Software Myths
1.3 Generic View of Process
1.3.1 Process Framework; 1.3.2 Capability Maturity Model Integration (CMMI)
1.4 Answers to Check Your Progress Questions
1.5 Summary
1.6 Key Words
1.7 Self Assessment Questions and Exercises
1.8 Further Readings
1.9 Learning Outcomes

UNIT 2 PROCESS PATTERNS 15-24

2.0 Introduction
2.1 Objectives
2.2 Process Assessment
2.3 Personal and Team Process Models
2.4 Answers to Check Your Progress Questions
2.5 Summary
2.6 Key Words
2.7 Self Assessment Questions and Exercises
2.8 Further Readings
2.9 Learning Outcomes

UNIT 3 PROCESS MODEL 25-36

3.0 Introduction
3.1 Objectives
3.2 Waterfall Model
3.3 Evolutionary Process Models
3.3.1 Incremental Process Model; 3.3.2 Spiral Model
3.4 Unified Process
3.5 Answers to Check Your Progress Questions
3.6 Summary
3.7 Key Words
3.8 Self Assessment Questions and Exercises
3.9 Further Readings
3.10 Learning Outcomes

BLOCK II: REQUIREMENT ENGINEERING

UNIT 4 DESIGN AND CONSTRUCTION 37-53
4.0 Introduction
4.1 Objectives
4.2 Requirements Engineering Task
4.2.1 Requirements Engineering Process
 4.3 Requirements Validation
4.4 Answers to Check Your Progress Questions
4.5 Summary
4.6 Key Words
4.7 Self Assessment Questions and Exercises
4.8 Further Readings
4.9 Learning Outcomes

UNIT 5 BUILDING THE ANALYSIS MODEL 54-68

5.0 Introduction
5.1 Objectives
5.2 Requirements Elicitation and Analysis
5.3 Data Modeling Concepts
5.4 Object-Oriented Analysis
5.5 Answers to Check Your Progress Questions
5.6 Summary
5.7 Key Words
5.8 Self Assessment Questions and Exercises
5.9 Further Readings
5.10 Learning Outcomes

UNIT 6 MODELING 69-81

6.0 Introduction
6.1 Objectives
6.2 Scenario-Based Modeling
6.3 Flow Modeling
6.4 Class Modeling
6.5 Behavioral Modeling
6.6 Answers to Check Your Progress Questions
6.7 Summary
6.8 Key Words
6.9 Self Assessment Questions and Exercises
6.10 Further Readings
6.11 Learning Outcomes

BLOCK III: SYSTEM DESIGN

UNIT 7 DESIGN ENGINEERING 82-94
7.0 Introduction
7.1 Objectives
7.2 Basics of Software Design
7.2.1 Software Design Concepts; 7.2.2 Types of Design Patterns
7.2.3 Developing a Design Model
7.3 Answers to Check Your Progress Questions
7.4 Summary
7.5 Key Words
7.6 Self Assessment Questions and Exercises
7.7 Further Readings
7.8 Learning Outcomes

UNIT 8 ARCHITECTURAL DESIGN 95-109

8.0 Introduction
8.1 Objectives
 8.2 Data Design
8.2.1 Archiectural Design; 8.2.2 Architectural Styles
8.3 Answers to Check Your Progress Questions
8.4 Summary
8.5 Key Words
8.6 Self Assessment Questions and Exercises
8.7 Further Readings
8.8 Learning Outcomes

UNIT 9 USER INTERFACE DESIGN 110-119

9.0 Introduction
9.1 Objectives
9.2 User Interface Analysis and Design
9.2.1 User Interface Design Issues; 9.2.2 User Interface Rules/Golden Rules
9.2.3 User Interface Design Process Steps; 9.2.4 Evaluating a User Interface Design
9.3 Answers to Check Your Progress Questions
9.4 Summary
9.5 Key Words
9.6 Self Assessment Questions and Exercises
9.7 Further Readings
9.8 Learning Outcomes

BLOCK IV: SYSTEM TESTING

UNIT 10 TESTING STRATEGIES 120-176
10.0 Introduction
10.1 Objectives
10.2 Software Testing Fundamentals
10.2.1 Test Plan
10.2.2 Software Testing Strategies
10.2.3 Levels of Testing
10.2.4 Unit Testing
10.2.5 Integration Testing
10.2.6 Validation Testing
10.2.7 System Testing
10.3 Testing Conventional Applications
10.3.1 White Box Testing; 10.3.2 Black Box Testing
10.4 Debugging
10.4.1 The Debugging Process; 10.4.2 Induction Strategy
10.5 Answers to Check Your Progress Questions
10.6 Summary
10.7 Key Words
10.8 Self Assessment Questions and Exercises
10.9 Further Readings
10.10 Learning Outcomes

UNIT 11 PRODUCT METRICS 177-202

11.0 Introduction
11.1 Objectives
11.2 Software Measurement
11.3 Software Metrics
11.4 Designing Software Metrics
11.5 Classification of Software Metrics
11.6 Process Metrics
 11.7 Product Metrics
11.8 Project Metrics
11.9 Measuring Software Quality
11.10 Object-Oriented Metrics
11.11 Issues in Software Metrics
11.12 Answers to Check Your Progress Questions
11.13 Summary
11.14 Key Words
11.15 Self Assessment Questions and Exercises
11.16 Further Readings
11.17 Learning Outcomes

BLOCK V: RISK AND QUALITY MANAGEMENT

UNIT 12 RISK STRATEGIES 203-208
12.0 Introduction
12.1 Objectives
12.2 Reactive vs Proactive Risk Strategies
12.3 Software Risk and Risk Identification
12.4 Answers to Check Your Progress Questions
12.5 Summary
12.6 Key Words
12.7 Self Assessment Questions and Exercises
12.8 Further Readings
12.9 Learning Outcomes

UNIT 13 RISK PROJECTION AND REFINEMENT 209-214

13.0 Introduction
13.1 Objectives
13.2 Risk Assessment: Risk Projection and Refinement
13.3 Risk Control, Mitigation and Monitoring
13.3.1 RMMM Plan
13.4 Answers to Check Your Progress Questions
13.5 Summary
13.6 Key Words
13.7 Self Assessment Questions and Exercises
13.8 Further Readings
13.9 Learning Outcomes

UNIT 14 QUALITY MANAGEMENT 215-240

14.0 Introduction
14.1 Objectives
14.2 Quality Concepts
14.3 Software Quality Assurance Group
14.4 Software Quality Assurance Activities
14.5 Software Reviews
14.6 Evaluation of Quality
14.7 Software Reliability
14.8 Answers to Check Your Progress Questions
14.9 Summary
14.10 Key Words
14.11 Self Assessment Questions and Exercises
14.12 Further Readings
14.13 Learning Outcomes
 INTRODUCTION

The notion of software engineering was first proposed in 1968. Since then, software
NOTES engineering has evolved as a full-fledged engineering discipline that is accepted as
a field involving in-depth study and research. Software engineering methods and
tools have been successfully implemented in various applications spread across
different walks of life. Software engineering has been defined as a systematic
approach to develop software within a specified time and budget. It provides
methods to handle complexities in a software system and enables the development
of reliable software systems that maximize productivity.
The Institute of Electrical and Electronic Engineers (IEEE) defines software
as ‘a collection of computer programs, procedures, rules and associated
documentation and data’. Software is responsible for managing, controlling and
integrating the hardware components of a computer system in order to accomplish
a specific task. It tells the computer what to do and how to do it.
This book discusses the phases of software development, the design process,
the coding methodology and problems that might occur during the development
procedure of software. Software engineering offers ways and means to deal with
intricacies in a software system and facilitates the development of dependable
software systems, which maximize productivity. Software development comprises
two phases: Requirement Analysis and Planning. The requirement analysis phase
measures the requirements of the end-user, while planning chalks out the strategy
to achieve those requirements through the software to be produced. Cost estimation
establishes an estimate of the budget required to develop a software or project
and also helps in effective use of resources and time. This is done at the beginning
of the project and also between various stages of development to capture any
fluctuation of expenditure.
Once the requirements are specified, the design process begins. In this
process, the software engineer collates the customer’s business requirements and
technical considerations to model the product to be built.After successful completion
of the design phase, the specifications thus created are translated into source code.
This is the implementation phase wherein the language that meets user’s requirements
in the best way is selected for coding.
The software is tested after the implementation phase culminates. Testing
brings forward any kind of errors and bugs that exist, evaluates the capability of
the system and ensures whether the system is built to meet the target users’
requirements. The more stringent the testing, the better will be the quality of the
product. As the product is used in the market, the users’ requirements keep on
changing. This calls for additions of new features and functionalities. Software
maintenance modifies the system according to the user’s needs and also eliminates
errors, as and when they arise.
This book, Software Engineering, follows the SIM format or the self-
instructional mode wherein each unit begins with an ‘Introduction’ to the topic
followed by an outline of the ‘Objectives’. The detailed content is then presented
in a simple and organized manner, interspersed with ‘Check Your Progress’questions
to test the understanding of the students. A ‘Summary’ along with a list of ‘Key
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Words’ and a set of ‘Self Assessment Questions and Exercises’ is also provided at
Material the end of each unit for effective recapitulation.
 Software
BLOCK - I
INTRODUCTION

NOTES
UNIT 1 SOFTWARE
Structure
1.0 Introduction
1.1 Objectives
1.2 Role of Software
1.2.1 Software Myths
1.3 Generic View of Process
1.3.1 Process Framework
1.3.2 Capability Maturity Model Integration (CMMI)
1.4 Answers to Check Your Progress Questions
1.5 Summary
1.6 Key Words
1.7 Self Assessment Questions and Exercises
1.8 Further Readings
1.9 Learning Outcomes

1.0 INTRODUCTION
In this unit‚ you will learn about the software and software development project.
In earlier times, software was simple in nature and hence, software development
was a simple activity. However, as technology improved, software became more
complex and software projects grew larger. Software development now
necessitated the presence of a team, which could prepare detailed plans and designs,
carry out testing, develop intuitive user interfaces, and integrate all these activities
into a system. This new approach led to the emergence of a discipline known as
software engineering.
Software engineering provides methods to handle complexities in a software
system and enables the development of reliable software systems, which maximize
productivity. In addition to the technical aspects of the software development, it
also covers management activities which include guiding the team, budgeting,
preparing schedules, etc. The notion of software engineering was first proposed in
1968. Since then, software engineering has evolved as a full-fledged engineering
discipline, which is accepted as a field involving in-depth study and research.
Software engineering methods and tools have been successfully implemented in
various applications spread across different walks of life.

1.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Explain software characteristics and classification of software Self-Instructional
Material 1
Software  Understand software myths such as those related to management, users,
and developers
 Discuss software crisis, the situation where catastrophic failures have occurred
NOTES  Discuss the software process components and process framework

1.2 ROLE OF SOFTWARE

Software is defined as a collection of programs, documentation and operating

procedures. The Institute of Electrical and Electronic Engineers (IEEE)
defines software as a ‘collection of computer programs, procedures, rules and
associated documentation and data.’ It possesses no mass, no volume, and no
colour, which makes it a non-degradable entity over a long period. Software does
not wear out or get tired.
Software controls, integrates, and manages the hardware components of a
computer system. It also instructs the computer what needs to be done to perform
a specific task and how it is to be done. For example, software instructs the
hardware how to print a document, take input from the user, and display the
output.
Computer works onlyin response to instructions provided externally. Usually,
the instructions to perform some intended tasks are organized into a program
using a programming language like C, C++, Java, etc., and submitted to computer.
Computer interprets and executes these instructions and provides response to the
user accordingly. A set of programs intended to provide users with a set of
interrelated functionalities is known as a software package. For example, an
accounting software package such as Tally provides users the functionality to
perform accounting-related activities.
Software Characteristics
Different individuals judge software on different basis. This is because they are
involved with the software in different ways. For example, users want the software
to perform according to their requirements. Similarly, developers involved in
designing, coding, and maintenance of the software evaluate the software by looking
at its internal characteristics, before delivering it to the user. Software characteristics
are classified into six major components, which are shown in Figure 1.1.

Fig. 1.1 Software Characteristics

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  Functionality: Refers to the degree of performance of the software against Software

its intended purpose.

 Reliability: Refers to the ability of the software to provide desired
functionality under the given conditions.
NOTES
 Usability: Refers to the extent to which the software can be used with
ease.
 Efficiency: Refers to the ability of the software to use system resources in
the most effective and efficient manner.
 Maintainability: Refers to the ease with which the modifications can be
made in a software system to extend its functionality, improve its performance,
or correct errors.
 Portability: Refers to the ease with which software developers can transfer
software from one platform to another, without (or with minimum) changes.
In simple terms, it refers to the ability of software to function properly on
different hardware and software platforms without making any changes in
it.
In addition to the above mentioned characteristics, robustness and integrity
are also important. Robustness refers to the degree to which the software can
keep on functioning in spite of being provided with invalid data while integrity
refers to the degree to which unauthorized access to the software or data can be
prevented.
Classification of Software
Software can be applied in countless fields such as business, education, social
sector, and other fields. It is designed to suit some specific goals such as data
processing, information sharing, communication, and so on. It is classified according
to the range of potential of applications. These classifications are listed below.
 System software: This class of software manages and controls the internal
operations of a computer system. It is a group of programs, which is
responsible for using computer resources efficiently and effectively. For
example, an operating system is a system software, which controls the
hardware, manages memory and multitasking functions, and acts as an
interface between application programs and the computer.
 Real-time software: This class of software observes, analyzes, and controls
real world events as they occur. Generally, a real-time system guarantees a
response to an external event within a specified period of time. An example
of real-time software is the software used for weather forecasting that collects
and processes parameters like temperature and humidity from the external
environment to forecast the weather. Most of the defence organizations all
over the world use real-time software to control their military hardware.

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Software  Business software: This class of software is widely used in areas where
management and control of financial activities is of utmost importance. The
fundamental component of a business system comprises payroll, inventory,
and accounting software that permit the user to access relevant data from
NOTES the database. These activities are usually performed with the help of
specialized business software that facilitates efficient framework in business
operations and in management decisions.
 Engineering and scientific software: This class of software has emerged
as a powerful tool in the research and development of next generation
technology. Applications such as the study of celestial bodies, under-surface
activities, and programming of an orbital path for space shuttles are heavily
dependent on engineering and scientific software. This software is designed
to perform precise calculations on complex numerical data that are obtained
during real-time environment.
 Artificial intelligence (AI) software: This class of software is used where
the problem-solving technique is non-algorithmic in nature. The solutions of
such problems are generally non-agreeable to computation or
straightforward analysis. Instead, these problems require specific problem-
solving strategies that include expert system, pattern recognition, and game-
playing techniques. In addition, they involve different kinds of search
techniques which include the use ofheuristics. The role of artificial intelligence
software is to add certain degrees of intelligence to the mechanical hardware
in order to get the desired work done in an agile manner.
 Web-based software: This class of software acts as an interface between
the user and the Internet. Data on the Internet is in the form of text, audio,
or video format, linked with hyperlinks. Web browser is a software that
retrieves web pages from the Internet. The software incorporates executable
instructions written in special scripting languages such as CGI orASP. Apart
from providing navigation on the Web, this software also supports additional
features that are useful while surfing the Internet.
 Personal computer (PC) software: This class of software is used for
both official and personal use. The personal computer software market has
grown over in the last two decades from normal text editor to word processor
and from simple paintbrush to advanced image-editing software. This
software is used predominantly in almost every field, whether it is database
management system, financial accounting package, or multimedia-based
software. It has emerged as a versatile tool for routine applications.
1.2.1 Software Myths
The development of software requires dedication and understanding on the
developers’ part. Many software problems arise due to myths that are formed
during the initial stages of software development. Unlike ancient folklore that often
provides valuable lessons, software myths propagate false beliefs and confusion
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4 Material
Management Myths Software

Managers, who own software development responsibility, are often under

strain and pressure to maintain a software budget, time constraints, improved
quality, and many other considerations. Common management myths are listed in NOTES
Table 1.1.
Table 1.1 Management Myths

User Myths
In most cases, users tend to believe myths about the software because software
managers and developers do not try to correct the false beliefs. These myths lead
to false expectations and ultimately develop dissatisfaction among the users.
Common user myths are listed in Table 1.2.
Table 1.2 User Myths

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Software Developer Myths
In the early days of software development, programming was viewed as an art,
but now software development has gradually become an engineering discipline.
NOTES However, developers still believe in some myths. Some of the common developer
myths are listed in Table 1.3.
Table 1.3 Developer Myths

Software Crisis
In the late 1960s, it became clear that the development of software is different
from manufacturing other products. This is because employing more manpower
(programmers) later in the software development does not always help speed up
the development process. Instead, sometimes it may have negative impacts like
delay in achieving the scheduled targets, degradation of software quality, etc. Though
software has been an important element of many systems since a long time,
developing software within a certain schedule and maintaining its quality is still
difficult.
History has seen that delivering software after the scheduled date or with
errors has caused large scale financial losses as well as inconvenience to many.
Disasters such as the Y2K problem affected economic, political, and administrative
systems of various countries around the world. This situation, where catastrophic
failures have occurred, is known as software crisis. The major causes of software
crisis are the problems associated with poor quality software such as malfunctioning

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of software systems, inefficient development of software, and the most important, Software

dissatisfaction amongst the users of the software.

The software market today has a turnover of more than millions of rupees.
Out of this, approximately thirty Percent of software is used for personal computers
NOTES
and the remaining software is developed for specific users or organizations.
Application areas such as the banking sector are completely dependant on software
application. Software failures in these technology-oriented areas have led to
considerable loss in terms of time, money, and even human lives. History has been
witness to many such failures, some of which are listed below.
 The Northeast blackout in 2003 has been one of the major power system
failures in the history of North America. This blackout involved failure of
100 power plants due to which almost 50 million customers faced power
loss that resulted in financial loss of approximately $6 billion. Later, it was
determined that the major reason behind the failure was a software bug in
the power monitoring and management system.
 Year 2000 (Y2K) problem refers to the widespread snags in processing
dates after the year 2000. The roots of Y2K problem can be traced back
to 1960-80 when developers shortened the 4-digit date format like 1972
to a 2-digit format like 72 because of limited memory. At that time they did
not realize that year 2000 will be shortened to 00 which is less than 72. In
the 1990s, experts began to realize this major shortcoming in the computer
application and then millions were spent to handle this problem.
 In 1996, Arian-5 space rocket, developed at the cost of $7000 million
over a period of 10 years was destroyed within less than a minute after its
launch. The crash occurred because there was a software bug in the rocket
guidance system.
 In 1996, one of the largest banks of US credited accounts of nearly 800
customers with approximately $924 lacs. Later, it was detected that the
problem occurred due to a programming bug in the banking software.
 During the Gulf War in 1991, the United States of America used Patriot
missiles as a defense against Iraqi Scud missiles. However, the Patriot failed
to hit the Scud many times. As a result, 28 US soldiers were killed in
Dhahran, Saudi Arabia. An inquiry into the incident concluded that a small
bug had resulted in the miscalculation of missile path.

1.3 GENERIC VIEW OF PROCESS

Software engineering comprises interrelated and recurring entities, which are
essential for software development. Software is developed efficiently and effectively
with the help of well defined activities or processes. In general, a process is defined
as a series of steps involving activities and resources, which produces the desired
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Software output. Software process is defined as a collection of procedures to develop the
software product according to certain goals or standards. Generally, the following
points are noted about software process.
 It uses resources subject to given constraints and produce intermediate and
NOTES
final products.
 It is composed of sub processes that are organized in such a manner that
each sub process has its own process model.
 It is carried out with an entry and exit criteria that helps in monitoring the
beginning and completion of the activity.
 It includes guidelines, which explain the objectives of each activity.
 It is vital because it imposes uniformity on the set of activities.
 It is regarded as more than just a procedure, tools or techniques, which are
collectively used in a structured manner to produce a product.
 It includes various technical and managerial issues, which are required to
develop the software.
‘The characteristics of software processes are listed in Table 1.4.
Table 1.4 Software Process Characteristics
Characteristic Description
Understandability The extent to which the process is explicitly defined and
the ease with which the process definition is understood.
Visibility Whether the process activities culminate in clear results
so that the progress of the process is visible externally.
Supportability The extent to which CASE tools can support the process
activities.
Acceptability The extent to which the defined process is acceptable and
usable by the engineers, responsible for producing the
software product.
Reliability The manner in which the process is designed such that
errors in the process are avoided or trapped before they
result in errors in the product.
Robustness Whether the process can continue in spite of unexpected
problems.
Maintainability Whether the process can evolve to reflect the changing
organizational requirements or identify process
improvements.
Rapidity The speed with which the complete software can be
delivered with given specifications.

A project is defined as a specification essential for developing or maintaining

a specific product. Software project is developed when software processes are
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executed for certain specific requirements of the user. Thus, by using software Software

process, the software project can be easily developed. The activities in software
project comprise various tasks for managing resources and developing products.
Figure 1.2 shows that software project involves people (developers, project
manager, end-users, and so on) also referred to as participants who use software NOTES
processes to create a product according to the user’s requirements. The participants
play a major role in the development of the project and select the appropriate
process for the project. In addition, a project is efficient if it is developed within
the time constraint. The outcome or the result of the software project is known as
a product. Thus, a software project uses software processes to create a product.

Fig. 1.2 Software Project

Software process can be used in the development of many software projects,

each of which can produce one or more software products. The interrelationship
among these three entities (process, project, and product) is shown in Figure 1.3.
Software project begins with requirements and ends with the accomplishment of
the requirements. Thus, the software process should be performed to develop the
final software by accomplishing user’s requirements.

Fig. 1.3 Process, Projects, and Products

Software Process Components

The objective of the software process is to develop a product, which accomplishes
user’s requirements. For this, software processes require components, which are
shown in Figure 1.4. The major components of the software process include a
process management process and a product engineering process. The Process
Management Process (PMP) aims at improving software processes so that a
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Software cost effective and high-quality product is developed. For this, the existing processes
of the completed projects are examined. The process of comprehending the existing
process, analyzing its properties, determining how to improve it, and then effecting
the improvement is carried out by PMP. A group known as the Software
NOTES Engineering Process Group (SEPG) performs the activities of the process
management.

Fig. 1.4 Components of Software Process

Based on above mentioned analysis, the product engineering processes are

improved, thereby improving the software process. The aim of the product
engineering process is to develop the product according to the user’s requirements.
The product engineering process comprises three major components, which are
listed below.
 Development process: It is the process which is used during the
development of the software. It specifies the development and quality
assurance activities that are to be performed. Programmers, designers, testing
personnel, etc., perform these processes.
 Project management process: It is concerned with the set of activities or
tasks, which are used to successfully accomplish a set of goals. It provides
the means to plan, organize, and control the allocated resources to
accomplish project costs, time, and performance objectives. For this, various
processes, techniques, and tools are used to achieve the objectives of the
project. Project management team performs the activities of this process.
 Configuration control process: It manages changes that occur as a result
of modifying the requirements. In addition, it maintains integrity of the
products with thechanged requirements. The activities in configuration control
processes are performed by a group called the Configuration Control
Board (CCB).
Note that the project management process and configuration control
process depend on the development process. The management process aims to
control the development process, depending on the activities in the development
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1.3.1 Process Framework Software

Process framework (see Figure 1.5) determines the processes which are essential
for completing a complex software project. This framework identifies certain
activities, known as framework activities, which are applicable to all software NOTES
projects regardless of their type and complexity. Some of the framework activities
are listed below.
 Communication: It involves communication with the user so that the
requirements are easily understood.
 Planning: It establishes a plan for accomplishing the project. It describes
the schedule for the project, the technical tasks involved, expected risks,
and the required resources.
 Modeling: It encompasses creation of models, which allow the developer
and the user to understand software requirements and the designs to achieve
those requirements.
 Construction: It combines generation of code with testing to uncover errors
in the code.
 Deployment: It implies that the final product (software) is delivered to the
user. The user evaluates the delivered product and provides feedback based
on the evaluation.

Fig. 1.5 Process Framework

In addition to framework activities, process framework also comprises a

set of activities known as umbrella activities, which are used throughout the
software process. These activities are listed below.
 Software project tracking and control: It monitors the actual process so
that management can take necessary steps if the software project deviates
from the plans laid down. It involves tracking procedures and reviews to
check whether the software project is according to user’s requirements. A
documented plan is used as a basis for tracking the software activities and
revising the plans. Self-Instructional
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Software  Formal technical reviews: It assesses the code, products and documents
of software engineering practices to detect and remove errors.
 Software quality assurance: It assures that the software is according to
the requirements. In addition, it is designed to evaluate the processes of
NOTES
developing and maintaining quality of the software.
 Reusability management: It determines the criteria for products’ reuse
and establishes mechanisms to achieve reusable components.
 Software configuration management: It manages the changes made in
the software processes of the products throughout the life cycle of the
software project. It controls changes made to the configuration and maintains
the integrity in the software development process.
 Risk management: It identifies, analyzes, evaluates, and eliminates the
possibility of unfavourable deviations from expected results, by following a
systematic activity and then develops strategies to manage them.
1.3.2 Capability Maturity Model Integration (CMMI)
It is a process level improvement training and appraisal program. Administered by
the CMMIInstitute which is a subsidiary of ISACA. It was developed at Carnegie
Mellon University (CMU). An appraisal examines processes to determine their
strengths and weaknesses in an organization. The appraisal used in an organization
evaluates the internal processes (series of procedures occurring in the organization)
for establishing or updating process improvement. This model is explained in detail
in unit 2.

Check Your Progress

1. Define software.
2. What is software package?
3. What is system software?

1.4 ANSWERS TO CHECK YOUR PROGRESS

QUESTIONS

1. Software is defined as a collection of programs, documentation and operating

procedures.
2. A set of programs intended to provide users with a set of interrelated
functionalities is known as a software package.
3. System software is a type of computer program that is designed to run a
computer’s hardware and application programs.

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 Software
1.5 SUMMARY

 Software is defined as a collection of programs, documentation and operating

procedures. The Institute of Electrical and Electronic Engineers (IEEE) NOTES
defines software as a ‘collection of computer programs, procedures, rules
and associated documentation and data’.
 Software can be applied in countless fields such as business, education,
social sector, and other fields. It is designed to suit some specific goals such
as data processing, information sharing, communication, and so on.
 Artificial intelligence (AI) software is used where the problem-solving
technique is non-algorithmic in nature. The solutions of such problems are
generally non-agreeable to computation or straightforward analysis.
 Software engineering comprises interrelated and recurring entities, which
are essential for software development. Software is developed efficiently
and effectively with the help of well-defined activities or processes.
 A project is defined as a specification essential for developing or maintaining
a specific product. Software project is developed when software processes
are executed for certain specific requirements of the user.
 Software process can be used in the development of many software projects,
each of which can produce one or more software products.
 Process framework determines the processes which are essential for
completing a complex software project. This framework identifies certain
activities, known as framework activities.

1.6 KEY WORDS

 System Software: This class of software manages and controls the internal
operations of a computer system.
 Business Software: This class of software is widely used in areas where
management and control of financial activities is of utmost importance.
 Real-time Software: This class of software observes, analyzes, and controls
real world events as they occur. Generally, a real-time system guarantees a
response to an external event within a specified period of time.

1.7 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. Discuss the characteristics of software.
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Software 2. What do you understand by software crisis?
3. Discuss the significance of process components.
Long Answer Questions
NOTES
1. Explain the different types of software.
2. What do you understand by software myths? Explain.
3. Write a detailed note on process framework.

1.8 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New
Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

1.9 LEARNING OUTCOMES

 Understand software myths such as those related to

management, users,and developers
 Software crisis, the situation where catastrophic failures have occurred
 The software process components and process framework

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 Process Patterns

UNIT 2 PROCESS PATTERNS

Structure NOTES
2.0 Introduction
2.1 Objectives
2.2 Process Assessment
2.3 Personal and Team Process Models
2.4 Answers to Check Your Progress Questions
2.5 Summary
2.6 Key Words
2.7 Self Assessment Questions and Exercises
2.8 Further Readings
2.9 Learning Outcomes

2.0 INTRODUCTION
In this unit‚ you will learn about the process assessment. To accomplish a set of
tasks, it is important to go through a sequence of predictable steps. This sequence
of steps refers to a road map, which helps in developing a timely, high quality, and
highly efficient product or system. Road map, commonly referred to as software
process, comprises activities, constraints, and resources that are used to produce
an intended system. Software process helps to maintain a level of consistency and
quality in products or services that are produced by different people. The process
needs to be assessed in order to ensure that it meets a set of basic process criteria,
which is essential for implementing the principles of software engineering in an
efficient manner. You will also learn about the personal and team process models.

2.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Discuss the need for process assessment to ensure that it meets a set of
basic process criteria
 Understand the different approaches used for assessing software process
 Explain personal and team process models

2.2 PROCESS ASSESSMENT

The existence of software process does not guarantee the timely delivery of the
software and its ability to meet the user’s expectations. The process needs to be
assessed in order to ensure that it meets a set of basic process criteria, which is
essential for implementing the principles of software engineering in an efficient
manner. The process is assessed to evaluate methods, tools, and practices, which
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Process Patterns are used to develop and test the software. The aim of process assessment is to
identify the areas for improvement and suggest a plan for making that improvement.
The main focus areas of process assessment are listed below.
 Obtaining guidance for improving software development and test processes
NOTES
 Obtaining an independent and unbiased review of the process
 Obtaining a baseline (defined as a set of software components and
documents that have been formerly reviewed and accepted; that serves as
the basis for further development) for improving quality and productivity of
processes.
As shown in Figure 2.1, software process assessment examines whether
the software processes are effective and efficient in accomplishing the goals. This
is determined by the capability of selected software processes. The capability of a
process determines whether a process with some variations is capable of meeting
user’s requirements. In addition, it measures the extent to which the software
process meets the user’s requirements. Process assessment is useful to the
organization as it helps in improving the existing processes. In addition, it determines
the strengths, weaknesses and the risks involved in the processes.

Fig. 2.1 Software Process Assessment

Figure 2.1 also shows that process assessment leads to process capability
determination and process improvement. Process capability determination is an
organized assessment, which analyzes the software processes in an organization.
In addition, process capability determination identifies the capabilities of a process
and the risks involved in it. The process improvement identifies the changes to be
made in the software processes. The software capability determination motivates
the organization to perform software process improvement.
Different approaches are used for assessing software process. These
approaches are SPICE (ISO/IEC15504), ISO 9001:2000, standard CMMI
assessment method for process improvement, CMM-based appraisal for
internal process improvement, and Bootstrap.
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SPICE (ISO/IEC15504) Process Patterns

SPICE (Software Process Improvement and Capability Determination) is a standard

used for both process improvement and process capability determination. SPICE
provides a framework for assessing the software process and is used by the NOTES
organizations involved in planning, monitoring, developing, managing, and improving
acquisitions. It is carried out in accordance with the International Organization for
Standardization (ISO) and International Electro-technical Committee (IEC), which
are used together and known as ISO/IEC 15504. The functions of SPICE (ISO/
IEC 15504) are listed below.
 To develop process-rating profiles instead of pass or fail criteria
 To consider the environment in which the assessed process operates
 To facilitate self assessment
 To ensure suitability for all applications and all sizes of organizations.
SPICE (ISO/IEC 15504) constitutes a set of documents that is used to
guide goals and fundamental activities and grade the organization according to its
level of capability. In addition, it determines the capability of a process in an
organization, based on the results of the assessment of the processes and products.
It also develops a maturity model for process improvement. This model is known
as SPICE reference model as shown in Figure 2.2. It is applicable for all
processes and comprises following six levels.
 Not performed: At this level, the processes are unable to accomplish the
required outcomes. Thus, no identifiable products are created.
 Performed informally:At this level, the implemented process accomplishes
the defined outcomes. It is not planned and tracked; rather it depends on
individual knowledge and identifiable products.
 Planned and tracked: At this level, the defined process delivers products
according to quality requirements within a specified time. The processes
and products are verified according to the procedures, standards, and
requirements.
 Well-defined: At this level, the processes based on software engineering
principles which are capable of achieving defined outcomes are used.
 Quantitatively controlled: At this level, the performance measures,
prediction capability and objective management are evaluated quantitatively.
In addition, existing processes perform consistently within the defined limits
to accomplish the desired outputs.
 Continuously improved: At this level, the existing processes adapt to meet
future business goals. For continuous improvement, various kinds of statistical
methods are used.

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Process Patterns

NOTES

Fig. 2.2 SPICE Reference Model

ISO 9001:2000
ISO (International Organization for Standardization) established a standard known
as ISO 9001:2000 to determine the requirements of quality management systems.
A quality management system refers to the activities within an organization,
which satisfies the quality related expectations of customers. Organizations ensure
that they have a quality management system by demonstrating their conformance
to the ISO 9001:2000 standard. The major advantage of this standard is that it
achieves a better understanding and consistency of all quality practices throughout
the organization. In addition, it strengthens the customer’s confidence in the product.
This standard follows a plan-do-check-act (PDCA) cycle (see Figure 2.3), which
includes a set of activities that are listed below.
 Plan: Determines the processes and resources which are required to develop
a quality product according to the user’s satisfaction.
 Do: Performs activities according to the plan to create the desired product.
 Check: Measures whether the activities for establishing qualitymanagement
according to the requirements are accomplished. In addition, it monitors
the processes and takes corrective actions to improve them.
 Act: Initiates activities which constantly improve processes in the
organization.

Fig. 2.3 Cycle in ISO 9001:2000

Note: The standard ISO 9001:2000 enhances the quality of a product by utilizing the processes for
continual improvement of the system.
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Standard CMMI Appraisal Method for Process Improvement (SCAMPI) Process Patterns

An appraisal examines processes to determine their strengths and weaknesses in

an organization. The appraisal used in an organization evaluates the internal
processes (series of procedures occurring in the organization) for establishing or NOTES
updating process improvement. In addition, appraisal includes measuring the
process improvement progress by conducting audits of the processes. To conduct
an appraisal, a scheme known as SCAMPI was developed by the Software
Engineering Institute (SEI).
SCAMPI is used for process improvement bygaining insight into the process
capability in the organization. The major advantage of SCAMPI is that it supports
process improvement and establishes a consensus within the organization regarding
areas where the process improvements are needed. The major characteristics of
SCAMPI are listed in Table 2.1.
Table 2.1 SCAMPI Characteristics
Characteristic Description
Accuracy Ratings of the organization reflect its capability,
which is used in comparison to other organizations.
The result of appraisal indicates the strengths and
weaknesses of the appraised organization.
Repeatability Ratings and results of the appraisals are expected
to be consistent with another appraisal conducted
under comparable conditions (Another appraisal
with identical scope will produce consistent result).
Cost/Resources effectiveness The appraisal method is efficient as it takes into
account the organizational investment in obtaining
the appraisal results.

SCAMPI enables an organization to select and follow an approach for

developing a plan for appraisal, which is appropriate for the requirements. These
appraisal requirements in CMMI (ARC) comprise criteria for developing, defining,
and utilizing the appraisal methods (namely, Class A, Class B, and Class C),
which are based on Capability Maturity Model Integration (CMMI) as an
improved framework. The objectives of SCAMPI are listed below.
 To identifystrengths and weaknesses of existing processes in the organization
 To specify an integrated appraisal method for internal process improvement
 To act as a motivation for initiating and focusing on software process
improvement.
SCAMPI is an appropriate tool for benchmarking within the organization.
This process emphasizes a rigorous method that is capable of achieving high
accuracy and reliability of appraisal results. The major characteristics of classes
‘A’, ‘B’, and ‘C’ are listed in Table 2.2. Class ‘A’ assessment method should
satisfy all appraisal requirements of CMMI. The major characteristic of Class ‘A’
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Process Patterns assessment is a detailed assessment of process (es). With a thorough coverage,
the strengths and weaknesses of processes are determined. SCAMPI is a Class
‘A’ assessment method for process improvement.
Class ‘B’ appraisal method should comply with a subset of ARC
NOTES
requirements. As shown in Table 2.2, requirements of the Class ‘A’ method are
optional for Class ‘B’. Class ‘B’ assessment helps the organization to gain insight
into its process capability. It focuses on areas that need improvement. It does not
emphasize detailed coverage and is not efficient for level rating. These types of
appraisals are considered efficient for initial assessment in organizations that have
just started to use CMMI for process improvement activities. In addition, it is
useful in providing a cost-effective measure for performing interim assessment and
capability evaluations.
Table 2.2 Characteristics of Appraisal Methods
Characteristic Class A Class B Class C
Amount of relative objectives gathered High Medium Low
Ratings generated Yes No No
Relative resources required High Medium Low
Team size required for appraisal Large Medium Small

Class ‘C’ appraisal methods are inexpensive and used for a short duration.
In addition, they provide quick feedback to the result of the assessment. In other
words, these appraisal methods are useful for periodic assessment of the projects.
Class ‘B’ and Class ‘C’ appraisals are useful for organizations that do not
require generation of ratings. The primary reason for all appraisal methods should
be to identify the strengths and weaknesses of the processes for their improvements.
CMM-based Appraisal for Internal Process Improvement (CBA IPI)
CBA-IPItool is used in an organization to gain insight into the software development
capability. For this, the strengths and weaknesses of the existing process are
identified in order to prioritize software improvement plans and focus on software
improvements, which are beneficial to the organization. The organization’s software
process capability is assessed by a group of individuals known as the assessment
team, which generates findings and provides ratings according to the CMM
(Capability Maturity Model). These findings are collected from questionnaires,
document reviews and interviews with the managers of the organization. Thus, the
primary goal of CBA IPI is to provide an actual picture of the existing processes in
an organization. To achieve this, the assessment team performs the following
functions.
 Provides data as a baseline to the organization in order to check its software
capability
 Identifies issues that have an impact on the process improvement
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  Provides sufficiently complete findings to the organization. These are used Process Patterns

to guide the organization in planning and prioritizing future process

improvement activities.
For an assessment to be considered in CBA IPI, it should satisfy the minimum
NOTES
requirements concerning the assessment team, assessment plan, data collection,
data validation, and reporting of the assessment results. These requirements are
listed in Table 2.3.
Table 2.3 Requirements in CBA IPI
Requirement Description
Assessment The size of the team should be minimum 4 and maximum 10
team individuals. At least one team member should be from the
organization.
Assessment Contains goals for the assessment process. In addition, it has a
plan schedule for assessment activities and identifies the resources
required to perform the assessment. The assessment plan
considers risks and the constraints, which are associated with
the execution of the assessment.
Data collection Data for process assessment is collected in the form of
instruments, presentations, and documents.
Data validation Data is validated using the rules of documentation.
Reporting of Provides summary of the whole assessment process, which
assessment presents both the strengths, and weaknesses of the processes.

The CBA IPI method is similar to SCAMPI as both are used for process
assessment in an organization. However, differences do exist between the two
approaches. These differences are listed in Table 2.4.
Table 2.4 Differences between CBA IPI and SCAMPI
Issue CBA IPI SCAMPI
Model based Capability Maturity Model (CMM) Capability Maturity Model
Integration (CMMI)
Licensing No Yes
Authorization Through training in assessor Through training in
appraisal program program
Cost Less external cost due to internal Costly due to model scope,
resource usage appraisal complexity, and
training
Performance Less rigorous More rigorous
Training Authorized lead assessors Licensed and with
authorized lead appraisers
Note: The CMMI appraisal method provides a consistent rating for organizations to convert their
appraisal ratings into a maturity level.

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Process Patterns Bootstrap
Bootstrap is an improvement on SEI approaches for process assessment and
improvement and covers the requirements laid by ISO 9000. This approach
NOTES evaluates and improves the quality of software development and management
process of an organization. It defines a framework for assessing and promoting
process improvement. The basic objectives of this approach are listed below.
 To support evaluation of the process capability
 To identifythe strengths and weaknesses of the processes in the organization
being assessed
 To support the accomplishment of goals in an organization by planning
improved actions
 To increase the effectiveness of the processes while implementing standard
requirements in the organization.
The main feature of the bootstrap approach is the assessment process, which
leads to an improvement in the software development processes. During the
assessment, the organizational processes are evaluated to define each process.
Note that after the assessment is done, data is collected in a central database. In
addition, it provides two questionnaires (forms containing a set of questions, which
are distributed to people to gain statistical information): the first to gather data
about the organization that develops the software and the second to gather data
about the projects.

2.3 PERSONAL AND TEAM PROCESS MODELS

It is a structured software development process which is planned for software
engineers to better understand and enhance their performance bybringing discipline
to the waythey develop software and tracing their predicted and actual development
of the code.
In addition with the personal software process (PSP), the team software
process (TSP) provides operational process framework which is designed to
support teams of managers and engineers organize projects and produce software
products that range in size from small projects of several thousand lines of code
(KLOC) to very large projects greater than half a million lines of code. The TSP
is planned to enhance the quality levels. It also improve productivity of a team’s
software development project, in order to help them better meet the cost and
schedule commitments of developing a software system.

Check Your Progress

1. What is the aim of process assessment?
2. What is the main feature of boot strap?
3. What is the full form of SPICE?
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 Process Patterns
2.4 ANSWERS TO CHECK YOUR PROGRESS
QUESTIONS

1. The aim of process assessment is to identify the areas for improvement and NOTES
suggest a plan for making that improvement.
2. The main feature of the bootstrap approach is the assessment process‚
which leads to an improvement in the software development processes.
3. SPICE stands for Software Process Improvement and Capability
Determination.

2.5 SUMMARY

 The process is assessed to evaluate methods, tools, and practices, which

are used to develop and test the software. The aim of process assessment
is to identify the areas for improvement and suggest a plan for making that
improvement.
 SPICE provides a framework for assessing the software process and is
used by the organizations involved in planning, monitoring, developing,
managing, and improving acquisitions.
 A quality management system refers to the activities within an organization,
which satisfies the quality related expectations of customers.
 An appraisal examines processes to determine their strengths and
weaknesses in an organization. The appraisal used in an organization
evaluates the internal processes (series of procedures occurring in the
organization) for establishing or updating process improvement.
 The organization’s software process capability is assessed by a group of
individuals known as the assessment team, which generates findings and
provides ratings according to the CMM (Capability Maturity Model).
 Team software process (TSP) provides a defined operational process
framework that is designed to help teams of managers and engineers organize
projects and produce software products that range in size from small projects
of several thousand lines of code (KLOC) to very large projects greater
than half a million lines of code.
 TSP was developed and piloted by Watts Humphrey in the late 1990s and
the Technical Reportfor TSP sponsored by the U.S. Department of Defense
was published in November 2000.
 The Personal Software Process (PSP) is a structured software
development process that is intended to help software engineers better
understand and improve their performance by bringing discipline to the way
they develop software and tracking their predicted and actual development
of the code. Self-Instructional
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Process Patterns  The PSPwas created by Watts Humphrey to apply the underlying principles
of the Software Engineering Institute’s (SEI) Capability Maturity
Model (CMM) to the software development practices of a single developer.

NOTES
2.6 KEY WORDS

 SPICE (Software Process Improvement and Capability

Determination): It is a standard used for both process improvement and
process capability determination.
 Quality Management System: It refers to the activities within an
organization, which satisfies the quality related expectations of customers.

2.7 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. Discuss the aim of process assessment.
2. Write the characteristics of SCAMPI method.
3. Discuss the differences between CBA IPI and SCAMPI.
Long Answer Questions
1. Explain the different approaches used for assessing software process.
2. Write a detailed note on CMMI method.

2.8 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New

Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.

2.9 LEARNING OUTCOMES

 The need for process assessment to ensure that
it meets a set ofbasic process criteria
 Understand the different approaches used for assessing software process
 Personal and team process models

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 Process Model

UNIT 3 PROCESS MODEL

Structure NOTES
3.0 Introduction
3.1 Objectives
3.2 Waterfall Model
3.3 Evolutionary Process Models
3.3.1 Incremental Process Model
3.3.2 Spiral Model
3.4 Unified Process
3.5 Answers to Check Your Progress Questions
3.6 Summary
3.7 Key Words
3.8 Self Assessment Questions and Exercises
3.9 Further Readings
3.10 Learning Outcomes

3.0 INTRODUCTION
A process model can be defined as a strategy (also known as software engineering
paradigm), comprising process, methods, and tools layers as well as the general
phases for developing the software. It provides a basis for controlling various
activities required to develop and maintain the software. In addition, it helps the
software development team in facilitating and understanding the activities involved
in the project.
A process model for software engineering depends on the nature and
application of the software project. Thus, it is essential to define process models
for each software project. IEEE defines a process model as ‘a framework containing
the processes, activities, and tasks involved in the development, operation, and
maintenance of a software product, spanning the life of the system from the definition
of its requirements to the termination of its use.’A process model reflects the goals
of software development such as developing a high quality product and meeting
the schedule on time. In addition, it provides a flexible framework for enhancing
the processes. Other advantages of the software process model are listed below.
 Enables effective communication: It enhances understanding and
provides a specific basis for process execution.
 Facilitates process reuse: Process development is a time consuming
and expensive activity. Thus, the software development team utilizes the
existing processes for different projects.
 Effective: Since process models can be used again and again; reusable
processes provide an effective means for implementing processes for
software development.
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Process Model  Facilitates process management: Process models provide a
framework for defining process status criteria and measures for software
development. Thus, effective management is essential to provide a clear
description of the plans for the software project.
NOTES
3.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Explain the waterfall model
 Understand the incremental process model
 Explain the evolutionary process model and unified process

3.2 WATERFALL MODEL

In the waterfall model (also known as the classical life cycle model), the
development of software proceeds linearly and sequentially from requirement
analysis to design, coding, testing, integration, implementation, and maintenance.
Thus, this model is also known as the linear sequential model.

Fig. 3.1 The Waterfall Model

This model is simple to understand and represents processes which are

easy to manage and measure. The waterfall model comprises different phases and
each phase has its distinct goal. Figure 3.1 shows that after the completion of one
phase, the development of software moves to the next phase. Each phase modifies
the intermediate product to develop a new product as an output. The new product
becomes the input of the next process. Table 3.1 lists the inputs and outputs of
each phase of waterfall model.
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 Table 3.1 Inputs and Outputs of each Phase of Waterfall Model Process Model

Input to Phase Process/ Phase Output of the Phase

Requirements defined Requirements analysis Software
requirements
through communication specification document NOTES
Software requirements Design Design specification
specification document document
Design specification Coding Executable software
document modules
Executable software Testing Integrated product
modules
Integrated product Implementation Delivered software
Delivered software Maintenance Changed requirements

As stated earlier, the waterfall model comprises several phases, which are
listed below.
 System/information engineering modeling: This phase establishes the
requirements for all parts of the system. Software being a part of the larger
system, a subset of these requirements is allocated to it. This system view is
necessary when software interacts with other parts of the system including
hardware, databases, and people. System engineering includes collecting
requirements at the system level while information engineering includes
collecting requirements at a level where all decisions regarding business
strategies are taken.
 Requirements analysis: This phase focuses on the requirements of the
software to be developed. It determines the processes that are to be
incorporated during the development of the software. To specify the
requirements, users’ specifications should be clearly understood and their
requirements be analyzed. This phase involves interaction between the users
and the software engineers and produces a document known as Software
Requirements Specification (SRS).
 Design: This phase determines the detailed process of developing the
software after the requirements have been analyzed. It utilizes software
requirements defined by the user and translates them into software
representation. In this phase, the emphasis is on finding solutions to the
problems defined in the requirements analysis phase. The software engineer
is mainly concerned with the data structure, algorithmic detail and interface
representations.
 Coding: This phase emphasizes translation of design into a programming
language using the coding style and guidelines. The programs created should
be easy to read and understand. All the programs written are documented
according to the specification.
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Process Model  Testing: This phase ensures that the software is developed as per the user’s
requirements. Testing is done to check that the software is running efficiently
and withminimum errors. It focuseson the internal logic and external functions
of the software and ensures that all the statements have been exercised
NOTES (tested). Note that testing is a multistage activity, which emphasizes
verification and validation of the software.
 Implementation and maintenance: This phase delivers fully functioning
operational software to the user. Once the software is accepted and deployed
at the user’s end, various changes occur due to changes in the external
environment (these include upgrading a new operating system or addition
of a new peripheral device). The changes also occur due to changing
requirements of the user and changes occurring in the field of technology.
This phase focuses on modifying software, correcting errors, and improving
the performance of the software.
Various advantages and disadvantages associated with the waterfall model
are listed in Table 3.2.
Table 3.2 Advantages and Disadvantages of Waterfall Model

Advantages Disadvantages
 Relatively simple to understand.  Requirements need to be specified
 Each phase of development proceeds before the development proceeds.
sequentially.  The changes of requirements in later
 Allows managerial control where a phases of the waterfall model cannot
schedule with deadlines is set for each be done. This implies that once the
stage of development. software enters the testing phase, it
 Helps in controlling schedules, budgets, becomes difficult to incorporate
and documentation. changes at such a late phase.
 No user involvement and working
version of the software is available
when the software is being developed.
 Does not involve risk management.
 Assumes that requirements are stable
and are frozen across the project span.

3.3 EVOLUTIONARY PROCESS MODELS

Evolutionary software are the models that are iterative in nature. They models
helps the software engineers to develop advance version of an available software,
means initially a rapid version of the product is being developed. After that the
product is developed to more accurate version with the help of the reviewers who
review the product after each release and submit improvements. The main two
evolutionary models are:

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 1. Incremental model Process Model

2. Spiral model
3.3.1 Incremental Process Model
NOTES
The incremental model (also known as iterative enhancement model) comprises
the features of waterfall model in an iterative manner. The waterfall model performs
each phase for developing complete software whereas the incremental model has
phases similar to the linear sequential model and has an iterative nature of
prototyping. As shown in Figure 3.2, during the implementation phase, the project
is divided into small subsets known as increments that are implemented individually.
This model comprises several phases where each phase produces an increment.
These increments are identified in the beginning of the development process and
the entire process from requirements gathering to delivery of the product is carried
out for each increment.
The basic idea of this model is to start the process with requirements and
iteratively enhance the requirements until the final software is implemented. In
addition, as in prototyping, the increment provides feedback from the user specifying
the requirements of the software. This approach is useful as it simplifies the software
development process as implementation of smaller increments is easier than
implementing the entire system.
As shown in Figure 3.2, each stage of incremental model adds some
functionality to the product and passes it on to the next stage. The first increment
is generally known as a core product and is used by the user for a detailed
evaluation. This process results in creation of a plan for the next increment. This
plan determines the modifications (features or functions) of the product in order to
accomplish user requirements. The iteration process, which includes the delivery
of the increments to the user, continues until the software is completely developed.
The increments result in implementations, which are assessed in order to measure
the progress of the product.

Fig. 3.2 The Incremental Model

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Process Model Various advantages and disadvantages associated with the incremental model
are listed in Table 3.3.
Table 3.3 Advantages and Disadvantages of Incremental Model
NOTES Advantages Disadvantages
 Avoids the problems resulting in risk-  Requires planning at the
driven approach in the software. management and technical level.
 Understanding increases through  Becomes invalid when there is time
successive refinements. constraint on the project schedule or
 Performs cost-benefit analysis before when the users cannot accept the
enhancing software with capabilities. phased deliverables.
 Incrementally grows in effective
solution after every iteration.
 Does not involve high complexity
rate.
 Early feedback is generated because
implementation occurs rapidly for a
small subset of the software.

3.3.2 Spiral Model

In the 1980s, Boehm introduced a process model known as the spiral model. The
spiral model comprises activities organized in a spiral, and has many cycles. This
model combines the features of the prototyping model and waterfall model and is
advantageous for large, complex, and expensive projects. It determines
requirements problems in developing the prototypes. In addition, it guides and
measures the need of risk management in each cycle of the spiral model. IEEE
defines the spiral model as ‘a model of the software development process in
which the constituent activities, typical requirements analysis, preliminary
and detailed design, coding, integration, and testing, are performed iteratively
until the software is complete.’
The objective of the spiral model is to emphasize management to evaluate
and resolve risks in the software project. Different areas of risks in the software
project are project overruns, changed requirements, loss of key project personnel,
delay of necessary hardware, competition with other software developers and
technological breakthroughs, which make the project obsolete. Figure 3.3 shows
the spiral model.

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 Table 3.4 Advantages and Disadvantages of Prototyping Model Process Model

Advantages Disadvantages

 Provides a working model to the user early in  If the user is not satisfied by the developed
the process, enabling early assessment and prototype, then a new prototype is developed.
increasing user’s confidence. This process goes on until a perfect prototype NOTES
 The developer gains experience and insight by is developed. Thus, this model is time
developing a prototype thereby resulting in consuming and expensive.
better implementation of requirements.  The developer loses focus of the real purpose
 The prototyping model serves to clarify of prototype and hence, may compromise with
requirements, which are not clear, hence the quality of the software. For example,
reducing ambiguity and improving developers may use some inefficient
communication between the developers and algorithms or inappropriate programming
users. languages while developing the prototype.
 There is a great involvement of users in  Prototyping can lead to false expectations. For
software development. Hence, the example, a situation may be created where the
requirements of the users are met to the user believes that the development of the
greatest extent. system is finished when it is not.
 Helps in reducing risks associated with the  The primary goal of prototyping is speedy
software. development, thus, the system design can
suffer as it is developed in series without
considering integration of all other
components.

Fig. 3.3 The Spiral Model

The steps involved in the spiral model are listed below.

1. Each cycle of the first quadrant commences with identifying the goals for
that cycle. In addition, it determines other alternatives, which are possible in
accomplishing those goals.
2. The next step in the cycle evaluates alternatives based on objectives
and constraints. This process identifies the areas of uncertainty and focuses
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Process Model on significant sources of the project risks. Risk signifies that there is a
possibility that the objectives of the project cannot be accomplished. If so,
the formulation of a cost-effective strategy for resolving risks is followed.
Figure 3.3 shows the strategy, which includes prototyping, simulation,
NOTES benchmarking, administrating user, questionnaires, and risk resolution
technique.
3. The development of the software depends on remaining risks. The third
quadrant develops the final software while considering the risks that can
occur. Risk management considers the time and effort to be devoted to
each project activity such as planning, configuration management, quality
assurance, verification, and testing.
4. The last quadrant plans the next step and includes planning for the next
prototype and thus, comprises the requirements plan, development plan,
integration plan, and test plan.
One of the key features of the spiral model is that each cycle is completed by a
review conducted by the individuals or users. This includes the review of all the
intermediate products, which are developed during the cycles. In addition, it
includes the plan for the next cycle and the resources required for that cycle.
The spiral model is similar to the waterfall model as software requirements
are understood at the early stages in both the models. However, the major risks
involved with developing the final software are resolved in the spiral model. When
these issues are resolved, a detailed design of the software is developed. Note
that processes in the waterfall model are followed by different cycles in the spiral
model as shown in Figure 3.4.

Fig. 3.4 Spiral and Waterfall Models

The spiral model is also similar to the prototyping model as one of the key
features of prototyping is to develop a prototype until the user requirements are
accomplished. The second step of the spiral model functions similarly. The prototype
is developed to clearly understand and achieve the user requirements. If the user
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is not satisfied with the prototype, a new prototype known as operational Process Model

prototype is developed.
Various advantages and disadvantages associated with the spiral model are
listed in Table 3.5.
NOTES
Table 3.5 Advantages and Disadvantages of Spiral Model
Advantages Disadvantages

Avoids the problems resulting in Assessment of project risks and

its
risk-driven approach in the software. resolution is not an easy task.
Specifies a mechanism for software Difficult to estimate budget and
quality assurance activities. schedule in the beginning as
some of
Is utilized by complex and dynamic the analysis is not done until the
projects. design of the software is
developed.
Re-evaluation after each step allows
changes in user perspectives, technology
advances, or financial perspectives.
Estimation of budget and schedule gets
realistic as the work progresses.

3.4 UNIFIED PROCESS

It is an iterative and incremental software development process framework. It is

not only the process but an extensible framework that can be customized according
to the organizational requirements. Rational unified process (RUP) is an extensively
documented refinement of the Unified Process. The Unified Process name is also
used to avoid potential issues of trademark infringement since Rational Unified
Process and RUP are trademarks of IBM.
Various characteristics of unified process are:
1. Iterative and incremental
2. Architecture-centric
3. Risk-focused

Check Your Progress

1. Define waterfall model.
2. Define spiral model.
3. Write one of the key feature of spiral model.
4. What is unified process?

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Process Model
3.5 ANSWERS TO CHECK YOUR PROGRESS
QUESTIONS

NOTES 1. The waterfall model development of software proceeds linearly and

sequentially from requirement analysis to design, coding, testing, integration,
implementation, and maintenance.
2. IEEE defines the spiral model as ‘a model of the software development
process in which the constituent activities, typical requirements analysis,
preliminary and detailed design, coding, integration, and testing, are
performed iteratively until the software is complete.’
3. One of the key features of the spiral model is that each cycle is completed
by a review conducted by the individuals or users. This includes the review
of all the intermediate products, which are developed during the cycles.
4. Unified Process is an iterative and incremental software development
process framework.

3.6 SUMMARY
 The waterfall model (also known as the classical life cycle model), the
development of software proceeds linearly and sequentially from requirement
analysis to design, coding, testing, integration, implementation, and
maintenance.
 The waterfall model performs each phase for developing complete software
whereas the incremental model has phases similar to the linear sequential
model and has an iterative nature of prototyping.
 Evolutionary software are the models that are iterative in nature.
 The incremental model (also known as iterative enhancement model)
comprises the features of waterfall model in an iterative manner. The basic
idea of this model is to start the process with requirements and iteratively
enhance the requirements until the final software is implemented. In addition,
as in prototyping, the increment provides feedback from the user specifying
the requirements of the software. This approach is useful as it simplifies the
software development process as implementation of smaller increments is
easier than implementing the entire system.
 IEEE defines the spiral model as ‘a model of the software development
process in which the constituent activities, typical requirements analysis,
preliminary and detailed design, coding, integration, and testing, are
performed iteratively until the software is complete.’

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  One of the key features of the spiral model is that each cycle is completed Process Model

by a review conducted by the individuals or users. This includes the review

of all the intermediate products, which are developed during the cycles.
 The Unified Process is an iterative and incremental software development
NOTES
process framework. It is not only the process but an extensible framework
that can be customized according to the organizational requirements.
 Rational unified process (RUP) is an extensively documented refinement of
the Unified Process.

3.7 KEY WORDS

 Design: This phase determines the detailed process of developing the
software after the requirements have been analyzed. It utilizes software
requirements defined by the user and translates them into software
representation.
 Coding: This phase emphasizes translation of design into a programming
language using the coding style and guidelines.
 Testing: This phase ensures that the software is developed as per the user’s
requirements. Testing is done to check that the software is running efficiently
and with minimum errors.

3.8 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. Discuss the inputs and outputs of each phase of waterfall model.
2. What are the advantages and disadvantages of waterfall model?
3. Write the advantages and disadvantages of iterative enhancement model.
Long Answer Questions
1. Explain the waterfall model for software development.
2. Explain the iterative enhancement model.
3. Write a note on evolutionary and unified process model.

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Process Model
3.9 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New

NOTES Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

3.10 LEARNING OUTCOMES

 The waterfall model
 Understand the incremental process model
 The evolutionary process model and unified process

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 Design and Construction
BLOCK - II
REQUIREMENT ENGINEERING

NOTES
UNIT 4 DESIGN AND
CONSTRUCTION
Structure
4.0 Introduction
4.1 Objectives
4.2 Requirements Engineering Task
4.2.1 Requirements Engineering Process
4.3 Requirements Validation
4.4 Answers to Check Your Progress Questions
4.5 Summary
4.6 Key Words
4.7 Self Assessment Questions and Exercises
4.8 Further Readings
4.9 Learning Outcomes

4.0 INTRODUCTION
In the software development process, requirement phase is the first software
engineering activity. This phase is a user-dominated phase and translates the ideas
or views into a requirements document. Note that defining and documenting the
user requirements in a concise and unambiguous manner is the first major step to
achieve a high-quality product.
The requirement phase encompasses a set of tasks, which help to specify
the impact of the software on the organization, customers’ needs, and how users
will interact with the developed software. The requirements are the basis of the
system design. If requirements are not correct the end product will also contain
errors.Note that requirements activity like all other software engineering activities
shouldbe adapted to the needs of the process, the project, the product and the
peopleinvolved in the activity. Also, the requirements should be specified at
differentlevels of detail. This is because requirements are meant for people such as
users,business managers, system engineers, and so on. For example, business
managersare interested in knowing which features can be implemented within the
allocatedbudget whereas end-users are interested in knowing how easy it is to use
thefeatures of software.

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Design and Construction
4.1 OBJECTIVES

After going through this unit‚ you will be able to:

NOTES  Define and understand software requirements
 Discuss the guidelines for expressing requirements
 Explain the different types of requirements
 Explain requirement engineering process
 Validate software requirements

4.2 REQUIREMENTS ENGINEERING TASK

Requirement is a condition or capability possessed by the software or system
component in order to solve a real world problem. The problems can be to
automate a part of a system, to correct shortcomings of an existing system, to
control a device, and so on. IEEE defines requirement as ‘(1) A condition or
capability needed by a user to solve a problem or achieve an objective. (2) A
condition or capability that must be met or possessed by a system or system
component to satisfy a contract, standard, specification, or other formally
imposed documents. (3) A documented representation of a condition or
capability as in (1) or (2).’
Requirements describe how a system should act, appear or perform. For
this, when users request for software, they provide an approximation of what the
new system should be capable of doing. Requirements differ from one user to
another and from one business process to another.
Guidelines for Expressing Requirements
The purpose of the requirements document is to provide a basis for the mutual
understanding between the users and the designers of the initial definition of the
software development life cycle (SDLC) including the requirements, operating
environment and development plan.
The requirements document should include the overview, the proposed
methods and procedures, a summary of improvements, a summary of impacts,
security, privacy, internal control considerations, cost considerations, and
alternatives. The requirements section should state the functions required in the
software in quantitative and qualitative terms and how these functions will satisfy
the performance objectives. The requirements document should also specify the
performance requirements such as accuracy, validation, timing, and flexibility.
Inputs, outputs, and data characteristics need to be explained. Finally, the
requirements document needs to describe the operating environment and provide
(or make reference to) a development plan.
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 There is no standard method to express and document requirements. Design and Construction

Requirements can be stated efficiently by the experience of knowledgeable

individuals, observing past requirements, and by following guidelines. Guidelines
act as an efficient method of expressing requirements, which also provide a basis
for software development, system testing, and user satisfaction. The guidelines NOTES
that are commonly followed to document requirements are listed below.
 Sentences and paragraphs should be short and written in active voice. Also,
proper grammar, spelling, and punctuation should be used.
 Conjunctions such as ‘and’ and ‘or’ should be avoided as they indicate the
combination of several requirements in one requirement.
 Each requirement should be stated only once so that it does not create
redundancy in the requirements specification document.
Types of Requirements
Requirements help to understand the behavior of a system, which is described by
various tasks of the system. For example, some of the tasks of a system are to
provide a response to input values, determine the state of data objects, and so on.
Note that requirements are considered prior to the development of the software.
The requirements, which are commonly considered, are classified into three
categories, namely, functional requirements, non-functional requirements, and
domain requirements (see Figure 4.1).

Fig. 4.1 Types of Requirements

Functional Requirements
IEEE defines functional requirements as ‘a function that a system or component
must be able to perform.’ These requirements describe the interaction of software
with its environment and specify the inputs, outputs, external interfaces, and the
functions that should be included in the software. Also, the services provided by
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Design and Construction functional requirements specify the procedure by which the software should react
to particular inputs or behave in particular situations.
To understand functional requirements properly, let us consider the following
example of an online banking system.
NOTES
 The user of the bank should be able to search the desired services from the
available ones.
 There should be appropriate documents for users to read. This implies that
when a user wants to open an account in the bank, the forms must be
available so that the user can open an account.
 After registration, the user should be provided with a unique
acknowledgement number so that he can later be given an account number.
The above mentioned functional requirements describe the specific services
provided by the online banking system. These requirements indicate user
requirements and specify that functional requirements maybe described at different
levels of detail in an online banking system. With the help of these functional
requirements, users can easily view, search and download registration forms and
other information about the bank. On the other hand, if requirements are not stated
properly, they are misinterpreted by software engineers and user requirements are
not met.
The functional requirements should be complete and consistent.
Completeness implies that all the user requirements are defined. Consistency implies
that all requirements are specified clearly without any contradictory definition.
Generally, it is observed that completeness and consistency cannot be achieved in
large software or in a complex system due to the problems that arise while defining
the functional requirements of these systems. The different needs of stakeholders
also prevent the achievement of completeness and consistency. Due to these
reasons, requirements may not be obvious when they are first specified and may
further lead to inconsistencies in the requirements specification.
Non-functional Requirements
The non-functional requirements (also known as quality requirements) are related
to system attributes such as reliability and response time. Non-functional
requirements arise due to user requirements, budget constraints, organizational
policies, and so on. These requirements are not related directly to any particular
function provided by the system.
Non-functional requirements should be accomplished in software to make
it perform efficiently. For example, if an aeroplane is unable to fulfill reliability
requirements, it is not approved for safe operation. Similarly, if a real time control
system is ineffective in accomplishing non-functional requirements, the control
functions cannot operate correctly. Different types of non-functional requirements
are shown in Figure 4.2.
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 The description of different types of non-functional requirements is listed Design and Construction

below.
 Product requirements: These requirements specify how software product
performs. Product requirements comprise the following.
NOTES
o Efficiency requirements: Describe the extent to which the software
makes optimal use of resources, the speed with which the system
executes, and the memory it consumes for its operation. For example,
the system should be able to operate at least three times faster than the
existing system.
o Reliability requirements: Describe the acceptable failure rate of the
software. For example, the software should be able to operate even if a
hazard occurs.

Fig. 4.2 Types of Non-functional Requirements

o Portability requirements: Describe the ease with which the software

can be transferred from one platform to another. For example, it should
be easy to port the software to a different operating system without the
need to redesign the entire software.
o Usability requirements: Describe the ease with which users are able
to operate the software. For example, the software should be able to
provide access to functionality with fewer keystrokes and mouse clicks.
 Organizational requirements: These requirements are derived from the
policies and procedures of an organization. Organizational requirements
comprise the following.
o Delivery requirements: Specify when the software and its
documentation are to be delivered to the user.
o Implementation requirements: Describe requirements such as
programming language and design method.
o Standards requirements: Describe the process standards to be used
during software development. For example, the software should be
developed using standards specified by the ISO and IEEE standards.
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Design and Construction  External requirements: These requirements include all the requirements
that affect the software or its development process externally. External
requirements comprise the following.
o Interoperability requirements: Define the way in which different
NOTES
computer- based systems will interact with each other in one or more
organizations.
o Ethical requirements: Specify the rules and regulations of the software
so that they are acceptable to users.
o Legislative requirements: Ensure that the software operates within
the legal jurisdiction. For example, pirated software should not be sold.
Non-functional requirements are difficult to verify. Hence, it is essential to
write non-functional requirements quantitatively, so that they can be tested.
For this, non-functional requirements metrics are used. These metrics are listed in
Table 4.1.
Table 4.1 Metrics for Non-functional Requirements
Features Measures
Speed Processed transaction/second
User/event response time
Screen refresh rate
Size Amount of memory (KB)
Number of RAM chips.
Ease of use Training time
Number of help windows
Reliability Mean time to failure (MTTF)
Portability of unavailability
Rate of failure occurrence
Robustness Time to restart after failure
Percentage of events causing failure
Probability of data corruption on failure
Portability Percentage of target-dependent statements
Number of target systems

Domain Requirements
Requirements which are derived from the application domain of the system instead
from the needs of the users are known as domain requirements. These
requirements may be new functional requirements or specify a method to perform
some particular computations. In addition, these requirements include any constraint
that may be present in the existing functional requirements.As domain requirements
reflect the fundamentals of the application domain, it is important to understand
these requirements. Also, if these requirements are not fulfilled, it may be difficult
to make the system work as desired.
A system can include a number of domain requirements. For example, it
may comprise a design constraint that describes the user interface, which is capable
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of accessing all the databases used in a system. It is important for a development Design and Construction

team to create databases and interface designs as per established standards.

Similarly, the requirements of the user such as copyright restrictions and security
mechanism for the files and documents used in the system are also domain
requirements. When domain requirements are not expressed clearly, it can result NOTES
in the following difficulties.
 Problem of understandability: When domain requirements are specified
in the language of application domain (such as mathematical expressions), it
becomes difficult for software engineers to understand them.
 Problem of implicitness: When domain experts understand the domain
requirements but do not express these requirements clearly, it may create a
problem (due to incomplete information) for the development team to
understand and implement the requirements in the system.
Note: Information about requirements is stored in a database, which helps the software
development team to understand user requirements and develop the software according to
those requirements.

4.2.1 Requirements Engineering Process

This process is a series of activities that are performed in the requirements phase
to express requirements in the Software Requirements Specification (SRS)
document. It focuses on understanding the requirements and its type so that an
appropriate technique is determined to carry out the Requirements Engineering
(RE) process. The new software developed after collecting requirements either
replaces the existing software or enhances its features and functionality. For example,
the payment mode of the existing software can be changed from payment through
hand-written cheques to electronic payment of bills.
In Figure 4.3, an RE process is shown, which comprises various steps
including feasibility study, requirements elicitation, requirements analysis,
requirements specification, requirements validation, and requirements
management.

Fig. 4.3 Requirements Engineering Process

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Design and Construction The requirements engineering process begins with feasibility study of the
requirements. Then requirements elicitation is performed, which focuses on gathering
user requirements. After the requirements are gathered, an analysis is performed,
which further leads to requirements specification. The output of this is stored in the
NOTES form of software requirements specification document. Next, the requirements
are checked for their completeness and correctness in requirements validation.
Last of all, to understand and control changes to system requirements, requirements
management is performed.
Feasibility Study
Feasibility is defined as the practical extent to which a project can be performed
successfully. To evaluate feasibility, a feasibility studyisperformed, which determines
whether the solution considered to accomplish the requirements is practical and
workable in the software. Information such as resource availability, cost estimation
for software development, benefits of the software to the organization after it is
developed and cost to be incurred on its maintenance are considered during the
feasibility study. The objective of the feasibility study is to establish the reasons for
developing the software that is acceptable to users, adaptable to change and
conformable to established standards. Various other objectives of feasibility study
are listed below.
 To analyze whether the software will meet organizational requirements
 To determine whether the software can be implemented using the current
technology and within the specified budget and schedule
 To determine whether the software can be integrated with other existing
software.
Types of Feasibility
Various types of feasibility that are commonly considered include technical
feasibility, operational feasibility, and economic feasibility (see Figure 4.4).

Fig. 4.4 Types of Feasibility

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Technical Feasibility Design and Construction

Technical feasibility assesses the current resources (such as hardware and software)
and technology, which are required to accomplish user requirements in the software
within the allocated time and budget. For this, the software development team NOTES
ascertains whether the current resources and technology can be upgraded or added
in the software to accomplish specified user requirements. Technical feasibility
also performs the following tasks.
 Analyzes the technical skills and capabilities of the software development
team members
 Determines whether the relevant technology is stable and established
 Ascertains that the technology chosen for software development has a large
number of users so that they can be consulted when problems arise or
improvements are required.
Operational Feasibility
Operational feasibility assesses the extent to which the required software performs
a series of steps to solve business problems and user requirements. This feasibility
is dependent on human resources (software development team) and involves
visualizing whether the software will operate after it is developed and be operative
once it is installed. Operational feasibility also performs the following tasks.
 Determines whether the problems anticipated in user requirements are of
high priority
 Determines whether the solution suggested by the software development
team is acceptable
 Analyzes whether users will adapt to a new software
 Determines whether the organization is satisfied by the alternative solutions
proposed by the software development team.
Economic Feasibility
Economic feasibility determines whether the required software is capable of
generating financial gains for an organization. It involves the cost incurred on the
software development team, estimated cost of hardware and software, cost of
performing feasibility study, and so on. For this, it is essential to consider expenses
made on purchases (such as hardware purchase) and activities required to carry
out software development. In addition, it is necessary to consider the benefits that
can be achieved by developing the software. Software is said to be economically
feasible if it focuses on the issues listed below.
 Cost incurred on software development to produce long-term gains for an
organization

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Design and Construction  Cost required to conduct full software investigation (such as requirements
elicitation and requirements analysis)
 Cost of hardware, software, development team, and training.
NOTES Feasibility Study Process
Feasibility study comprises the following steps.
 Information assessment: Identifies information about whether the system
helps in achieving the objectives of the organization. It also verifies that the
system can be implemented using new technology and within the budget
and whether the system can be integrated with the existing system.
 Information collection: Specifies the sources from where information about
software can be obtained. Generally, these sources include users (who will
operate the software), organization (where the software will be used), and
the software development team (which understands user requirements and
knows how to fulfill them in software).
 Report writing: Uses a feasibility report, which is the conclusion of the
feasibility study by the software development team. It includes the
recommendations whether the software development should continue. This
report may also include information about changes in the software scope,
budget, and schedule and suggestions of any requirements in the system.

Fig. 4.5 Feasibility Study Plan

Figure 4.5 shows the feasibility study plan, which comprises the following
sections.
 General information: Describes the purpose and scope of feasibility study.
It also describes system overview, project references, acronyms and
abbreviations, and points of contact to be used. System overview
provides description about the name of the organization responsible for the
software development, system name or title, system category, operational
status, and so on. Project references provide a list of the references used
to prepare this document such as documents relating to the project or
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 previously developed documents that are related to the project. Acronyms Design and Construction

and abbreviations provide a list of the terms that are used in this document
along with their meanings. Points of contact provide a list of points of
organizational contact with users for information and coordination. For
example, users require assistance to solve problems (such as troubleshooting) NOTES
and collect information such as contact number, e-mail address, and so on.
 Management summary: Provides the following information.
o Environment: Identifies the individuals responsible for software
development. It provides information about input and output
requirements, processing requirements of the software and the interaction
of the software with other software. It also identifies system security
requirements and the system’s processing requirements
o Current functional procedures: Describes the current functional
procedures of the existing system, whether automated or manual. It also
includes the data-flow of the current system and the number of team
members required to operate and maintain the software.
o Functional objective: Provides information about functions of the
system such as new services, increased capacity, and so on.
o Performance objective: Provides information about performance
objectives such as reduced staff and equipment costs, increased
processing speeds of software, and improved controls.
o Assumptions and constraints: Provides information about assumptions
and constraints such as operational life of the proposed software, financial
constraints, changing hardware, software and operating environment,
and availability of information and sources.
o Methodology: Describes the methods that are applied to evaluate the
proposed software in order to reach a feasible alternative. These methods
include survey, modeling, benchmarking, etc.
o Evaluation criteria: Identifies criteria such as cost, priority, development
time, and ease of system use, which are applicable for the development
process to determine the most suitable system option.
o Recommendation: Describes a recommendation for the proposed
system. This includes the delays and acceptable risks.
 Proposed software: Describes the overall concept of the system as well
as the procedure to be used to meet user requirements. In addition, it
provides information about improvements, time and resource costs, and
impacts. Improvements are performed to enhance the functionality and
performance of the existing software. Time and resource costs include the
costs associated with software development from its requirements to its
maintenance and staff training. Impacts describe the possibility of future
happenings and include various types of impacts as listed below.
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Design and Construction o Equipment impacts: Determine new equipment requirements and
changes to be made in the currently available equipment requirements.
o Software impacts: Specify any additions or modifications required in
the existing software and supporting software to adapt to the proposed
NOTES
software.
o Organizational impacts: Describe any changes in organization, staff
and skills requirement.
o Operational impacts: Describe effects on operations such as user-
operating procedures, data processing, data entry procedures, and so
on.
o Developmental impacts: Specify developmental impacts such as
resources required to develop databases, resources required to develop
and test the software, and specific activities to be performed by users
during software development.
o Security impacts: Describe security factors that may influence the
development, design, and continued operation of the proposed software.
 Alternative systems: Provide description of alternative systems, which
are considered in a feasibility study. This also describes the reasons for
choosing a particular alternative system to develop the proposed software
and the reason for rejecting alternative systems.
Note: Economic feasibility uses several methods to perform cost-benefit analysis such as
payback analysis, return on investment (ROI) and present value analysis.

Check Your Progress

1. Define requirement.
2. What are the different types of requirements?

4.3 REQUIREMENTS VALIDATION

The development of software begins once the requirements document is ‘ready’.

One of the objectives of this document is to check whether the delivered software
system is acceptable. For this, it is necessary to ensure that the requirements
specification contains no errors and that it specifies the user’s requirements correctly.
Also, errors present in the SRS will adversely affect the cost if they are detected
later in the development process or when the software is delivered to the user.
Hence, it is desirable to detect errors in the requirements before the design and
development of the software begins. To check all the issues related to requirements,
requirements validation is performed.

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 In the validation phase, the work products produced as a consequence of Design and Construction

requirements engineering are examined for consistency, omissions, and ambiguity.

The basic objective is to ensure that the SRS reflects the actual requirements
accurately and clearly. Other objectives of the requirements document are listed
below. NOTES
 To certify that the SRS contains an acceptable description of the system to
be implemented
 To ensure that the actual requirements of the system are reflected in the
SRS
 To check the requirements document for completeness, accuracy,
consistency, requirement conflict, conformance to standards and technical
errors.
Requirements validation is similar to requirements analysis as both processes
review the gathered requirements. Requirements validation studies the ‘final draft’
of the requirements document while requirements analysis studies the ‘raw
requirements’ from the system stakeholders (users). Requirements validation and
requirements analysis can be summarized as follows:
 Requirements validation: Have we got the requirements right?
 Requirements analysis: Have we got the right requirements?
In Figure 4.6, various inputs such as requirements document,
organizational knowledge, and organizational standards are shown. The
requirements document should be formulated and organized according to the
standards of the organization. The organizational knowledge is used to estimate
the realism of the requirements of the system. The organizational standards are
the specified standards followed by the organization according to which the system
is to be developed.

Fig. 4.6 Requirements Validation

The output of requirements validation is a list of problems and agreed

actions of the problems. The lists of problems indicate the problems encountered
in the requirements document of the requirements validation process. The agreed
actions is a list that displays the actions to be performed to resolve the problems
depicted in the problem list.

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Design and Construction Requirements Review
Requirements validation determines whether the requirements are substantial to
design the system. The problems encountered during requirements validation are
NOTES listed below.
 Unclear stated requirements
 Conflicting requirements are not detected during requirements analysis
 Errors in the requirements elicitation and analysis
 Lack of conformance to quality standards.
To avoid the problems stated above, a requirements review is conducted,
which consists of a review team that performs a systematic analysis of the
requirements. The review team consists of software engineers, users, and other
stakeholders who examine the specification to ensure that the problems associated
with consistency, omissions, and errors are detected and corrected. In addition,
the review team checks whether the work products produced during the
requirements phase conform to the standards specified for the process, project,
and the product.
At the review meeting, each participant goes over the requirements before
the meeting starts and marks the items which are dubious or need clarification.
Checklists are often used for identifying such items. Checklists ensure that no
source of errors, whether major or minor, is overlooked by the reviewers. A‘good’
checklist consists of the following.
 Is the initial state of the system defined?
 Is there a conflict between one requirement and the other?
 Are all requirements specified at the appropriate level of abstraction?
 Is the requirement necessary or does it represent an add-on feature that
may not be essentially implemented?
 Is the requirement bounded and has a clear defined meaning?
 Is each requirement feasible in the technical environment where the product
or system is to be used?
 Is testing possible once the requirement is implemented?
 Are requirements associated with performance, behavior, and operational
characteristics clearly stated?
 Are requirements patterns used to simplify the requirements model?
 Are the requirements consistent with the overall objective specified for the
system/product?
 Have all hardware resources been defined?
 Is the provision for possible future modifications specified?

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  Are functions included as desired by the user (and stakeholder)? Design and Construction

 Can the requirements be implemented in the available budget and technology?

 Are the resources of requirements or any system model (created) stated
clearly? NOTES
The checklists ensure that the requirements reflect users’ needs and provide
groundwork for design. Using the checklists, the participants specify the list of
potential errors they have uncovered. Lastly, the requirements analyst either agrees
to the presence of errors or states that no errors exist.
Other Requirements Validation Techniques
A number of other requirements validation techniques are used either individually
or in conjunction with other techniques to check the entire system or parts of the
system. The selection of the validation technique depends on the appropriateness
and the size of the system to be developed. Some of these techniques are listed
below.
 Test case generation: The requirements specified in the SRS document
should be testable. The test in the validation process can reveal problems in
the requirement. In some cases test becomes difficult to design, which implies
that the requirement is difficult to implement and requires improvement.
 Automated consistency analysis: If the requirements are expressed in
the form of structured or formal notations, then CASE tools can be used to
check the consistency of the system. A requirements database is created
using a CASE tool that checks the entire requirements in the database using
rules of method or notation. The report of all inconsistencies is identified
and managed.
 Prototyping: Prototyping is normally used for validating and eliciting new
requirements of the system. This helps to interpret assumptions and provide
an appropriate feedback about the requirements to the user. For example,
if users have approved a prototype, which consists of graphical user interface,
then the user interface can be considered validated.

Check Your Progress

3. What are domain requirements?
4. Define feasibility study.
5. What is the use of prototyping?

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Design and Construction
4.4 ANSWERS TO CHECK YOUR PROGRESS
QUESTIONS

NOTES 1. Requirement is a condition or capability possessed by the software or system

component in order to solve a real world problem.
2. The requirements, which are commonly considered, are classified into three
categories, namely, functional requirements, non-functional requirements,
and domain requirements.
3. Requirements which are derived from the application domain of the system
instead from the needs of the users are known as domain requirements.
4. Feasibility is defined as the practical extent to which a project can be
performed successfully.
5. Prototyping is normally used for validating and eliciting new requirements
of the system.

4.5 SUMMARY
 Requirement is a condition or capability possessed by the software or system
component in order to solve a real world problem.
 The non-functional requirements (also known as quality requirements) are
related to system attributes such as reliability and response time.
 Requirements which are derived from the application domain of the system
instead from the needs of the users are known as domain requirements.
 Operational feasibility assesses the extent to which the required software
performs a series of steps to solve business problems and user requirements.
 The development of software begins once the requirements document is
‘ready’.
 The requirements document should be formulated and organized according
to the standards of the organization.
 Economic feasibility determines whether the required software is capable
of generating financial gains for an organization. It involves the cost incurred
on the software development team, estimated cost of hardware and software,
cost of performing feasibility study.

4.6 KEY WORDS

 Requirement: Acondition or a capability possessed by software or system

component in order to solve a real world problem.

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  Functional Requirements: The requirements which describe the Design and Construction

functionality or services that software should provide.

 Non-functional Requirements (also known as quality requirements):
The requirements related to system attributes such as reliability and response
NOTES
time.
 Domain Requirements: The requirements which are derived from the
application domain of a system, instead from the needs of the users.

4.7 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. Define requirement.
2. Discuss the guidelines for expressing requirements.
3. What are the different types of requirements?
Long Answer Questions
1. Differentiate between functional and non-functional requirements.
2. Explain the requirement engineering process.
3. What is feasibility study? Explain its types.
4. What are the requirement validation techniques? Explain.

4.8 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New

Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.

4.9 LEARNING OUTCOMES

 Understand software requirements
 The guidelines for expressing requirements
 The different types of requirements
 Requirement engineering process
Validate software requirements

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Building the Analysis Model

UNIT 5 BUILDING THE ANALYSIS

MODEL
NOTES
Structure
5.0 Introduction
5.1 Objectives
5.2 Requirements Elicitation and Analysis
5.3 Data Modeling Concepts
5.4 Object-Oriented Analysis
5.5 Answers to Check Your Progress Questions
5.6 Summary
5.7 Key Words
5.8 Self Assessment Questions and Exercises
5.9 Further Readings
5.10 Learning Outcomes

5.0 INTRODUCTION

In this unit‚ you will learn about the requirement elicitation‚ analysis and data
modeling concepts. Requirement elicitation is a process of collecting information
about software requirements from different individuals. Requirements analysis helps
to understand, interpret, classify, and organize the software requirements in order
to assess the feasibility, completeness, and consistency of the requirements. You
will also learn about the object oriented analysis which is used to describe the
system requirements using prototypes.

5.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Explain various elicitation techniques
 Build the requirement model
 Understand the elements of requirement model
 Explain the data modeling concept
 Understand object-oriented analysis

5.2 REQUIREMENTS ELICITATION AND ANALYSIS

Requirements elicitation (also known as requirements capture and requirements

acquisition) is a process of collecting information about software requirements
from different individuals, such as users and other stakeholders. Stakeholders are
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individuals who are affected by the system, directly or indirectly. They include Building the Analysis Model

project mangers, marketing personnel, consultants, software engineers,

maintenance engineers, and user.
Various issues may arise during requirements elicitation and may cause
NOTES
difficulties in understanding the software requirements. Some of the problems are:
 Problems of Scope: This problem arises when the boundary of software
(that is, scope) is not defined properly. Due to this, it becomes difficult to
identify objectives as well as functions and features to be accomplished in
the software.
 Problems of Understanding: This problem arises when users are not certain
about their requirements and thus are unable to express what they require in
a software and which requirements are feasible. This problem also arises
when users have no or little knowledge of the problem domain and are
unable to understand the limitations of the computing environment of a
software.
 Problems of Volatility: This problem arises when requirements change
over time.
Requirements elicitation uses elicitation techniques, which facilitate a
software engineer to understand user requirements and software requirements
needed to develop the proposed software.
Elicitation techniques
Various elicitation techniques are used to identify the problem, determine its solution,
and identify different approaches for the solution. These techniques also help the
stakeholders to clearly express their requirements by stating all the important
information. The commonly followed elicitation techniques are:
 Interviews: These are conventional ways for eliciting requirements, which
help software engineers, users, and software development team to understand
the problem and suggest solutions for it. For this, the software engineer
interviews the users with a series of questions. When an interview is
conducted, rules are established for users and other stakeholders. In
addition, an agenda is prepared before conducting interviews, which includes
the important points (related to software) to be discussed among users and
other stakeholders. An effective interviews should have the following
characteristics:
o Individuals involved in interviews should be able to accept new ideas.
Also, they should focus on listening to the views of stakeholders related
to requirements and avoid biased views.
o Interviews should be conducted in defined context to requirements
rather than in general terms. For this, users should start with a question
or a requirements proposal.
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Building the Analysis Model  Scenarios: These are descriptions of a sequence of events, which help to
determine possible future outcome before a software is developed or
implemented. Scenarios are used to test whether the software will
accomplish user requirements or not. Also, scenarios help to provide a
NOTES framework for questions to software engineer about users’ tasks. These
questions are asked from users about future conditions (what-if) and
procedure (how) in which they think tasks can be completed. Generally, a
scenario includes the following information:
o Description of what users expect when the scenario starts.
o Description of how to handle the situation when a software is not
functioning properly.
o Description of the state of the software when the scenario ends.
 Prototypes: Prototypes help to clarify unclear requirements. Like scenarios,
prototypes also help users to understand the information they need to provide
to software development team.
 Quality Function Deployment (QFD): This deployment translates user
requirements into technical requirements for the software. For this, QFD
facilitates development team to understand what is valuable to users so that
quality can be maintained throughout software development. QFD identifies
some of the common user requirements, namely:
o General requirements: These requirements describe the system
objectives, which are determined by various requirements elicitation
techniques. Examples of general requirements are graphical displays
requested by users, specific software functions, and so on.
o Expected requirements: These requirements are implicit to software,
as users consider them to be fundamental requirements, which will be
accomplished in the software and hence do not express them. Examples
of expected requirements are ease of software installation, ease of
software and user interaction, and so on.
o Unexpected requirements: These requirements specify the
requirements that are beyond user expectations. These requirements
are not requested by the user but if added to the software, they become
an additional feature of the software. An example of unexpected
requirements is to have word processing software with additional
capabilities, such as page layout capabilities along with the earlier
features.
RequirementS analysis
IEEE defines requirements analysis as ‘(1) the process of studying user needs to
arrive at a definition of a system, hardware, or software requirements. (2) the
process of studying and refining system, hardware, or software requirements.’
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Requirements analysis helps to understand, interpret, classify, and organize the Building the Analysis Model

software requirements in order to assess the feasibility, completeness, and

consistency of the requirements. Various other tasks performed using requirements
analysis are listed below.
NOTES
 To detect and resolve conflicts that arises due to unclear and unspecified
requirements
 To determine operational characteristics of software and how they interact
with the environment
 To understand the problem for which the software is to be developed
 To develop an analysis model to analyze the requirements in the software.
Building the Requirements Model
Software engineers perform requirements analysis and create a requirements
model (also known as analysis model) to provide information of ‘what’ software
should do instead of ‘how’ to fulfill the requirements in software. This model
emphasizes information such as the functions that software should perform, behavior
it should exhibit, and constraints that are applied on the software. This model also
determines the relationship of one component with other components. The clear
and complete requirements specified in the analysis model help the software
development team to develop the software according to those requirements. An
analysis model is created to help the development team to assess the quality of the
software when it is developed. An analysis model helps to define a set of
requirements that can be validated when the software is developed.
Let us consider an example of constructing a study room, where the user
knows the dimensions of the room, the location of doors and windows, and the
available wall space. Before constructing the study room, he provides information
about flooring, wallpaper, and so on to the constructor. This information helps the
constructor to analyze the requirements and prepare an analysis model that describes
the requirements. This model also describes what needs to be done to accomplish
those requirements. Similarly, an analysis model created for the software facilitates
the software development team to understand what is required in the software
and then develop it.
In Figure 5.1, the analysis model connects the system description and design
model. System description provides information about the entire functionality of
the system, which is achieved by implementing the software, hardware and data.
In addition, the analysis model specifies the software design in the form of a design
model, which provides information about the software’s architecture, user interface,
and component level structure.

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NOTES

Fig. 5.1 Analysis Model as Connector

The guidelines followed while creating an analysis model are listed below.
 The model should concentrate on requirements in the problem domain that
are to be accomplished. However, it should not describe the procedure to
accomplish requirements in the system.
 Every element of the analysis model should help in understanding the software
requirements. This model should also describe the information domain,
function and behavior of the system.
 The analysis model should be useful to all stakeholders because every
stakeholder uses this model in his own manner. For example, business
stakeholders use this model to validate requirements whereas software
designers view this model as a basis for design.
 The analysis model should be as simple as possible. For this, additional
diagrams that depict no new or unnecessary information should be avoided.
Also, abbreviations and acronyms should be used instead of complete
notations.
Elements of requirements model
Requirements for a computer-based system can be represented in different ways.
Some people believe that it is better to chose one mode of representation whereas
others believe that requirements model should be described using different modes
as different modes of representation allow considering the requirements from
different perspectives.
Each requirements model consists of some set of elements which are specific
to that model only. However, there exists a set of generic elements, which are
common to most of the analysis models. These elements are as follows:
 Scenario-based elements: Scenario based elements form the first part of
the analysis model that is developed. These elements act as input for the
creation of other modeling elements. Scenario-based modeling gives a high
level idea of the system from the user’s point of view. The basic use cases,
use-case diagrams and activity diagrams are the examples of scenario-based
elements.

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  Class-based elements: A class is a collection of things that have similar Building the Analysis Model

attributes and common behavior. It forms the basis for the objet-oriented
software development. Thus, class-based elements are basically used in
OO software. They give a static view of the system and how the different
parts (or classes) are related. UML class diagrams, analysis packages, CRC NOTES
models and collaboration diagrams are the example of class-based elements.
The UML class diagram lists the attributes of a class and the operations that
can be applied to modify these attributes.
 Behavioral elements: As the name suggests, the behavioral elements depict
the behavior of the system. They describe how the system responds to
external stimuli. State diagrams and activity diagrams are the examples of
behavioral elements. The state transition diagram depicts the various possible
states of a system and the events that cause transition from state to another.
It also lists the actions to be taken in response to a particular event.
 Flow-oriented elements: A computer-based system accepts input in
different forms, transform them using functions and produces output in
different forms. The flow-oriented elements depict how the information flows
throughout the system. Data-flow diagrams (DFD) and control-flow
diagrams are the examples of flow-oriented elements.
Requirements Modeling Approaches
Requirements modeling is a technical representation of the system and there exist
a variety of approaches for building the requirements models. Two common
approaches include structured analysis and object-oriented modeling. Each of
these describes a different manner to represent the data, functional, and behavioral
information of the system.
Structured analysis
Structured analysis is a top-down approach, which focuses on refining the problem
with the help of functions performed in the problem domain and data produced by
these functions. This approach facilitates the software engineer to determine the
information received during analysis and to organize the information in order to
avoid the complexity of the problem. The purpose of structured analysis is to
provide a graphical representation to develop new software or enhance the existing
software.
Object-oriented modeling will be discussed later in this unit.

Check Your Progress

1. What is requirement elicitation?
2. Define prototypes.

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5.3 DATA MODELING CONCEPTS

The data model depicts three interrelated aspects of the system: data objects that
NOTES are to be processed, attributes that characterize the data objects, and the
relationship that links different data objects. Entity relationship (ER) model/diagram
is the most commonly used model for data modeling.
Entity relationship diagram
IEEE defines ER diagram as ‘a diagram that depicts a set of real-world entities
and the logical relationships among them’. This diagram depicts entities, the
relationships between them, and the attributes pictorially in order to provide a
high-level description of conceptual data models.An ER diagram is used in different
phases of software development.
Once an ER diagram is created, the information represented by it is stored
in the database. Note that the information depicted in an ER diagram is independent
of the type of database and can later be used to create database of any kind, such
as relational database, network database, or hierarchical database. An ER diagram
comprises data objects and entities, data attributes, relationships, and
cardinality and modality.
Data objects and entities
Data object is a representation of composite information used by software.
Composite information refers to different features or attributes of a data object
and this object can be in any of the following forms:
 External entity: describes the data that produces or accepts information.
For example, a report.
 Occurrence: describes an action of a process. For example, a telephone
call.
 Event: describes a happening that occurs at a specific place or time. For
example, an alarm.
 Role: describes the actions or activities assigned to an individual or object.
For example, a systems analyst.
 Place: describes the location of objects or storage area. For example, a
wardrobe.
 Structure: describes the arrangement and composition of objects. For
example, a file.
An entity is the data that stores information about the system in a database.
Examples of an entity include real world objects, transactions, and persons.

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Data attributes
Data attributes describe the properties of a data object. Attributes that identify
entities are known as key attributes. On the other hand, attributes that describe
an entity are known as non-key attributes. Generally, a data attribute is used to NOTES
perform the following functions:
 Naming an instance (occurrence) of data object.
 Description of the instance.
 Making reference to another instance in another table.
Data attributes help to identify and classify an occurrence of entity or a
relationship. These attributes represent the information required to develop software
and there can be several attributes for a single entity. For example, attributes of
‘account’ entity are ‘number’, ‘balance’, and so on. Similarly, attributes of ‘user’
entity are ‘name’, ‘address’, and ‘age’. However, it is important to consider the
maximum attributes during requirements elicitation because with more attributes,
it is easier for a software development team to develop a software. In case some
of the data attributes are not applicable, they can be discarded at a later stage.
Relationships
Entities are linked to each other in different ways. This link or connection of data
objects or entities with each other is known as relationship. Note that there
should be at least two entities to establish a relationship between them. Once the
entities are identified, the software development team checks whether relationship
exists between them or not. Each relationship has a name, modality or optionality
(whether the relationship is optional or mandatory), and degree (number of entities
participating in the relationship). These attributes confirm the validity of a given
relationship.
To understand entities, data attributes, and relationship, let us consider
an example. Suppose in a computerized banking system, one of the processes is
to use saving account, which includes two entities, namely, ‘user’ and ‘account’.
Each ‘user’ has a unique ‘account number’, which makes it easy for the bank to
refer to a particular registered user. On the other hand, ‘account’ entity is used to
deposit cash and cheque and to withdraw cash from the saving account. Depending
upon the type and nature of transactions, an account can be of various types such
as current account, saving account, or over-draft account. The relationship between
the user and the account can be described as ‘user has account in a bank’.
In Figure 5.2, entities are represented by rectangles, attributes are
represented by ellipses, and relationships are represented by diamond symbols. A
key attribute is also depicted by an ellipse but with a line below it. This line below
the text in the ellipse indicates the uniqueness of each entity.

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NOTES

Fig. 5.2 ER Diagram of Banking System

Cardinality and Modality

Although data objects, data attributes, and relationships are essential for structured
analysis, additional information about them is required to understand the information
domain of the problem. This information includes cardinality and modality.
Cardinality specifies the number of occurrences (instances) of one data object
or entity that relates to the number of occurrence of another data object or entity.
There exist three types of cardinality, which are as follows:
 One-to-one (1:1): Indicates that one instance of an entity is related only to
one instance of another entity. For example, in a database of users in a
bank, each user is related to only one account number.
 One-to-many relationship (1:M): Indicates that one instance of an entity
is related to several instances of another entity. For example, one user can
have many accounts in different banks.
 Many-to-many relationship (M:M): Indicates that many instances of
entities are related to several instances of another entity. For example, many
users can have their accounts in many banks.
Modality (also known as optionality) describes the possibility whether a
relationship between two or more entities and data objects is required. The modality
of a relationship is 0 if the relationship is optional. However, the modality is 1 if an
occurrence of the relationship is essential.
To understand the concept of cardinality and modality properly, let us
consider an example. In Figure 5.3, ‘user’ entity is related to ‘order’ entity. Here,
cardinality for ‘user’ entity indicates that the user places an order whereas modality
for ‘user’entity indicates that it is necessary for a user to place an order. Cardinality
for ‘order’ indicates that a single user can place many orders whereas modality for
‘order’ entity indicates that a user can arrive without any ‘order’.
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 Building the Analysis Model

NOTES

Fig. 5.3 Cardinality and Modality

5.4 OBJECT-ORIENTED ANALYSIS

Nowadays, an object-oriented approach is used to describe system requirements

using prototypes. This approach is performed using object-oriented modelling
(also known as object-oriented analysis), which analyses the problem domain
and then partitions the problem with the help of objects. An object is an entity that
represents a concept and performs a well-defined task in the problem domain.
For this, an object contains information of the state and provides services to entities,
which are outside the object(s). The state of an object changes when it provides
services to other entities.
The object-oriented modelling defines a system as a set of objects, which
interact with each other by the services they provide. In addition, objects interact
with users through their services so that they can avail the required services in the
system. To understand object-oriented analysis, it is important to understand the
various concepts used in an object-oriented environment. Some of the commonly
used concepts are listed in Table 5.1.
Table 5.1 Object-Oriented Concepts

Name Description
Object An instance of a class used to describe the entity.
Class A collection of similar objects, which encapsulate data and
procedural abstractions in order to describe their states and the
operations to be performed by them.
Attribute A collection of data values that describe the state of a class.
Operation Also known as methods and services, it provides a means to
modify the state of a class.
Superclass Also known as base class, it is a generalization of a collection
of classes related to it.
Subclass A specialization of superclass and inherits the attributes and
operations from the superclass.
Inheritance A process in which an object inherits some or all the features of
a superclass.
Polymorphism An ability of objects to be used in more than one form in one or
more classes.

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Building the Analysis Model Generally, it is considered that object-oriented systems are easier to develop and
maintain. Also, it is considered that the transition from object-oriented analysis to
object-oriented design can be done easily. This is because object-oriented analysis
is resilient to changes as objects are more stable than functions that are used in
NOTES structured analysis. Note that object-oriented analysis comprises a number of
steps, which includes identifying objects, identifying structures, identifying attributes,
identifying associations and defining services (see Figure 5.4).

Fig. 5.4 Steps in Object-Oriented Analysis

Identifying objects
While performing an analysis, an object encapsulates the attributes on which it
provides the services. Note that an object represents entities in a problem domain.
The identification of the objects starts by viewing the problem space and its
description. Then, a summary of the problem space is gathered to consider the
‘nouns’. Nouns indicate the entities used in problem space and which will further
be modelled as objects. Some examples of nouns that can be modelled as objects
are structures, events, roles and locations.
Identifying structures
Structures depict the hierarchies that exist between the objects. Object modelling
applies the concept of generalization and specialization to define hierarchies and
to represent the relationships between the objects. As mentioned earlier, superclass
is a collection of classes that can further be refined into one or more subclasses.
Note that a subclass can have its own attributes and services apart from the
attributes and services inherited from its superclass. To understand generalization
and specialization, consider an example of class ‘car’. Here, ‘car’ is a superclass,
which has attributes, such as wheels, doors and windows. There may be one or
more subclasses of a superclass. For instance, a superclass ‘car’ has subclasses
‘Mercedes’ and ‘Toyota’, which have the inherited attributes along with their own
attributes, such as comfort, locking system, and so on.
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 It is essential to consider the objects that can be identified as generalization Building the Analysis Model

so that the classification of structure can be identified. In addition, the objects in

the problem domain should be determined to check whether theycould be classified
into specializations or not. Note that the specialization should be meaningful for
the problem domain. NOTES

Identifying attributes
Attributes add details about an object and store the data for the object. For
example, the class ‘book’ has attributes, such as author name, ISBN and publication
house. The data about these attributes is stored in the form of values and are
hidden from outside the objects. However, these attributes are accessed and
manipulated by the service functions used for that object. The attributes to be
considered about an object depend on the problem and the requirement for that
attribute. For example, while modelling the student admission system, attributes,
such as age and qualification are required for the object ‘student’. On the other
hand, while modelling for hospital management system, the attribute ‘qualification’
is unnecessary and requires other attributes of class ‘student’, such as gender,
height and weight. In short, it can be said that while using an object, only the
attributes that are relevant and required by the problem domain should be
considered.
Identifying associations
Associations describe the relationship between the instances of several classes.
For example, an instance of class ‘university’ is related to an instance of class
‘person’ by ‘educates’ relationship. Note that there is no relationship between the
class ‘university’and class ‘person’. However, only the instance(s) of class ‘person’
(that is, student) is related to class ‘university’. This is similar to entity–relationship
modelling, where one instance can be related by 1:1, 1:M, and M:M relationships.
An association mayhave its own attributes, which may or maynot be present
in other objects. Depending on the requirement, the attributes of the association
can be ‘forced’ to belong to one or more objects without losing the information.
However, this should not be done unless the attribute itself belongs to that object.
Defining services
As mentioned earlier, an object performs some services. These services are carried
out when the object receives a message for it. Services are a medium to change
the state of an object or carry out a process. These services describe the tasks
and processes provided by a system. It is important to consider the ‘occur’ services
in order to create, destroy and maintain the instances of an object. To identify the
services, the system states are defined and then the external events and the required
responses are described. For this, the services provided by objects should be
considered.

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Building the Analysis Model

Check Your Progress

3. Define ER diagram.
NOTES 4. What is object oriented modeling?

5.5 ANSWERS TO CHECK YOUR PROGRESS

QUESTIONS

1. Requirements elicitation (also known as requirements capture and

requirements acquisition) is a process of collecting information about
software requirements from different individuals, such as users and other
stakeholders.
2. Prototypes help to clarify unclear requirements. Like scenarios, prototypes
also help users to understand the information they need to provide to software
development team.
3. IEEE defines ER diagram as ‘a diagram that depicts a set of real-world
entities and the logical relationships among them’.
4. The object-oriented modelling defines a system as a set of objects, which
interact with each other by the services they provide. In addition, objects
interact with users through their services so that they can avail the required
services in the system.

5.6 SUMMARY

 Requirements elicitation is a process of collecting information about software

requirements from different individuals, such as users and other stakeholders.
 Requirements analysis helps to understand, interpret, classify, and organize
the software requirements in order to assess the feasibility, completeness,
and consistency of the requirements.
 The data model depicts three interrelated aspects of the system: data objects
that are to be processed, attributes that characterize the data objects, and
the relationship that links different data objects.
 Entities are linked to each other in different ways. This link or connection of
data objects or entities with each other is known as relationship.
 Data objects, data attributes, and relationships are essential for structured
analysis, additional information about them is required to understand the
information domain of the problem. This information includes cardinality
and modality.

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  An object-oriented approach is used to describe system requirements using Building the Analysis Model

prototypes. This approach is performed using object-oriented modelling,

which analyses the problem domain and then partitions the problem with
the help of objects.
NOTES
 Structures depict the hierarchies that exist between the objects. Object
modelling applies the concept of generalization and specialization to define
hierarchies and to represent the relationships between the objects.
 While performing an analysis, an object encapsulates the attributes on which
it provides the services.

5.7 KEY WORDS

 One-to-One (1:1): Indicates that one instance of an entity is related only
to one instance of another entity.
 One-to-Many Relationship (1:M): Indicates that one instance of an entity
is related to several instances of another entity.
 Many-to-Many Relationship (M:M): Indicates that many instances of
entities are related to several instances of another entity.

5.8 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. What are the some problems that may arise during software elicitation?
2. What do you understand by requirement analysis?
3. What are the elements of requirement model?
Long Answer Questions
1. Explain the various types of elicitation techniques.
2. What are the requirements modeling approaches?
3. Write the significance of data modeling.

5.9 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New

Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.

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Building the Analysis Model Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
NOTES Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

5.10 LEARNING OUTCOMES

 Various elicitation techniques
 The requirement model
 Understand the elements of requirement model
 The data modeling concept
 Understand object-oriented analysis

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 Modeling

UNIT 6 MODELING
Structure NOTES
6.0 Introduction
6.1 Objectives
6.2 Scenario-Based Modeling
6.3 Flow Modeling
6.4 Class Modeling
6.5 Behavioral Modeling
6.6 Answers to Check Your Progress Questions
6.7 Summary
6.8 Key Words
6.9 Self Assessment Questions and Exercises
6.10 Further Readings
6.11 Learning Outcomes

6.0 INTRODUCTION
In this unit‚ you will learn about the scenario-based modeling‚ flow modeling‚
class modeling and behavioral modeling. Software models are ways of expressing
a software design. Usually some sort of abstract language or pictures are used to
express the software design.

6.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Understand scenario-based modeling
 Explain flow based modeling
 Explain the class and behavioral modeling

6.2 SCENARIO-BASED MODELING

While developing a software, it is essential for the development team to consider

user satisfaction as a top priority to make the software successful. For this, the
development team needs to understand how users will interact with the system.
This information helps the team to carefully characterize each user requirement
and then create a meaningful and relevant analysis model and design model. For
this, the software engineer creates scenarios in the form of use-cases to describe
the system from users’ perspective.

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Use-case diagrams
Use-cases describe the tasks or series of tasks in which the users will use the
software under a specific set of conditions. Each use-case provides one or more
NOTES scenarios in order to understand how a system should interact with another system
to accomplish the required task. Note that use-cases do not provide description
about the implementation of software.
Use-cases are represented with the help of a use-case diagram, which depicts
the relationships among actors and use-cases within a system. A use-case diagram
describes what exists outside the system (actors) and what should be performed
by the system (use-cases). The notations used to represent a use-case diagram
are listed in Table 6.1.
Table 6.1 Use-Case Notations

Let us consider the example of an online registration of a bank to understand

how users interact with the system. In Figure 6.1, use-case diagram represents
two actors that interact within the system. These actors are user (who interacts
with the system to register in the bank) and the bank staff (who provides facilities
to the user). There are several use-cases in this diagram, namely, request for
registration, display registration form, edit user database, add user name and date,
and update.

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 Modeling

NOTES

Fig. 6.1 Use-case Diagram

6.3 FLOW MODELING

Generally, every system performs three basic functions: input, processing, and
output. The system may accept input in various forms such as a file on disk,
packet from a network, and so on. The system processes this input by performing
some numerical calculations, by applying complex algorithms, and so on to produce
the output. The output from a system may also be in different formats such as text
file, audio, or video form. The flow model represents the essential functionalities of
a system. It depicts the data-flow and data processing along with the control-flow
and control processing throughout the system. The flow model is represented by
data-flow diagrams and control-flow diagrams. Here, we will discuss only the
data-flow diagrams.
Data-flow diagram (DFD)
IEEE defines a data-flow diagram (also known as bubble chart and work flow
diagram) as ‘a diagram that depicts data sources, data sinks, data storage,
and processes performed on data as nodes, and logical flow of data as links
between the nodes’. DFD allows the software development team to depict flow
of data from one or more processes to another. In addition, DFD accomplishes
the following objectives:
 It represents system data in hierarchical manner and with required level of
detail.
 It depicts processes according to defined user requirements and software
scope.
A DFD depicts the flow of data within a system and considers a system that
transforms inputs into the required outputs. When there is complexity in a system,
data needs to be transformed using various steps to produce an output. These
steps are required to refine the information. The objective of DFD is to provide an
overview of the transformations that occur in the input data within the system in
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Modeling A DFD should not be confused with a flowchart. A DFD represents the
flow of data whereas flowchart depicts the flow of control. Also, a DFD does
not depict the information about the procedure to be used for accomplishing the
task. Hence, while making a DFD, procedural details about the processes should
NOTES not be shown. DFD helps a software designer to describe the transformations
taking place in the path of data from input to output.
DFD consists of four basic notations (symbols), which help to depict
information in a system. These notations are listed in Table 6.2.
Table 6.2 DFD Notations

While creating a DFD, certain guidelines are followed to depict the data-
flow of system requirements effectively. These guidelines help to create DFD in an
understandable manner. The commonly followed guidelines for creating DFD are:
 DFD notations should be given meaningful names. For example, verbs should
be used for naming a process whereas nouns should be used for naming
external entity, data store, and data-flow.
 Abbreviations should be avoided in DFD notations.
 Each process should be numbered uniquely but the numbering should be
consistent.
 A DFD should be created in an organized manner so that it is easily
understood.
 Unnecessary notations should be avoided in DFD in order to avoid
complexity.
 A DFD should be logically consistent. For this, processes without any input
or output and any input without output should be avoided.
 There should be no loops in a DFD.
 A DFD should be refined until each process performs a simple function so
that it can be easily represented as a program component.
 A DFD should be organized in a series of levels so that each level provides
more detail than the previous level.
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  The name of a process should be carried to the next level of DFD. Modeling

 Each DFD should not have more than six processes and related data stores.
 The data store should be depicted at the context level where it first describes
an interface between two or more processes. Then, the data store should NOTES
be depicted again in the next level of DFD that describes the related
processes.
There are various levels of DFD, which provide details about the input,
processes, and output of a system. Note that the level of detail of process increases
with increase in level(s). However, these levels do not describe the system’s internal
structure or behaviour. These levels are:
 Level 0 DFD (also known as context diagram): This shows an overall
view of the system.
 Level 1 DFD: This elaborates level 0 DFD and splits the process into a
detailed form.
 Level 2 DFD: This elaborates level 1 DFD and displays the process(s) in
a more detailed form.
 Level 3 DFD: This elaborates level 2 DFD and displays the process(s) in
a detailed form.
To understand various levels of DFD, let us consider an example of banking
system. In Figure 6.2, level 0 DFD is drawn. This DFD represents how a ‘user’
entity interacts with a ‘banking system’ process and avails its services. The level 0
DFD depicts the entire banking system as a single process. There are various
tasks performed in a bank, such as transaction processing, pass book entry,
registration, demand draft creation, and online help. The data-flow indicates that
these tasks are performed by both the user and the bank. Once the user performs
a transaction, the bank verifies whether the user is registered in the bank or not.

Fig. 6.2 Level 0 DFD of Banking System

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Modeling The level 0 DFD is expanded in level 1 DFD (see Figure 6.3). In this DFD,
the ‘user’entity is related to several processes in the bank, which include ‘register’,
‘user support’, and ‘provide cash’. Transaction can be performed if the user is
already registered in the bank. Once the user is registered, he can perform
NOTES transaction by the processes, namely, ‘deposit cheque’, ‘deposit cash’, and
‘withdraw cash’. Note that the line in the process symbol indicates the level of
process and contains a unique identifier in the form of a number. If the user is
performing transaction to deposit cheque, the user needs to provide a cheque to
the bank. The user’s information, such as name, address, and account number is
stored in ‘user_detail’ data store, which is a database. If cash is to be deposited
and withdrawn, then, the information about the deposited cash is stored in
‘cash_detail’ data store. User can get a demand draft created by providing cash
to the bank. It is not necessary for the user to be registered in that bank to have a
demand draft. The details of amount of cash and date are stored in ‘DD_detail’
data store. Once the demand draft is prepared, its receipt is provided to the user.
The ‘user support’ process helps users by providing answers to their queries related
to the services available in the bank.

Fig. 6.3 Level 1 DFD to Perform Transaction

Level 1 DFD can be further refined into level 2 DFD for any process of
banking system that has detailed tasks to perform. For instance, level 2 DFD can
be prepared to deposit a cheque, deposit cash, withdraw cash, provide user
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support, and to create a demand draft. However, it is important to maintain the Modeling

continuity of information between the previous levels (level 0 and level 1) and level
2 DFD. As mentioned earlier, the DFD is refined until each process performs a
simple function, which is easy to implement.
NOTES
Let us consider the ‘withdraw cash’ process (as shown in Figure 6.3) to
illustrate the level 2 DFD. The information collected from level 1 DFD acts as an
input to level 2 DFD. Note that ‘withdraw cash’ process is numbered as ‘3’ in
Figure 6.3 and contains further processes, which are numbered as ‘3.1’, ‘3.2’,
‘3.3’, and ‘3.4’ in Figure 6.4. These numbers represent the sublevels of ‘withdraw
cash’ process. To withdraw cash, the bank checks the status of balance in the
user’s account (as shown by ‘check account status’ process) and then allots a
token (shown as ‘allot token’ process). After the user withdraws cash, the balance
in user’s account is updated in the ‘user_detail’ data store and a statement is
provided to the user.

Fig. 6.4 Level 2 DFD to Withdraw Cash

If a particular process of level 2 DFD requires elaboration, then this level is

further refined into level 3 DFD. Let us consider the process ‘check account
status’ (see Figure 6.4) to illustrate level 3 DFD. In Figure 6.5, this process contains
further processes numbered as ‘3.1.1’ and ‘3.1.2’, which describe the sublevels
of ‘check account status’ process. To check the account status, the bank fetches
the account detail (shown as ‘fetch account detail’ process) from the ‘account_detail’
data store. After fetching the details, the balance is read (shown as ‘read balance’
process) from the user’s account. Note that the requirements engineering process
of DFDs continues until each process performs a function that can be easily
implemented as an individual program component.

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Modeling

NOTES

Fig. 6.5 Level 3 DFD to Check Account Status

Data dictionary
Although data-flow diagrams contain meaningful names of notations, they do not
provide complete information about the structure of data-flows. For this, a data
dictionary is used, which is a repository that stores description of data objects to
be used by the software. A data dictionary stores an organized collection of
information about data and their relationships, data-flows, data types, data stores,
processes, and so on. In addition, it helps users to understand the data types and
processes defined along with their uses. It also facilitates the validation of data by
avoiding duplication of entries and provides online access to definitions to the
users.
A data dictionary comprises the source of data, which are data objects and
entities as well as the elements listed here:
 Name: Provides information about the primary name of the data store,
external entity, and data-flow.
 Alias: Describes different names of data objects and entities used.
 Where-used/how-used: Lists all the processes that use data objects and
entities and how they are used in the system. For this, it describes the inputs
to the process, output from the process, and the data store.
 Content description: Provides information about the content with the help
of data dictionary notations (such as ‘=’, ‘+’, and ‘* *’).
 Supplementary information: Provides information about data types, values
used in variables, and limitations of these values.

6.4 CLASS MODELING

Once all the objects in the problem domain are identified, the objects that have the
same characteristics are grouped together to form an object class or simply a
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class. A class is a type definition that defines what attributes each object of that Modeling

class encapsulate and what services it provides. Note that class is just a definition
and it does not create any object and cannot hold any value. When objects of a
class are created, memory for them is allocated.
NOTES
During class modeling, all the classes are identified and represented using
UML class diagrams. The notation for a class is a rectangular box divided into
three sections. The top section contains the class name, middle section contains
the attributes that belong to the class, and the bottom section lists all the services
(operations) provided by the objects of this class. The UML convention is to use
boldface for class name and to capitalize the initial letter of each word in the class
name (see Figure 6.6).

Fig. 6.6 Class Notation in UML

Figure 6.7 shows an example of class diagram depicting Student class,

which has the attributes Roll no, Name, Marks and Grade. The operations that
can be performed on these attributes are Input_Details(), Output_Details(), and
Compute_Grade().

Fig. 6.7 Class Diagram for Student Class

The inheritance relationship between classes is modeled by using

generalization-specialization structure. Generalization defines a hierarchy of
abstraction in which one or more subclasses are inherited from one or more super
classes. In generalization structure, a subclass inherits all or some attributes and
services of a super (or general) class. In addition, the subclass can add more
attributes and services specific to that class. Thus, by using a general class and
inheritance, one can create a specialized version of the general class. It is also
called “is-a-kind-of” relationship. For example, Graduate Student is a kind of
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Modeling Student. Generalization can be shown in a class diagram by a triangle connecting
a super class to its subclasses (see Figure 6.8).

NOTES

Fig. 6.8 Generalization of Student Class

Specialization is just the reverse of generalization in a sense that if a subclass

is seen from a super class, the subclass is seen as a specialized version of super
class, and in reverse, a super class looks like a generalized version of subclass.
For example, in the above hierarchy, the classes Graduate Student and
PostGraduate Student are the specialization of the class Student or that the
class Student is generalization of classes Graduate Student and PostGraduate
Student.
In addition to generalization-specialization, classes also have one more basic
relationship, which is aggregation. Aggregation refers to a component class and it
models the “part-whole” or “is-a-part-of” relationship between a class and its
components. For example, with the class Student, Exam Schedule class as a
component mayexist. This relationship between them can be represented by using
a diamond to denote aggregation as shown in Figure 6.9.

Fig. 6.9 Representation of Aggregation Relationship

6.5 BEHAVIORAL MODELING

Behavioral model depict the overall behavior of the system. A system always
exists in some state—an observable mode of behavior; and it may change its
state in response to some event occurrence in the external environment. The
behavioral model is represented using a state transition diagram.
State transition diagram
The state transition diagram shows the system behavior by depicting its states and
the events that cause the change in system state. To better understand the design
of state transition diagram, consider an object that represents a queue. Figure
6.10 shows the state transition diagram of this queue object. Initially, the queue is
empty and a delete operation on an empty queue results in an error. However,
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when the first element is inserted into the queue, it reaches to intermediate state, Modeling

which is not-empty-not-full. Further insertions will keep the queue in this state until
the maximum size is reached. At this point, the state of the queue changes and it
becomes full. An insertion on the full queue results in an error. The delete operation
can be performed on full as well as not-empty-not-full queue. When an element is NOTES
deleted from the full queue, the queue becomes not-empty-not-full. Further deletions
keep the queue in this state, however, when the last element is deleted from the
queue, the queue becomes empty.

Fig. 6.10 State Transition Diagram for Queue Object

Check Your Progress

1. Define Data flow diagram (DFD).
2. What is Data dictionary?
3. Define class modelling.

6.6 ANSWERS TO CHECK YOUR PROGRESS

QUESTIONS

1. DFD is a diagram that depicts data sources, data sinks, data storage, and
processes performed on data as nodes, and logical flow of data as links
between the nodes.
2. A data dictionary stores an organized collection of information about data
and their relationships, data-flows, data types, data stores, processes.
3. A class is a type definition that defines what attributes each object of that
class encapsulate and what services it provides.

6.7 SUMMARY

 Use-cases describe the tasks or series of tasks in which the users will use
the software under a specific set of conditions.
 Use-cases are represented with the help of a use-case diagram, which depicts
the relationships among actors and use-cases within a system. A use-case
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Modeling diagram describes what exists outside the system (actors) and what should
be performed by the system (use-cases).
 A DFD depicts the flow of data within a system and considers a system that
transforms inputs into the required outputs. When there is complexity in a
NOTES
system, data needs to be transformed using various steps to produce an
output.
 DFD is a diagram that depicts data sources, data sinks, data storage, and
processes performed on data as nodes, and logical flow of data as links
between the nodes.
 A data dictionary stores an organized collection of information about data
and their relationships, data-flows, data types, data stores, processes.
 A class is a type definition that defines what attributes each object of that
class encapsulate and what services it provides. Note that class is just a
definition and it does not create any object and cannot hold any value.
 Behavioral model depict the overall behavior of the system.Asystem always
exists in some state—an observable mode of behavior; and it may change
its state in response to some event occurrence in the external environment.
 The state transition diagram shows the system behavior by depicting its
states and the events that cause the change in system state. To better
understand the design of state transition diagram, consider an object that
represents a queue.

6.8 KEY WORDS

 Data Flow Diagram: It is a way of representing a flow of a data of a
process or a system.
 Class: It is a type definition that defines what attributes each object of that
class encapsulate and what services it provides.
 Data dictionary: A repository that stores description of data objects to be
used by the software.

6.9 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. What do you understand by use-case diagram?
2. Write a note on DFD.
3. Discuss the notations used in DFD.

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Long Answer Questions Modeling

1. Explain the various levels of DFD with the help of examples.

2. Explain the class based modeling.
3. Write a detailed note on behavioral modeling. NOTES

6.10 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New
Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

6.11 LEARNING OUTCOMES

 Understand scenario-based modeling
 Explain flow based modeling
 Explain the class and behavioral modeling

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Design Engineering
BLOCK - III
SYSTEM DESIGN

NOTES
UNIT 7 DESIGN ENGINEERING
Structure
7.0 Introduction
7.1 Objectives
7.2 Basics of Software Design
7.2.1 Software Design Concepts
7.2.2 Types of Design Patterns
7.2.3 Developing a Design Model
7.3 Answers to Check Your Progress Questions
7.4 Summary
7.5 Key Words
7.6 Self Assessment Questions and Exercises
7.7 Further Readings
7.8 Learning Outcomes

7.0 INTRODUCTION
Once the requirements document for the software to be developed is available,
the software design phase begins. While the requirement specification activity deals
entirely with the problem domain, design is the first phase of transforming the
problem into a solution. In the design phase, the customer and business requirements
and technical considerations all come together to formulate a product or a system.
The design process comprises a set of principles, concepts and practices,
which allow a software engineer to model the system or product that is to be built.
This model, known as design model, is assessed for quality and reviewed before
a code is generated and tests are conducted. The design model provides details
about software data structures, architecture, interfaces and components which
are required to implement the system.

7.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Discuss the principles of software design
 Understand the concept of software design
 Explain the different types of design patterns
 Develop a design model

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 Design Engineering
7.2 BASICS OF SOFTWARE DESIGN

Software design is a phase in software engineering, in which a blueprint is developed

to serve as a base for constructing the software system. IEEE defines software NOTES
design as ‘both a process of defining the architecture, components, interfaces,
and other characteristics of a system or component and the result of that
process.’
In the design phase, many critical and strategic decisions are made to achieve
the desired functionality and quality of the system. These decisions are taken into
account to successfully develop the software and carry out its maintenance in a
way that the quality of the end product is improved.
Principles of Software Design
Developing design is a cumbersome process as most expansive errors are often
introduced in this phase. Moreover, if these errors get unnoticed till later phases, it
becomes more difficult to correct them. Therefore, a number of principles are
followed while designing the software. These principles act as a framework for
the designers to follow a good design practice (see Figure 7.1).

Fig. 7.1 Principles of Software Design

Some of the commonly followed design principles are as following.

 Software design should correspond to the analysis model: Often a
design element corresponds to many requirements, therefore, we must know
how thedesign model satisfies all the requirements represented bythe analysis
model.
 Choose the right programming paradigm: A programming paradigm
describes the structure of the software system. Depending on the nature
and type of application, different programming paradigms such as procedure
oriented, object-oriented, and prototyping paradigms can be used. The
paradigm should be chosen keeping constraints in mind such as time,
availability of resources and nature of user’s requirements.
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Design Engineering  Software design should be uniform and integrated: Software design is
considered uniform and integrated, if the interfaces are properly defined
among the design components. For this, rules, format, and styles are
established before the design team starts designing the software.
NOTES
 Software design should be flexible: Software design should be flexible
enough to adapt changes easily. To achieve the flexibility, the basic design
concepts such as abstraction, refinement, and modularity should be applied
effectively.
 Software design should ensure minimal conceptual (semantic) errors:
The design team must ensure that major conceptual errors of design such as
ambiguousness and inconsistency are addressed in advance before dealing
with the syntactical errors present in the design model.
 Software design should be structured to degrade gently: Software
should be designed to handle unusual changes and circumstances, and if the
need arises for termination, it must do so in a proper manner so that
functionality of the software is not affected.
 Software design should represent correspondence between the
software and real-world problem: The software design should be
structured in such a way that it always relates with the real-world problem.
 Software reuse: Software engineers believe on the phrase: ‘do not reinvent
the wheel’. Therefore, software components should be designed in such a
way that they can be effectively reused to increase the productivity.
 Designing for testability: A common practice that has been followed is
to keep the testing phase separate from the design and implementation
phases. That is, first the software is developed (designed and implemented)
and then handed over to the testers who subsequently determine whether
the software is fit for distribution and subsequent use by the customer.
However, it has become apparent that the process of separating testing is
seriously flawed, as if any type of design or implementation errors are found
after implementation, then the entire or a substantial part of the software
requires to be redone. Thus, the test engineers should be involved from the
initial stages. For example, they should be involved with analysts to prepare
tests for determining whether the user requirements are being met.
 Prototyping: Prototyping should be used when the requirements are not
completely defined in the beginning. The user interacts with the developer
to expand and refine the requirements as the development proceeds. Using
prototyping, a quick ‘mock-up’ of the system can be developed. This mock-
up can be used as a effective means to give the users a feel of what the
system will look like and demonstrate functions that will be included in the
developed system. Prototyping also helps in reducing risks of designing
software that is not in accordance with the customer’s requirements.

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 Note that design principles are often constrained by the existing hardware Design Engineering

configuration, the implementation language, the existing file and data structures,
and the existing organizational practices.Also, the evolution of each software design
should be meticulouslydesigned for future evaluations, references and maintenance.
NOTES
7.2.1 Software Design Concepts
Every software process is characterized by basic concepts along with certain
practices or methods. Methods represent the manner through which the concepts
are applied. As new technology replaces older technology, many changes occur in
the methods that are used to apply the concepts for the development of software.
However, the fundamental concepts underlining the software design process remain
the same, some of which are described here.
Abstraction
Abstraction refers to a powerful design tool, which allows software designers to
consider components at an abstract level, while neglecting the implementation
details of the components. IEEE defines abstraction as ‘a view of a problem
that extracts the essential information relevant to a particular purpose and
ignores the remainder of the information.’ The concept of abstraction can be
used in two ways: as a process and as an entity. As a process, it refers to a
mechanism of hiding irrelevant details and representing only the essential features
of an item so that one can focus on important things at a time. As an entity, it
refers to a model or view of an item.
Each step in the software process is accomplished through various levels of
abstraction.At the highest level, an outline of the solution to the problem is presented
whereas at the lower levels, the solution to the problem is presented in detail. For
example, in the requirements analysis phase, a solution to the problem is presented
using the language of problem environment and as we proceed through the software
process, the abstraction level reduces and at the lowest level, source code of the
software is produced.
There are three commonly used abstraction mechanisms in software design,
namely, functional abstraction, data abstraction and control abstraction. All
these mechanisms allow us to control the complexity of the design process by
proceeding from the abstract design model to concrete design model in a systematic
manner.
 Functional abstraction: This involves the use of parameterized
subprograms. Functional abstraction can be generalized as collections of
subprograms referred to as ‘groups’. Within these groups there exist routines
which may be visible or hidden. Visible routines can be used within the
containing groups as well as within other groups, whereas hidden routines
are hidden from other groups and can be used within the containing group
only.
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Design Engineering  Data abstraction: This involves specifying data that describes a data object.
For example, the data object window encompasses a set of attributes
(window type, window dimension) that describe the window object clearly.
In this abstraction mechanism, representation and manipulation details are
NOTES ignored.
 Control abstraction: This states the desired effect, without stating the exact
mechanism of control. For example, if and while statements in programming
languages (like C and C++) are abstractions of machine code
implementations, which involve conditional instructions. In the architectural
design level, this abstraction mechanism permits specifications of sequential
subprogram and exception handlers without the concern for exact details of
implementation.
Architecture
Software architecture refers to the structure of the system, which is composed of
various components of a program/system, the attributes (properties) of those
components and the relationship amongst them. The software architecture enables
the software engineers to analyze the software design efficiently. In addition, it also
helps them in decision-making and handling risks. The software architecture does
the following.
 Provides an insight to all the interested stakeholders that enable them to
communicate with each other
 Highlights early design decisions, which have great impact on the software
engineering activities (like coding and testing) that follow the design phase
 Creates intellectual models of how the system is organized into components
and how these components interact with each other.
Currently, software architecture is represented in an informal and unplanned
manner. Though the architectural concepts are often represented in the infrastructure
(for supporting particular architectural styles) and the initial stages of a system
configuration, the lack of an explicit independent characterization of architecture
restricts the advantages of this design concept in the present scenario. Note that
software architecture comprises two elements of design model, namely, data design
and architectural design. Both these elements have been discussed later in this
unit.
Patterns
A pattern provides a description of the solution to a recurring design problem of
some specific domain in such a way that the solution can be used again and again.
The objective of each pattern is to provide an insight to a designer who can determine
the following.
 Whether the pattern can be reused

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  Whether the pattern is applicable to the current project Design Engineering

 Whether the pattern can be used to develop a similar but functionally or

structurally different design pattern.
7.2.2 Types of Design Patterns NOTES
Software engineer can use the design pattern during the entire software design
process. When the analysis model is developed, the designer can examine the
problem description at different levels of abstraction to determine whether it
complies with one or more of the following types of design patterns.
 Architectural patterns: These patterns are high-level strategies that refer
to the overall structure and organization of a software system. That is, they
define the elements of a software system such as subsystems, components,
classes, etc. In addition, they also indicate the relationship between the
elements along with the rules and guidelines for specifying these relationships.
Note that architectural patterns are often considered equivalent to software
architecture.
 Design patterns: These patterns are medium-level strategies that are used
to solve design problems. They provide a means for the refinement of the
elements (as defined by architectural pattern) of a software system or the
relationship amongthem. Specific design elements such as relationship among
components or mechanisms that affect component-to-component interaction
are addressed by design patterns. Note that design patterns are often
considered equivalent to software components.
 Idioms: These patterns are low-level patterns, which are programming-
language specific. They describe the implementation of a software
component, the method used for interaction among software components,
etc., in a specific programming language. Note that idioms are often termed
as coding patterns.
Modularity
Modularity is achieved by dividing the software into uniquely named and
addressable components, which are also known as modules. A complex system
(large program) is partitioned into a set of discrete modules in such a way that
each module can be developed independent of other modules (see Figure 7.2).
After developing the modules, they are integrated together to meet the software
requirements. Note that larger the number of modules a system is divided into,
greater will be the effort required to integrate the modules.

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Design Engineering

NOTES

Fig. 7.2 Modules in Software Programs

Modularizing a design helps to plan the development in a more effective

manner, accommodate changes easily, conduct testing and debugging effectively
and efficiently, and conduct maintenance work without adversely affecting the
functioning of the software.
Information Hiding
Modules should be specified and designed in such a way that the data structures
and processing details of one module are not accessible to other modules (see
Figure 7.3). They pass only that much information to each other, which is required
to accomplish the software functions. The way of hiding unnecessary details is
referred to as information hiding. IEEE defines information hiding as ‘the
technique of encapsulating software design decisions in modules in such a
way that the module’s interfaces reveal as little as possible about the module’s
inner workings; thus each module is a ‘black box’ to the other modules in the
system.’

Fig. 7.3 Information Hiding

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 Information hiding is of immense use when modifications are required during Design Engineering

the testing and maintenance phase. Some of the advantages associated with
information hiding are listed below.
 Leads to low coupling
NOTES
 Emphasizes communication through controlled interfaces
 Decreases the probability of adverse effects
 Restricts the effects of changes in one component on others
 Results in higher quality software.
Stepwise Refinement
Stepwise refinement is a top-down design strategy used for decomposing a system
from a high level of abstraction into a more detailed level (lower level) of abstraction.
At the highest level of abstraction, function or information is defined conceptually
without providing any information about the internal workings of the function or
internal structure of the data.As we proceed towards the lower levels of abstraction,
more and more details are available.
Software designers start the stepwise refinement process by creating a
sequence of compositions for the system being designed. Each composition is
more detailed than the previous one and contains more components and interactions.
The earlier compositions represent the significant interactions within the system,
while the later compositions show in detail how these interactions are achieved.
To have a clear understanding of the concept, let us consider an example of
stepwise refinement. Every computer program comprises input, process, and
output.
1. INPUT
 Get user’s name (string) through a prompt.
 Get user’s grade (integer from 0 to 100) through a prompt and validate.
2. PROCESS
3. OUTPUT
This is the first step in refinement. The input phase can be refined further as
given here.
1. INPUT
 Get user’s name through a prompt.
 Get user’s grade through a prompt.
 While (invalid grade)
Ask again:
2. PROCESS
3. OUTPUT
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Design Engineering Refactoring
Refactoring is an important design activity that reduces the complexity of module
design keeping its behaviour or function unchanged. Refactoring can be defined as
NOTES a process of modifying a software system to improve the internal structure of
design without changing its external behavior. During the refactoring process, the
existing design is checked for any type of flaws like redundancy, poorly constructed
algorithms and data structures, etc., in order to improve the design. For example,
a design model might yield a component which exhibits low cohesion (like a
component performs four functions that have a limited relationship with one another).
Software designers may decide to refactor the component into four different
components, each exhibiting high cohesion. This leads to easier integration, testing,
and maintenance of the software components.
Structural Partitioning
When the architectural style of a design follows a hierarchical nature, the structure
of the program can be partitioned either horizontally or vertically. In horizontal
partitioning, the control modules (as depicted in the shaded boxes in Figure
7.4(a)) are used to communicate between functions and execute the functions.
Structural partitioning provides the following benefits.
 The testing and maintenance of software becomes easier.
 The negative impacts spread slowly.
 The software can be extended easily.
Besides these advantages, horizontal partitioning has some disadvantage
also. It requires to pass more data across the module interface, which makes the
control-flow of the problem more complex. This usually happens in cases where
data moves rapidly from one function to another.

Fig. 7.4 Horizontal and Vertical Partitioning

In vertical partitioning (see Figure 7.4 (b)), the functionality is distributed

among the modules in a top-down manner. The modules at the top level called
control modules perform the decision-making and do little processing whereas
the modules at the low level called worker modules perform all input, computation
and output tasks.

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Concurrency Design Engineering

Computer has limited resources and they must be utilized efficiently as much as
possible. To utilize these resources efficiently, multiple tasks must be executed
concurrently. This requirement makes concurrency one of the major concepts of NOTES
software design. Every system must be designed to allow multiple processes to
execute concurrently, whenever possible. For example, if the current process is
waiting for some event to occur, the system must execute some other process in
the mean time.
However, concurrent execution of multiple processes sometimes may result
in undesirable situations such as an inconsistent state, deadlock, etc. For example,
consider two processes Aand B and a data item Q1 with the value ‘200’. Further,
suppose A and B are being executed concurrently and firstly A reads the value of
Q1 (which is ‘200’) to add ‘100’ to it. However, before A updates the value of
Q1, B reads the value of Q1 (which is still ‘200’) to add ‘50’ to it. In this situation,
whether Aor B first updates the value of Q1, the value of Q1 would definitely be
wrong resulting in an inconsistent state of the system. This is because the actions
of A and B are not synchronized with each other. Thus, the system must control
the concurrent execution and synchronize the actions of concurrent processes.
One way to achieve synchronization is mutual exclusion, which ensures that
two concurrent processes do not interfere with the actions of each other. To ensure
this, mutual exclusion may use locking technique. In this technique, the processes
need to lock the data item to be read or updated. The data item locked by some
process cannot be accessed by other processes until it is unlocked. It implies that
the process, that needs to access the data item locked by some other process, has
to wait.
7.2.3 Developing a Design Model
To develop a complete specification of design (design model), four design models
are needed (see Figure 7.5). These models are listed below.
 Data design: This specifies the data structures for implementing the software
by converting data objects and their relationships identified during the analysis
phase. Various studies suggest that design engineering should begin with
data design, since this design lays the foundation for all other design models.
 Architectural design: This specifies the relationship between the structural
elements of the software, design patterns, architectural styles, and the factors
affecting the ways in which architecture can be implemented.
 Component-level design: This provides the detailed description of how
structural elements of software will actually be implemented.
 Interface design: This depicts how the software communicates with the
system that interoperates with it and with the end-users.

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Design Engineering

NOTES

Fig. 7.5 Design Model and its Elements

Check Your Progress

1. What is software design?
2. Define abstraction.
3. Discuss modular programming.
4. Define modularity.

7.3 ANSWERS TO CHECK YOUR PROGRESS

QUESTIONS
1. IEEE defines software design as ‘both a process of defining the
architecture, components, interfaces, and other characteristics of a
system or component and the result of that process.’
2. IEEE defines abstraction as ‘a view of a problem that extracts the
essential information relevant to a particular purpose and ignores the
remainder of the information.’
3. Modular programming is a software design technique that emphasizes
separating the functionality of a program into independent, interchangeable
modules.
4. Modularity is achieved by dividing the software into uniquely named and
addressable components, which are also known as modules. A complex
system (large program) is partitioned into a set of discrete modules in such
a way that each module can be developed independent of other modules.

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7.4 SUMMARY

 Software design is a phase in software engineering, in which a blueprint is

developed to serve as a base for constructing the software system. NOTES
 A process of defining the architecture, components, interfaces, and other
characteristics of a system or component and the result of that process.
 Abstraction refers to a powerful design tool, which allows software designers
to consider components at an abstract level, while neglecting the
implementation details of the components.
 Software architecture refers to the structure of the system, which is composed
of various components of a program/system, the attributes (properties) of
those components and the relationship amongst them.
 A pattern provides a description of the solution to a recurring design problem
of some specific domain in such a way that the solution can be used again
and again.
 Modularity is achieved by dividing the software into uniquely named and
addressable components, which are also known as modules.
 Software architecture comprises two elements of design model, namely,
data design and architectural design.

7.5 KEY WORDS

 Abstraction: It is a mechanism to hide irrelevant details and represent only
the essential features so that one can focus on important things at a time.
 Functional Abstraction: It involves the use of parameterized subprograms.
Functional abstraction can be generalized as collections of subprograms
referred to as groups.
 Data Abstraction: It involves specifying data that describes a data object.
The data object window encompasses a set of attributes that describe the
window object clearly.
 Control Abstraction: This states the desired effect, without stating the
exact mechanism of control.

7.6 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. Define software design.
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Design Engineering 2. What do you understand by abstraction?
3. What are the benefits of structural partitioning?
Long Answer Questions
NOTES
1. Explain the various principles of software design.
2. What are the different types of design pattern?
3. Explain how will you develop a design model.

7.7 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New
Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

7.8 LEARNING OUTCOMES

 The principles of software design
 Understand the concept of software design
 The different types of design patterns
 Develop a design model

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 Architectural Design

UNIT 8 ARCHITECTURAL DESIGN

Structure NOTES
8.0 Introduction
8.1 Objectives
8.2 Data Design
8.2.1 Archiectural Design
8.2.2 Architectural Styles
8.3 Answers to Check Your Progress Questions
8.4 Summary
8.5 Key Words
8.6 Self Assessment Questions and Exercises
8.7 Further Readings
8.8 Learning Outcomes

8.0 INTRODUCTION
In this unit‚ you will learn about the architectural design of software. Software
architecture refers to the structure of the system, which is composed of various
components of a program/system, the attributes (properties) of those components
and the relationship amongst them. The software architecture enables the software
engineers to analyze the software design efficiently.

8.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Understand the concept of data design
 Define architectural design
 Understand the models for architectural design representation
 Discuss the architectural styles

8.2 DATA DESIGN

Data design is the first design activity, which results in less complex, modular, and
efficient program structure. The information domain model developed during
analysis phase is transformed into data structures needed for implementing the
software. The data objects, attributes, and relationships depicted in entity
relationship diagrams and the information stored in data dictionary provide a base
for data design activity. During the data design process, data types are specified
along with the integrity rules required for the data. For specifying and designing
efficient data structures, some principles should be followed. These principles are
listed below.
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Architectural Design  The data structures needed for implementing the software as well as the
operations that can be applied on them should be identified.
 A data dictionary should be developed to depict how different data objects
interact with each other and what constraints are to be imposed on the
NOTES
elements of data structure.
 Stepwise refinement should be used in data design process and detailed
design decisions should be made later in the process.
 Only those modules that need to access data stored in a data structure
directly should be aware of the representation of the data structure.
 A library containing the set of useful data structures along with the operations
that can be performed on them should be maintained.
 Language used for developing the system should support abstract data types.
The structure of data can be viewed at three levels, namely, program
component level, application level, and business level. At the program
component level, the design of data structures and the algorithms required to
manipulate them is necessary, if high-quality software is desired.At the application
level, it is crucial to convert the data model into a database so that the specific
business objectives of a system could be achieved. At the business level, the
collection of information stored in different databases should be reorganized into
data warehouse, which enables data mining that has an influential impact on the
business.
Note: Data design helps to represent the data component in the conventional systems and
class definitions in object-oriented systems.

8.2.1 Archiectural Design

Requirements of the software should be transformed into an architecture that
describes the software’s top-level structure and identifies its components. This is
accomplished through architectural design (also called system design), which
acts as a preliminary ‘blueprint’ from which software can be developed. IEEE
defines architectural design as ‘the process of defining a collection of hardware
and software components and their interfaces to establish the framework
for the development of a computer system.’ This framework is established by
examining the software requirements document and designing a model for providing
implementation details. These details are used to specify the components of the
system along with their inputs, outputs, functions, and the interaction between
them. An architectural design performs the following functions.
 It defines an abstraction level at which the designers can specify the functional
and performance behaviour of the system.
 It acts as a guideline for enhancing the system (whenever required) by
describing those features of the system that can be modified easily without
affecting the system integrity.
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  It evaluates all top-level designs. Architectural Design

 It develops and documents top-level design for the external and internal
interfaces.
 It develops preliminary versions of user documentation. NOTES
 It defines and documents preliminary test requirements and the schedule for
software integration.
The sources of architectural design are listed below.
 Information regarding the application domain for the software to be
developed
 Using data-flow diagrams
 Availability of architectural patterns and architectural styles.
Architectural design is of crucial importance in software engineering during
which the essential requirements like reliability, cost, and performance are dealt
with. This task is cumbersome as the software engineering paradigm is shifting
from monolithic, stand-alone, built-from-scratch systems to componentized,
evolvable, standards-based, and product line-oriented systems. Also, a key
challenge for designers is to know precisely how to proceed from requirements to
architectural design. To avoid these problems, designers adopt strategies such as
reusability, componentization, platform-based, standards-based, and so on.
Though the architectural design is the responsibility of developers, some
other people like user representatives, systems engineers, hardware engineers,
and operations personnel are also involved. All these stakeholders must also be
consulted while reviewing the architectural design in order to minimize the risks
and errors.
Architectural Design Representation
Architectural design can be represented using the following models.
 Structural model: Illustrates architecture as an ordered collection of
program components
 Dynamic model: Specifies the behavioral aspect of the software architecture
and indicates how the structure or system configuration changes as the
function changes due to change in the external environment
 Process model: Focuses on the design of the business or technical process,
which must be implemented in the system
 Functional model: Represents the functional hierarchy of a system
 Framework model: Attempts to identify repeatable architectural design
patterns encountered in similar types of application. This leads to an increase
in the level of abstraction.

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Architectural Design Architectural Design Output
The architectural design process results in an Architectural Design Document
(ADD). This document consists of a number of graphical representations that
NOTES comprises software models along with associated descriptive text. The software
models include static model, interface model, relationship model, and dynamic
process model. They show how the system is organized into a process at run-
time.
Architectural design document gives the developers a solution to the problem
stated in the Software Requirements Specification (SRS). Note that it considers
only those requirements in detail that affect the program structure. In addition to
ADD, other outputs of the architectural design are listed below.
 Various reports including audit report, progress report, and configuration
status accounts report
 Various plans for detailed design phase, which include the following
o Software verification and validation plan
o Software configuration management plan
o Software quality assurance plan
o Software project management plan.
8.2.2 Architectural Styles
Architectural styles define a group of interlinked systems that share structural and
semantic properties. In short, the objective of using architectural styles is to establish
a structure for all the components present in a system. If an existing architecture is
to be re-engineered, then imposition of an architectural style results in fundamental
changes in the structure of the system. This change also includes re-assignment of
the functionality performed by the components.
By applying certain constraints on the design space, we can make different
style-specific analysis from an architectural style. In addition, if conventional
structures are used for an architectural style, the other stakeholders can easily
understand the organization of the system.
A computer-based system (software is part of this system) exhibits one of
the many available architectural styles. Every architectural style describes a system
category that includes the following.
 Computational components such as clients, server, filter, and database to
execute the desired system function
 A set of connectors such as procedure call, events broadcast, database
protocols, and pipes to provide communication among the computational
components
 Constraints to define integration of components to form a system
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  A semantic model, which enable the software designer to identify the Architectural Design

characteristics of the system as a whole by studying the characteristics of its

components.
Some of the commonly used architectural styles are data-flow architecture,
NOTES
object-oriented architecture, layered system architecture, data-centered
architecture, and call and return architecture. Note that the use of an appropriate
architectural style promotes design reuse, leads to code reuse, and supports
interoperability.
Data-flow Architecture
Data-flow architecture is mainly used in the systems that accept some inputs and
transform it into the desired outputs by applying a series of transformations. Each
component, known as filter, transforms the data and sends this transformed data
to other filters for further processing using the connector, known as pipe (see
Figure 8.1(a)). Each filter works as an independent entity, that is, it is not concerned
with the filter which is producing or consuming the data. Apipe is a unidirectional
channel which transports the data received on one end to the other end. It does
not change the data in anyway; it merely supplies the data to the filter on the
receiver end.

Fig. 8.1 Data-flow Architecture

Most of the times, the data-flow architecture degenerates a batch sequential

system (see Figure 8.1(b)). In this system, a batch of data is accepted as input
and then a series of sequential filters are applied to transform this data. One common
example of this architecture is UNIX shell programs. In these programs, UNIX
processes act as filters and the file system through which UNIX processes interact,
act as pipes. Other well-known examples of this architecture are compilers, signal-
processing systems, parallel programming, functional programming, and distributed
systems. Some advantages associated with the data-flow architecture are listed
below.
 It supports reusability.

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Architectural Design  It is maintainable and modifiable.
 It supports concurrent execution.
Some disadvantages associated with the data-flow architecture are listed below.
NOTES  It often degenerates to batch sequential system.
 It does not provide enough support for applications requires user interaction.
 It is difficult to synchronize two different but related streams.
Object-oriented Architecture
In object-oriented architectural style, components of a system encapsulate data
and operations, which are applied to manipulate the data. In this style, components
are represented as objects and they interact with each other through methods
(connectors). This architectural style has two important characteristics, which are
listed below.
 Objects maintain the integrity of the system.
 An object is not aware of the representation of other objects.
Some of the advantages associated with the object-oriented architecture
are listed below.
 It allows designers to decompose a problem into a collection of independent
objects.
 The implementation detail of objects is hidden from each other and hence,
they can be changed without affecting other objects.
Layered Architecture
In layered architecture, several layers (components) are defined with each layer
performing a well-defined set of operations. These layers are arranged in a
hierarchical manner, each one built upon the one below it (see Figure 8.2). Each
layer provides a set of services to the layer above it and acts as a client to the layer
below it. The interaction between layers is provided through protocols (connectors)
that define a set of rules to be followed during interaction. One common example
of this architectural style is OSI-ISO (Open Systems Interconnection-International
Organization for Standardization) communication system (see Figure 8.2).

Fig. 8.2 OSI and Internet Protocol Suite

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Data-centered Architecture Architectural Design

A data-centered architecture has two distinct components: a central data

structure or data store (central repository) and a collection of client software.
The data store (for example, a database or a file) represents the current state of NOTES
the data and the client software performs several operations like add, delete, update,
etc., on the data stored in the data store (see Figure 8.3). In some cases, the data
store allows the client software to access the data independent of any changes or
the actions of other client software.
In this architectural style, new components corresponding to clients can be
added and existing components can be modified easily without taking into account
other clients. This is because client components operate independently of one
another.
A variation of this architectural style is blackboard system in which the data
store is transformed into a blackboard that notifies the client software when the
data (of their interest) changes. In addition, the information can be transferred
among the clients through the blackboard component.
Some advantages of the data-centered architecture are listed below.
 Clients operate independently of one another.
 Data repository is independent of the clients.

Fig. 8.3 Data-centered Architecture

 It adds scalability (that is, new clients can be added easily).

 It supports modifiability.
 It achieves data integration in component-based development using
blackboard.
Call and Return Architecture
A call and return architecture enables software designers to achieve a program
structure, which can be easily modified. This style consists of the following two
substyles.
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Architectural Design  Main program/subprogram architecture: In this, function is decomposed
into a c’nents, which in turn may invoke other components (see Figure
8.4).

NOTES

Fig. 8.4 Main Program/Subprogram Architecture

 Remote procedure call architecture: In this, components of the main or

subprogram architecture are distributed over a network across multiple
computers.
Component-Level Design
As soon as the first iteration of architectural design is complete, component-level
design takes place. The objective of this design is to transform the design model
into functional software. To achieve this objective, the component-level design
represents the internal data structures and processing details of all the software
components (defined during architectural design) at an abstraction level, closer to
the actual code. In addition, it specifies an interface that may be used to access the
functionality of all the software components.
The component-level design can be represented by using different
approaches. One approach is to use a programming language while other is to use
some intermediate design notation such as graphical (DFD, flowchart, or structure
chart), tabular (decision table), or text-based (program design language) whichever
is easier to be translated into source code.
The component-level design provides a way to determine whether the
defined algorithms, data structures, and interfaces will work properly. Note that a
component (also known as module) can be defined as a modular building block
for the software. However, the meaning of component differs according to how
software engineers use it. The modular design of the software should exhibit the
following sets of properties.
 Provide simple interface: Simple interfaces decrease the number of
interactions. Note that the number of interactions is taken into account while
determining whether the software performs the desired function. Simple
interfaces also provide support for reusability of components which reduces
the cost to a greater extent. It not only decreases the time involved in design,
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 coding, and testing but the overall software development cost is also Architectural Design

liquidated gradually with several projects. A number of studies so far have

proven that the reusability of software design is the most valuable way of
reducing the cost involved in software development.
NOTES
 Ensure information hiding: The benefits of modularity cannot be achieved
merely bydecomposing a program into several modules; rather each module
should be designed and developed in such a way that the information hiding
is ensured. It implies that the implementation details of one module should
not be visible to other modules of the program. The concept of information
hiding helps in reducing the cost of subsequent design changes.
Modularity has become an accepted approach in every engineering discipline.
With the introduction of modular design, complexity of software design has
considerably reduced; change in the program is facilitated that has encouraged
parallel development of systems. To achieve effective modularity, design concepts
like functional independence are considered to be very important.
Functional Independence
Functional independence is the refined form of the design concepts of modularity,
abstraction, and information hiding. Functional independence is achieved by
developing a module in such a way that it uniquely performs given sets of function
without interacting with other parts of the system. The software that uses the property
of functional independence is easier to develop because its functions can be
categorized in a systematic manner. Moreover, independent modules require less
maintenance and testing activity, as secondary effects caused bydesign modification
are limited with less propagation of errors. In short, it can be said that functional
independence is the key to a good software design and a good design results in
high-quality software. There exist two qualitative criteria for measuring functional
independence, namely, coupling and cohesion (see Figure 8.5).

Fig. 8.5 Coupling and Cohesion

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Architectural Design Coupling
Coupling measures the degree of interdependence among the modules. Several
factors like interface complexity, type of data that pass across the interface, type
NOTES of communication, number of interfaces per module, etc. influence the strength of
coupling between two modules. For better interface and well-structured system,
the modules should be loosely coupled in order to minimize the ‘ripple effect’ in
which modifications in one module results in errors in other modules. Module
coupling is categorized into the following types.
 No direct coupling: Two modules are said to be ‘no direct coupled’ if
they are independent of each other. In Figure 8.6, Module 1 and Module 2
are ‘not directly coupled’.

Fig. 8.6 No Direct, Data, and Stamp Coupling

 Data coupling: Two modules are said to be ‘data coupled’ if they use
parameter list to pass data items for communication. In Figure 8.6, Module
1 and Module 3 are data coupled.
 Stamp coupling: Two modules are said to be ‘stamp coupled’ if they
communicate by passing a data structure that stores additional information
than what is required to perform their functions. In Figure 8.6, data structure
is passed between Modules 1 and 4. Therefore, Module 1 and Module 4
are stamp coupled.
 Control coupling: Two modules are said to be ‘control coupled’ if they
communicate (pass a piece of information intended to control the internal
logic) using at least one ‘control flag’. The control flag is a variable whose
value is used by the dependent modules to make decisions. In Figure 8.7,
when Module 1 passes the control flag to Module 2, Module 1 and Module
2 are said to be control coupled.

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 Architectural Design

NOTES

Fig. 8.7 Control Coupling

 Content coupling: Two modules are said to be ‘content coupled’ if one

module modifies data of some other module or one module is under the
control of another module or one module branches into the middle of another
module. In Figure 8.8, Modules B and Module D are content coupled.

Fig. 8.8 Content and Common Coupling

 Common coupling: Two modules are said to be ‘common coupled’ if

they both reference a common data block. In Figure 8.8, Modules C and
N are common coupled.
Cohesion
Cohesion measures the relative functional strength of a module. It represents the
strength of bond between the internal elements of the modules. The tighter the
elements are bound to each other, the higher will be the cohesion of a module. In
practice, designers should avoid a low level of cohesion when designing a module.
Generally, low coupling results in high cohesion and vice versa.
Various types of cohesion, as shown in Figure 8.9 are listed below.
 Functional cohesion: In this, the elements within the modules are concerned
with the execution of a single function.
 Sequential cohesion: In this, the elements within the modules are involved
in activities in such a way that the output from one activity becomes the
input for the next activity.

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Architectural Design  Communicational cohesion: In this, the elements within the modules
perform different functions, yet each function references the same input or
output information.
 Procedural cohesion: In this, the elements within the modules are involved
NOTES
in different and possibly unrelated activities.
 Temporal cohesion: In this, the elements within the modules contain
unrelated activities that can be carried out at the same time.

Fig. 8.9 Types of Cohesion

 Logical cohesion: In this, the elements within the modules perform similar
activities, which are executed from outside the module.
 Coincidental cohesion: In this, the elements within the modules perform
activities with no meaningful relationship to one another.
After having discussed various types of cohesions, Figure 8.10 illustrates
the procedure which can be used in determining the types of module cohesion for
software design.

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 Architectural Design

NOTES

Fig. 8.10 Selection Criteria of Cohesion

Check Your Progress

1. What is data design?
2. Write a note on data center architecture?
3. Define coupling.
4. Define cohesion.

8.3 ANSWERS TO CHECK YOUR PROGRESS

QUESTIONS

1. Data design is the first design activity, which results in less complex, modular,
and efficient program structure.A coupling is a device used to connect two
shafts together at their ends for the purpose of transmitting power.
2. Data centered architecture is a layered process which provides architectural
guidelines in data center development. Data Centered Architecture is also
known as Database Centric Architecture.
3. Coupling measures the degree of interdependence among the modules.
Several factors like interface complexity, type of data that pass across the
interface, type of communication, number of interfaces per module, etc.
influence the strength of coupling between two modules.
4. Cohesion measures the relative functional strength of a module. It represents
the strength of bond between the internal elements of the modules.

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Architectural Design
8.4 SUMMARY

 Data design helps to represent the data component in the conventional

NOTES systems and class definitions in object-oriented systems.
 The process of defining a collection of hardware and software components
and their interfaces to establish the framework for the development of a
computer system.
 Architectural styles define a group of interlinked systems that share structural
and semantic properties. In short, the objective of using architectural styles
is to establish a structure for all the components present in a system.
 Data-flow architecture is mainly used in the systems that accept some inputs
and transform it into the desired outputs by applying a series of
transformations.
 Cohesion measures the relative functional strength of a module. It represents
the strength of bond between the internal elements of the modules.
 A call and return architecture enables software designers to achieve a
program structure, which can be easily modified.
 In object-oriented architectural style, components of a system encapsulate
data and operations, which are applied to manipulate the data. In this style,
components are represented as objects and they interact with each other
through methods.
 Data-flow architecture is mainly used in the systems that accept some inputs
and transform it into the desired outputs by applying a series of
transformations.
 Architectural styles define a group of interlinked systems that share structural
and semantic properties.

8.5 KEY WORDS

 Dynamic Model: This model specifies the behavioral aspect of the software
architecture and indicates how the structure or system configuration changes
as the function changes due to change in the external environment.
 Process Model: This model focuses on the design of the business or
technical process, which must be implemented in the system.
 Framework Model: It Attempts to identify repeatable architectural design
patterns encountered in similar types of application. This leads to an increase
in the level of abstraction.

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 Architectural Design
8.6 SELF ASSESSMENT QUESTIONS AND
EXERCISES

Short Answer Questions NOTES

1. What do you understand by data design?

2. What is architectural design document?
3. What are architectural styles?
Long Answer Questions
1. What is architectural design? Explain.
2. Explain the commonly used architectural styles.
3. Write a note on:
(i) Functional independence
(ii) Coupling
(iii) cohesion

8.7 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New
Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

8.8 LEARNING OUTCOMES

 Understand the concept of data design
 Architectural design
 Understand the models for architectural design representation
 The architectural styles

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User Interface Design

UNIT 9 USER INTERFACE DESIGN

NOTES Structure
9.0 Introduction
9.1 Objectives
9.2 User Interface Analysis and Design
9.2.1 User Interface Design Issues
9.2.2 User Interface Rules/Golden Rules
9.2.3 User Interface Design Process Steps
9.2.4 Evaluating a User Interface Design
9.3 Answers to Check Your Progress Questions
9.4 Summary
9.5 Key Words
9.6 Self Assessment Questions and Exercises
9.7 Further Readings
9.8 Learning Outcomes

9.0 INTRODUCTION
In this unit‚ you will learn about the user interface design. It is the design of user
interfaces for software and machine. The goal of designing is to make the interaction
as simple and efficient as possible, in order to accomplish user goals.

9.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Discuss the user interface design issues
 Understand the user interface rules
 Explain the steps for user interface design
 Understand evaluation techniques for user interface design

9.2 USER INTERFACE ANALYSIS AND DESIGN

User interfaces determine the way in which users interact with the software. The
user interface design creates an effective communication medium between a human
and a computing machine. It provides easy and intuitive access to information as
well as efficient interaction and control of software functionality. For this, it is
necessary for the designers to understand what the user requires from the user
interface.
Since the software is developed for the user, the interface through which the
user interacts with the software should also be given prime importance. The
developer should interact with the person (user) for whom the interface is being
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designed before designing it. Direct interaction with end-users helps the developers User Interface Design

to improve the user interface design because it helps designers to know the user’s
goals, skills and needs. Figure 9.1 shows an example of a simple user interface
design.
NOTES

Fig. 9.1 An Example of a Simple User Interface Design

9.2.1 User Interface Design Issues

While designing a user interface, there are certain issues that must be considered.
Generally, the software designers refer to these issues lately in the design process,
which often results in project delays or customers’ dissatisfaction. Therefore, it is
recommended to consider these issues when the design process starts. Various
design issues of user interface are listed below.
Response Time
The response time of a system is the time from when the user issues some request
to the time the system responds to that request. The response time should be as
low as possible, since longer response time results in user frustration. In addition,
the response time for any specific request should not vary significantly. If this
happens, user might think that something different has occurred. For example, it is
not acceptable that a request sometimes responds in 0.5 seconds and sometimes
in 2.5 seconds. Instead an average response time of 1 second is acceptable in this
case.
Online Help System
Modern software applications provide an online help system that helps the users
to learn about the operations of software at any time while using the software. In
case the users forget a command or are unaware of some features of the software,
they may invoke the online help system. The online help system must keep track
of what the user is doing while invoking the help system so that it can provide help
in the context of the user’s actions. In addition, various other features that an
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User Interface Design  It may take advantage of graphics and animation characteristics while
providing help to the users rather than representing just instructions.
 It may include help options for all or a subset of functions performed by the
software.
NOTES
 It may be invoked by the user using a help menu or help command or a
special function key.
 It may use either a separate window or a reference to printed document or
a fixed screen location in the same window for representing help messages.
Error Management
Sometimes during processing, errors occur due to some exceptional conditions
such as out of memory, failure of communication link, etc. The system represents
these errors to the users using error messages. These error messages are either
unambiguous or contain only general information such as invalid input, system
error, etc., which hardly provides any guidance to the user to correct errors. Thus,
any error message or warning produced by the system should have the following
characteristics.
 It should contain proper suggestions to recover from the errors. The users
may be asked to invoke the online help system to find out more about the
error situation.
 It should be represented in a language that is easily understandable by the
user and should use polite words.
 It should mention the negative effects (if any) caused by the error
encountered. For example, a file name that is corrupted because of that
error.
 It should be associated with any audio or visual clue. For example, whenever
an error occurs the system may generate a beep or change the text colour
in order to indicate the occurrence of an error.
In general, users do not like errors irrespective of the fact how well designed
it is. Thus, a good user interface should minimize the scope of committing errors.
To manage the errors or to reduce their possibilities, various procedures like
consistency of names, issue procedures, behaviour of similar commands, etc., can
be used.
Menu and Command Labeling
Before GUI, the command language-based interfaces or menu-based interfaces
were used for every type of application. The command language-based interface
provides a set of primitive commands and a user can type an appropriate command
to perform a particular function. Thus, a user is required to memorize a number of
commands and type them in order to perform operations. On the other hand, in a
menu-based interface, the user can select from a list of options (called menu) using
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some pointing device like mouse. Thus, the user is relieved from the burden of User Interface Design

remembering and typing commands. Several issues must be taken into

consideration while designing a command language-based and menu-based user
interface, which are listed below.
NOTES
 Which menu options should be associated with a shortcut key?
 Which method is required for the user to execute any command? Several
methods include pressing function keys, a pair of control keys (like Alt+D,
Ctrl+S) or to type a word.
 How easy is it for the user to learn the commands and shortcut keys?
 Can a user assign a new shortcut key to any command or menu option?
 Are the menu labels self-explanatory?
9.2.2 User Interface Rules/Golden Rules
Designing a good and efficient user interface is a common objective among software
designers. But what makes a user interface look ‘good’? Software designers strive
to achieve a good user interface by following three rules, namely, ease of learning,
efficiency of use, and aesthetic appeal.
Ease of Learning
It determines the degree of ease with which a user can learn to interact with the
software. This is especially important for novice users. However, on occasions,
experienced users also face problems when using a new version of the software or
while expanding their knowledge of using the software. Here, the principle of
state visualization is applied, which states that whenever a change is made in the
behaviour of the software, it should be reflected in the interface appearance.
While designing the user interface, designers should focus on the ease of
learning for the class of users having little or no knowledge, since only few users
have expertise in using all the features of the user interface. Generally, to ease the
task of learning, designers make use of the following tools.
 Affordance: Provides hints about the features of a tool and the suggestions
for using these features. For example, the style of the cap on some bottles
indicates how to open it, that is, by rotating it clockwise or anti-clockwise.
If no such indication is provided, one has to struggle while opening the
bottle. Therefore, in this case, the bottle cap is not just a tool that physically
helps to open the bottle, but it is also an affordance that shows how to open
the bottle. Similarly, software designers should provide suggestions regarding
the functioning of each part of the interface and how does it function.
 Consistency: Designers apply the principle of coherence to keep the
interface consistent internally as well as externally. Internal consistency
means behaviour of the program including minor details like colour, font,
etc. should be uniform while using different parts of the program. For
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User Interface Design example, the colour of the pop-up menu should be uniform throughout the
application. On the other hand, external consistency means the consistency
of the program with the external environment. That is, the program should
be consistent with the operating system in which it is running as well as with
NOTES other applications that are running within that operating system.
Efficiency of Use
Once a user knows how to perform tasks, the next question is: how efficiently the
interface can be used by a user to accomplish a task? Note that the efficiency of
an interface can be determined only if the user is engaged in performing the tasks
instead of learning how to perform.
To design an efficient interface, a thorough knowledge of behaviour of the
users who are going to use the application is essential. For this, the designer should
keep the following factors in mind.
 Frequency of using the interface
 The level of users (novice, intermediate, or expert)
 Frequency of performing a particular task.
In addition to these factors, the following guidelines can also help in designing
an efficient interface.
 Users should be left to perform with the minimal physical actions required
to accomplish a task. For this, the interface should provide the shortcut
keys for performing the tasks that need to be performed frequently, since it
reduces the work of users.
 Users should be left to perform with the minimal mental effort as well. For
this, the interface should not assume the user to remember much detail;
instead it should provide the necessary instructions for performing a task.
For example, the interface should provide the file browser to select a file,
instead of assuming the user to remember the path of the required file.
Aesthetically Pleasing
Today, look and feel is one of the biggest USPs (Unique Selling Points) while
designing the software. A user always prefers to buy things that look attractive as
well as make him feel better (as it provides ease of use) while using the product.
Many software organizations focus specifically on designing the software, which
has an attractive look and feel so that they can attract customers/users towards
their product(s).
In addition to the before mentioned goals, there exists a principle of
metaphor which, if applied to the software’s design, results in a better and effective
way of creating a user interface. This principle states that if the user interface for a
complex software system is designed in such a way that it looks like the interface
of an already existing system, it becomes easier to understand. For example, the
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popular Windows operating system uses similar (not same) look and feel in all of User Interface Design

its operating systems so that the users are able to use it in a user-friendly manner.
9.2.3 User Interface Design Process Steps
The user interface design, like all other software design elements, is an iterative NOTES
process. Each step in this design occurs a number of times, each time elaborating
and refining information developed in the previous step. Although many different
user interface design models have been proposed, all have the following steps in
common.
 Analysis and modelling: Initially, the profile of end-users for whom the
interface is to be designed is analyzed, to determine their skill level and
background. On this basis, users are classified into different categories, and
for each category, the requirements are collected. After identifying the
requirements, a detailed task analysis is made to identify the tasks that are
to be performed by each class of users in order to achieve the system
objectives. Finally, the environment in which user has to work is analyzed.
Using the information gathered, an analysis model of the interface is designed.
 Interface design: Using the analysis model developed in the previous step,
the interface object and the series of actions to accomplish the defined
tasks are specified. In addition, a complete list of events (user actions),
which causes the state of the user interface to change is also defined.
 Interface implementation and validation: A prototype of the interface
is developed and is provided to the user to experiment with it. Once the
user evaluates the prototype, it is modified according to their requirements.
This process is repeated iteratively until all the requirements specified by
the user are met.
To sum up, the user interface design activity starts with the identification of
the user, task, and environmental requirements. After this, user states are created
and analyzed to define a set of interface objects and actions. These objects then
form the basis for the creation of screen layout, menus, icons, and much more.
While designing the user interface, the following points must be considered.
 Follow the rules stated in further. If an interface does not follow any of these
rules to a reasonable degree, then it needs to be redesigned.
 Determine how interface will be implemented.
 Consider the environment (like operating system, development tools, display
properties, and so on).
9.2.4 Evaluating a User Interface Design
Although the interface design process results in a useful interface, it cannot be
expected from a designer to design an interface of high quality in the first run. Each
iteration of the steps involved in user interface design process leads to development
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User Interface Design of a prototype. The objective of developing a prototype is to capture the ‘essence’
of the user interface. The prototype is evaluated, discrepancies are detected, and
accordingly redesigning takes place. This process carries on until a good interface
evolves.
NOTES
Evaluating a user interface requires its prototype to include the look and feel
of the actual interface and should offer a range of options. However, it is not
essential for the prototype to support the whole range of software behaviour.
Choosing an appropriate evaluation technique helps in knowing whether a prototype
is able to achieve the desired user interface.
Evaluation Techniques
Evaluation of interface must be done in such a way that it can provide feedback to
the next iteration. Each iteration of evaluation must specify what is good about the
interface and where is a scope for improvement.
Some well known techniques for evaluating user interface are: use it yourself,
colleague evaluation, user testing, and heuristic evaluation. Each technique
has its own advantages and disadvantages and the emphasis of each technique for
various issues like ease of learning and efficiency of use varies. The rule of aesthetic
pleasing largely varies from user to user and can be evaluated well by observing
what attracts the people.
 Use it yourself: This is the first technique of evaluation and in this technique
the designer himself uses the interface for a period of time to determine its
good and bad features. It helps the designer to remove the bad features of
the interface. This technique also helps in identifying the missing components
of the interface and its efficiency.
 Colleague evaluation: Since the designers are aware of the functionality
of the software, it is possible that they may miss out on issues of ease of
learning and efficiency. Showing the interface to a colleague may help in
solving these issues. Note that if the prototype is not useful in the current
state, colleagues might not spend sufficient time in using it to identify many
efficiency issues.
 User testing: This testing is considered to be the most practical approach
of evaluation. In this technique, users test the prototype with the expected
differences recorded in the feedback. The communication between the users
while testing the interface provides the most useful feedback. Before allowing
the users to start testing, the designers choose some tasks expected to be
performed by the users. In addition, they should prepare the necessary
background details in advance. Users should spend sufficient time to
understand these details before performing the test. This testing is considered
the best way to evaluate ease of learning. However, it does not help much in
identifying the inefficiency issues.

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  Heuristic evaluation: In this technique of evaluation, a checklist of issues User Interface Design

is provided, which should be considered each time the user interface is

evaluated. Such evaluations are inherently subjective in a sense that different
evaluators find different set of problems in the interface. Usually, an
experienced designer detects more errors than a less experienced designer. NOTES
However, we cannot expect from a single person to detect all the errors.
Therefore, it is always beneficial to employ multiple people in heuristic
evaluation. The checklist provided in such evaluation includes the following
issues.
o The interface should include as minimum extraneous information as
possible.
o The interface should follow a natural flow and should lead the users’
attention to the next expected action. For example, if the user is going to
close an application without saving a task, then it must prompt the user
to save or discard the changes.
o There should be a consistency in the use of color and other graphical
elements. This helps the user to easily understand the information
conveyed by the interface.
o The information should be presented to the user in an ordered manner
and the amount of information should be as minimum as per required by
the user.
o The messages should be displayed always from the user’s perspective
and not from the system’s. For example, the messages like “you have
purchased...” should be displayed rather than the messages like “we
have sold you...’’
o The interface should represent the sufficient information to the user
whenever required, thereby minimizing the load on user’s memory.
o The behaviour of the program should remain consistent internally as
well as externally. For example, for representing similar items, same
types of visual descriptions should be used.
o The user must be provided with a clear feedback about the actions of a
program.
o The interface should provide shortcuts like hot keys, icons, etc. that
help the users to speed up their operations as well as improve the
effectiveness of a user interface.
o The error messages should be provided to communicate to the user that
some error has occurred and these are the possible ways to correct it.
These messages should describe exactly which part of the input has
caused error.
If a user interface is carefully evaluated under these guidelines, almost all the
problems related to learning and efficiency can be disclosed.
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Check Your Progress

1. What does user interface determines?
NOTES 2. What are the three rules of user interface?
3. What are the well-known evaluation techniques?

9.3 ANSWERS TO CHECK YOUR PROGRESS

QUESTIONS

1. User interfaces determine the way in which users interact with the software.
The user interface design creates an effective communication medium
between a human and a computing machine.
2. Software designers strive to achieve a good user interface by following
three rules, namely, ease of learning, efficiency of use, and aesthetic
appeal.
3. Some well-known techniques for evaluating user interface are: use it
yourself, colleague evaluation, user testing, and heuristic evaluation.

9.4 SUMMARY

 User interfaces determine the way in which users interact with the software.
The user interface design creates an effective communication medium
between a human and a computing machine.
 The response time of a system is the time from when the user issues some
request to the time the system responds to that request.
 Sometimes during processing, errors occur due to some exceptional
conditions such as out of memory, failure of communication link, etc. The
system represents these errors to the users using error messages.
 Designing a good and efficient user interface is a common objective among
software designers.
 The user interface design, like all other software design elements, is an
iterative process.
 Evaluation of interface must be done in such a way that it can provide
feedback to the next iteration.
 It should contain proper suggestions to recover from the errors. The users
may be asked to invoke the online help system to find out more about the
error situation

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 User Interface Design
9.5 KEY WORDS

 User Interfaces: It determines the way in which users interact with the
software. NOTES
 Consistency: Designers apply the principle of coherence to keep the
interface consistent internally as well as externally.

9.6 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. What do you understand by user interface design?
2. What do you understand by internal and external consistency?
Long Answer Questions
1. What are the user interface rules?
2. Explain the process of user interface design.
3. Explain the evaluation techniques of user interface design.

9.7 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New

Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

9.8 LEARNING OUTCOMES

 Discuss the user interface design issues
 Understand the user interface rules
 Explain the steps for user interface design
 Understand evaluation techniques for user interface design

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BLOCK - IV
SYSTEM TESTING

NOTES
UNIT 10 TESTING STRATEGIES
Structure
10.0 Introduction
10.1 Objectives
10.2 Software Testing Fundamentals
10.2.1 Test Plan
10.2.2 Software Testing Strategies
10.2.3 Levels of Testing
10.2.4 Unit Testing
10.2.5 Integration Testing
10.2.6 Validation Testing
10.2.7 System Testing
10.3 Testing Conventional Applications
10.3.1 White Box Testing
10.3.2 Black Box Testing
10.4 Debugging
10.4.1 The Debugging Process
10.4.2 Induction Strategy
10.5 Answers to Check Your Progress Questions
10.6 Summary
10.7 Key Words
10.8 Self Assessment Questions and Exercises
10.9 Further Readings
10.10 Learning Outcomes

10.0 INTRODUCTION
Testing of software is critical, since testing determines the correctness, completeness
and quality of the software being developed. Its main objective is to detect errors
in the software. Errors prevent software from producing outputs according to user
requirements. They occur if some part of the developed system is found to be
incorrect, incomplete, or inconsistent. Errors can broadly be classified into three
types, namely, requirements errors, design errors, and programming errors. To
avoid these errors, it is necessary that: requirements are examined for conformance
to user needs, software design is consistent with the requirements and notational
convention, and the source code is examined for conformance to the requirements
specification, design documentation and user expectations. All this can be
accomplished through efficacious means of software testing.

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 The activities involved in testing phase basically evaluate the capability of Testing Strategies

the developed system and ensure that the system meets the desired requirements.
It should be noted that testing is fruitful only if it is performed in the correct manner.
Through effective software testing, the software can be examined for correctness,
comprehensiveness, consistency and adherence to standards. This helps in delivering NOTES
high-quality software products and lowering maintenance costs, thus leading to
more contented users.

10.1 OBJECTIVES
After going through this unit‚ you will be able to:
 Discuss the guidelines that are required to perform efficient and effective
testing
 Design test plan, which specifies the purpose, scope, and method of software
testing
 Understand various levels of testing including unit testing, integration testing,
system testing, and acceptance testing
 Explain white box testing and black box testing techniques
 Explain how testing is performed in the object-oriented environment
 Explain how to perform debugging.

10.2 SOFTWARE TESTING FUNDAMENTALS

As already mentioned, software testing determines the correctness, completeness

and quality of software being developed. IEEE defines testing as ‘the process of
exercising or evaluating a system or system component by manual or
automated means to verify that it satisfies specified requirements or to identify
differences between expected and actual results.’
Software testing is performed either manually or by using automated tools
to make sure that the software is functioning in accordance with the user
requirements. Various advantages associated with testing are listed below (also
see Figure 10.1).
 It removes errors, which prevent software from producing outputs according
to user requirements.
 It removes errors that lead to software failure.
 It ensures that the software conforms to business as well as user’s needs.
 It ensures that the software is developed according to user requirements.
 It improves the qualityof the software byremoving maximum possible errors
from it.
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Testing Strategies

NOTES

Fig. 10.1 Advantages of Testing

Bugs, error, fault and failure

Software testing is aimed at identifying any bugs, errors, faults, or failures (if any)
present in the software. Bug is defined as a logical mistake, which is caused by a
software developer while writing the software code. Error is defined as the measure
of deviation of the outputs given by the software from the outputs expected by the
user. Fault is defined as the condition that leads to malfunctioning of the software.
Malfunctioning of software is caused due to several reasons such as change in the
design, architecture or software code. Defect that causes error in operation or
negative impact is called failure. Failure is defined as that state of software under
which it is unable to perform functions according to user requirements. Bugs,
errors, faults and failures prevents the software from performing efficiently and
hence cause the software to produce unexpected outputs. Errors can be present
in the software due to the following reasons.
 Programming errors: Programmers can make mistakes while developing
the source code.
 Unclear requirements: The user is not clear about the desired requirements
or the developers are unable to understand the user requirements in a clear
and concise manner.
 Software complexity: The greater the complexity of the software, the
more the scope of committing an error (especially by an inexperienced
developer).
 Changing requirements: The users usually keep on changing their
requirements, and it becomes difficult to handle such changes in the later
stage of development process. Therefore, there are chances of making
mistakes while incorporating these changes in the software.
 Time pressures: Maintaining schedule of software projects is difficult.
When deadlines are not met, the attempt to speed up the work causes
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  Poorly documented code: If the code is not well documented or well Testing Strategies

written, then maintaining and modifying it becomes difficult. This causes

errors to occur.
Note: In this unit, ‘error’ is used as a general term for ‘bugs’, ‘errors’, ‘faults’, and ‘failures’.
NOTES
Guidelines of Software Testing
There are certain rules and guidelines that are followed during software testing.
These guidelines act as a standard to test software and make testing more effective
and efficient. The commonly used software testing guidelines are listed below
(also see Figure 10.2).
 Define the expected output: When programs are executed during testing,
they may or may not produce the expected outputs due to different types of
errors present in the software. To avoid this, it is necessary to define the
expected output before software testing begins. Without knowledge of the
expected results, testers may fail to detect an erroneous output.
 Inspect output of each test completely: Software testing should be
performed once the software is complete in order to check its performance
and functionality along with occurrence of errors in various phases of software
development.
 Include test cases for invalid and unexpected conditions: Generally,
software produces correct outputs when it is tested using accurate inputs.
However, if unexpected input is given to the software, it may produce
erroneous outputs. Hence, test cases that detect errors even when
unexpected and incorrect inputs are specified should be developed.
 Test the modified program to check its expected performance:
Sometimes, when certain modifications are made in the software (like adding
of new functions), it is possible that the software produces unexpected
outputs. Hence, it should be tested to verify that it performs in the expected
manner even after modifications.

Fig. 10.2 Software Testing Guidelines

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Testing Strategies Testability
The ease with which a program is tested is known as testability. Testability should
always be considered while designing and implementing a software system so that
NOTES the errors (if any) in the system can be detected with minimum effort. There are
several characteristics of testability, which are listed below (also see Figure 10.3).
 Easy to operate: High-quality software can be tested in a better manner.
This is because if software is designed and implemented considering quality,
then comparatively fewer errors will be detected during the execution of
tests.
 Stability: Software becomes stable when changes made to the software
are controlled and when the existing tests can still be performed.
 Observability: Testers can easily identify whether the output generated
for certain input is accurate simply by observing it.
 Easy to understand: Software that is easy to understand can be tested in
an efficient manner. Software can be properly understood by gathering
maximum information about it. For example, to have a proper knowledge
of software, its documentation can be used, which provides complete
information of software code therebyincreasing its clarity and making testing
easier.
 Decomposability: By breaking software into independent modules,
problems can be easily isolated and the modules can be easily tested.

Fig. 10.3 Testability

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Characteristics of Software Test Testing Strategies

There are several tests (such as unit and integration) used for testing a software.
Each test has its own characteristics. The following points, however, should be
noted. NOTES
 High probability of detecting errors: To detect maximum errors, the tester
should understand the software thoroughly and try to find the possible ways in
which the software can fail. For example, in a program to divide two numbers,
the possible way in which the program can fail is when 2 and 0 are given as
inputs and 2 is to be divided by 0. In this case, a set of tests should be developed
that can demonstrate an error in the division operator.
 No redundancy: Resources and testing time are limited in software
development process. Thus, it is not beneficial to develop several tests,
which have the same intended purpose. Every test should have a distinct
purpose.
 Choose the most appropriate test: There can be different tests that have
the same intent but due to certain limitations, such as time and resource
constraint, only few of them are used. In such a case, the tests which are
likely to find more errors should be considered.
 Moderate: A test is considered good if it is neither too simple nor too
complex. Many tests can be combined to form one test case. However, this
can increase the complexity and leave many errors undetected. Hence, all
tests should be performed separately.
10.2.1 Test Plan
A test plan describes how testing would be accomplished. It is a document that
specifies the purpose, scope, and method of software testing. It determines the
testing tasks and the persons involved in executing those tasks, test items, and the
features to be tested. It also describes the environment for testing and the test
design and measurement techniques to be used. Note that a properly defined test
plan is an agreement between testers and users describing the role of testing in
software.
A complete test plan helps the people who are not involved in test group
to understand why product validation is needed and how it is to be performed.
However, if the test plan is not complete, it might not be possible to check
how the software operates when installed on different operating systems or
when used with other software. To avoid this problem, IEEE states some
components that should be covered in a test plan. These components are
listed in Table 10.1.

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Testing Strategies Table 10.1 Components of a Test Plan

Component Purpose
Responsibilities Assigns responsibilities to different people and keeps them focused.
NOTES
Assumptions Avoids any misinterpretation of schedules.
Test Provides an abstract of the entire process and outlines specific tests.
The testing scope, schedule, and duration are also outlined.
Communication Communication plan (who, what, when, how about the people) is
developed.
Risk analysis Identifies areas that are critical for success.
Defect reporting Specifies the way in which a defect should be documented so that it
may reoccur and be retested and fixed.
Environment Describes the data, interfaces, work area, and the technical
environment used in testing. All this is specified to reduce or
eliminate the misunderstandings and sources of potential delay.

Test Case Design

A test case provides the description of inputs and their expected outputs to observe
whether the software or a part of the software is working correctly. IEEE defines
test case as ‘a set of input values, execution preconditions, expected results
and execution post conditions, developed for a particular objective or test
condition such as to exercise a particular program path or to verify
compliance with a specific requirement.’ Generally, a test case is associated
with details like identifier, name, purpose, required inputs, test conditions, and
expected outputs.
Incomplete and incorrect test cases lead to incorrect and erroneous test
outputs. To avoid this, the test cases must be prepared in such a way that they
check the software with all possible inputs. This process is known as exhaustive
testing and the test case, which is able to perform exhaustive testing, is known as
ideal test case. Generally, a test case is unable to perform exhaustive testing;
therefore, a test case that gives satisfactory results is selected. In order to select a
test case, certain questions should be addressed.
 How to select a test case?
 On what basis are certain elements of program included or excluded from a
test case?
To provide an answer to these questions, test selection criterion is used that
specifies the conditions to be met by a set of test cases designed for a given
program. For example, if the criterion is to exercise all the control statements of a
program at least once, then a set of test cases, which meets the specified condition
should be selected.

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10.2.2 Software Testing Strategies Testing Strategies

To perform testing in a planned and systematic manner, software testing strategy is

developed. A testing strategy is used to identify the levels of testing which are to
be applied along with the methods, techniques, and tools to be used during testing. NOTES
This strategy also decides test cases, test specifications, test case decisions, and
puts them together for execution.
Developing a test strategy, which efficiently meets the requirements of an
organization, is critical to the success of software development in that organization.
Therefore, a software testing strategy should contain complete information about
the procedure to perform testing and the purpose and requirements of testing.
The choice of software testing strategy is highly dependent on the nature of
the developed software. For example, if the software is highly data intensive then
a strategy that checks structures and values properly to ensure that all inputs given
to the software are correct and complete should be developed. Similarly, if it is
transaction intensive then the strategy should be such that it is able to check the
flow of all the transactions. The design and architecture of the software are also
useful in choosing testing strategy.
A Strategic Approach to Software Testing
A number of software testing strategies are proposed for the testing process. All
these strategies provide the tester a template, which is used for testing. Generally,
all testing strategies have certain characteristics, which are listed below:
 Testing proceeds in an outward manner. It starts from testing the individual
units, progresses to integrating these units, and finally, moves to system
testing.
 Testing techniques used during different phases of software development
are different.
 Testing is conducted by the software developer and by an ITG.
 Testing and debugging should not be used synonymously. However, any
testing strategy must accommodate debugging with itself.
An efficient software testing strategy includes two types of tests, namely,
low-level tests and high-level tests. Low-level tests ensure the correct
implementation of small part of the source code and high-level tests ensure that
major software functions are validated according to user requirements. A testing
strategy sets certain milestones for the software such as final date for completion
of testing and the date of delivering the software. These milestones are important
when there is limited time to meet the deadline.

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Testing Strategies Verification and Validation
Software testing is often used in association with the terms ‘verification’ and
‘validation’. Verification refers to the process of ensuring that the software is
NOTES developed according to its specifications. For verification, techniques like reviews,
analysis, inspections and walkthroughs are commonly used. While validation refers
to the process of checking that the developed software meets the requirements
specified by the user. Verification and validation can be summarized thus as given
here.
Verification: Is the software being developed in the right way?
Validation: Is the right software being developed?
Types of Software Testing Strategies
There are different types of software testing strategies, which are selected by the
testers depending upon the nature and size of the software. The commonly used
software testing strategies are listed below (also see Figure 10.4).
 Analytic testing strategy: This uses formal and informal techniques to
access and prioritize risks that arise during software testing. It takes a
complete overview of requirements, design, and implementation of objects
to determine the motive of testing. In addition, it gathers complete information
about the software, targets to be achieved, and the data required for testing
the software.
 Model-based testing strategy: This strategy tests the functionality of
software according to the real world scenario (like software functioning in
an organization). It recognizes the domain of data and selects suitable test
cases according to the probability of errors in that domain.
 Methodical testing strategy: It tests the functions and status of software
according to the checklist, which is based on user requirements. This strategy
is also used to test the functionality, reliability, usability, and performance of
software.
 Process-oriented testing strategy: It tests the software according to
already existing standards, such as IEEE standards. In addition, it checks
the functionality of software by using automated testing tools.
 Dynamic testing strategy: This tests the software after having a collective
decision of the testing team. Along with testing, this strategy provides
information about the software, such as test cases used for testing the errors
present in it.
 Philosophical testing strategy: It tests software assuming that any
component of software can stop functioning anytime. It takes help from
software developers, users and systems analysts to test the software.

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 Testing Strategies

NOTES

Fig. 10.4 Types of Software Testing Strategy

Developing a Software Testing Strategy

A testing strategy should be developed with intent to provide the most effective
and efficient way of testing the software. While developing testing strategy, some
questions arise, such as: when and what type of testing is to be done? What are
the objectives of testing? Who is responsible for performing testing? And what
outputs are produced as a result of testing? The inputs that should be available
while developing testing strategy are listed below.
 Type of development project
 Complete information about the hardware and software components that
are required to develop the software
 Risks involved
 Description of the resources that are required for the testing
 Description of all testing methods that are required to test various phases of
SDLC
 Details of all the attributes that software is unable to provide. For example,
software cannot describe its own limitations.
The output produced by the software testing strategy includes a detailed
document, which indicates the entire test plan, including all test cases used during
the testing phase. Testing strategy also specifies a list of testing issues that need to
be resolved.
Organizing for Software Testing
Testing is an organizational issue, which is performed either by the software
developers (who originally developed the software) or by an independent test
group (ITG), which comprises software testers. The software developers are
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Testing Strategies considered to be the best persons to perform testing as they have the best
knowledge about the software. However, since software developers are involved
in the development process, they may have their own interest to show that the
software is error-free, meets user requirements, and is within schedule and budget.
NOTES This vested interest hinders the process of testing.
To avoid this problem, the task of testing is assigned to an independent
test group (ITG), which is responsible to detect errors that may have been
neglected by the software developers. ITG tests the software without any
discrimination since the group is not directly involved in the development process.
However, the testing group does not completely take over the testing process;
instead, it works with the software developers in the software project to ensure
that testing is performed in anefficient manner. During the testing process, developers
are responsible for correcting the errors uncovered by the testing group.
Generally, an ITG forms a part of the software development project team.
This is because the group becomes involved during the specification activity and
stays involved (planning and specifying test procedures) throughout the development
process.
Various advantages and disadvantages associated with ITG are listed in
Table 10.2.
Table 10.2 Advantages and Disadvantages of ITG

Advantages Disadvantages

 ITG can more efficiently find defects  ITG may perform some tests that have
related to interaction among different already been performed by the
modules, system usability and developers. This results in duplication of
performance, and many other special cases effort as well as wastage of time.
 ITG serves the better solution than leaving  It is essential for the test group to be
testing to the developers. This is because physically collocated with the design
the developers have neither training nor group; otherwise, problems may arise.
any motivation for testing.
 Test groups can have better perception of  Keeping a separate group for testing
how reliable is the software before results in extra cost to the organization.
delivering it to the user.

Note: Along with software testers, customers, end-users, and management also play an
important role in software testing.

10.2.3 Levels of Testing

From a procedural point of view, software testing consists of a series of four steps
(levels) that are performed sequentially. These steps are described as follows.
 Unit testing: This testing aims at testing the individual units of software. It
makes heavy use of testing techniques that exercise specific control paths
to detect errors in each software component individually.

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  Integration testing: Once the individual units are tested, they are integrated Testing Strategies

and checked for interfaces between them. The integration testing focuses
on issues associated with verification and program construction as
components begin interacting with one another.
NOTES
 Validation testing: This testing provides the assurance that the software
constructed validates all the functional, behavioral, and performance
requirements established during requirements analysis.
 System testing: This testing tests the entire software and the system elements
as a whole. It ensures that the overall system functions according to the user
requirements.
Strategic Issues
There are certain issues that need to be addressed for the successful implementation
of software testing strategy. These issues are listed below.
 In addition to detecting errors, a good testing strategy should also assess
portability and usability of the software.
 It should use quantifiable manner to specify software requirements such as
outputs expected from software, test effectiveness, and mean time to failure
which should be clearly stated in the test plan.
 It should improve testing method continuously to make it more effective.
 Test plans that support rapid cycle testing should be developed. The feedback
from rapid cycle testing can be used to control the corresponding strategies.
 It should develop robust software, which is able to test itself using debugging
techniques.
 It should conduct formal technical reviews to evaluate the test cases and
test strategy. The formal technical reviews can detect errors and
inconsistencies present in the testing process.
Test Strategies for Conventional Software
The test strategies chosen by most software teams for testing conventional software
generally fall between two extremes. At one extreme is the unit testing where the
individual components of the software are tested. While at the other extreme is the
integration testing that facilitates the integration of components into a system and
ends with tests that examine the integrated system.
10.2.4 Unit testing
Unit testing is performed to test the individual units of software. Since the software
comprises various units/modules, detecting errors in these units is simple and
consumes less time, as they are small in size. However, it is possible that the
outputs produced by one unit become input for another unit. Hence, if incorrect
output produced by one unit is provided as input to the second unit then it also
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Testing Strategies produces wrong output. If this process is not corrected, the entire software may
produce unexpected outputs. To avoid this, all the units in the software are tested
independently using unit testing (see Figure 10.5).

NOTES

Fig. 10.5 Unit Testing

Unit testing is not just performed once during the software development,
but repeated whenever the software is modified or used in a new environment.
Some other points noted about unit testing are listed below.
 Each unit is tested separately regardless of other units of software.
 The developers themselves perform this testing.
 The methods of white box testing are used in this testing.
Unit testing is used to verify the code produced during software coding and
is responsible for assessing the correctness of a particular unit of source code. In
addition, unit testing performs the following functions.
 It tests all control paths to uncover maximum errors that occur during the
execution of conditions present in the unit being tested.
 It ensures that all statements in the unit have been executed at least once.
 It tests data structures (like stacks, queues) that represent relationships among
individual data elements.
 It checks the range of inputs given to units. This is because every input
range has a maximum and minimum value and the input given should be
within the range of these values.
 It ensures that the data entered in variables is of the same data type as
defined in the unit.
 It checks all arithmetic calculations present in the unit with all possible
combinations of input values.

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Unit testing methods Testing Strategies

Unit testing is performed by conducting a number of unit tests where each unit test
checks an individual component that is either new or modified. A unit test is also
referred to as a module test as it examines the individual units of code that constitute NOTES
the program and eventually the software. In a conventional structured programming
language such as C, the basic unit is a function or subroutine while in object-
oriented language such as C++, the basic unit is a class.
Various tests that are performed as a part of unit testing are listed below
(also see Figure 10.6).
 Module interface: This is tested to check whether information flows in a
proper manner in and out of the ‘unit’ being tested. Note that test of data-
flow (across a module interface) is required before any other test is initiated.
 Local data structure: This is tested to check whether temporarily stored
data maintains its integrity while an algorithm is being executed.
 Boundary conditions: These are tested to check whether the module
provides the desired functionality within the specified boundaries.
 Independent paths: These are tested to check whether all statements in a
module are executed at least once. Note that in this testing, the entire control
structure should be exercised.
 Error-handling paths: After successful completion of various tests, error-
handling paths are tested.

Fig. 10.6 Unit Testing Methods

Unit test case generation

Various unit test cases are generated to perform unit testing. Test cases are designed
to uncover errors that occur due to erroneous computations, incorrect comparisons,
and improper control flow. A proper unit test case ensures that unit testing is
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Testing Strategies performed efficiently. To develop test cases, the following points should always
be considered.
 Expected functionality: Atest case is created for testing all functionalities
present in the unit being tested. For example, an SQL query is given that
NOTES
creates Table_A and alters Table_B. Then a test case is developed
to make sure that Table_A is created and Table_B is altered.
 Input values: Test cases are developed to check the various aspects of
inputs, which are discussed here.
o Every input value: Atest case is developed to check every input value,
which is accepted by the unit being tested. For example, if a program is
developed to print a table of five, then a test case is developed which
verifies that only five is entered as input.
o Validation of input: Before executing software, it is important to verify
whether all inputs are valid. For this purpose, a test case is developed
which verifies the validation of all inputs. For example, if a numeric field
accepts only positive values, then a test case is developed to verify that
the numeric field is accepting only positive values.
o Boundary conditions: Generally, software fails at the boundaries of
input domain (maximum and minimum value of the input domain). Thus,
a test case is developed, which is capable of detecting errors that caused
the software to fail at the boundaries of input domain. For example,
errors may occur while processing the last element of an array. In this
case, a test case is developed to check if an error occurs while processing
the last element of the array.
o Limitation of data types: Variable that holds data types has certain
limitations. For example, if a variable with data type long is executed
then a test case is developed to ensure that the input entered for the
variable is within the acceptable limit of long data type.
 Output values: A test case is designed to determine whether the desired
output is produced by the unit. For example, when two numbers, ‘2’ and
‘3’ are entered as input in a program that multiplies two numbers, a test
case is developed to verify that the program produces the correct output
value, that is, ‘6’.
 Path coverage: There can be many conditions specified in a unit. For
executing all these conditions, many paths have to be traversed. For example,
when a unit consists of tested ‘if’ statements and all of them are to be
executed, then a test case is developed to check whether all these paths are
traversed.
 Assumptions: For a unit to execute properly, certain assumptions are made.
Test cases are developed by considering these assumptions. For example,

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 a test case is developed to determine whether the unit generates errors in Testing Strategies

case the assumptions are not met.

 Abnormal terminations: A test case is developed to check the behavior
of a unit in case of abnormal termination. For example, when a power cut
NOTES
results in termination of a program due to shutting down of the computer, a
test case is developed to check the behavior of a unit as a result of abnormal
termination of the program.
 Error messages: Error messages that appear when the software is executed
should be short, precise, self-explanatory, and free from grammatical
mistakes. For example, if ‘print’ command is given when a printer is not
installed, error message that appears should be ‘Printer not installed’ instead
of ‘Problem has occurred as no printer is installed and hence unable to
print’. In this case, a test case is developed to check whether the error
message displayed is according to the condition occurring in the software.
Unit testing procedure
Unit tests can be designed before coding begins or after the code is developed.
Review of this design information guides the creation of test cases, which are used
to detect errors in various units. Since a component is not an independent program,
the drivers and/or stubs are used to test the units independently. Driver is a module
that takes input from test case, passes this input to the unit to be tested and prints
the output produced. Stub is a module that works as a unit referenced by the unit
being tested. It uses the interface of the subordinate unit, does minimum data
manipulation, and returns control back to the unit being tested (see Figure 10.7).

Fig. 10.7 Unit Testing Environment

Note: Drivers and stubs are not delivered with the final software product. Thus, they
represent an overhead.

10.2.5 Integration Testing

Once unit testing is complete, integration testing begins. In integration testing, the
units validated during unit testing are combined to form a subsystem. The integration
testing is aimed at ensuring that all the modules work properly as per the user
requirements when they are put together (that is, integrated).
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Testing Strategies The objective of integration testing is to take all the tested individual modules,
integrate them, test them again, and develop the software, which is according to
design specifications (see Figure 10.8). Some other points that are noted about
integration testing are listed below.
NOTES
 It ensures that all modules work together properly and transfer accurate
data across their interfaces.
 It is performed with an intention to uncover errors that lie in the interfaces
among the integrated components.
 It tests those components that are new or have been modified or affected
due to a change.

Fig. 10.8 Integration of Individual Modules

The big bang approach and incremental integration approach are used
to integrate modules of a program. In the big bang approach, initially all modules
are integrated and then the entire program is tested. However, when the entire
program is tested, it is possible that a set of errors is detected. It is difficult to
correct these errors since it is difficult to isolate the exact cause of the errors when
the program is very large. In addition, when one set of errors is corrected, new
sets of errors arise and this process continues indefinitely.
To overcome this problem, incremental integration is followed. The
incremental integration approach tests program in small increments. It is easier
to detect errors in this approach because only a small segment of software code is
tested at a given instance of time. Moreover, interfaces can be tested completely
if this approach is used. Various kinds of approaches are used for performing
incremental integration testing, namely, top-down integration testing, bottom-
up integration testing, regression testing, and smoke testing.
Top-down integration testing
In this testing, the software is developed and tested by integrating the individual
modules, moving downwards in the control hierarchy. In top-down integration
testing, initially only one module known as the main control module is tested.

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After this, all the modules called by it are combined with it and tested. This Testing Strategies

process continues till all the modules in the software are integrated and tested.
It is also possible that a module being tested calls some of its subordinate
modules. To simulate the activity of these subordinate modules, a stub is written.
NOTES
Stub replaces modules that are subordinate to the module being tested. Once the
control is passed to the stub, it manipulates the data as least as possible, verifies
the entry, and passes the control back to the module under test (see Figure 10.9).
To perform top-down integration testing, the following steps are used.
1. The main control module is used as a test driver and all the modules that are
directly subordinate to the main control module are replaced with stubs.
2. The subordinate stubs are then replaced with actual modules, one stub at a
time. The way of replacing stubs with modules depends on the approach
(depth first or breadth first) used for integration.
3. As each new module is integrated, tests are conducted.
4. After each set of tests is complete, its time to replace another stub with
actual module.
5. In order to ensure no new errors have been introduced, regression testing
may be performed.

Fig. 10.9 Top-down Integration Module

Top-down integration testing uses either depth-first integration or

breadth-first integration for integrating the modules. In depth-first
integration, the modules are integrated starting from left and then move down
in the control hierarchy. As shown in Figure 10.10 (a), initially, modules A1,
A2, A5 and A7 are integrated. Then, module A6 integrates with module A2.
After this, control moves to the modules present at the centre of control
hierarchy, that is, module A3 integrates with module A1 and then module A8
integrates with module A3. Finally, the control moves towards right, integrating
module A4 with module A1.

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Testing Strategies

NOTES

(a) Depth-first Integration (b) Breadth-first Integration

Fig. 10.10 Top-down Integration

In breadth-first integration, initially all modules at the first level are

integrated moving downwards, integrating all modules at the next lower levels. As
shown in Figure 10.10 b), initially modules A2, A3, and A4 are integrated with
module A1 and then it moves down integrating modules A5 and A6 with module
A2 and module A8 with module A3. Finally, module A7 is integrated with module
A5.
Various advantages and disadvantages associated with top-down integration
are listed in Table 10.3.
Table 10.3 Advantages and Disadvantages of Top-down Integration

Advantages Disadvantages

 Behavior of modules at high level is  Delays the verification of behavior of

verified early. modules present at lower levels.
 None or only one driver is required.  Large numbers of stubs are required
 Modules can be added one at a time in case the lowest level of software
with each step. contains many functions.

 Supports both breadth-first method  Since stubs replace modules present

and depth-first method. at lower levels in the control
hierarchy, no data flows upward in
 Modules are tested in isolation from
program structure. To avoid this,
other modules.
tester has to delay many tests until
stubs are replaced with actual
modules or has to integrate software
from the bottom of the control
hierarchy moving upward.
 Module cannot be tested in isolation
from other modules because it has to
invoke other modules.

Bottom-up integration testing

In this testing, individual modules are integrated starting from the bottom and then
moving upwards in the hierarchy. That is, bottom-up integration testing combines
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and tests the modules present at the lower levels proceeding towards the modules Testing Strategies

present at higher levels of the control hierarchy.

Some of the low-level modules present in software are integrated to form
clusters or builds (collection of modules). A test driver that coordinates the test
NOTES
case input and output is written and the clusters are tested. After the clusters have
been tested, the test drivers are removed and the clusters are integrated, moving
upwards in the control hierarchy.

Fig. 10.11 Bottom-up Integration

Figure 10.11 shows modules, drivers, and clusters in bottom-up integration.

The low-level modules A4, A5, A6, and A7 are combined to form cluster C1.
Similarly, modules A8, A9, A10, A11, and A12 are combined to form cluster
C2. Finally, modules A13 and A14 are combined to form cluster C3. After
clusters are formed, drivers are developed to test these clusters. Drivers D1, D2,
and D3 test clusters C1, C2, and C3 respectively. Once these clusters are tested,
drivers are removed and clusters are integrated with the modules. Cluster C1 and
cluster C2 are integrated with module A2. Similarly, cluster C3 is integrated with
module A3. Finally, both the modules A2 and A3 are integrated with module A1.
Various advantages and disadvantages associated with bottom-up
integration are listed in Table 10.4.
Table 10.4 Advantages and Disadvantages of Bottom-up integration

Advantages Disadvantages

 Behavior of modules at lower levels  Delays in verification of modules at

is verified earlier. higher levels.
 No stubs are required.  Large numbers of drivers are required
 Uncovers errors that occur at the to test clusters.
lower levels in software.
 Modules are tested in isolation from
other modules.

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Testing Strategies Regression testing
Software undergoes changes every time a new module is integrated with the existing
subsystem (Figure 10.12). Changes can occur in the control logic or input/output
NOTES media, and so on. It is possible that new data-flow paths are established as a
result of these changes, which may cause problems in the functioning of some
parts of the software that was previously working perfectly. In addition, it is also
possible that new errors may surface during the process of correcting existing
errors. To avoid these problems, regression testing is used.

Fig. 10.12 Addition of Module in Integration Testing

Regression testing ‘re-tests’ the software or part of it to ensure that the

components, features, and functions, which were previously working properly, do
not fail as a result of the error correction process and integration of modules. It is
regarded as an important activity as it helps in ensuring that changes (due to error
correction or any other reason) do not result in additional errors or unexpected
outputs from other system components.
To understand the need of regression testing, suppose an existing module
has been modified or a new function is added to the software. These changes may
result in errors in other modules of the software that were previously working
properly. To illustrate this, consider the part of the code written below that is
working properly.
x: = b + 1 ;
proc (z);
b: = x + 2; x: = 3;
Now suppose that in an attempt to optimize the code, it is transformed into
the following.
proc(z);
b:= b + 3;
x:= 3;
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 This may result in an error if procedure proc accesses variable x. Thus, Testing Strategies

testing should be organized with the purpose of verifying possible degradations of

correctness or other qualities due to later modifications. During regression testing,
a subset of already defined test cases is re-executed on the changed software so
that errors can be detected. Test cases for regression testing consist of three different NOTES
types of tests, which are listed below.
 Tests that check all functions of the software
 Tests that check the functions that can be affected due to changes
 Tests that check the modified software modules.
The advantages and disadvantages associated with regression testing are
listed in Table 10.5.
Table 10.5 Advantages and Disadvantages of Regression Testing

Advantages Disadvantages

 Ensures that the unchanged parts of a  Time consuming activity.

software work properly.
 Ensures that all errors that have  Considered to be expensive.
occurred in the software due to
modifications are corrected and are
not affecting the working of software.

Smoke testing
Smoke testing is defined as an approach of integration testing in which a subset of
test cases designed to check the main functionality of software are used to test
whether the vital functions of the software work correctly. This testing is best
suitable for testing time-critical software as it permits the testers to evaluate the
software frequently.
Smoke testing is performed when the software is under development. As
the modules of the software are developed, they are integrated to form a ‘cluster’.
After the cluster is formed, certain tests are designed to detect errors that prevent
the cluster to perform its function. Next, the cluster is integrated with other clusters
thereby leading to the development of the entire software, which is smoke tested
frequently. Asmoke test should possess the following characteristics.
 It should run quickly.
 It should try to cover a large part of the software and if possible the entire
software.
 It should be easy for testers to perform smoke testing on the software.
 It should be able to detect all errors present in the cluster being tested.
 It should try to find showstopper errors.

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Testing Strategies Generally, smoke testing is conducted every time a new cluster is developed
and integrated with the existing cluster. Smoke testing takes minimum time to detect
errors that occur due to integration of clusters. This reduces the risk associated
with the occurrence of problems such as introduction of new errors in the software.
NOTES A cluster cannot be sent for further testing unless smoke testing is performed on it.
Thus, smoke testing determines whether the cluster is suitable to be sent for further
testing. Other benefits associated with smoke testing are listed below.
 Minimizes the risks, which are caused due to integration of different
modules: Since smoke testing is performed frequently on the software, it
allows the testers to uncover errors as early as possible, thereby reducing
the chance of causing severe impact on the schedule when there is delay in
uncovering errors.
 Improves quality of the final software: Since smoke testing detects both
functional and architectural errors as early as possible, they are corrected
early, thereby resulting in a high-quality software.
 Simplifies detection and correction of errors: As smoke testing is
performed almost every time a new code is added, it becomes clear that
the probable cause of errors is the new code.
 Assesses progress easily: Since smoke testing is performed frequently,
it keeps track of the continuous integration of modules, that is, the
progress of software development. This boosts the morale of software
developers.
Integration test documentation
To understand the overall procedure of software integration, a document known
as test specification is prepared. This document provides information in the
form of a test plan, test procedure, and actual test results.

Fig. 10.13 Test Specification Document

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 Figure 10.13 shows the test specification document, which comprises the Testing Strategies

following sections.
 Scope of testing: Outlines the specific design, functional, and performance
characteristics of the software that need to be tested. In addition, it describes
NOTES
the completion criteria for each test phase and keeps track of the constraints
that occur in the schedule.
 Test plan: Describes the testing strategy to be used for integrating the
software. Testing is classified into two parts, namely, phases and builds.
Phases describe distinct tasks that involve various subtasks. On the other
hand, builds are groups of modules that correspond to each phase. Some
of the common test phases that require integration testing include user
interaction, data manipulation and analysis, display outputs, database
management, and so on. Every test phase consists of a functional category
within the software. Generally, these phases can be related to a specific
domain within the architecture of the software. The criteria commonly
considered for all test phases include interface integrity, functional validity,
information content, and performance.
In addition to test phases and builds, a test plan should also include the
following.
o A schedule for integration, which specifies the start and end date for
each phase.
o A description of overhead software that focuses on the characteristics
for which extra effort may be required.
o A description of the environment and resources required for the testing.
 Test procedure ‘n’: Describes the order of integration and the
corresponding unit tests for modules. Order of integration provides
information about the purpose and the modules that are to be tested. Unit
tests are performed for the developed modules along with the description
of tests for these modules. In addition, test procedure describes the
development of overhead software, expected results during integration
testing, and description of test case data. The test environment and tools or
techniques used for testing are also mentioned in a test procedure.
 Actual test results: Provides information about actual test results and
problems that are recorded in the test report. With the help of this information,
it is easy to carry out software maintenance.
 References: Describes the list of references that are used for preparing
user documentation. Generally, references include books and websites.
 Appendices: Provides information about the test specification document.
Appendices serve as a supplementary material that is provided at the end
of the document.

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Testing Strategies Test Strategies for Object-Oriented Software
Like conventional software, the software testing in object-oriented (OO) software
also aims to uncover maximum errors with minimum effort. However as the nature
NOTES of object-oriented software is different from that of conventional software, the
test strategies as well as testing techniques used for object-oriented software are
also differ.
Unit testing in OO context
In object-oriented environment, the concept of unit is different. Here, the focus of
unit testing is the class (or an instance of a class, usually called object), which is an
encapsulated package binding the data and the operations that can be performed
on these data together. But the smallest testable units in object-oriented software
are the operations defined inside the class. Since in OO environment, a single
operation may belong to many classes, it is ineffective to test any operation in a
standalone fashion, as we do in conventional unit testing approach; rather an
operation needs to be tested as a part of class. The class testing for object-oriented
software is equivalent to the unit testing of conventional software. However, unlike
unit testing of conventional software, it is not driven by the details of modules and
data across module interfaces. Rather, it focuses on the operations defined inside
the class and the state behavior of class.
Integration testing in OO context
The object-oriented software do not necessarily follow a hierarchical structure
due to which the conventional top-down and bottom-up integration approaches
are of little use for them. Moreover, conventional incremental integration approach
(which means integrating operations one at a time into a class) also seems impossible
because the operation being integrated into a class may need to interact directly or
indirectly with other operations that form the class. To avoid such problems, two
different integration approaches, including thread-based testing and use-based
testing, are adopted for the integration testing of OO software.
In thread-based testing approach, the set of classes that need to respond
an input or an event are determined. Each such set of classes is said to form a
thread. After determining the sets of classes forming threads, each thread is
integrated and tested individually. Regression testing is also performed to ensure
that no error occur as a result of integration. On the other hand, in use-based
testing approach, the integration process starts with the independent classes
(the classes that either do not or do have a little collaboration with other classes).
After the independent classes have been integrated and tested, the integration
testing proceeds to next layer of classes called dependent classes which make
use of independent classes. This integration procedure continues until the entire
system has been integrated and tested.

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Test Strategies for Web Applications Testing Strategies

The test strategy for Web applications (WebApps) conforms to the basic principles
used for all software testing and follows the strategy and testing tactics recommended
for object-oriented software. The steps followed in the strategic approach used NOTES
for WebApps are summarized below.
1. Examine the content model for the WebApp to reveal errors.
2. Examine the interface model for the WebApp to ascertain whether all the
use-cases can be conciliated.
3. Examine the design model for the WebApp to find out navigation errors.
4. Test the user interface to disclose errors in the presentation.
5. Perform unit testing for each functional component.
6. Test the navigation across the architecture.
7. Implement the WebApp in many different environmental configurations and
check whether it is compatible with each environmental configuration.
8. Conduct the security testing with an aim to exploit vulnerabilities within the
WebApp or in its environment.
9. Conduct the performance testing.
10. Make the WebApp tested by the end users and evaluate the results obtained
from them for content and navigation errors, performance and reliability of
WebApp, compatibility and usability concerns.
10.2.6 Validation Testing
After the individual components of a system have been unit tested, assembled as a
complete system, and the interfacing errors have been detected as well as corrected,
the validation testing begins. This testing is performed to ensure that the functional,
behavioral and performance requirements of the software are met. IEEE defines
validation testing as a ‘formal testing with respect to user needs, requirements,
and business processes conducted to determine whether or not a system
satisfies the validation criteria and to enable the user, customers or other
authorized entity to determine whether or not to accept the system’.
During validation testing, the software is tested and evaluated by a group of
users either at the developer’s site or user’s site. This enables the users to test the
software themselves and analyze whether it is meeting their requirements. To perform
acceptance testing, a predetermined set of data is given to the software as input. It
is important to know the expected output before performing acceptance testing so
that outputs produced by the software as a result of testing can be compared with
them. Based on the results of tests, users decide whether to accept or reject the
software. That is, if both outputs (expected and produced) match, the software is
considered to be correct and is accepted; otherwise, it is rejected.

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Testing Strategies The various advantages and disadvantages associated with validation testing
are listed in Table 10.6.
Table 10.6 Advantages and Disadvantages of Validation Testing
NOTES
Advantages Disadvantages

 Gives user an opportunity to ensure  The users may provide feedback

that software meets user without having proper knowledge of
requirements, before actually the software.
accepting it from the developer.
 Enables both users and software  Since users are not professional
developers to identify and resolve testers, they may not able to either
problems in software. discover all software failures or
 Determines the readiness (state of accurately describe some failures.
being ready to operate) of software to
perform operations.
 Decreases the possibility of software
failure to a large extent.

Alpha and beta testing

Since the software is intended for large number of users, it is not possible to
perform validation testing with all the users. Therefore, organizations engaged in
software development use alpha and beta testing as a process to detect errors by
allowing a limited number of users to test the software.
Alpha testing
Alpha testing is considered as a form of internal acceptance testing in which the
users test the software at the developer’s site (Figure 10.14). In other words, this
testing assesses the performance of the software in the environment in which it is
developed. On completion of alpha testing, users report the errors to software
developers so that they can correct them.

Fig. 10.14 Alpha Testing

Some advantages of alpha testing are listed below.

 It identifies all the errors present in the software.
 It checks whether all the functions mentioned in the requirements are
implemented properly in the software.
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Beta testing Testing Strategies

Beta testing assesses the performance of the software at user’s site. This testing is
‘live’ testing and is conducted in an environment, which is not controlled by the
developer. That is, this testing is performed without any interference from the NOTES
developer (see Figure 10.15). Beta testing is performed to know whether the
developed software satisfies the user requirements and fits within the business
processes.

Fig. 10.15 Beta Testing

Note that beta testing is considered as external acceptance testing which

aims to get feedback from the potential customers. For this, the system and the
limited public tests (known as beta versions) are made available to the groups of
people or the open public (for getting more feedback). These people test the
software to detect any faults or bugs that may not have been detected by the
developers and report their feedback. After acquiring the feedback, the system is
modified and released either for sale or for further beta testing.
The advantages of beta testing are listed below.
 It evaluates the entire documentation of software. For example, it examines
the detailed description of software code, which forms a part of
documentation of software.
 It checks whether software is operating successfully in user environment or
not.
10.2.7 System Testing
Software is integrated with other elements such as hardware, people, and database
to form a computer-based system. This system is then checked for errors using
system testing. IEEE defines system testing as ‘a testing conducted on a complete,
integrated system to evaluate the system’s compliance with its specified
requirement.’
In system testing, the system is tested against non-functional requirements
such as accuracy, reliability, and speed. The main purpose is to validate and verify
the functional design specifications and to check how integrated modules work
together. The system testing also evaluates the system’s interfaces to other
applications and utilities as well as the operating environment.
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Testing Strategies During system testing, associations between objects (like fields), control
and infrastructure, and the compatibility of the earlier released software versions
with new versions are tested. System testing also tests some properties of the
developed software, which are essential for users. These properties are listed
NOTES below.
 Usable: Verifies that the developed software is easy to use and is
understandable.
 Secure: Verifies that the access to important or sensitive data is restricted
even for those individuals who have authority to use the software.
 Compatible: Verifies that the developed software works correctly in
conjunction with existing data, software and procedures.
 Documented: Verifies that the manuals that give information about the
developed software are complete, accurate and understandable.
 Recoverable: Verifies that there are adequate methods for recovery in
case of failure.
System testing requires a series of tests to be conducted because software
is only a component of computer-based system and finally it is to be integrated
with other components such as information, people, and hardware. The test plan
plays an important role in system testing as it describes the set of test cases to be
executed, the order of performing different tests, and the required documentation
for each test. During any test, if a defect or error is found, all the system tests that
have already been executed must be re-executed after the repair has been made.
This is required to ensure that the changes made during error correction do not
lead to other problems.
While performing system testing, conformance tests and reviews can also
be conducted to check the conformance of the application (in terms of
interoperability, compliance, and portability) with corporate or industry standards.
System testing is considered to be complete when the outputs produced by
the software and the outputs expected by the user are either in line or the difference
between the two is within permissible range specified by the user. Various kinds of
testing performed as a part of system testing (see Figure 10.16) are recovery
testing, security testing, stress testing, and performance testing.

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 Testing Strategies

NOTES

Fig. 10.16 Types of System Testing

Recovery testing
Recovery testing is a type of system testing in which the system is forced to
fail in different ways to check whether the software recovers from the failures
without any data loss. The events that lead to failure include system crashes,
hardware failures, unexpected loss of communication, and other catastrophic
problems.
To recover from any type of failure, a system should be fault-tolerant. A
fault- tolerant system can be defined as a system, which continues to perform the
intended functions even when errors are present in it. In case the system is not
fault-tolerant, it needs to be corrected within a specified time limit after failure has
occurred so that the software performs its functions in a desired manner.
Test cases generated for recovery testing not only show the presence of
errors in a system, but also provide information about the data lost due to problems
such as power failure and improper shutting down of computer system. Recovery
testing also ensures that appropriate methods are used to restore the lost data.
Other advantages of recovery testing are listed below.
 It checks whether the backup data is saved properly.
 It ensures that the backup data is stored in a secure location.
 It ensures that proper detail of recovery procedures is maintained.
Security testing
Systems with sensitive information are generally the target of improper or illegal
use. Therefore, protection mechanisms are required to restrict unauthorized access
to the system. To avoid any improper usage, security testing is performed which
identifies and removes the flaws from software (if any) that can be exploited by the
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Testing Strategies intruders and thus, result in security violations. To find such kind of flaws, the
tester like an intruder tries to penetrate the system by performing tasks such as
cracking the password, attacking the system with custom software, intentionally
producing errors in the system, etc. The security testing focuses on the following
NOTES areas of security.
 Application security: To check whether the user can access only those
data and functions for which the system developer or user of system has
given permission. This security is referred to as authorization.
 System security: To check whether only the users, who have permission
to access the system, are accessing it. This security is referred to as
authentication.
Generally, the disgruntled/dishonest employees or other individuals outside
the organization make an attempt to gain unauthorized access to the system. If
such people succeed in gaining access to the system, there is a possibility that a
large amount of important data can be lost resulting in huge loss to the organization
or individuals.
Security testing verifies that the system accomplishes all the security
requirements and validates the effectiveness of these security measures. Other
advantages associated with security testing are listed below.
 It determines whether proper techniques are used to identify security risks.
 It verifies that appropriate protection techniques are followed to secure the
system.
 It ensures that the system is able to protect its data and maintain its
functionality.
 It conducts tests to ensure that the implemented security measures are
working properly.
Stress testing
Stress testing is designed to determine the behavior of the software under abnormal
situations. In this testing, the test cases are designed to execute the system in such
a way that abnormal conditions arise. Some examples of test cases that may be
designed for stress testing are listed below.
 Test cases that generate interrupts at a much higher rate than the average rate
 Test cases that demand excessive use of memory as well as other resources
 Test cases that cause ‘thrashing’ by causing excessive disk accessing.
IEEE defines stress testing as ‘testing conducted to evaluate a system or
component at or beyond the limits of its specified requirements.’ For example,
if a software system is developed to execute 100 statements at a time, then stress
testing may generate 110 statements to be executed. This load may increase until
the software fails. Thus, stress testing specifies the way in which a system reacts
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when it is made to operate beyond its performance and capacity limits. Some Testing Strategies

other advantages associated with stress testing are listed below.

 It indicates the expected behavior of a system when it reaches the extreme
level of its capacity.
NOTES
 It executes a system till it fails. This enables the testers to determine the
difference between the expected operating conditions and the failure
conditions.
 It determines the part of a system that leads to errors.
 It determines the amount of load that causes a system to fail.
 It evaluates a system at or beyond its specified limits of performance.
Performance testing
Performance testing is designed to determine the performance of the software
(especially real-time and embedded systems) at the run-time in the context of the
entire computer-based system. It takes various performance factors like load,
volume, and response time of the system into consideration and ensures that they
are in accordance with the specifications. It also determines and informs the
software developer about the current performance of the software under various
parameters (like condition to complete the software within a specified time limit).
Often performance tests and stress tests are used together and require both
software and hardware instrumentation of the system. By instrumenting a system,
the tester can reveal conditions that may result in performance degradation or
even failure of a system. While the performance tests are designed to assess the
throughput, memory usage, response time, execution time, and device utilization
of a system, the stress tests are designed to assess its robustness and error handling
capabilities. Performance testing is used to test several factors that playan important
role in improving the overall performance of the system. Some of these factors are
listed below.
 Speed: Refers to the extent how quickly a system is able to respond to its
users. Performance testing verifies whether the response is quick enough.
 Scalability: Refers to the extent to which the system is able to handle the
load given to it. Performance testing verifies whether the system is able to
handle the load expected by users.
 Stability: Refers to the extent how long the system is able to prevent itself
from failure. Performance testing verifies whether the system remains stable
under expected and unexpected loads.
The outputs produced during performance testing are provided to the system
developer. Based on these outputs, the developer makes changes to the system in
order to remove the errors. This testing also checks the system characteristics
such as its reliability. Other advantages associated with performance testing are
listed below.
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Testing Strategies  It assess whether a component or system complies with specified
performance requirements.
 It compares different systems to determine which system performs better.
NOTES
Check Your Progress
1. What does software testing determines?
2. What is testability?
3. What is a test plan?

10.3 TESTING CONVENTIONAL APPLICATIONS

As stated earlier, after the software has been developed, it should be tested in a
proper manner before delivering it to the user. To test any software, test cases
need to be designed. There are two techniques that provide systematic guidance
for designing tests cases for conventional applications. These techniques are:
 Once the internal working of software is known, tests are performed to
ensure that all internal operations of software are performed according to
specifications. This is referred to as white box testing.
 Once the specified function for which software has been designed is known,
tests are performed to ensure that each function is working properly. This is
referred to as black box testing.

Fig. 10.17 Testing Techniques

10.3.1 White Box Testing

White box testing, also known as structural testing or glass box testing, is
performed to check the internal structure of a program. To perform white box
testing, the tester should have a thorough knowledge of the program internals
along with the purpose of developing the software. During this testing, the entire
software implementation is also included with the specification. This helps in detecting
errors even with unclear or incomplete software specification.
The goal of white box testing is to ensure that the test cases (developed by
software testers by using white box testing) exercise each path through a program.
That is, test cases ensure that all internal structures in the program are developed
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according to design specifications (see Figure 10.18). The test cases also ensure Testing Strategies

the following.
 All independent paths within the program have been exercised at least once.
 All internal data structures have been exercised. NOTES
 All loops (simple loops, concatenated loops, and nested loops) have been
executed at and within their specific boundaries.
 All segments present between the controls structures (like ‘switch’ statement)
have been executed at least once.
 Each branch (like ‘case’ statement) has been exercised at least once.
 All the logical conditions as well as their combinations have been executed
at least once for both true and false paths.

Fig. 10.18 White Box Testing

The various advantages and disadvantages of white box testing are listed in
Table 10.7.
Table 10.7 Advantages and Disadvantages of White Box Testing

Advantages Disadvantages

 Covers the larger part of the  Tests that cover most of the program
program code while testing. code may not be good for assessing the
 Uncovers typographical errors. functionality of surprise (unexpected)
behaviors and other testing goals.
 Detects design errors that occur
when incorrect assumptions are  Tests based on design may miss other
made about execution paths system problems.
 Tests cases need to be changed if
implementation changes.

The effectiveness of white box testing is commonly expressed in terms of

test or code coverage metrics, that is, the fraction of code exercised by test cases.
Various types of testing, which occur as part of white box testing are basis path
testing, control structure testing, and mutation testing (see Figure 10.19).
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Testing Strategies

NOTES

Fig. 10.19 Types of White Box Testing

Basis path testing

Basis path testing enables to generate test cases such that every path of the program
has been exercised at least once. This technique is used to specify the basic set of
execution paths that are required to execute all the statements present in the program.
Note that with the increase in the size of the software the number of execution
paths also increases thereby degrading the effectiveness of basis path testing.
Creating flow graph
A flow graph represents the logical control flow within a program. For this, it
makes use of a notation as shown in Figure 10.20.

Fig. 10.20 Flow Graph Notation

Aflow graph uses different symbols, namely, circles and arrows to represent
various statements and flow of control within the program. Circles represent nodes,
which are used to depict the procedural statements present in the program. A
sequence of process boxes and a decision box used in a flowchart can be easily
mapped into a single node. Arrows represent edges or links, which are used to
depict the flow of control within the program. It is necessary for every edge to end
in a node irrespective of whether it represents a procedural statement. In a flow
graph, the area bounded by edges and nodes is known as a region. In addition,
the area outside the graph is also counted as a region while counting regions. A
flow graph can be easily understood with the help of a diagram. For example, in

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Figure 10.21 (a) a flowchart has been depicted, which has been represented as a Testing Strategies

flow graph in 10.21 (b).

NOTES

(a) Flowchart (b) Flow Graph

Fig. 10.21 Creating Flow Graph

Note that a node that contains a condition is known as predicated node,

which contains one or more edges emerging out of it. For example, in Figure
10.21(b), node 2 and node 3 represent the predicated nodes.
Finding independent paths
A path through the program, which specifies a new condition or a minimum of one
new set of processing statements, is known as an independent path. For example,
in nested ‘if’ statements there are several conditions that represent independent
paths. Note that a set of all independent paths present in the program is known as
a basis set.
A test case is developed to ensure that while testing all statements of the
program get exercised at least once. For example, all the independent paths in
Figure 10.21(b) are listed below.
P1: 1-9
P2: 1-2-7-8-1-9
P3: 1-2-3-4-6-8-1-9
P4: 1-2-3-5-6-8-1-9

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Testing Strategies Where P1, P2, P3, and P4 represent different independent paths present
in the program.
To determine the number of independent paths through a program, the
cyclomatic complexity metric is used that provides a quantitative measure of
NOTES
the logical complexity of a program. The value of this metric defines the number of
test cases that should be developed to ensure that all statements in the program
get exercised at least once during testing.
Cyclomatic complexity of a program can be computed by using any of the
following three methods.
 By counting the total number of regions in the flow graph of a program. For
example, in Figure 10.21 (b), there are four regions represented by R1,
R2, R3, and R4; hence, the cyclomatic complexity is four.
 Byusing the following formula.
CC = E - N + 2
Where
CC = the cyclomatic complexity of the program
E = the number of edges in the flow graph
N = the number of nodes in the flow graph.
For example, in Figure 10.21 (b), E = 11, N = 9. Therefore, CC = 11 - 9 +
2 = 4.
 Byusing the following formula.
CC = P + 1
Where
P = the number of predicate nodes in the flow graph.
For example, in Figure 10.21 (b), P = 3. Therefore, CC = 3 + 1 = 4.
Note: Cyclomatic complexity can be calculated either manually (generally for small program
suites) or using automated tools. However, for most operational environments, automated
tools are preferred.

Deriving test cases

In this, basis path testing is presented as a series of steps and the test cases are
developed to ensure that all statements within the program get exercised at least
once while performing testing. While performing basis path testing, initially the
basis set (independent paths in the program) is derived. The basis set can be
derived using the steps listed below.
1. Draw the flow graph of the program: A flow graph is constructed using
symbols previously discussed. For example, a program to find the greater
of two numbers is given below.
procedure greater;
integer: x, y, z = 0;
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 1 enter the value of x; Testing Strategies
2 enter the value of y;
3 if x > y then
4 z = x;
else NOTES
5 z = y;
6 end greater
The flow graph for the above program is shown in Figure 10.22.

Fig. 10.22 Flow Graph to Find the Greater between Two Numbers

2. Compute the cyclomatic complexity: The cyclomatic complexity of the

program can be computed using the flow graph depicted in Figure 10.22 as
given below.
CC = 2 as there are two regions R1 and R2
or
CC = 6 edges – 6 nodes + 2 = 2
or
CC = 1 predicate node + 1 = 2
3. Determine all independent paths through the program: For the flow
graph depicted in Figure 10.22, the independent paths are listed below.
P1: 1-2-3-4-6
P2: 1-2-3-5-6
4. Prepare test cases: Test cases are prepared to implement the execution
of all independent paths in the basis set. The program is then tested for each
test case and the produced output is compared with the desired output.

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Testing Strategies Generating graph matrix
Graph matrix is used to develop software tool that in turn helps in carrying out
basis path testing. It is defined as a data structure used to represent the flow graph
NOTES of a program in a tabular form. This matrix is also used to evaluate the control
structures present in the program during testing.
Graph matrix is a square matrix of the size N×N, where N is the number of
nodes in the flow graph. An entry is made in the matrix at the intersection of ith
row and jth column if there exists an edge between ith and jth node in the flow
graph. Every entry in the graph matrix is assigned some value known as link
weight. Adding link weights to each entry makes the graph matrix a useful tool for
evaluating the control structure of the program during testing. Figure 10.23 (b)
shows the graph matrix generated for the flow graph depicted in Figure 10.23 (a).

(a) Flow Graph (b) Graph Matrix

Fig. 10.23 Generating Graph Matrix

In the flow graph shown in Figure 10.23 (a), numbers and letters are used
to identify each node and edge respectively. In Figure 10.23 (b), a letter entry is
made if there is an edge between two nodes of the flow graph. For example, node
3 is connected to the node 6 by edge d and node 4 is connected to node 2 by
edge c, and so on.
Control structure testing
Control structure testing is used to enhance the coverage area by testing various
control structures (which include logical structures and loops) present in the
program. Note that basis path testing is used as one of the techniques for control
structure testing. Various types of testing performed under control structure testing
are condition testing, data-flow testing, and loop testing.
Condition testing
Incondition testing, thetestcasesarederived to determine whether the logical conditions
and decision statements are free from errors. The errors presenting logical conditions
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can be incorrect Boolean operators, missing parenthesis in a Boolean expression, Testing Strategies

error in relational operators, arithmetic expressions, and so on.

The common types of logical conditions that are tested using condition testing
are listed below.
NOTES
 A relational expression, such as E1 op E2, where E1 and E2 are arithmetic
expressions and op is an operator.
 A simple condition, such as any relational expression proceeded by a NOT
(~) operator. For example, (~ E1), where E1 is an arithmetic expression.
 A compound condition, which is composed of two or more simple
conditions, Boolean operators, and parenthesis. For example, (E1 & E2)
| (E2 & E3), where E1, E2, and E3 are arithmetic expressions and &
and | represent AND and OR operators.
 ABoolean expression consisting of operands and a Boolean operator, such
as AND, OR, or NOT. For example, A | B is a Boolean expression, where
A and B are operands and | represents OR operator.
Condition testing is performed using different strategies, namely, branch
testing, domain testing, and branch and relational operator testing. Branch
testing executes each branch (like ‘if’statement) present in the module of a program
at least once to detect all the errors present in the branch. Domain testing tests
relational expressions present in a program. For this, domain testing executes all
statements of the program that contain relational expressions. Branch and
relational operator testing tests the branches present in the module of a program
using condition constraints. For example,
if a >10
then
print big
In this case, branch and relational operator testing verifies that when the
above code is executed, it produces the output ‘big’ only if the value of variable a
is greater than 10.
Data-flow testing
In data-flow testing, test cases are derived to determine the validity of variables
definitions and their uses in the program. This testing ensures that all variables are
used properly in a program. To specify test cases, data-flow-based testing uses
information such as location at which the variables are defined and used in the
program.
For performing data-flow testing, a definition-use graph is built by
associating the program variables with nodes and edges of the control flow graph.
Once these variables are attached, test cases can easily determine which variable
is used in which part of a program and how data is flowing in the program. Thus,
data-flow of a program can be tested easily using specified test cases.
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Testing Strategies Loop testing
Loop testing is used to check the validity of loops present in the program modules.
Generally, there exist four types of loops (see Figure 10.24), which are discussed
NOTES below.
 Simple loop: Refers to a loop that has no other loops in it. Consider a
simple loop of size n. Size n of the loop indicates that the loop can be
traversed n times, that is, n number of passes are made through the loop.
The steps followed for testing simple loops are given below.
1. Skip the entire loop.
2. Traverse the loop only once.
3. Traverse the loop two times.
4. Make m number of passes through the loop, where m < n.
5. Traverse the loop n-1, n, n + 1 times.
 Nested Loops: Loops within loops are known as nested loops. The number
of tests required for testing nested loops depends on the level of nesting.
More is the level of nesting; more will be the number of tests required. The
steps followed for testing nested loops are listed below.
1. Start with the inner loop and set values of all the outer loops to minimum.
2. Test the inner loop using the steps followed for testing simple loops
while keeping the iteration parameters of the outer loops at their
minimum values. Add other tests for values that are either out-of-
range or are eliminated.
3. Move outwards, conducting tests for the next loop while holding other
nested loops to ‘typical’ values and the iteration parameters of the
outer loops at their minimum values.
4. Continue testing until all loops are tested.
 Concatenated loops: The loops containing several loops that may be
dependent or independent. In case the loops are dependent on each other,
the steps in nested loops are followed. On the other hand, if the loops are
independent of each other, the steps in simple loops are followed.
 Unstructured Loops: Such loops are difficult to test; therefore, they should
be redesigned so that the use of structured programming constructs can be
reflected.

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 Testing Strategies

NOTES

Fig. 10.24 Types of Loops

Mutation testing
Mutation testing is a white box method where errors are ‘purposely’ inserted into
a program (under test) to verify whether the existing test case is able to detect the
error. In this testing, mutants of the program are created by making some changes
in the original program. The objective is to check whether each mutant produces
an output that is different from the output produced by the original program (see
Figure 10.25).

Fig. 10.25 Mutation Testing

In mutation testing, test cases that are able to ‘kill’ all the mutants should be
developed. This is accomplished by testing mutants with the developed set of test
cases. There can be two possible outcomes when the test cases test the program—
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Testing Strategies either the test case detects the faults or fails to detect faults. If faults are detected,
then necessary measures are taken to correct them.
When no faults are detected, it implies that either the program is absolutely
correct or the test case is inefficient to detect the faults. Therefore, it can be
NOTES
concluded that mutation testing is conducted to determine the effectiveness of a
test case. That is, if a test case is able to detect these ‘small’ faults (minor changes)
in a program, then it is likely that the same test case will be equally effective in
finding real faults.
To perform mutation testing, a number of steps are followed, which are
listed below.
1. Create mutants of a program.
2. Check both program and its mutants using test cases.
3. Find the mutants that are different from the main program. A mutant is said
to be different from the main program if it produces an output, which is
different from the output produced by the main program.
4. Find mutants that are equivalent to the program. A mutant is said to be
equivalent to the main program if it produces the same output as that of the
main program.
5. Compute the mutation score using the formula given below.
M = D /(N-E)
Where M = Mutation score
N = Total number of mutants of the program
D = Number of mutants different from the main program
E = Total number of mutants that are equivalent to the main program.
6. Repeat steps 1 to 5 till the mutation score is ‘1’.
However, mutation testing is very expensive to run on large programs.
Thus, certain tools are used to run mutation tests on large programs. For
example, ‘Jester’ is used to run mutation tests on Java code. This tool targets
the specific areas of the program code, such as changing constants and Boolean
values.
10.3.2 Black Box Testing
Black box (or functional) testing checks the functional requirements and examines
the input and output data of these requirements (see Figure 10.26). When black
box testing is performed, only the sets of ‘legal’ input and corresponding outputs
should be known to the tester and not the internal logic of the program to produce
that output. Hence to determine the functionality, the outputs produced for the
given sets of input are observed.

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 Testing Strategies

NOTES

Fig. 10.26 Black Box Testing

The black box testing is used to find the following errors (see Figure 10.27).
 Interface errors, such as functions, which are unable to send or receive data
to/from other software.
 Incorrect functions that lead to undesired output when executed.
 Missing functions and erroneous data structures.
 Erroneous databases, which lead to incorrect outputs when software uses
the data present in these databases for processing.
 Incorrect conditions due to which the functions produce incorrect outputs
when they are executed.
 Termination errors, such as certain conditions due to which a function enters
a loop that forces it to execute indefinitely.

Fig. 10.27 Types of Error Detection in Black Box Testing

In this testing, tester derives various test cases to exercise the functional
requirements of the software without considering implementation details of the
code. Then, the software is run for the specified sets of input and the outputs
produced for each input set is compared against the specifications to conform the
correctness. If they are as specified by the user, then the software is considered to
be correct else the software is tested for the presence of errors in it. The advantages
and disadvantages associated with black box testing are listed in Table 10.8.

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Testing Strategies Table 10.8 Advantages and Disadvantages of Black box Testing.

Advantages Disadvantages

 Tester requires no knowledge of  Only a small number of possible

NOTES implementation and programming inputs can be tested as testing every
language used. possible input consumes a lot of
time.
 Reveals any ambiguities and  There can be unnecessary repetition
inconsistencies in the functional of test inputs if the tester is not
specifications. informed about the test cases that
the software developer has already
tried.
 Efficient when used on larger  Leaves many program paths
systems. untested.
 A non-technical person can also  Cannot be directed towards specific
perform black box testing. segments of code, hence is more
error prone.

Various methods used in black box testing are equivalence class partitioning,
boundary value analysis, and cause-effect graphing (see Figure 10.28). In
equivalence class partitioning, the test inputs are classified into equivalence
classes such that one input checks (validates) all the input values in that class. In
boundary value analysis, the boundary values of the equivalence classes are
considered and tested. In cause effect graphing, cause-effect graphs are used
to design test cases, which provides all the possible combinations of inputs to the
program.

Fig. 10.28 Types of Black Box Testing

Equivalence class partitioning

This method tests the validity of outputs by dividing the input domain into different
classes of data (known as equivalence classes) using which test cases can be
easily generated (see Figure 10.29). Test cases are designed with the purpose of
covering each partition at least once. If a test case is able to detect all the errors in
the specified partition, then the test case is said to be an ideal test case.
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 Testing Strategies

NOTES

Fig. 10.29 Input Domain and Equivalence Classes

An equivalence class depicts valid or invalid states for the input condition.
An input condition can be either a specific numeric value, a range of values, a
Boolean condition, or a set of values. The general guidelines that are followed for
generating the equivalence classes are listed in Table 10.9.
Table 10.9 Guidelines for Generating Equivalence Classes

Input Condition Number of Equivalence Description

Classes
Boolean Two One valid and one invalid
Specific numeric value Three One valid and two invalid
Range Three One valid and two invalid
Member of a set Two One valid and one invalid

To understand equivalence class partitioning properly, let us consider an

example. This example is explained in the series of steps listed below.
1. Suppose that a program P takes an integer X as input.
2. Now, either X < 0 or X  0.
3. In case X < 0, the program is required to perform task T1; otherwise, task
T2 is performed.
4. The input domain is as large as X and it can assume a large number of
values. Therefore the input domain (P) is partitioned into two equivalence
classes and all test inputs in the X < 0 and X  0 equivalence classes are
considered to be equivalent.
5. Now, as shown in Figure 10.30 independent test cases are developed for
X < 0 and X  0.

Fig. 10.30 Test Case and Equivalence Class

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Testing Strategies Boundary value analysis
In boundary value analysis (BVA), test cases are derived on the basis of values
that lie on an edge of the equivalence partitions. These values can be input or
NOTES output values either at the edge or within the permissible range from the edge of an
equivalence partition.
BVAis used since it has been observed that most errors occur at the boundary
of input domain rather than at the middle of the input domain. Note that boundary
value analysis complements the equivalence partitioning method. The only difference
is that in BVA, test cases are derived for both input domain and output domain
while in equivalence partitioning test cases are derived only for input domain.
Generally, the test cases are developed in boundary value analysis using
certain guidelines, which are listed below.
 If an input condition specifies a range of values, test cases should be
developed on the basis of both the values at the boundaries and the values
that are just above and below the boundary values. For example, for the
range -0.5  X  0.5, the input values for a test case can be ‘-0.4’, -‘0.5’,
‘0.5’, ‘0.6’.
 If an input condition specifies a number of values, test cases should be
designed to exercise the minimum and maximum numbers as well as values
just above and below these numbers.
 If an input consists of certain data structures (like arrays), then the test case
should be able to execute all the values present at the boundaries of the
data structures such as the maximum and minimum value of an array.
Cause-effect graphing
Equivalence partitioning and boundary value analysis tests each input given to a
program independently. It means none of these consider the case of combinations
of inputs, which may produce situations that need to be tested. This drawback is
avoided in cause-effect graphing where combinations of inputs are used instead of
individual inputs. In this technique, the causes (input conditions) and effects (output
conditions) of the system are identified and a graph is created with each condition
as the node of the graph. This graph is called cause-effect graph. This graph is
then used to derive test cases. To use the cause-effect graphing method, a number
of steps are followed, which are listed below.
1. List the cause (input conditions) and effects (outputs) of the program.
2. Create a cause-effect graph.
3. Convert the graph into a decision table.
4. Generate test cases from the decision table rules.
In order to generate test cases, all causes and effects are allocated unique
numbers, which are used to identify them. After allocating numbers, the cause due
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to which a particular effect occurred is determined. Next, the combinations of Testing Strategies

various conditions that make the effect ‘true’ are recognized. Acondition has two
states, ‘true’ and ‘false’. A condition is ‘true’ if it causes the effect to occur;
otherwise, it is ‘false’. The conditions are combined using Boolean operators such
as ‘AND’ (&), ‘OR’ (|), and ‘NOT’ (~). Finally, a test case is generated for all NOTES
possible combinations of conditions.
Various symbols are used in the cause-effect graph (see Figure 10.31). The
figure depicts various logical associations among causes ci and effects ei. The
dashed notation on the right side in the figure indicates various constraint associations
that can be applied to either causes or effects.

Fig. 10.31 Logical and Constraints Associations

To understand cause-effect graphing properly, let us consider an example.

Suppose a triangle is drawn with inputs x, y, and z. The values of these inputs are
given between 0 and 100. Using these inputs, three outputs are produced, namely,
isosceles triangle, equilateral triangle or no triangle is made (if values of x, y, zare
less than 60º).
1. Using the steps of cause-effect graphing, initially the causes and effects of
the problem are recognized, which are listed in Table 10.10.
Table 10.10 Causes and Effects

Causes Effects

C1: side x is less than the sum of sides y and z. E1: no triangle is formed.
C2: sides x, y, z are equal. E2: equilateral triangle is formed.
C3: side x is equal to side y. E3: isosceles triangle is formed.
C4: side y is equal to side z.
C5: side x is equal to side z.

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Testing Strategies 2. The cause-effect graph is generated as shown in Figure 10.32.

NOTES

Fig. 10.32 Cause-Effect Graph

3. A decision table (a table that shows a set of conditions and the actions
resulting from them) is drawn as shown in Table 10.11.
Table 10.11 Decision Table

Conditions
C1: x < y + z 0 Χ Χ Χ Χ
C2: x = y = z Χ 1 Χ Χ Χ
C3: x = y Χ Χ 1 Χ Χ
C4: y = z Χ Χ Χ 1 Χ
C5: x = z Χ Χ Χ Χ 1
Actions
E1: not a triangle 1
E2: equilateral triangle 1
E3: isosceles triangle 1 1 1

4. Each combination of conditions for an effect in Table 10.11 is a test case.

Differences between Black Box and White Box Testing
Although white box testing and black box testing are used together for testing
many programs, there are several considerations that make them different from
each other. Black box testing detects errors of omission, which are errors occurring
due to non-accomplishment of user requirements. On the other hand, white box
testing detects errors of commission which are errors occurring due to non-
implementation of some part of software code. The other differences between
white box testing and black box testing are listed in Table 10.12.
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 Table 10.12 Differences between White Box and Black Box Testing Testing Strategies

Basis White Box Testing Black Box Testing

Purpose  To test the internal structure  To test the functionality of
of software. software. NOTES
 Test the software but does not  Concerned with testing the
ensure the complete specifications and does not
implementation of all the ensure that all the
specifications mentioned in components of software that
user requirements. are implemented are tested.
 Addresses flow and control  Addresses validity, behavior
structure of a program. and performance of software
Stage  Performed in the early stages  Performed in the later stages
of testing. of testing.
Requirement  Knowledge of the internal  No knowledge of the internal
structure of a program is structure of a program is
required for generating test required to generate test case.
case.
Test Cases  Test cases are generated on  Internal structure of modules
the basis of the internal or programs is not considered
structure or code of the for selecting test cases.
module to be tested.
Example  The inner software present  In this testing, it is checked
inside the calculator (which whether the calculator is
is known by the developer working properly by giving
only) is checked by giving inputs by pressing the buttons
inputs to the code. in the calculator.

10.4 DEBUGGING

On successful culmination of software testing, debugging is performed. Debugging

is defined as a process of analyzing and removing the error. It is considered necessary
in most of the newly developed software or hardware and in commercial products/
personal application programs. For complex products, debugging is done at all
the levels of the testing.
Debugging is considered to be a complex and time-consuming process since
it attempts to remove errors at all the levels of testing. To perform debugging,
debugger (debugging tool) is used to reproduce the conditions in which failure
occurred, examine the program state, and locate the cause. With the help of
debugger, programmers trace the program execution step by step (evaluating the
value of variables) and halt the execution wherever required to reset the program
variables. Note that some programming language packages include a debugger
for checking the code for errors while it is being written.

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Testing Strategies Guidelines for Debugging
Some guidelines that are followed while performing debugging are discussed here.
 Debugging is the process of solving a problem. Hence, individuals involved
NOTES in debugging should understand all the causes of an error before starting
with debugging.
 No experimentation should be done while performing debugging. The
experimental changes instead of removing errors often increase the problem
by adding new errors in it.
 When there is an error in one segment of a program, there is a high possibility
that some other errors also exist in the program. Hence, if an error is found
in one segment of a program, rest of the program should be properly
examined for errors.
 It should be ensured that the new code added in a program to fix errors is
correct and is not introducing any new error in it. Thus, to verify the
correctness of a new code and to ensure that no new errors are introduced,
regression testing should be performed.
10.4.1 The Debugging Process
During debugging, errors are encountered that range from less damaging (like
input of an incorrect function) to catastrophic (like system failure, which lead to
economic or physical damage). Various levels of errors and their damaging effects
are shown in Figure 10.33. Note that with the increase in number of errors, the
amount of effort to find their causes also increases.
Once errors are identified in a software system, to debug the problem, a
number of steps are followed, which are listed below.
1. Defect confirmation/identification: A problem is identified in a system
and a defect report is created. A software engineer maintains and analyzes
this error report and finds solutions to the following questions.
 Does a defect exist in the system?
 Can the defect be reproduced?
 What is the expected/desired behavior of the system?
 What is the actual behavior?

Fig. 10.33 Levels of Error and its Damaging Effect

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 2. Defect analysis: If the defect is genuine, the next step is to understand the Testing Strategies

root cause of the problem. Generally, engineers debug by starting a

debugging tool (debugger) and they try to understand the root cause of the
problem by following a step-by-step execution of the program.
NOTES
3. Defect resolution: Once the root cause of a problem is identified, the
error can be resolved by making an appropriate change to the system by
fixing the problem.
When the debugging process ends, the software is retested (as shown in
Figure 10.34) to ensure that no errors are left undetected. Moreover, it checks
that no new errors are introduced in the software while making some changes to it
during the debugging process.

Fig. 10.34 Debugging Process

Debugging Strategies
As debugging is a difficult and time-consuming task, it is essential to develop a
proper debugging strategy. This strategy helps in performing the process of
debugging easily and efficiently. The commonly-used debugging strategies are
debugging by brute force, induction strategy, deduction strategy, backtracking
strategy, and debugging by testing (see Figure 10.35).

Fig. 10.35 Debugging Strategies

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Testing Strategies Debugging by Brute Force
Brute force method of debugging is the most commonly used but least efficient
method. It is generally used when all other available methods fail. Here, debugging
NOTES is done by taking memory (or storage) dumps. Actually, the program is loaded
with the output statements that produce a large amount of information including
the intermediate values. Analyzing this information may help to identify the errors
cause. However, using a memory dump for finding errors requires analyzing huge
amount of information or irrelevant data leading to waste of time and effort.
10.4.2 Induction Strategy
This strategy is a ‘disciplined thought process’ where errors can be debugged by
moving outwards from the particulars to the whole. This strategy assumes that
once the symptoms of the errors are identified, and the relationships between
them are established, the errors can be easily detected by just looking at the
symptoms and the relationships. To perform induction strategy, a number of steps
are followed, which are listed below.
1. Locating relevant data: All the information about a program is collected
to identify the functions, which are executed correctly and incorrectly.
2. Organizing data: The collected data is organized according to importance.
The data can consist of possible symptoms of errors, their location in the
program, the time at which the symptoms occur during the execution of the
program and the effect of these symptoms on the program.
3. Devising hypothesis: The relationships among the symptoms are studied
and a hypothesis is devised that provides the hints about the possible causes
of errors.
4. Proving hypothesis: In the final step, the hypothesis needs to be proved.
It is done by comparing the data in the hypothesis with the original data to
ensure that the hypothesis explains the existence of hints completely. In
case, the hypothesis is unable to explain the existence of hints, it is either
incomplete or contains multiple errors in it.
Deduction Strategy
In this strategy, first step is to identify all the possible causes and then using the
data each cause is analyzed and eliminated if it is found invalid. Note that as in
induction strategy, deduction strategy is also based on some assumptions. To use
this strategy following steps are followed.
1. Identifying the possible causes or hypotheses: A list of all the possible
causes of errors is formed. Using this list, the available data can be easily
structured and analyzed.
2. Eliminating possible causes using the data: The list is examined to
recognize the most probable cause of errors and the rest of the causes are
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 3. Refining the hypothesis: By analyzing the possible causes one by one Testing Strategies

and looking for contradiction leads to elimination of invalid causes. This

results in a refined hypothesis containing few specific possible causes.
4. Proving the hypothesis: This step is similar to the fourth step in induction
NOTES
method.
Backtracking Strategy
This method is effectively used for locating errors in small programs. According to
this strategy, when an error has occurred, one needs to start tracing the program
backward one step at a time evaluating the values of all variables until the cause of
error is found. This strategy is useful but in a large program with many thousands
lines of code, the number of backward paths increases and becomes unmanageably
large.
Debugging by Testing
This debugging method can be used in conjunction with debugging by induction
and debugging by deduction methods. Additional test cases are designed that help
in obtaining information to devise and prove a hypothesis in induction method and
to eliminate the invalid causes and refine the hypothesis in deduction method. Note
that the test cases used in debugging are different from the test cases used in
testing process. Here, the test cases are specifically designed to explore the internal
program state.

Check Your Progress

4. What is beta testing.
5. Write a note on mutation testing.
6. What is debugging?

10.5 ANSWERS TO CHECK YOUR PROGRESS

QUESTIONS
1. Software testing determines the correctness, completeness and quality of
software being developed.
2. The ease with which a program is tested is known as testability.
3. A test plan describes how testing would be accomplished. It is a document
that specifies the purpose, scope, and method of software testing.
4. Beta testing assesses the performance of the software at user’s site. This
testing is ‘live’ testing and is conducted in an environment, which is not
controlled by the developer.

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Testing Strategies 5. Mutation testing is a white box method where errors are ‘purposely’ inserted
into a program (under test) to verify whether the existing test case is able to
detect the error.
6. Debugging is defined as a process of analyzing and removing the error. It is
NOTES
considered necessary in most of the newly developed software or hardware
and in commercial products/personal application programs.

10.6 SUMMARY

 Software testing is performed either manually or by using automated tools

to make sure that the software is functioning in accordance with the user
requirements.
 The ease with which a program is tested is known as testability. Testability
should always be considered while designing and implementing a software
system so that the errors in the system can be detected with minimum effort.
 A testing strategy is used to identify the levels of testing which are to be
applied along with the methods, techniques, and tools to be used during
testing.
 Unit testing is performed to test the individual units of software. Since the
software comprises various units/modules, detecting errors in these units is
simple and consumes less time, as they are small in size.
 The integration testing is aimed at ensuring that all the modules work properly
as per the user requirements when they are put together.
 Smoke testing is defined as an approach of integration testing in which a
subset of test cases designed to check the main functionality of software are
used to test whether the vital functions of the software work correctly.
 Alpha testing is considered as a form of internal acceptance testing in which
the users test the software at the developer’s site.
 Beta testing assesses the performance of the software at user’s site. This
testing is ‘live’ testing and is conducted in an environment, which is not
controlled by the developer.
 Stress testing is designed to determine the behavior of the software under
abnormal situations.
 Performance testing is designed to determine the performance of the software
at the run-time in the context of the entire computer-based system.
 White box testing, also known as structural testing or glass box testing, is
performed to check the internal structure of a program.
 Graph matrix is used to develop software tool that in turn helps in carrying
out basis path testing. It is defined as a data structure used to represent the
flow graph of a program in a tabular form.
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 Testing Strategies
10.7 KEY WORDS

 Validation Testing: The process of evaluating software during the

development process or at the end of the development process to determine NOTES
whether it satisfies specified business requirements. Validation Testing ensures
that the product actually meets the client’s needs.
 Smoke Testing: It is defined as an approach of integration testing in which
a subset of test cases designed to check the main functionality of software
are used to test whether the vital functions of the software work correctly.
 Regression Testing: It ‘re-tests’ the software or part of it to ensure that
the components, features, and functions, which were previously working
properly, do not fail as a result of the error correction process and integration
of modules.

10.8 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. Define software testing.
2. What are the characteristics of software test?
3. What is test plan?
4. What are software testing strategies?
5. What are the various levels of testing?
6. Differentiate between white box and black box testing.
Long Answer Questions
1. What are the guidelines of software testing? Explain.
2. Explain the various types of software testing strategies.
3. How will you develop a software testing strategy?
4. What do you understand by integration and regression testing?
5. Explain the different types of system testing.
6. Explain white box and black box testing.

10.9 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New

Delhi: Narosa Publishing House.

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Testing Strategies Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
NOTES
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

10.10 LEARNING OUTCOMES

 The guidelines that are required to perform efficient and effectivetesting
 Design test plan, which specifies the purpose, scope, and method of software
testing
 Understand various levels of testing including unit testing, integration testing,
system testing, and acceptance testing
 Learn white box testing and black box testing techniques
 Learn n how testing is performed in the object-oriented environment
 Learn how to perform debugging.

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 Product Metrics

UNIT 11 PRODUCT METRICS

Structure NOTES
11.0 Introduction
11.1 Objectives
11.2 Software Measurement
11.3 Software Metrics
11.4 Designing Software Metrics
11.5 Classification of Software Metrics
11.6 Process Metrics
11.7 Product Metrics
11.8 Project Metrics
11.9 Measuring Software Quality
11.10 Object-Oriented Metrics
11.11 Issues in Software Metrics
11.12 Answers to Check Your Progress Questions
11.13 Summary
11.14 Key Words
11.15 Self Assessment Questions and Exercises
11.16 Further Readings
11.17 Learning Outcomes

11.0 INTRODUCTION
To achieve an accurate schedule and cost estimate, better quality products, and
higher productivity, an effective software management is required, which in turn
can be attained through the use of software metrics. Ametric is a derived unit of
measurement that cannot be directly observed, but is created by combining or
relating two or more measures. Product metrics is the measurement of work product
produced during different phases of software development.
Various studies suggest that careful implementation and application of
software metrics helps in achieving better management results, both in the short
run (a given project) and the long run (improving productivity of future projects).
Effective metrics not only describe the models that are capable of predicting process
or product parameters, but also facilitates the development of these models. An
ideal metrics should be simple and precisely defined, easily obtainable, valid, and
robust.

11.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Understand and design software metrics

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Product Metrics  Describe process‚ product and project metrics
 Discuss the issues in software metrics

NOTES 11.2 SOFTWARE MEASUREMENT

To assess the quality of the engineered product or system and to better understand
the models that are created, some measures are used. These measures are collected
throughout the software development life cycle with an intention to improve the
software process on a continuous basis. Measurement helps in estimation, quality
control, productivity assessment and project control throughout a software project.
Also, measurement is used by software engineers to gain insight into the design
and development of the work products. In addition, measurement assists in strategic
decision-making as a project proceeds.
Software measurements are of two categories, namely, direct measures
and indirect measures. Direct measures include software processes like cost
and effort applied and products like lines of code produced, execution speed, and
other defects that have been reported. Indirect measures include products like
functionality, quality, complexity, reliability, maintainability, and many more.
Generally, software measurement is considered as a management tool which
if conducted in an effective manner, helps the project manager and the entire
software team to take decisions that lead to successful completion of the project.
Measurement process is characterized by a set of five activities, which are listed
below.
Formulation: This performs measurement and develops appropriate metric
for software under consideration.
Collection: This collects data to derive the formulated metrics.
Analysis: This calculates metrics and the use of mathematical tools.
Interpretation: This analyzes the metrics to attain insight into the quality of
representation.
Feedback: This communicates recommendation derived from product
metrics to the software team.
Note that collection and analysis activities drive the measurement process.
In order to perform these activities effectively, it is recommended to automate
data collection and analysis, establish guidelines and recommendations for each
metric, and use statistical techniques to interrelate external quality features and
internal product attributes.

11.3 SOFTWARE METRICS

Once measures are collected they are converted into metrics for use. IEEE defines
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or process possesses a given attribute.’The goal of software metrics is to identify Product Metrics

and control essential parameters that affect software development. Other objectives
of using software metrics are listed below.
Measuring the size of the software quantitatively.
NOTES
Assessing the level of complexity involved.
Assessing the strength of the module by measuring coupling.
Assessing the testing techniques.
Specifying when to stop testing.
Determining the date of release of the software.
Estimating cost of resources and project schedule.
Software metrics help project managers to gain an insight into the efficiency
of the software process, project, and product. This is possible by collecting quality
and productivity data and then analyzing and comparing these data with past
averages in order to know whether quality improvements have occurred. Also,
when metrics are applied in a consistent manner, it helps in project planning and
project management activity. For example, schedule-based resource allocation
can be effectively enhanced with the help of metrics.
Difference in Measures, Metrics, and Indicators
Metrics is often used interchangeably with measure and measurement. However,
it is important to note the differences between them. Measure can be defined as
quantitative indication of amount, dimension, capacity, or size of product and process
attributes. Measurement can be defined as the process of determining the
measure. Metrics can be defined as quantitative measures that allow software
engineers to identify the efficiency and improve the quality of software process,
project, and product.
To understand the difference, let us consider an example. A measure is
established when a number of errors is (single data point) detected in a software
component. Measurement is the process of collecting one or more data points. In
other words, measurement is established when many components are reviewed
and tested individually to collect the measure of a number of errors in all these
components. Metrics are associated with individual measure in some manner. That
is, metrics are related to detection of errors found per review or the average
number of errors found per unit test.
Once measures and metrics have been developed, indicators are obtained.
These indicators provide a detailed insight into the software process, software
project, or intermediate product. Indicators also enable software engineers or
project managers to adjust software processes and improve software products, if
required. For example, measurement dashboards or key indicators are used to
monitor progress and initiate change. Arranged together, indicators provide
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Product Metrics Measured Data
Before data is collected and used, it is necessary to know the type of data involved
in the software metrics. Table 11.1 lists different types of data, which are identified
NOTES in metrics along with their description and the possible operations that can be
performed on them.
Table 11.1 Type of Data Measured
Type of Data Possible Operations Description of Data

Nominal =,  Categories

Ordinal <, > Ranking

Interval +, - Differences

Ratio / Absolute zero

Nominal data: Data in the program can be measured by placing it under a

category. This category of program can be a database program, application
program, or an operating system program. For such data, operation of
arithmetic type and ranking of values in any order (increasing or decreasing)
is not possible. The only operation that can be performed is to determine
whether program ‘X’ is the same as program ‘Y’.
Ordinal data: Data can be ranked according to the data values. For
example, experience in application domain can be rated as very low, low,
medium, or high. Thus, experience can easily be ranked according to its
rating.
Interval data: Data values can be ranked and substantial differences
between them can also be shown. For example, a program with complexity
level 8 is said to be 4 units more complex than a program with complexity
level 4.
Ratio data: Data values are associated with a ratio scale, which possesses
an absolute zero and allows meaningful ratios to be calculated. For example,
program lines expressed in lines of code.
It is desirable to know the measurement scale for metrics. For example, if
metrics values are used to represent a model for a software process, then metrics
associated with the ratio scale may be preferred.
Guidelines for Software Metrics
Although many software metrics have been proposed over a period of time, ideal
software metric is the one which is easy to understand, effective, and efficient. In
order to develop ideal metrics, software metrics should be validated and
characterized effectively. For this, it is important to develop metrics using some
specific guidelines, which are listed below.

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 Simple and computable: Derivation of software metrics should be easy Product Metrics

to learn and should involve average amount of time and effort.

Consistent and objective: Unambiguous results should be delivered by
software metrics.
NOTES
Consistent in the use of units and dimensions: Mathematical
computation of the metrics should involve use of dimensions and units in a
consistent manner.
Programming language independent: Metrics should be developed on
the basis of the analysis model, design model, or program’s structure.
High quality: Effective software metrics should lead to a high-quality
software product.
Easy to calibrate: Metrics should be easy to adapt according to project
requirements.
Easy to obtain: Metrics should be developed at a reasonable cost.
Validation: Metrics should be validated before being used for making any
decisions.
Robust: Metrics should be relatively insensitive to small changes in process,
project, or product.
Value: Value of metrics should increase or decrease with the value of the
software characteristics they represent. For this, the value of metrics should
be within a meaningful range. For example, metrics can be in a range of 0
to 5.

11.4 DESIGNING SOFTWARE METRICS

An effective software metrics helps software engineers to identify shortcomings in
the software development life cycle so that the software can be developed as per
the user requirements, within estimated schedule and cost, with required quality
level, and so on. To develop effective software metrics, the following steps are
used.
1. Definitions: To develop an effective metric, it is necessary to have a clear
and concise definition of entities and their attributes that are to be measured.
Terms like defect, size, quality, maintainability, user-friendly, and so on should
be well defined so that no issues relating to ambiguity occur.
2. Define a model: Amodel for the metrics is derived. This model is helpful
in defining how metrics are calculated. The model should be easy to modify
according to the future requirements. While defining a model, the following
questions should be addressed.
 Does the model provide more information than is available?

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Product Metrics  Is the information practical?
 Does it provide the desired information?
3. Establish counting criteria: The model is broken down into its lowest-
NOTES level metric entities and the counting criteria (which are used to measure
each entity) are defined. This specifies the method for the measurement of
each metric primitive. For example, to estimate the size of a software project,
line of code (LOC) is a commonly used metric. Before measuring size in
LOC, clear and specific counting criteria should be defined.
4. Decide what is good: Once it is decided what to measure and how to
measure, it is necessary to determine whether action is needed. For example,
if software is meeting the quality standards, no corrective action is necessary.
However, if this is not true, then goals can be established to help the software
conform to the quality standards laid down. Note that the goals should be
reasonable, within the time frame, and based on supporting actions.
5. Metrics reporting: Once all the data for metric is collected, the data should
be reported to the concerned person. This involves defining report format,
data extraction and reporting cycle, reporting mechanisms, and so on.
6. Additional qualifiers:Additional metric qualifiers that are ‘generic’in nature
should be determined. In other words, metric that is valid for several
additional extraction qualifiers should be determined.
The selection and development of software metrics is not complete until the
effect of measurement and people on each other is known. The success of metrics
in an organization depends on the attitudes of the people involved in collecting the
data, calculating and reporting the metrics, and people involved in using these
metrics. Also, metrics should focus on process, projects, and products and not on
the individuals involved in this activity.

11.5 CLASSIFICATION OF SOFTWARE METRICS

As discussed earlier, measurement is done by metrics. Three parameters are
measured: process measurement through process metrics, product measurement
through product metrics, and project measurement through project metrics.
Process metrics assess the effectiveness and quality of software process,
determine maturity of the process, effort required in the process, effectiveness of
defect removal during development, and so on. Product metrics is the
measurement of work product produced during different phases of software
development. Project metrics illustrate the project characteristics and their
execution.

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11.6 PROCESS METRICS

To improve any process, it is necessary to measure its specified attributes, develop

a set of meaningful metrics based on these attributes, and then use these metrics to NOTES
obtain indicators in order to derive a strategy for process improvement.
Using software process metrics, software engineers are able to assess the
efficiency of the software process that is performed using the process as a
framework. In Figure 11.1, process is placed at the centre of the triangle connecting
three factors (product, people, and technology), which have an important influence
on software quality and organization performance. The skill and motivation of the
people, the complexity of the product and the level of technology used in the
software development have an important influence on the quality and team
performance. Also, in Figure 11.1, the process triangle exists within the circle of
environmental conditions, which includes development environment, business
conditions, and customer/user characteristics.

Fig. 11.1 Process, Product, People, and Technology

To measure the efficiency and effectiveness of the software process, a set

of metrics is formulated based on the outcomes derived from the process. These
outcomes are listed below.
Number of errors found before the software release
Defect detected and reported by the user after delivery of the software
Time spent in fixing errors
Work products delivered
Human effort used
Time expended
Conformity to schedule
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Product Metrics Wait time
Number of contract modifications
Estimated cost compared to actual cost.
NOTES Note that process metrics can also be derived using the characteristics of a
particular software engineering activity. For example, an organization may measure
the effort and time spent by considering the user interface design.
Types of Process Metrics
It is observed that process metrics are of two types, namely, private and public.
Private metrics are private to the individual and serve as an indicator only for the
specified individual(s). Defect rates by a software module and defect errors by an
individual are examples of private process metrics. Note that some process metrics
are public to all team members but private to the project. These include errors
detected while performing formal technical reviews and defects reported about
various functions included in the software.
Public metrics include information that was private to both individuals and
teams. Project-level defect rates, effort and related data are collected, analyzed
and assessed in order to obtain indicators that help in improving the organizational
process performance.
Process Metrics Etiquette
Process metrics can provide substantial benefits as the organization works to
improve its process maturity. However, these metrics can be misused and create
problems for the organization. In order to avoid this misuse, some guidelines have
been defined, which can be used both by managers and software engineers. These
guidelines are listed below.
Rational thinking and organizational sensitivity should be considered while
analyzing metrics data.
Feedback should be provided on a regular basis to the individuals or teams
involved in collecting measures and metrics.
Metrics should not appraise or threaten individuals.
Since metrics are used to indicate a need for process improvement, any
metric indicating this problem should not be considered harmful.
Use of single metrics should be avoided.
As an organization becomes familiar with process metrics, the derivation of
simple indicators leads to a stringent approach called Statistical Software Process
Improvement (SSPI). SSPI uses software failure analysis to collect information
about all errors (it is detected before delivery of the software) and defects (it is
detected after software is delivered to the user) encountered during the development
of a product or system.
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 Product Metrics
11.7 PRODUCT METRICS

In software development process, a working product is developed at the end of

each successful phase. Each product can be measured at any stage of its NOTES
development. Metrics are developed for these products so that they can indicate
whether a product is developed according to the user requirements. If a product
does not meet user requirements, then the necessary actions are taken in the
respective phase.
Product metrics help software engineer to detect and correct potential
problems before they result in catastrophic defects. In addition, product metrics
assess the internal product attributes in order to know the efficiencyof the following.
Analysis, design, and code model
Potency of test cases
Overall quality of the software under development.
Various metrics formulated for products in the development process are
listed below.
Metrics for analysis model: These address various aspects of the analysis
model such as system functionality, system size, and so on.
Metrics for design model: These allow software engineers to assess the
quality of design and include architectural design metrics, component-level
design metrics, and so on.
Metrics for source code: These assess source code complexity,
maintainability, and other characteristics.
Metrics for testing: These help to design efficient and effective test cases
and also evaluate the effectiveness of testing.
Metrics for maintenance: These assess the stability of the software
product.
Metrics for the Analysis Model
There are only a few metrics that have been proposed for the analysis model.
However, it is possible to use metrics for project estimation in the context of the
analysis model. These metrics are used to examine the analysis model with the
objective of predicting the size of the resultant system. Size acts as an indicator of
increased coding, integration, and testing effort; sometimes it also acts as an indicator
of complexity involved in the software design. Function point and lines of code are
the commonly used methods for size estimation.
Function Point (FP) Metric
The function point metric, which was proposed byA.J Albrecht, is used to measure
the functionality delivered by the system, estimate the effort, predict the number of
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Product Metrics errors, and estimate the number of components in the system. Function point is
derived by using a relationship between the complexity of software and the
information domain value. Information domain values used in function point include
the number of external inputs, external outputs, external inquires, internal logical
NOTES files, and the number of external interface files. Function point metric is discussed
in detail in Chapter 10.
Lines of Code (LOC)
Lines of code (LOC) is one of the most widely used methods for size estimation.
LOC can be defined as the number of delivered lines of code, excluding comments
and blank lines. It is highly dependent on the programming language used as code
writing varies from one programming language to another. For example, lines of
code written (for a large program) in assembly language are more than lines of
code written in C++.
From LOC, simple size-oriented metrics can be derived such as errors per
KLOC (thousand lines of code), defects per KLOC, cost per KLOC, and so on.
LOC has also been used to predict program complexity, development effort,
programmer performance, and so on. For example, Hasltead proposed a number
of metrics, which are used to calculate program length, program volume, program
difficulty, and development effort. LOC is discussed in detail in Chapter 10.
Metrics for Specification Quality
To evaluate the quality of analysis model and requirements specification, a set of
characteristics has been proposed. These characteristics include specificity,
completeness, correctness, understandability, verifiability, internal and external
consistency, achievability, concision, traceability, modifiability, precision, and
reusability.
Most of the characteristics listed above are qualitative in nature. However,
each of these characteristics can be represented by using one or more metrics.
For example, if there are nr requirements in a specification, then nr can be calculated
by the following equation.
nr = nf + nnf
Where
nf = number of functional requirements
nnf = number of non-functional requirements.
In order to determine the specificity of requirements, a metric based on
the consistency of the reviewer’s understanding of each requirement has been
proposed. This metric is represented by the following equation.
Q1 = nui/nr

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Where Product Metrics

nui = number of requirements for which reviewers have same understanding

Q1 = specificity.
Ambiguity of the specification depends on the value of Q. If the value of Q NOTES
is close to 1 then the probability of having any ambiguity is less.
Completeness of the functional requirements can be calculated by the
following equation.
Q2 = nu/[ni*ns]
Where
nu = number of unique function requirements
ni = number of inputs defined by the specification
ns = number of specified state.
Q2 in the above equation considers only functional requirements and ignores
non-functional requirements. In order to consider non-functional requirements, it
is necessary to consider the degree to which requirements have been validated.
This can be represented by the following equation.
Q3 = nc/[nc + nnv]
Where
nc = number of requirements validated as correct
nnv = number of requirements, which are yet to be validated.
Metrics for Software Design
The success of a software project depends largely on the quality and effectiveness
of the software design. Hence, it is important to develop software metrics from
which meaningful indicators can be derived. With the help of these indicators,
necessary steps are taken to design the software according to the user requirements.
Various design metrics such as architectural design metrics, component-level
design metrics, user-interface design metrics, and metrics for object-oriented
design are used to indicate the complexity, quality, and so on of the software
design.
Architectural Design Metrics
These metrics focus on the features of the program architecture with stress on
architectural structure and effectiveness of components (or modules) within the
architecture. In architectural design metrics, three software design complexity
measures are defined, namely, structural complexity, data complexity, and
system complexity.
In hierarchical architectures (call and return architecture), say module ‘j’,
structural complexity is calculated by the following equation.
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Product Metrics S(j) = f2out (j)
Where
fout(j) = fan-out of module ‘j’ [Here, fan-out means number of modules
NOTES that are subordinating module j].
Complexity in the internal interface for a module ‘j’ is indicated with the
help of data complexity, which is calculated by the following equation.
D(j) = V(j)/[fout(j) + 1]
Where
V(j) = number of input and output variables passed to and from module ‘j’.
System complexity is the sum of structural complexity and data complexity
and is calculated by the following equation.
C(j) = S(j) + D(j).
The complexity of a system increases with increase in structural complexity,
data complexity, and system complexity, which in turn increases the integration
and testing effort in the later stages.

Fig. 11.2 Morphology Metrics

In addition, various other metrics like simple morphology metrics are also
used. These metrics allow comparison of different program architecture using a
set of straightforward dimensions. Ametric can be developed by referring to call
and return architecture as shown in Figure 11.2. This metric can be defined by the
following equation.
Size = n + a
Where
n = number of nodes
a = number of arcs.
For example, in Figure 11.2, there are 11 nodes and 10 arcs. Here, Size
can be calculated by the following equation.
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 Size = n + a = 11 + 10 = 21. Product Metrics

Depth is defined as the longest path from the top node (root) to the leaf
node and width is defined as the maximum number of nodes at any one level. In
Figure 11.2, the depth is 3 and the width is 6.
NOTES
Coupling of the architecture is indicated by arc-to-node ratio. This ratio
also measures the connectivity density of the architecture and is calculated by the
following equation.
r = a/n.
Quality of software design also plays an important role in determining the
overall quality of the software. Many software quality indicators that are based on
measurable design characteristics of a computer program have been proposed.
One of them is Design Structural Quality Index (DSQI), which is derived
from the information obtained from data and architectural design. To calculate
DSQI, a number of steps are followed, which are listed below.
1. To calculate DSQI, the following values must be determined.
Number of components in program architecture (S1)
Number of components whose correct function is determined by the
source of input data (S2)
Number of components whose correct function depends on previous
processing (S3)
Number of database items (S4)
Number of different database items (S5)
Number of database segments (S6)
Number of components having single entry and exit (S7).
2. Once all the values from S1 to S7 are known, some intermediate values are
calculated, which are listed below.
Program structure (D1): If discrete methods are used for developing
architectural design then D1=1, else D1 = 0
Module independence (D2): D2 = 1-(S2/S1)
Modules not dependent on prior processing (D3): D3 = 1-(S3/S1)
Database size (D4): D4 = 1-(S5/S4)
Database compartmentalization (D5): D5 = 1-(S6/S4)
Module entrance/exit characteristic (D6): D6 = 1-(S7/S1).
3. Once all the intermediate values are calculated, DSQI is calculated by the
following equation.
DSQI = wiDi

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Product Metrics Where
i = 1 to 6
w = 1 (w is the weighting of the importance of intermediate values).
i i
NOTES Component-level Design Metrics
In conventional software, the focus of component-level design metrics is on the
internal characteristics of the software components. The software engineer can
judge the quality of the component-level design by measuring module cohesion,
coupling and complexity. Component-level design metrics are applied after
procedural design is final. Various metrics developed for component-level design
are listed below.
Cohesion metrics: Cohesiveness of a module can be indicated by the
definitions of the following five concepts and measures.
o Data slice: Defined as a backward walk through a module, which
looks for values of data that affect the state of the module as the walk
starts
o Data tokens: Defined as a set of variables defined for a module
o Glue tokens: Defined as a set of data tokens, which lies on one or
more data slice
o Superglue tokens: Defined as tokens, which are present in every data
slice in the module
o Stickiness: Defined as the stickiness of the glue token, which depends
on the number of data slices that it binds.
Coupling metrics: This metric indicates the degree to which a module is
connected to other modules, global data and the outside environment. A
metric for module coupling has been proposed, which includes data and
control flow coupling, global coupling, and environmental coupling.
o Measures defined for data and control flow coupling are listed below.
di = total number of input data parameters
ci = total number of input control parameters
d0= total number of output data parameters
c0 =total number of output control parameters
o Measures defined for global coupling are listed below.
gd = number of global variables utilized as data
gc = number of global variables utilized as control
o Measures defined for environmental coupling are listed below.
w = number of modules called
r = number of modules calling the modules under consideration
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 By using the above mentioned measures, module-coupling indicator (mc) is Product Metrics
calculated by using the following equation.
mc = K/M
Where NOTES
K = proportionality constant
M = di + (a*ci) + d0 + (b*c0) + gd + (c*gc) + w + r.
Note that K, a, b, and c are empirically derived. The values of mc and
overall module coupling are inversely proportional to each other. In other
words, as the value of mc increases, the overall module coupling decreases.
Complexity metrics: Different types of software metrics can be calculated
to ascertain the complexity of program control flow. One of the most widely
used complexity metrics for ascertaining the complexity of the program is
cyclomatic complexity, which has already been discussed in Chapter 6.

User Interface Design Metrics

Many metrics have been proposed for user interface design. However, layout
appropriateness metric and cohesion metric for user interface design are the
commonly used metrics. Layout Appropriateness (LA) metric is an important
metric for user interface design. Atypical Graphical User Interface (GUI) uses
many layout entities such as icons, text, menus, windows, and so on. These layout
entities help the users in completing their tasks easily. In order to complete a given
task with the help of GUI, the user moves from one layout entity to another.
Appropriateness of the interface can be shown by absolute and relative positions
of each layout entities, frequency with which layout entity is used, and the cost of
changeover from one layout entity to another.
Cohesion metric for user interface measures the connection among the
on-screen contents. Cohesion for user interface becomes high when content
presented on the screen is from a single major data object (defined in the analysis
model). On the other hand, if content presented on the screen is from different
data objects, then cohesion for user interface is low.
In addition to these metrics, the direct measure of user interface interaction
focuses on activities like measurement of time required in completing specific activity,
time required in recovering from an error condition, counts of specific operation,
text density, and text size. Once all these measures are collected, they are organized
to form meaningful user interface metrics, which can help in improving the quality
of the user interface.
Metrics for Object-oriented Design
In order to develop metrics for object-oriented (OO) design, nine distinct and
measurable characteristics of OO design are considered, which are listed below.

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Product Metrics Complexity: Determined by assessing how classes are related to each
other
Coupling: Defined as the physical connection between OO design elements
NOTES Sufficiency: Defined as the degree to which an abstraction possesses the
features required of it
Cohesion: Determined by analyzing the degree to which a set of properties
that the class possesses is part of the problem domain or design domain
Primitiveness: Indicates the degree to which the operation is atomic
Similarity: Indicates similarity between two or more classes in terms of
their structure, function, behavior, or purpose
Volatility: Defined as the probability of occurrence of change in the OO
design
Size: Defined with the help of four different views, namely, population,
volume, length, and functionality. Population is measured by calculating
the total number of OO entities, which can be in the form of classes or
operations. Volume measures are collected dynamically at any given point
of time. Length is a measure of interconnected designs such as depth of
inheritance tree. Functionality indicates the value rendered to the user by
the OO application.
Metrics for Coding
Halstead proposed the first analytic laws for computer science by using a set of
primitive measures, which can be derived once the design phase is complete and
code is generated. These measures are listed below.
n1 = number of distinct operators in a program
n2 = number of distinct operands in a program
N1 = total number of operators
N2 = total number of operands.
By using these measures, Halstead developed an expression for overall
program length, program volume, program difficulty, development effort,
and so on.
Program length (N) can be calculated by using the following equation.
N = n1 log2 n1 + n2 log2 n2.
Program volume (V) can be calculated by using the following equation.
V = N log2 (n1+n2).
Note that program volume depends on the programming language used
and represents the volume of information (in bits) required to specify a program.
Volume ratio (L) can be calculated by using the following equation.

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 L = Volume of the most compact form of a program
Product Metrics
Volume of the actual program
Where, value of L must be less than 1. Volume ratio can also be calculated
by using the following equation.
NOTES
L = (2/n1)* (n2/N2).
Program difficulty level (D) and effort (E) can be calculated by using the
following equations.
D = (n1/2)*(N2/n2).
E = D * V.
Metrics for Software Testing
Majority of the metrics used for testing focus on testing process rather than the
technical characteristics of test. Generally, testers use metrics for analysis, design,
and coding to guide them in design and execution of test cases.
Function point can be effectively used to estimate testing effort. Various
characteristics like errors discovered, number of test cases needed, testing effort,
and so on can be determined by estimating the number of function points in the
current project and comparing them with any previous project.
Metrics used for architectural design can be used to indicate how integration
testing can be carried out. In addition, cyclomatic complexity can be used effectively
as a metric in the basis-path testing to determine the number of test cases needed.
Halstead measures can be used to derive metrics for testing effort. By using
program volume (V) and program level (PL), Halstead effort (e) can be calculated
by the following equations.
e = V/PL
Where
PL = 1/[(n1/2) × (N2/n2)] ...(1)
For a particular module (z), the percentage of overall testing effort allocated
can be calculated by the following equation.
Percentage of testing effort (z) = e(z)/e(i)
Where, e(z) is calculated for module z with the help of equation (1).
Summation in the denominator is the sum of Halstead effort (e) in all the modules
of the system.
Metrics for Object-oriented Testing
For developing metrics for object-oriented (OO) testing, different types of design
metrics that have a direct impact on the testability of object-oriented system are
considered. While developing metrics for OO testing, inheritance and encapsulation
are also considered. A set of metrics proposed for OO testing is listed below.
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Product Metrics Lack of cohesion in methods (LCOM): This indicates the number of
states to be tested. LCOM indicates the number of methods that access
one or more same attributes. The value of LCOM is 0, if no methods access
the same attributes. As the value of LCOM increases, more states need to
NOTES be tested.
Percent public and protected (PAP): This shows the number of class
attributes, which are public or protected. Probability of adverse effects
among classes increases with increase in value of PAP as public and protected
attributes lead to potentially higher coupling.
Public access to data members (PAD): This shows the number of classes
that can access attributes of another class. Adverse effects among classes
increase as the value of PAD increases.
Number of root classes (NOR): This specifies the number of different
class hierarchies, which are described in the design model. Testing effort
increases with increase in NOR.
Fan-in (FIN): This indicates multiple inheritances. If value of FIN is greater
than 1, it indicates that the class inherits its attributes and operations from
many root classes. Note that this situation (where FIN > 1) should be
avoided.
Metrics for Software Maintenance
For the maintenance activities, metrics have been designed explicitly. IEEE have
proposed Software Maturity Index (SMI), which provides indications relating
to the stability of software product. For calculating SMI, following parameters are
considered.
Number of modules in current release (MT)
Number of modules that have been changed in the current release (Fc)
Number of modules that have been added in the current release (Fa)
Number of modules that have been deleted from the current release (Fd).
Once all the parameters are known, SMI can be calculated by using the
following equation.
SMI = [MT – (Fa + Fc + Fd)]/MT.
Note that a product begins to stabilize as SMI reaches 1.0. SMI can also
be used as a metric for planning software maintenance activities by developing
empirical models in order to know the effort required for maintenance.

11.8 PROJECT METRICS

Project metrics enable the project managers to assess current projects, track
potential risks, identify problem areas, adjust workflow, and evaluate the project
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team’s ability to control the quality of work products. Note that project metrics Product Metrics

are used for tactical purposes rather than strategic purposes used by the process
metrics.
Project metrics serve two purposes. One, they help to minimize the
NOTES
development schedule by making necessary adjustments in order to avoid delays
and alleviate potential risks and problems. Two, these metrics are used to assess
the product quality on a regular basis and modify the technical issues if required.
As the quality of the project improves, the number of errors and defects are reduced,
which in turn leads to a decrease in the overall cost of a software project.
Applying Project Metrics
Often, the first application of project metrics occurs during estimation. Here, metrics
collected from previous projects act as a base from which effort and time estimates
for the current project are calculated. As the project proceeds, original estimates
of effort and time are compared with the new measures of effort and time. This
comparison helps the project manager to monitor (supervise) and control the
progress of the project.
As the process of development proceeds, project metrics are used to track
the errors detected during each development phase. For example, as software
evolves from design to coding, project metrics are collected to assess quality of
the design and obtain indicators that in turn affect the approach chosen for coding
and testing. Also, project metrics are used to measure production rate, which is
measured in terms of models developed, function points, and delivered lines of
code.

11.9 MEASURING SOFTWARE QUALITY

The aim of the software developer is to develop high-quality software within a
specified time and budget. To achieve this, software should be developed according
to the functional and performance requirements, document development standards,
and characteristics expected from professionally developed software. Note that
private metrics are collected by software engineers and then assimilated to achieve
project-level measures. The main aim at the project level is to measure both the
errors and defects. These measures are used to derive metrics, which provide an
insight into the efficacy of both individual and group software quality assurance
and software control activities.
Many measures have been proposed for assessing software quality such as
interoperability, functionality, and so on. However, it has been observed that
reliability, correctness, maintainability, integrity, and usability are most useful as
they provide valuable indicators to the project team.
Reliability: The system or software should be able to maintain its
performance level under given conditions. Reliability can be defined as the
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Product Metrics ability of the software product to perform its required functions under stated
conditions for a specified period of time or for a specified number of
operations. Reliability can be measured using Mean Time Between
Failure (MTBF), which is the average of time between successive failures.
NOTES A similar measure to MTBF is Mean Time To Repair (MTTR) which is
the average time taken to repair the machine after a failure occurs. MTBF
can be combined with Mean Time To Failure (MTTF), which describes
how long the software can be used to calculate MTBF, that is,
MTBF = MTTF + MTTR.
Correctness: A system or software must function correctly. Correctness
can be defined as the degree to which software performs its specified function.
It can be measured in terms of defects per KDLOC. For quality assessment,
defects are counted over a specified period of time.
Maintainability: In software engineering, software maintenance is one of
the most expensive and time-consuming activities. Maintainability can be
defined as the ease with which a software product can be modified to correct
errors, to meet new requirements, to make future maintenance easier, or
adapt to the changed environment. Note that software maintainability is
assessed by using indirect measures like Mean Time to Change (MTTC),
which can be defined as the time taken to analyze change request, design
modifications, implement changes, testing, and distribute changes to all users.
Generally, it has been observed that programs having lower MTTC are easier
to maintain.
Integrity: In the age of cyber-terrorism and hacking, software integrity
has become an important factor in the software development. Software
integrity can be defined as the degree to which unauthorized access to the
components of software (program, data, and documents) can be controlled.
For measuring integrity of software, attributes such as threat and security
are used. Threat can be defined as the probability of a particular attack at
a given point of time. Security is the probability of repelling an attack, if it
occurs. Using these two attributes, integrity can be calculated by using the
following equation.
Integrity = [1-(threat*(1-security))].
Usability: Software, which is easy to understand and easy to use is always
preferred by the user. Usability can be defined as the capability of the
software to be understood, learned, and used under specified conditions.
Note that software, which accomplishes all the user requirements but is not
easy to use, is often destined to fail.
In addition to the afore-mentioned measures, lack of conformance to
software requirements should be avoided as these form the basis of measuring

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software quality. Also, in order to achieve high quality both explicit and implicit Product Metrics

requirements should be considered.

Defect Removal Efficiency (DRE)
Defect removal efficiency (DRE) can be defined as the quality metrics, which is NOTES
beneficial at both the project level and process level. Quality assurance and control
activities that are applied throughout software development are responsible for
detecting errors introduced at various phases of SDLC. The ability to detect errors
(filtering abilities) is measured with the help of DRE, which can be calculated by
using the following equation.
DRE = E/(E + D)
Where
E = number of errors found before software is delivered to the user
D = number of defects found after software is delivered to the user.
The value of DRE approaches 1, if there are no defects in the software. As
the value of E increases for a given value of D, the overall value of DRE starts to
approach 1. With an increase in the value of E, the value of D decreases as more
errors are discovered before the software is delivered to the user. DRE improves
the quality of software by establishing methods which detect maximum number of
errors before the software is delivered to the user.
DRE can also be used at different phases of software development. It is
used to assess the software team’s ability to find errors at each phase before they
are passed on to the next development phase. When DRE is defined in the context
of SDLC phases, it can be calculated by the following equation.
DREi = Ei/(Ei + Ei + 1)
Where
Ei = number of errors found in phase i
Ei + 1 = number of errors that were ignored in phase i, but found in phase
i + 1.
The objective of the software team is to achieve the value of DREi as 1. In
other words, errors should be removed before they are passed on to the next
phase.

11.10 OBJECT-ORIENTED METRICS

Lines of code and functional point metrics can be used for estimating object-
oriented software projects. However, these metrics are not appropriate in the
case of incremental software development as they do not provide adequate details
for effort and schedule estimation. Thus, for object-oriented projects, different
sets of metrics have been proposed. These are listed below.
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Product Metrics Number of scenario scripts: Scenario scripts are a sequence of steps,
which depict the interaction between the user and the application. A number
of scenarios is directly related to application size and number of test cases
that are developed to test the software, once it is developed. Note that
NOTES scenario scripts are analogous to use-cases.
Number of key classes: Key classes are independent components, which
are defined in object-oriented analysis. As key classes form the core of the
problem domain, they indicate the effort required to develop software and
the amount of ‘reuse’ feature to be applied during the development process.
Number of support classes: Classes, which are required to implement
the system but are indirectly related to the problem domain, are known as
support classes. For example, user interface classes and computation class
are support classes. It is possible to develop a support class for each key
class. Like key classes, support classes indicate the effort required to develop
software and the amount of ‘reuse’ feature to be applied during the
development process.
Average number of support classes per key class: Key classes are
defined early in the software project while support classes are defined
throughout the project. The estimation process is simplified if the average
number of support classes per key class is already known.
Number of subsystems: A collection of classes that supports a function
visible to the user is known as a subsystem. Identifying subsystems makes
it easier to prepare a reasonable schedule in which work on subsystems is
divided among project members.
The afore-mentioned metrics are collected along with other project metrics
like effort used, errors and defects detected, and so on. After an organization
completes a number of projects, a database is developed, which shows the
relationship between object-oriented measure and project measure. This
relationship provides metrics that help in project estimation.

11.11 ISSUES IN SOFTWARE METRICS

Implementing and executing software metrics is a cumbersome task as it is difficult
to manage the technical and human aspects of the software measurement. Also,
there exist manyissues which prevent the successful implementation and execution
of software metrics. These issues are listed below.
Lack of management commitment: It is observed that management is
not committed towards using software metrics due to the following reasons.
o Management opposes measurement.
o Software engineers do not measure and collect data as management
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 o Management charters a metrics program, but does not assist in deploying Product Metrics

the program into practice.

Collecting data that is not used: Data collected during the measurement
process should be such that it can be used to enhance the process, project,
NOTES
or product. This is because collecting incorrect data results in wrong decision
making, which in turn leads to deviation from the software development
plan.
Measuring too much and too soon: In a software project, sometimes
excess data is collected in advance, which is difficult to manage and analyze.
This results in unsuccessful implementation of the metrics.
Measuring the wrong things: Establishing metrics is a time consuming
process and only those data that provide valuable feedback should be
measured in an effective and efficient manner. To know whether data needs
to be measured, a few questions should be addressed (if answers are no,
then metrics should not be established).
o Do data items collected relate to the key success strategies for business?
o Are managers able to obtain the information theyneed to manage projects
and people on time?
o Is it possible to conclude from data obtained that process changes are
working?
Imprecise metrics definitions: Vague or ambiguous metrics definition
can be misinterpreted. For example, some software engineers may interpret
a software feature as unnecessary while some software engineers may not.
Measuring too little, too late: Measuring too less, provides information,
which is of little or no importance for the software engineers. Thus, software
engineers tend to offer resistance in establishing metrics. Similarly, if data is
collected too late, the requested data item may result in unnecessary delay
in software project as project managers and software engineers do not get
the data they need on time.
Misinterpreting metrics data: Interpretation of metrics data is important
to improve the quality of software. However, software metrics are often
misinterpreted. For example, if the number of defects in the software increases
despite effort taken to improve the quality, then software engineers might
conclude that software improvement effort are doing more harm than good.
Lack of communication and training: Inadequate training and lack of
communication results in poor understanding of software metrics and
measurement of unreliable data. In addition, communicating metrics data in
an ineffective manner results in misinterpretation of data.
In order to resolve or avoid these issues, the purpose for which data will be
used should be clearly specified before the measurement process begins. Also,
project managers and software engineers should be adequately trained and
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Product Metrics measured data should be properly communicated to them. Software metrics should
be defined precisely so that they work effectively.

Check Your Progress

NOTES
1. What is software measurement?
2. Define software metric.
3. What is process metric?
4. What is the use of object oriented metrics?

11.12 ANSWERS TO CHECK YOUR PROGRESS

QUESTIONS
1. Software measurement is a quantified attribute of a characteristic of a
software product or the software process.
2. A software metric is a standard of measure of a degree to which a software
system or process possesses some property.
3. Process metrics are an invaluable tool for companies wanting to monitor,
evaluate, and improve their operational performance across the enterprise.
4. The metrics for object oriented system focus on measurements that are
applied to the class and the design characteristics. Object oriented
metrics are usually used to assess the quality of software designs.

11.13 SUMMARY

 Software measures are collected throughout the software development life

cycle with an intention to improve the software process on a continuous
basis.
 Software metrics help project managers to gain an insight into the efficiency
of the software process, project, and product.
 Software parameters are measured: process measurement through process
metrics, product measurement through product metrics, and project
measurement through project metrics.
 Software process metrics, software engineers are able to assess the efficiency
of the software process that is performed using the process as a framework.
 Product metrics help software engineer to detect and correct potential
problems before they result in catastrophic defects.
 Project metrics enable the project managers to assess current projects,
track potential risks, identify problem areas, adjust workflow, and evaluate
the project team’s ability to control the quality of work products.
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  The aim of the software developer is to develop high-quality software within Product Metrics

a specified time and budget.

 Lines of code and functional point metrics can be used for estimating object-
oriented software projects.
NOTES
 Implementing and executing software metrics is a cumbersome task as it is
difficult to manage the technical and human aspects of the software
measurement.

11.14 KEY WORDS

 Process Metrics: The metrics that enable software engineers to assess
the efficacy of the software process that is performed using the process as
a framework.
 Project Metrics: The metrics that illustrate the project characteristics and
its execution.
 Reliability: The ability of the software product to perform its required
functions under stated conditions for a specified period of time, or for a
specified number of operations.

11.15 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. What is software metrics?
2. Differentiate between measures‚ metrics and indicators.
3. What are the different types of software metrics?
Long Answer Questions
1. What are the guidelines for software metrics?
2. Explain the steps for designing software metrics.
3. Explain the measures for software quality.

11.16 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New

Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
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Product Metrics Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
NOTES Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

11.17 LEARNING OUTCOMES

 Process‚ product and project metrics
 The issues in software metrics

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 Risk Strategies
BLOCK - V
RISK AND QUALITY MANAGEMENT

NOTES
UNIT 12 RISK STRATEGIES
Structure
12.0 Introduction
12.1 Objectives
12.2 Reactive vs Proactive Risk Strategies
12.3 Software Risk and Risk Identification
12.4 Answers to Check Your Progress Questions
12.5 Summary
12.6 Key Words
12.7 Self Assessment Questions and Exercises
12.8 Further Readings
12.9 Learning Outcomes

12.0 INTRODUCTION
In this unit‚ you will learn about the risk strategies and risk identification. Risk is an
expectation of loss, a potential problem that may or may not occur in the future.
Risk strategy is a structured and coherent plan to identify, assess and manage risk.

12.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Discuss reactive and proactive risk strategies
 Define software risk
 Identify risk

12.2 REACTIVE VS PROACTIVE RISK

STRATEGIES

Risk is an unexpected event which produces an adverse effect on process of

software development. Strategy is a plan of action formulated to reduce or avoid
the effects of risks. In this section, you will learn about the reactive strategies and
proactive strategies. Reactive risk strategies responds to unexpected events after
their occurrence while proactive risk strategies helps in eliminating problems before
the chances of occurrence.

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Risk Strategies Difference between proactive and reactive strategies

Reactive Risk Strategies Proactive Risk Strategies

Responds to the risk after occurrence. Helps in eliminating the risk before it occurs.
NOTES
Once hazard occurs, employees take Hazard mechanisms and threats are identified
action to prevent an accident. before hazard occurrence.

Examples are MOR, incident report and Examples audits/inspections, voluntary

accident report. reporting and surveys

12.3 SOFTWARE RISK AND RISK IDENTIFICATION

Software Risk is the possibility of suffering from loss in software development

process.
Risk is an unexpected event that produces an adverse effect during software
development process. It is the combination of constraints and uncertainties. Risks
indicate possible future happenings and are not concerned with their effect that
has been observed in the past. They are identified by the following attributes.
 Probability that an event will occur: Events can occur at any time during
software development process or when the software is developed. For
example, an event can occur when software developed on one computer
system is transferred to another computer system. Here, both the computer
systems can create incompatibility in the hardware or software. This
incompatibility causes an event to occur and is identified as risk.
 Loss associated with the event: The adverse impact of an event can be
loss of time, loss of money, and lack of expected quality. For example,
there can be change in user requirements after the coding phase is complete.
The change in user requirements results in loss of control when team members
are developing the software according to earlier requirements of user.
Note that there is no fixed time for the occurrence of risks. Hence, to keep
track of risks, risk management needs to be carried out throughout the software
development process. Risk management is a systematic process, which focuses
on identification, control, and elimination of risks, which impacts the resources of
the organization and the project. Its objective is to determine the loss before risks
occur and then determine ways to prevent or avoid the adverse impact of risks on
the project. Risk management depends on the number and complexity of risks.
Based on this, the impact of risks can be low, medium, high, or very high.
Uncertainty and Constraint
As stated earlier, risks are a combination of uncertainties and constraints. In Figure
12.1, the curved line indicates the acceptable level of risk depending on the project.
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204 Material
minimized. Generally, it is observed that it is difficult to minimize constraint, so Risk Strategies

uncertainty is reduced. Note that it is difficult to achieve software in which all the
risks are eliminated. Hence, it is essential to minimize the effect of risks as they
cannot be eliminated completely. For this purpose, effective risk management is
required. NOTES

Fig. 12.1 Minimizing Risks in Projects

Principles of Risk Management

Every organization is subjected to risks. It is essential to manage the risks to prevent
loss in an organization. If risks are not managed, it may result in project failure.
Failure to manage risks is characterized by inability to do the following.
 Determine the measures used for managing risks
 Determine when risk management is required
 Identify whether risk management measures are taken.
Risk management is necessary because without elimination of risks, software
cannot be developed properly. There are several principles that help in effective
risk management. These principles are listed below.
 Maintaining a global perspective: Risks should be viewed in relation to
software considering all the aspects of constraints and uncertainties in it. In
addition, the impact of risks on business should be considered.
 Having a forward-looking view: Risks that may occur in future should be
assumed.
 Encouraging communication: The experience of risks stated by project
management team members or project manager should be considered.
 Developing a shared software vision: Both project management team
and the senior management should be able to view the software and its
risks with a common objective such as developing quality software and
preventing loss. By following this approach, better risk identification and
assessment is achieved.
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Risk Strategies  Encouraging teamwork: The skills and knowledge of every person
involved in risk management should be combined when risk management
activities are performed.

NOTES Risk Management Plan

The risk management plan describes the process of assessing risks that may occur
during software development. Risk management is concerned with determining
the outcomes of risks before they happen and specifying procedures to avoid
them and minimize their impact. It is important to consider the risks associated
with a project as it helps in determining the ways to manage them when they
occur. This in turn saves time and effort required for the software development.
Figure 12.2 shows risk management plan which comprises the following
sections.
 Statement: Describes the purpose and advantage of identifying and
recording risks
 Objectives: Describe the activities and procedures that are followed to
manage risks
 Roles and responsibilities: Specifythe roles and responsibilities of project
management team, sponsor, and so on
 Purpose: Specifies the purpose of the process for risk management and
the project library (database) where the risk management process is to be
stored
 Risk process: Specifies the stages of risk management process and provides
a process diagram to display risks for easier identification and management
 Risk management worksheet: Specifies the risk management worksheets
such as risk management log in order to assess and control the risks

Fig. 12.2 Risk Management Plan

Risk management comprises two activities, namely, risk assessment and

risk control. These activities identify the risks and determine ways to eliminate
them or reduce their impact.
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 Risk Strategies

Check Your Progress

1. What is reactive risk strategies?
2. What is software risk? NOTES
3. Define risk management.

12.4 ANSWERS TO CHECK YOUR PROGRESS

QUESTIONS

1. Reactive risk strategies responds to unexpected events after their occurrence.

2. Software risk encompasses the probability of occurrence for uncertain events
and their potential for loss within an organization.
3. Risk management is a systematic process, which focuses on identification,
control, and elimination of risks, which impacts the resources of the
organization and the project.

12.5 SUMMARY

 Risk is an unexpected event which produces an adverse effect on process

of software development. Strategy is a plan of action formulated to reduce
or avoid the effects of risks.
 Software risk encompasses the probability of occurrence for uncertain events
and their potential for loss within an organization.
 Note that there is no fixed time for the occurrence of risks. Hence, to keep
track of risks, risk management needs to be carried out throughout the
software development process. Risk management is a systematic process,
which focuses on identification, control, and elimination of risks, which
impacts the resources of the organization and the project.
 Risks are a combination of uncertainties and constraints.
 The risk management plan describes the process of assessing risks that
may occur during software development.
 Risk management comprises two activities, namely, risk assessment and
risk control. These activities identify the risks and determine ways to eliminate
them or reduce their impact

12.6 KEY WORDS

 Risk: It is an expectation of loss, a potential problem that may or may not

occur in the future.
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Risk Strategies  Software Risk: It is the possibility of suffering from loss in software
development process.

12.7 SELF ASSESSMENT QUESTIONS AND

NOTES
EXERCISES

Short Answer Questions

1. Write a note on reactive strategies.
2. Write a note on proactive strategies.
3. Discuss how will you minimize the risk.
Long Answer Questions
1. How will you identify the risk in software projects?
2. What are the principles of risk management?

12.8 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New
Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

12.9 LEARNING OUTCOMES

 Reactive and proactive risk strategies

 Software risk
 Identify risk

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 Risk Projection

UNIT 13 RISK PROJECTION AND and Refinement

REFINEMENT
NOTES
Structure
13.0 Introduction
13.1 Objectives
13.2 Risk Assessment: Risk Projection and Refinement
13.3 Risk Control, Mitigation and Monitoring
13.3.1 RMMM Plan
13.4 Answers to Check Your Progress Questions
13.5 Summary
13.6 Key Words
13.7 Self Assessment Questions and Exercises
13.8 Further Readings
13.9 Learning Outcomes

13.0 INTRODUCTION

In this unit‚ you will learn about the risk assessment and RMMM plan. Risk
assessment is a method or process to identify the risk factors that have the potential
to cause harm or loss. Risk management‚ mitigation and monitoring (RMMM)
plan documents all work executed as a part of risk analysis and used by the project
manager as a part of the overall project plan.

13.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Explain the process of risk assessment
 Understand risk mitigation and monitoring
 Describe RMMM plan

13.2 RISK ASSESSMENT: RISK PROJECTION AND

REFINEMENT

Risk assessment concentrates on determination of risks. The occurrence of risks

depends on their nature, scope, and timing. Nature of risks specifies the problems
that arise when risk occurs. Scope of risks specifies the capability of risks to
impact the software. Timing of risks considers when and for how long the effect
of risk is observed. With the help of proper risk assessment, risks can be prevented.
It is important to provide information according to the level of risks. With complete
information of risk assessment, the probability of occurrence of risks and its severity
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Risk Projection is determined. Generally, risk assessment can be carried out at any time during the
and Refinement
project development. However, it is better to begin risk assessment as soon as
possible in the development process. To effectively perform risk assessment, the
management should consider the occurrence of risks instead of assuming that no
NOTES risks will occur during software development. In addition, a record of risk
assessment should be maintained. For understanding the severity of risks (that is,
low, high, very high), earlier documents should be used as a reference and compared
with the risks being assessed in the present software.

Fig. 13.1 Risk Assessment

Risk assessment comprises the following three functions (see Figure 13.1).
 Risk identification: Identifies the events that have an adverse impact on
the project. These events can be a change in user requirements, new
development technologies, and so on. In order to identify the risks, inputs
from project management team members, users, and management are
considered. The project plan including the sub-plans should also be carefully
analyzed in order to identify the areas of uncertainty before starting the
project. There are various kinds of risks that occur during software
development. Some of the common types of risks are listed below.
o Project risks: These risks are harmful for project plan as they affect
the project schedule and result in increased costs. They identify the
budgetary, project schedule, personnel, stakeholder, and requirements
problems.
o Technical risks: These risks are derived from software or hardware
technologies, which are being used as a part in the software under
development. These risks are harmful for the quality of a project and
result in difficulty in implementation of software. They identify problems
in design, implementation, interface, maintenance, and much more.
o Business risks: These risks are derived from the organizational
environment where software is being developed. They are harmful for
capability and existence of a project and result in difficulty by users to
accept it. They identify market risk, sales risk, management risk, and so
on.

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 o Known risks: These risks are harmful as they are detected only after a Risk Projection
and Refinement
careful examination of the project plan and result in technical problems.
These risks include unrealistic delivery date of software, lack of project
scope, and much more.
NOTES
o Requirements risks: These risks are derived from the change in user
requirements. In addition, these risks occur when new user requirements
are being managed.
o Estimation risks: These risks are derived from the management
estimations, which include the features required in the software and the
resources required to complete the software.
 Risk analysis: Discovers possible risks using various techniques. These
techniques include decision analysis, cost-risk analysis, schedule analysis,
reliability analysis, and many more. After a risk is identified, it is evaluated in
order to assess its impact on the project. Once the evaluation is done, risk
is ‘ranked’ according to its probability of occurrence. After analyzing the
areas of uncertainty, a description of how these areas affect the performance
of project is made.
 Risk prioritization: Ranks the risks according to their capability to impact
the project, which is known as risk exposure. Determination of risk
exposure is done with the help of statistically-based decision mechanisms.
These mechanisms specify how to manage the risk. The risks that impact
the project the most should be specified so that they can be eliminated
completely. On the other hand, the risks that are minor and have no or little
impact on the project can be avoided.

13.3 RISK CONTROL, MITIGATION AND

MONITORING
Risk control concentrates on the management of risks in order to minimize or
eliminate their effect. For this purpose, risk control determines techniques and
strategies to minimize the effect and resolve the factors that cause risks to occur.
Risk control monitors the effectiveness of strategies used for risk control. In addition,
it checks the change in severity of risks throughout the project. Note that risk
control does not begin until risk assessment is complete. Once risk assessment is
complete, risk control is performed to achieve an effective risk management. Risk
control comprises the following three functions (see Figure 13.2).
 Risk mitigation: Minimizes the impact of risks. For this purpose, risk
mitigation techniques are used, which are based on the occurrence of risks
and their level of impact. Risk mitigation techniques incur additional cost on
extra resources and time, which are required to complete the project. To
avoid this, a cost-benefit analysis should be done to evaluate the benefits of
eliminating the risks or minimizing their impact along with the costs required
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Risk Projection to implement risk management. Appropriate measures should be taken
and Refinement
before the risks occur, which later resolves the effect of risks when the
project is in progress.
 Risk resolution: Resolves the risks. Before resolving the risks, it is
NOTES
important to consider the areas of the project where risks can occur. After
determining the areas, techniques are used for risk resolution. Generally,
the techniques followed for risk resolution include cost/schedule estimates,
quality monitoring, evaluation of new technologies, prototyping, and so on.
The risks that have a very high impact should have an emergency plan. With
the help of emergency plan, risks can be avoided or their impact can be
minimized before they occur.
 Risk monitoring: Observes the risks of a project so that appropriate
techniques can be applied when risks occur. The techniques used for risk
monitoring include milestone tracking, tracking the risks that have greatest
impact, continual risk re-assessment and so on. For risk monitoring, project
management team members prioritize the risks and observe them. When
risks are identified, their effects are recorded. With the help of these records,
risks can be easily managed during the project.

Fig. 13.2 Risk Control

13.3.1 RMMM Plan

A risk management strategy can be defined as a software project plan or the risk
management steps. It can be organized into a separate Risk Mitigation, Monitoring
and Management Plan. The RMMM plan documents all work performed as part
of risk analysis and is used by the project manager as part of the overall project
plan. Teams do not develop a formal RMMM document. Rather, each risk is
documented individually using a risk information sheet (RIS). In most cases, the
RIS is maintained using a database system, so that creation and information entry,
priority ordering, searches, and other analysis may be accomplished easily.

Check Your Progress

1. What is Risk control?
2. What does risk monitoring technique includes?
3. What does RMMM stands for?
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 Risk Projection
13.4 ANSWERS TO CHECK YOUR PROGRESS and Refinement

QUESTIONS

1. Risk control concentrates on the management of risks in order to minimize NOTES

or eliminate their effect. Risk control monitors the effectiveness of strategies
used for risk control.
2. Risk monitoring technique includes milestone tracking, tracking the risks
that have greatest impact, continual risk re-assessment. Project management
team members prioritize the risks and observe them.
3. RMMM stands for Risk Mitigation, Monitoring and Management Plan.

13.5 SUMMARY
 Risk assessment concentrates on determination of risks. The occurrence of
risks depends on their nature, scope, and timing. Nature of risks specifies
the problems that arise when risk occurs.
 Risk control concentrates on the management of risks in order to minimize
or eliminate their effect.
 Project risks are harmful for project plan as they affect the project schedule
and result in increased costs.
 Risk mitigation minimizes the impact of risks. For this purpose, risk mitigation
techniques are used, which are based on the occurrence of risks and their
level of impact. Risk mitigation techniques incur additional cost on extra
resources and time, which are required to complete the project.
 Risk monitoring include milestone tracking, tracking the risks that have
greatest impact, continual risk re-assessment and so on.

13.6 KEY WORDS

 Technical Risks: These risks are derived from software or hardware

technologies, which are being used as a part in the software under
development.
 Business Risks: These risks are derived from the organizational
environment where software is being developed.
 Known Risks: These risks are harmful as they are detected only after a
careful examination of the project plan and result in technical problems.
 Requirements Risks: These risks are derived from the change in user
requirements. In addition, these risks occur when new user requirements
are being managed.
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Risk Projection
and Refinement 13.7 SELF ASSESSMENT QUESTIONS AND
EXERCISES

NOTES Short Answer Questions

1. What does the following terms specifies:
(i) Nature of risk
(ii) Scope of risk
(iii) Timing of risk
2. Write a note on risk assessment.
Long Answer Questions
1. Explain the three functions of risk assessment.
2. Explain the three functions of risk control.

13.8 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New
Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

13.9 LEARNING OUTCOMES

 The process of risk assessment
 Understand risk mitigation and monitoring
 RMMM plan

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 Quality Management

UNIT 14 QUALITY MANAGEMENT

Structure NOTES
14.0 Introduction
14.1 Objectives
14.2 Quality Concepts
14.3 Software Quality Assurance Group
14.4 Software Quality Assurance Activities
14.5 Software Reviews
14.6 Evaluation of Quality
14.7 Software Reliability
14.8 Answers to Check Your Progress Questions
14.9 Summary
14.10 Key Words
14.11 Self Assessment Questions and Exercises
14.12 Further Readings
14.13 Learning Outcomes

14.0 INTRODUCTION
Nowadays, quality has become an important factor to be considered while
developing software. This is due to the fact that users are interested in quality
software, which is according to their requirements and is delivered within a specified
time. Furthermore, users require software, which is maintainable and minimizes
the time and cost for correcting problems in it. The objective of the software
development team is to design the software with minimum errors and required
functionality according to user specified requirements. Software quality depends
on various characteristics such as correctness, reliability, and efficiency. These
characteristics are used as a checklist to implement quality in software.

14.1 OBJECTIVES

After going through this unit‚ you will be able to:

 Define software quality and software quality assurance
 Understand software reviews that are a systematic evaluation of the software
in order to detect errors
 Explain formal technical review
 Discuss the evaluation of software quality
 Explain the process of software reliability

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Quality Management
14.2 QUALITY CONCEPTS

Quality refers to the features and characteristics of a product or service, which

NOTES define its ability to satisfy user requirements. Generally, some concepts are used
to develop high-quality software. These concepts give an overview of characteristics
of the software in order to accomplish user requirements in it. Various quality
concepts are listed below.
Conformity with established standards and end user requirements
Ease of use and operation
Ease of modification of existing functions and addition of new functions
Performance as expected by the user
Well tested for functionality, user interface, and performance
Well documented.
Software quality refers to the extent to which the software is able to perform
correctly along with required features and functions. For this, a planned and
systematic set of activities is performed. IEEE defines software quality as ‘(1) the
degree to which a system, component, or process meets specified
requirements. (2) the degree to which a system, component, or process meets
customer or user needs or expectations.’
Principles followed for achieving good quality software are listed below.
 Prevention of errors: In order to avoid errors in the code, software tools
are extensively used.
 Detection and correction of errors: Errors should be detected in the
early stages of software development, so that much time is not consumed
to correct them in the later stages. Thus, quality control should be carried
out during all the phases of the SDLC.
 Elimination of cause(s) of error: After detection of errors, it is necessary
to eliminate their cause. Eliminating causes of errors increases the quality of
the software.
 Independent audit: The objective of an audit is to assess the product and
process activities. Thus, independent audit for product and process should
be conducted in accordance with the standards and procedures established
in the quality process.
Software Quality Control
Software quality control is concerned with product quality and checks, whether
the product meets user requirements and is developed in accordance with the
established standards and procedures. In addition, it is used to accomplish the
following objectives.

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  Comparison of product quality procedures with the established standards Quality Management

 Identification of errors in order to rectify them

 Focus on reviews and testing the product
 Identification of outputs generated by the product. NOTES
Software Quality Assurance (SQA)
Software quality assurance is concerned with process quality and refers to planned
and systematic sets of activities, which ensure that software life cycle processes
and products conform to requirements, standards, and procedures. In addition,
SQA assures that the standards, processes, and procedures are appropriate for
the software project and are correctly implemented. Note that a high-quality product
can be developed if there is an appropriate process quality. The objectives of
SQA are listed below.
To determine the software objectives to be accomplished
To establish software plans, when the objectives are determined
To monitor and adjust software plans to satisfy user requirements.
Statistical Software Quality Assurance
Statistical SQA is a technique which measures the quality using quantitative
techniques. It means information about defects in collected and categorized and
an attempt is made to trace defect to underlying cause.
Quality Costs
Costs incurred in performing quality-related activities are referred to as quality
costs. These activities include preventing, finding, and correcting errors in the
software. The quality costs are broadly divided into three categories (see Figure
14.1), which are listed below.
Prevention costs: These costs are incurred while examining the activities
that affect software quality during the software development. These costs
are particularly incurred to prevent developing poor quality software. For
example, preventive costs are used to avoid errors in coding and designing.
In addition, it includes the cost incurred on correcting mistakes in user
manuals, staff training, requirements analysis, and fault tolerant design of
software.
Appraisal costs: These costs are incurred in verifying or evaluating the
product before the software is delivered to the user. For example, appraisal
costs include cost on conducting code inspection, white box testing, black
box testing, training testers, and beta testing.
Failure costs: These costs are incurred when the product does not meet
user requirements. For example, failure costs are incurred in fixing errors

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Quality Management while dealing with user complaints. Failure costs are further divided into
following categories (see Figure 14.1).
o Internal failure costs: These costs are incurred before the software is
delivered to the user. When software is unable to perform properly due
NOTES
to errors in it, internal failure costs are incurred for missed milestones
and the overtime done to complete these milestones within the specified
schedule. For example, internal failure costs are incurred in fixing errors
that are detected in regression testing.
o External failure costs: These costs are incurred after the software is
delivered to the user. When errors are detected after software is
delivered, a lot of time and money is consumed to fix the errors. For
example, external failure costs are incurred on the modification of
software, technical support calls, warrantycosts, and other costs imposed
by law.

Fig. 14.1 Types of Quality Costs

Note: The total quality cost incurred on the software is the sum of the costs shown in Figure 14.1.

ISO 9126 Quality Factors

Software is said to be of high-quality if it is free from errors and is according to
user requirements. In order to obtain the desired quality, factors defined in
ISO 9126 are followed. Figure 14.2 shows the factors responsible for software
quality.
These factors, which act as a checklist to assess the quality of software (see
Figure 14.3) are discussed here.
Functionality: The capability of software to achieve the intended purpose
using functions and their specified properties is referred to as functionality.
The attributes of functionality are listed below.
o Suitability: Ability of software to perform a set of functions that are
used for specified tasks
o Accuracy: Appropriateness of the results in accordance with the user
requirements
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o Interoperability: Ability of software to interact with other systems Quality Management

o Security: Prevention of unauthorized access to programs in software.

Reliability: The capability of software to maintain its performance level
under stated conditions for a period of time is referred to as reliability. The NOTES
attributes of reliability are listed below.
o Fault tolerance: Ability of software to perform its functions when
unexpected faults occur
o Maturity: Ability of software to handle frequency of failures
o Recoverability: Ability of software to recover data that is lost due to
software failure.
Usability: The capability of software to be easily operated and understood
is referred to as usability. The attributes of usability are listed below.
o Understandability: The ease with which software can be understood
by the user
o Learnability: The ease with which the functioning of software can be
learnt by the user
o Operability: The ease with which the software can be operated by the
user.
Efficiency: The capability of software to perform with optimal resources
under specified conditions is referred to as efficiency. The attributes of
efficiency are listed below.
o Time behaviour: Response time required by software to perform a
function
o Resource behaviour: Resources required by software to perform its
functions.
Maintainability: The capability of software to make specific modifications,
which include correcting, improving, or adapting the software is referred to
as maintainability. The attributes of maintainability are listed below.
o Testability: Ability of software to be easily tested and validated
o Changeability: Ability of software to be modified for fault removal and
environmental change
o Analyzability: Ability of software to allow detection of cause of faults
and failures
o Stability: Ability of software to withstand the risks occurring due to
modifications.
Portability: The capability of software to be transferred from one hardware
or software environment to another. The attributes of portability are listed
below.
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Quality Management o Installability: Effort with which software is installed in a specified
environment (both hardware and software environment)
o Conformance: Effort with which software complies with the standards
that are related to portability
NOTES
o Replaceability: Effort with which software is used in place of other
software for a particular environment
o Adaptability: Ability of software to adapt to a new environment or
new technology.

Fig. 14.2 ISO 9126 Quality Factors

Fig. 14.3 ISO 9126 Quality Sub-attributes

McCall’s Quality Factors

There are several factors which are used as a measure to enhance quality of
software. These factors are referred to as McCall’s quality factors. As shown in
Figure 14.4, these factors are characterized according to the following three
important aspects.
Product operation: Checks whether the software is able to perform the
desired function efficiently. It comprises the following factors.
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o Correctness: The effort with which software programs perform Quality Management

according to user requirements

o Reliability: The effort with which the software is expected to perform
its specified functions accurately
NOTES
o Usability: The effort with which software programs are understood
and operated
o Integrity: The degree to which unauthorized access to the software
can be controlled
o Efficiency: The amount of software code and computing resources
required by software programs to carry out specified functions.

Fig. 14.4 McCall’s Quality Factors

Product revision: Checks whether the software requires effort to modify

it. It comprises the following factors.
o Maintainability: The effort with which software can be easily maintained
so that less time is taken to fix errors
o Flexibility: The effort with which a software program is modified
o Testability: The effort required to test a software program to ensure
that it performs the required functions.
Product transition: Checks whether the software is adaptable to the new
environment. It comprises the following factors.
o Portability: The effort required to transfer a software program from
one hardware/software environment to another
o Reusability: The degree to which a software program can be reused
in other applications depending on the scope and functions performed
by other software programs
o Interoperability: The effort with which a system integrates with another
system.
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Quality Management
14.3 SOFTWARE QUALITY ASSURANCE GROUP

Software quality assurance (SQA) comprises various tasks that are responsible
NOTES for ensuring quality. These tasks are assigned to software engineers and the SQA
group. The common task of software engineers and the SQA group is to verify
that the software is developed according to the user requirements and established
standards.
SQA group comprises the quality head, quality analyst, and quality
control staff. This group is concerned with keeping track of responsibilities of
each team member and ensuring that tasks are being performed properly so that
high-quality software is developed. The quality head is responsible to check that
all the individuals of SQAgroup are performing the assigned tasks correctly. The
quality analyst is responsible for establishing plans and procedures for evaluating
software quality. Furthermore, the quality analyst reviews the software project
and ensures that software quality is according to the established standards. Quality
control staff is responsible for checking the functionality and performance of
software by executing it and conducting different kinds of testing to detect errors.
Various functions performed by the SQA group are discussed here.
Preparation of SQA plan: This plan is made in the initial stages of
development (during process planning) and is reviewed by the management
who is responsible for making decisions and policies in an organization as
well as assigning and controlling tasks to be performed. SQA plan determines
the tasks that are to be carried out by software engineers and the SQA
group. In addition, it identifies the audits and reviews to be performed and
standards and documents to be produced by the SQA group.
Participation in the software development process description: A
process is chosen by the software developers while developing the software.
The SQA group assists the software development team by reviewing the
process description and checking whether it is in accordance with the user
requirements and established standards. The choice of process depends
on the complexity of the software project.
Reviewal of activities in compliance with the defined software
process: The SQA group examines the process in order to record the
changes made to it. In addition, it ensures that project documentation is
updated to accommodate accurate records, to further ensure proper
understanding during software maintenance. With incorrect records, the
process cannot be evaluated accurately.
Verification of compliance with defined standards: The SQA group
assesses the process and compares it with established procedures and
standards so that quality is incorporated in the software during each phase
of software development.
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Software Quality Assurance Plan Quality Management

Quality planning is a structured process for defining the procedures and methods,
which are used to develop software. Quality planning starts in the early phases of
software development. The SQA plan defines the activities for the SQA group. NOTES
The objective of the SQA plan is to identify the quality assurance activities that are
followed bythe SQA group. Generally, the plan comprises documentation such as
project plan, test plans and user documents. Figure 14.5 shows an SQA plan
designed by IEEE.

Fig. 14.5 SQA Plan

This plan comprises eight sections. The description of each section is

discussed here.
Introduction: Provides an overview of the entire SQA plan and SQA
activities being performed in the software project. In addition, it specifies
the role of organization in SQA.
Tasks: Provides information about the SQA tasks performed in the SQA
plan. It assigns SQA tasks to the software engineers and the SQA group. In
addition, it describes SQA resources such as hardware, software, and tools
to perform SQA tasks.
Reviews and audits: Describes project reviews conducted by the SQA
group. For performing reviews and audit, a set of guidelines is used.
Furthermore, it provides information on formal technical reviews. Audits
are used to assess SQA activities conducted in the project.
Problem reporting and corrective action/follow-up: Describes problem-
reporting mechanisms that occur as a result of reviews and provides
corrective actions to improve them. Reporting mechanisms include the
process of reporting problems (such as errors in software) to SQA group.
In addition, it collects erroneous data and finds measures to correct errors.

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Quality Management Software process improvement activities: Describes the activities
required for Software Process Improvement (SPI). It also outlines the
objectives and tasks of SPI.
Software configuration management (SCM) overview: Provides an
NOTES
overview of SCM plan. This plan provides information such as description
of configuration management process and procedures to perform SCM.
SQA tools, techniques, and methods: Describes the SQA tools,
techniques, and methods that are used by the SQA group.
Appendix: Provides additional information about SQA plan.

14.4 SOFTWARE QUALITY ASSURANCE

ACTIVITIES
To ensure that the software under development is in accordance with established
standards, SQA activities are followed. These activities are concerned with
verification and validation of the software process being followed to accomplish
the user requirements in the software. When SQA activities are complete, a report
describing the results is presented to the management. If the report indicates that
the software quality is not according to the user requirements then the management
takes necessary actions to improve the quality of the software. Broadly, software
quality assurance activities are classified into process quality assurance activity
and product quality assurance activity.
Process Quality Assurance Activity
This activity ensures that the processes that are defined for the project are followed.
In case the defined processes are not followed according to standards, suggestions
for those situations are provided to the management. A separate report is sent to
both the management and the SQA group. The SQA group examines associated
problems occurring due to delay in schedule or increase in budget and reports
them to the management. The process quality is evaluated through software process
audits. These audits focus on checking the implementation of the defined processes
in software. Software process audits are conducted by quality analysts from time
to time. Various tasks involved in process quality assurance activity are listed
below.
Ensuring development of project plans and their review and approval
Conducting software configuration reviews
Establishing software quality plans, standards, and procedures for the project
Establishing periodic reviews with the user

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 Submitting a profile to the management about the adherence of defined Quality Management

process throughout the software development process, by showing regular

improvement in the development process
Ensuring regular submission of metrics and other required information to
NOTES
the software engineering process group (SEPG).
Product Quality Assurance Activity
This activity identifies the processes in order to check whether they are carried out
properly to develop a product that conforms to the user requirements. Product
quality assurance activity concentrates on detection and elimination of errors as
early as possible during software development. As a result, there is reduction in
costs incurred during software maintenance and testing. Product quality assurance
comprises methods to conduct reviews and testing of the software. Reviews evaluate
the software before delivering it to the user. After software reviews are complete,
the quality analyst performs a final review. Final review is essential to verify that all
planned reviews or reported problems are followed. In addition to reviews, software
testing is performed to check errors in software and to verify whether the errors
are occurring due to non-conformance to the user requirements.
Auditing in Software Quality Assurance Activities
SQA activities follow several techniques to find errors in the software. Audit is a
fundamental technique used for both process quality assurance and product quality
assurance. It examines a process or product in detail and compares it with the
established standards. Audit is performed to examine the conformance of a
development process to procedures and standards. In addition, it examines the
records according to the defined process to determine whether the procedures
are followed correctly. The auditor performs audit to examine whether the records,
procedures, and management policies are executed properly. An auditor can be
internal—one of the employees of the organization—as well as external, which is
selected by the organization and SEPG.

14.5 SOFTWARE REVIEWS

Software reviews are systematic evaluation of the software in order to detect
errors. These reviews are conducted in various phases of the software development
process such as analysis, design, and coding. Note that software reviews are
conducted for the product, software, or documentation. The objective of software
reviews is to ensure that the quality of software is maintained in each phase of the
software development. The process commonly followed for conducting software
reviews is shown in Figure 14.6.

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Quality Management

NOTES

Fig. 14.6 Review Process

A review team performs software reviews (see Figure 14.7). The team
members that constitute a review team are listed below.
Author or producer: Develops the product and is responsible for making
corrections in it after the review is over. The author raises issues concerning
the product during review meeting.
Moderator or review leader: The review leader performs the following
activities.
o Ensures that review procedures are performed throughout the review
meeting
o Ensures that the review team is performing their specified responsibilities
o Verifies the product for review
o Assembles an effective team and keeps review meetings on schedule
o Organizes a schedule of the product to be reviewed.
Recorder: Records important issues of the product, which arise during a
review meeting.A document is prepared containing the results of the review
meeting. This document includes type and source of errors.
Reviewer or inspector: Analyzes the product and prepares notes before
the review meeting begins. There can be more than one reviewer in the
team depending upon the size of the product to be reviewed.

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 Quality Management

NOTES

Fig. 14.7 Review Team

Different types of reviews are conducted as a part of the review process.

The software review can be conducted in both formal and informal ways. Areview
meeting can be conducted in a cafeteria with the purpose of solving technical
problems. Similarly, a meeting held where some agenda is discussed formally is
also a form of software review. Generally, software reviews are of two types,
namely, walkthroughs and formal technical reviews.
Walkthroughs
This review is an informal review, which is used to evaluate the product. No
preparation is made in advance and due to this, walkthroughs are termed as an
unplanned activity. In a walkthrough, the author describes the product to the peers
(group of individuals other than the author) and gets feedback in an informal way
(see Table 14.1). Note that the people involved in this review do not have any
specified responsibility.
Table 14.1 Tasks in a Walkthrough
Tasks Evaluators
Pass the product to the peer for a walkthrough. Author
Suggestions for improving the software are presented to the author. Peer members
Implement necessary rework on the product according to the Author
suggestions of peer members.

As walkthroughs are informal, they are not considered efficient. This is

because walkthroughs leave several errors unnoticed. In addition, no record of
errors is maintained. It results in difficulties in verifying the correctness of the product
after walkthroughs are ‘over’.

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Quality Management Formal Technical Review (FTR)
A formal technical review (FTR) is a formal review that is performed by a review
team. It is performed in any phase of software development for any work product,
NOTES which may include requirements specification, design document, code, and test
plan. Each FTR is conducted as a meeting and is considered successful only if it is
properly planned, controlled, and attended. The objectives of FTR are listed below.
To detect errors in functioning of software and errors occurring due to
incorrect logic in software code
To check whether the product being reviewed accomplishes user
requirements
To ensure that a product is developed using established standards.
Review Guidelines
To conduct a formal technical review, there are some review guidelines. These
guidelines are established before a review meeting begins. The commonly followed
review guidelines are listed below.
Review the product: The focus of formal review should be to detect errors
in the product instead of pointing out mistakes (if any) committed by a team
member. The aim should be to conduct the review in harmony among all the
team members.
Set the agenda: Formal reviews should keep a track of the schedule. The
moderator is responsible for maintaining this schedule. For this purpose, he
ensures that each review team member is performing the assigned task
properly.
Keep track of discussion: During the review meeting, various issues arise
and it is possible that each review team member has a different view on an
issue. Such issues should be recorded for further discussion.
Advance preparation: Reviewers should make an advance preparation
for the product to be reviewed. For this purpose, the reviewers should note
the issues that can arise during the review meeting. Then, it is easy for them
to discuss the issues during the review meeting.
Indicate problems in the product: The objective of a review meeting
should be only to indicate the problems or errors. In case there are no
proper suggestions for the problems, a review meeting should be conducted
again.
Categorize the error: The errors detected in the software should be
classified according to the following categories.
o Critical errors: Refer to errors that bring the execution of the entire
software to a halt. Thus, crucial errors need to be ‘fixed’ before the
software is delivered.
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 o Major errors: Refer to errors that affect the functionality of programs Quality Management

during their execution. Like critical errors, major errors need to be fixed
before the software is delivered
o Besides errors: Refer to errors that do not affect the usability of the
NOTES
software
o No errors: Indicates that there are no errors in the software.
Prepare notes: The recorder who is one of the reviewers should keep a
record of the issues in order to set priorities for other reviewers as the
information is recorded.
Specify the number of people: There should be a limited number of
individuals in the meeting that should be specified before the meeting begins.
Develop a checklist: A checklist should be maintained at the end of the
meeting. The checklist helps the reviewer to focus on important issues that
are discussed at the meeting. Generally, a checklist should be prepared for
analysis, design, and code documents.
Review Meeting
Areview meeting is conducted to review the product in order to validate its quality.
Review team members examine the product to identify errors in it. As shown in
Figure 14.8, a successful review consists of a number of stages, which are described
here.
Planning: In this stage, the author studies the product that requires a review
and informs the moderator about it. The moderator verifies the product that
is to be examined. The verification is essential to determine whether the
product requires a review. After verification, the moderator assigns tasks to
the review team members. The objective of planning is to ensure that the
review process is followed in an efficient manner. In addition, it ensures that
a proper schedule is made to conduct an effective review.
Overview: In this stage, the product is analyzed in order to detect errors.
For this purpose, knowledge of the product is essential. In case reviewers
do not have proper knowledge of the product, the author explains the
functionality and the techniques used in the product.
Preparation: In this stage, each review team member examines the product
individually to detect and record problems (such as errors and defects) in
the product. There are several types of problems that are identified during
the preparation stage. Generally, the problems considered at this stage are
listed below.
o Clarity: User requirements are not understood properly
o Completeness: Details of user requirements are incomplete
o Consistency: Names of data structures and functions are used illogically
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Quality Management o Functionality: Functions, inputs, and outputs are not specified properly
o Feasibility: Constraints such as time, resources, and techniques are
not specified correctly.
NOTES Meeting: In this stage, the moderator reviews the agenda and issues related
to the product. The problems described in the overview stage are discussed
among review team members. Then, the recorder records the problems in
a defect list, which is used to detect and correct the errors later by the
author. The defect list is divided into the following categories.
o Accept the product: In this category, the author accepts the product
without the need for any further verification. This is because there are
no such problems that halt the execution of the product.
o Conditionally accept the product: In this category, the author accepts
the product, which requires verification. If there are problems in the
product, the next stage (rework stage) is followed.
o Re-examine the product: In this category, the author re-examines the
product to understand the problems in it. After rework, the product is
sent to the moderator again to verify that problems are eliminated.
Rework: In this stage, the author revises the problems that are identified
during the review meeting. He determines the problems in the product and
their causes with the help of a defect list. Then, he resolves the problems in
the product and brings it back to the moderator for the follow-up stage.
Follow-up: In this stage, the product is verified after the author has performed
rework on it. This is due to the fact that he may have introduced new errors
in the product during rework. In case there are still some errors in the
product, a review meeting is conducted again.

Fig. 14.8 Stages of Review Meeting

While the review is being conducted, the recorder records all the issues
raised during the review meeting. After he completes the task, the reviewer
summarizes the review issues. These issues are recorded in two kinds of documents,
which are listed below.

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 Review Issue list: This document is concerned with the identification of Quality Management

problems in the product. It also acts as a checklist that informs the author
about the corrections made in the product.
Review summary report: This document focuses on information such as
NOTES
the phase of software development that is reviewed, the review team member
who reviewed it, and conclusions of the review meeting. Generally, a review
summary report comprises a single page and is advantageous for future
reference by the software development team.
Cost Impact of Software Errors
Formal technical reviews are used for detecting errors during the development
process of the software. This implies that reviews detect errors and thereby reduce
the cost of software and increase its efficiency. Thus, the formal technical reviews
provide cost-effective software.
For example, Figure 14.9 (a) shows the errors present in software before
conducting a formal technical review. When FTR is conducted, there is reduction
in errors, as shown in Figure 14.9 (b). Here, approximately half of the errors are
fixed and some part of software still contains errors in it. These errors can occur
when some of the errors are fixed and due to it, new errors arise in the software.
It is observed that FTR conducted in early stages of the software development
process reduces the time and cost incurred in detecting errors in software.

Fig. 14.9 Detection of Errors

14.6 EVALUATION OF QUALITY

Various kinds of approaches are used to improve quality of the software and
overall process of the organization. The commonly used software quality
approaches are Six Sigma and ISO standards.
Six Sigma
Today, Six Sigma is regarded as the most widely used strategy for evaluating
quality. Six Sigma refers to six standard deviations. The standard deviation describes
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Quality Management the distribution of the process or procedure used in software development. It is a
statistical strategy to ensure quality assurance of processes in the organization.
Thus, it can be stated that Six Sigma focuses on identification and prevention of
errors in the software development process. In addition, it is used to eliminate
NOTES errors in the software by evaluating the performance of the software process. The
six standard deviations used in Six Sigma strategy are listed below.
 Good business strategy that balances cost, quality, features, and constraints
as well as matches business priorities
 Decisions made are tied to bottom line of the organization
 Exercise care to use correct measurements in each situation
 Consider measuring output for a longer period
 Limited scope with adequate importance and reasonable time
 Clear quantitative measures to define success.
The objective of Six Sigma is to reduce variance (an activity that varies
from a norm or a standard) and improve the processes in an organization. In
addition, it minimizes the cost of poor quality. These objectives are directly
associated with the objectives of an organization. Six Sigma monitors day-to-day
activities of an organization, in order to make optimal use of resources. According
to Six Sigma, processes in an organization can be improved byapplying the following
approaches.
DMAIC: It stands for define, measure, analyze, improve, and control.
This approach checks whether a process is performing correctly. It improves
the system by improving the process that is not able to meet user
requirements. Various attributes and functions present in this approach are
listed in Table 14.2.
Table 14.2 DMAIC Methodology
Attributes Functions
Define Identify goals of the project and the user requirements.
Measure Quantify the process to determine the current performance of the software.
Analyze Examine and determine the cause of the error.
Improve Improve the process by eliminating the errors.
Control Determine future process performance for prevention of errors.

DMDAV: It stands for define, measure, design, analyze, and verify. This
approach is used while a software process is being developed in the
organization. Various attributes and functions present in this approach are
listed in Table 14.3.

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 Table 14.3 DMDAV Methodology Quality Management

Attributes Functions
Define Specify goals of the project and the user requirements.
Measure Evaluate and determine the user requirements. NOTES
Design Design the process to avoid the root cause of defect.
Analyze Study process options to meet the user requirements.
Verify Ascertain the design performance so that the user requirements are
accomplished.
Note: In order to achieve Six Sigma, the errors should not be more than 3.4 per million occurrences.

ISO 9000 Quality Standards

The ISO 9000 standards describe the elements in quality assurance, which outline
the requirements of good quality product in an organization. The elements comprise
organizational structure, procedures, and resources that are needed to implement
quality assurance in the software. These standards also provide auditing tools to
make sure that they are properly implemented according to the standards and
meet the user requirements. After implementing these standards, it is mandatory to
audit the organization to evaluate its effectiveness. After a successful audit, the
organization receives a registration certificate, which identifies the quality of the
organization as being in compliance with ISO 9000 standards. ISO 9000 series
includes three models, which are listed below.
ISO 9001: This quality assurance model applies to organizations that design,
develop, install, and service products. It discusses how to meet customer
needs effectively.
ISO 9002: This quality assurance model applies to organizations that
produce, install, and service products. This model is nearly identical to 9001,
except that it does not incorporate design and development.
ISO 9003: This quality assurance model applies to organizations whose
processes are almost exclusive to inspection and testing of final products.
This model is currently limited to an inspection function.
One of the quality standards that is commonly used in practice is ISO
9001:2000. It is a quality management standard that is established for improving
the overall quality of the process and product in an organization. It can be achieved
by using appropriate management policies and practices. The ISO 9001:2000 is
based on several management principles relating to different requirements. These
principles are discussed here.
Management responsibility: Describes a policy and regular reviews of
management tasks and activities
Sales: Provides information, which is helpful in understanding customer
needs
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Quality Management Document control: Provides information on manuals and documentation
prepared for an organization
Purchasing: Provides information to customers on how to make sure that
they are purchasing the required products
NOTES
Identification and traceability: Provides information on how to identify
products and services (particularly certified items)
Inspection and test: Provides information on how to test and inspect the
products.
Corrective and preventive action: Provides information on how to detect
faults in the products and ways to manage them
Quality system: Consists of a quality manual, which shows whether the
manual applies to the management. It also examines the procedures and
processes of the product.

14.7 SOFTWARE RELIABILITY

Software reliability is one of the quality factors that focus on the following tasks.
Description of requirements for software, fault/ failure detection, and
recovery of software in case of failure
Review of software development process and products for software error
prevention
Description of processes for measuring and analyzing errors and description
of reliability and maintainability factors for the software.
IEEE defines software reliability as ‘the process of optimizing the reliability
of software through a program that emphasizes software error prevention,
fault detection and removal and the use of measurements to maximize
reliability in light of project constraints, such as resources, schedule, and
performance.’Reliability constitutes two major activities, namely, error prevention
and fault detection and removal.

Fig. 14.10 Hardware and Software Failure Rate

A failure can be hardware failure or software failure. As shown in Figure

14.10 (a), hardware has three phases, namely, burn in, useful life, and wear
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out. In the burn in phase, the failure rate is high and decreases with time for the Quality Management

next phase, which is useful life. As compared to the burn in phase, the useful life
phase is constant. The failure rate increases in the wear out phase. This is because
the hardware components wear out with time. As shown in Figure 14.10(b), the
rate of software failure as compared to Figure 14.10(a) is less and software failure NOTES
occurs largely in the integration and testing phase. As the software is tested, errors
are detected and removed. This results in decreasing the failure rate for the next
phase of the software known as useful life. The software does not wear out, but
becomes obsolete due to factors such as changes in the technology or the version,
increase in complexity, and so on.
Three approaches are used to improve the reliability of software. These
approaches are listed below.
Fault avoidance: The design and implementation phase of the software
development uses the process that minimizes the probability of faults before
the software is delivered to the user.
Fault detection and removal: Verification and validation techniques are
used to detect and remove faults. In addition, testing and debugging can
also remove faults.
Fault tolerance: The designed software manages the faults in such a way
that software failure does not occur. There are three aspects of fault tolerance.
o Damage assessment: This detects the parts of software affected due
to occurrence of faults.
o Fault recovery: This restores the software to the last known safe state.
Safe state can be defined as the state where the software functions as
desired.
o Fault repair: This involves modifying the software in such a way that
faults do not recur.
Software Reliability Models
A software reliability model is examined as a mathematical analysis model for the
purpose of measuring and assessing software quality and reliability quantitatively.
As shown in Figure 14.11, detection and removal of errors incur huge costs. When
the probability of software failure occurrence decreases, software reliability
increases. A model used to describe software reliability is known as Software
Reliability Growth Model (SRGM). The software reliability model evaluates
the level of software quality before the software is delivered to the user. The
objectives of software reliability models are listed below.
 To evaluate the software quantitatively
 To provide development status, test status, and schedule status
 To monitor reliability performance and changes in reliability performance of
the software
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Quality Management  To evaluate the maintenance cost for faults that are not detected during the
testing phase.
The software reliability models can be divided into two classes. The first
class deals with the designing and coding phases of software development by
NOTES
analyzing the reliability factors of the product. The second class deals with the
testing phase. It describes the software failure-occurrence phenomenon or software
fault-detection phenomenon by applying statistics theories that estimate software
reliability. The software reliability models are broadly classified into two categories,
namely, dynamic models and static models.

Fig. 14.11 Software Reliability

Dynamic models: These models follow the changes of software during

the testing phase. In addition, these models are based on the assumption
that errors can be corrected as soon as they are detected. In other words,
it is assumed that the time consumed in fixing errors is negligible.
Static models: These models measure the quality of the software before
debugging and testing.
Assessing Reliability and Availability
The measure of reliability is defined as the probability of software to operate
without failures under given conditions. The ability to measure or predict reliability
in software engineering focuses on three general purposes.
Understanding and making trade-offs between reliability and other software
characteristics such as performance, cost, and schedule
Tracking progress when testing is complete
Determining the effect of using new methods to develop software.
A common measure of how long the system can operate between failure of
critical part is ‘mean time between failure’ (MTBF). In other words, MTBF is
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defined as the average of times between successive failures. It is a statistical measure Quality Management

rather than a direct measure. Ameasure similar to MTBF is ‘mean time to repair’
(MTTR), which is the average amount of time taken to repair the machine after a
failure occurs. It can be combined with ‘mean time to failure’ (MTTF), which
describes how long the software can be used to calculate MTBF. NOTES
MTBF = MTTF + MTTR.
In addition to assessment of reliability, software availability is also calculated.
Availability of software is defined as the probability of software to operate and
deliver the desired request. Availability is an indirect measure to determine
maintainability. This is because it determines the probability that software is working
in accordance with the user requirements at a specified time. It is calculated from
probabilistic measures MTBF and MTTR. In the mathematical notation, availability
is defined as follows:
Availability = (1 – MTTR / (MTTR + MTBF))* 100%.
Software Safety
Software safety is a software quality assurance activity that follows a systematic
approach to identify, analyze, record, and control software hazards to ensure that
software operates in an intended manner. Ahazard is defined as a set of conditions
that can lead to an accident in a given set of conditions. These conditions are
beyond the control of the software developer, that is, the software developer is
unable to predict the conditions that can cause software to stop its functioning.
A software hazard occurs when a wrong input is given. Some hazards are
avoidable and can be eliminated by changing the design of the system while others
cannot be avoided and must be handled by the software. A technique known as
fault-free analysis is used to prevent hazards in the developed software. In this
analysis a detailed study is carried out to detect conditions that cause hazards.
Once the hazards are analyzed, the requirements for the software are specified.
It is important to note the difference between software safety and software
reliability. Software reliability uses statistical and mathematical methods to identify
software failure and it is not necessary that this occurrence of failure leads to a
hazardous situation. Software safety identifies the conditions in which these failures
lead to a hazardous situation.

Check Your Progress

1. Define software quality assurance.
2. What is quality costs?
3. What are software reviews?
4. What is software reliability model?
5. Define formal technical review.
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Quality Management
14.8 ANSWERS TO CHECK YOUR PROGRESS
QUESTIONS

NOTES 1. Software quality assurance is concerned with process quality and refers to
planned and systematic sets of activities, which ensure that software life
cycle processes and products conform to requirements, standards, and
procedures.
2. Costs incurred in performing quality-related activities are referred to as
quality costs.
3. Software reviews are systematic evaluation of the software in order to detect
errors.
4. A software reliability model is examined as a mathematical analysis model
for the purpose of measuring and assessing software quality and reliability
quantitatively.
5. A formal technical review (FTR) is a formal review that is performed by a
review team.

14.9 SUMMARY
 Quality refers to the features and characteristics of a product or service,
which define its ability to satisfy user requirements.
 Software quality control is concerned with product quality and checks,
whether the product meets user requirements and is developed in accordance
with the established standards and procedures.
 Software quality assurance is concerned with process quality and refers to
planned and systematic sets of activities, which ensure that software life
cycle processes and products conform to requirements, standards, and
procedures.
 Costs incurred in performing quality-related activities are referred to as
quality costs.
 Software quality assurance (SQA) comprises various tasks that are
responsible for ensuring quality. These tasks are assigned to software
engineers and the SQA group.
 Quality planning is a structured process for defining the procedures and
methods, which are used to develop software. Quality planning starts in the
early phases of software development.
 Software reviews are systematic evaluation of the software in order to detect
errors. These reviews are conducted in various phases of the software
development process such as analysis, design, and coding.
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  A formal technical review (FTR) is a formal review that is performed by a Quality Management

review team. It is performed in any phase of software development for any

work product, which may include requirements specification, design
document, code, and test plan.
NOTES
 A review meeting is conducted to review the product in order to validate its
quality. Review team members examine the product to identify errors in it
 Various kinds of approaches are used to improve quality of the software
and overall process of the organization. The commonly used software quality
approaches are Six Sigma and ISO standards.
 A software reliability model is examined as a mathematical analysis model
for the purpose of measuring and assessing software quality and reliability
quantitatively.
 Software safety is a software quality assurance activity that follows a
systematic approach to identify, analyze, record, and control software
hazards to ensure that software operates in an intended manner.

14.10 KEY WORDS

 Software Quality Assurance (SQA): A planned and systematic sets of
activities, which ensure that software life cycle processes and products
conform to requirements, standards, and procedures.
 SQA Group: A group comprising the quality head, quality analyst, and
quality control staff, which is concerned with keeping track of responsibilities
of each team member and ensuring that tasks are being performed properly
so that high-quality software is developed.
 Software Review: The systematic evaluation of the software in order to
detect errors.
 Walkthrough: An informal review technique used to evaluate the product.
 Formal Technical Review (FTR): A formal review technique that is
performed by a review team.

14.11 SELF ASSESSMENT QUESTIONS AND

EXERCISES

Short Answer Questions

1. Define software quality.
2. What are the different types of quality costs?
3. What are McCall’s quality factors?

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Quality Management Long Answer Questions
1. What is software quality assurance? Explain.
2. Explain the various activities of SQA.
NOTES 3. What do you understand by software reviews? Discuss its significance.
4. Explain the commonly used software quality approaches.
5. Explain the term software reliability.

14.12 FURTHER READINGS

Jalote, Pankaj. 1991. An Integrated Approach to Software Engineering. New
Delhi: Narosa Publishing House.
Schach, Stephen R. 2005. Object Oriented and Classical Software Engineering.
New Delhi: Tata McGraw-Hill.
Pressman, Roger S. 1997. Software Engineering, a Practitioner’s Approach.
New Delhi: Tata McGraw-Hill.
Somerville, Ian. 2001. Software Engineering. New Delhi: Pearson Education.
Ghezzi, Carlo, Mehdi Jazayeri, and Dino Mandriolli . 1991. Fundamentals of
Software Engineering. New Delhi: Prentice-Hill of India.
Jawadekar, Waman S. 2004. Software Engineering: Principles and Practice.
New Delhi: Tata McGraw-Hill.
Hughes 2017 Software project management

14.13 LEARNING OUTCOMES

 Software quality and software quality assurance

 Understand software reviews that are a systematic evaluation of the software
in order to detect errors
 Formal technical review
 The evaluation of software quality
 The process of software reliability
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