5

Chapter 5. Process essentials

This chapter provides the process essentials: A brief definition of each project phase
(inception, elaboration, construction, and transition) in terms of main goals, activities, and
milestones. For each activity, the chapter lists the corresponding key roles, tasks, output work
products, and available examples from the Catalog Manager Case Study. The corresponding
section of the RUP for System z Web site provides advanced System z practitioners with all
of the links (underlined terms) necessary to perform specific activities or tasks.

© Copyright IBM Corp. 2007. All rights reserved. 53

5.1 Inception essentials
The primary goal of the Inception Phase is to achieve concurrence among all stakeholders on
the project scope and to ensure that the project is both worth doing and possible to do. The
Inception Phase consists of a number of iterations culminating in the Lifecycle Objectives
Milestone. A typical inception iteration includes the activities presented in Table 5-1. The
milestone is described right after the table.

Table 5-1 Activities of a typical inception iteration

Activities Roles Tasks Output work Catalog
products Manager
examples

Conceive New - Project - Develop - Business Case - Business Case

Project Manager Business Case - Software
- Management - Identify and Development
Reviewer Assess Risks Plan
- Initiate Project - Risk List
- Project - Review Record
Approval Review

Prepare Project - Process - Tailor the - Development None

Environment Engineer Development Process
- Tool Specialist Process for the - Tools
- Configuration Project - Project
Manager - Select and Repository
Acquire Tools
- Set Up Tools
- Set Up
Configuration
Management
(CM)
Environment

Define - System Analyst - Develop Vision - Vision - Vision

Requirements - Software - Find Actors and - Use-Case - Use-Case
Architect Use Cases Model Model
- Test Designer - Develop - Supplementary - Supplementary
Supplementary Specifications Specification
Specifications - Glossary - Glossary
- Capture a - Software - Software
Common Architecture Architecture
Vocabulary Document Document
- Prioritize Use - Test Strategy - Test Plan
Cases - Test Plan
- Define Test - Test
Approach Environment
Configuration

Perform - Software - Architectural - Software None

Architectural Architect Analysis Architecture
Proof-of-Concept - Construct Document
(optional) Architectural - Analysis Model
Proof-of-Concept - Design Model
- Assess Viability - Deployment
of Architectural Model
Proof-of-Concept - Architectural
Proof-of-Concept
- Review Record

54 The IBM Rational Unified Process for System z

 Activities Roles Tasks Output work Catalog
products Manager
examples

Plan the Project - Project - Assess Iteration - Iteration - Risk List

Manager - Identify and Assessment - Software
Assess Risks - Risk List Development
- Plan Phases - Software Plan
and Iterations Development - E1 Iteration Plan
- Develop Plan
Iteration Plan - Iteration Plan
- Acquire Staff

Lifecycle Objectives Milestone

At the end of the Inception Phase, the project is evaluated against the following criteria:
򐂰 Stakeholder concurrence on the scope definition.
򐂰 Agreement that the right set of requirements has been captured.
򐂰 Agreement that the cost/schedule estimates, priorities, risks, and development process
are appropriate.
򐂰 All risks have been identified and a mitigation strategy exists for each risk.

The state of several essential work products at the Inception Phase milestone are:
򐂰 Business Case (100% complete)
򐂰 Vision (about 100% complete)
򐂰 Glossary (about 40% complete)
򐂰 Software Development Plan (about 80% complete)
򐂰 Iteration Plan for the first elaboration iteration (about 100% complete)
򐂰 Risk List (about 25% complete)
򐂰 Use-Case Model (about 20% complete)
򐂰 Supplementary Specifications (about 20% complete)
򐂰 Test Plan (about 10% complete)
򐂰 Software Architecture Document (about 10% complete)
򐂰 Architectural Proof-of-Concept (one or more proof of concept prototypes available to
address very specific risks)

5.2 Elaboration essentials

The primary goal of the Elaboration Phase is to baseline the architecture of the system to
provide a stable basis for the bulk of the design and implementation effort in the Construction
Phase. The stability of the architecture is evaluated through one or more architectural
prototypes. The Elaboration Phase consists of a number of iterations culminating in the
Lifecycle Architecture Milestone. A typical elaboration iteration includes the activities
presented in Table 5-2 on page 56. The milestone is described right after the table.

Chapter 5. Process essentials 55

 Table 5-2 Activities of a typical elaboration iteration
Activities Roles Tasks Output work Catalog
products Manager
examples

Refine - Requirements - Detail a Use - Use Case - Use-Case

Requirements Specifier Case - Supplementary Specifications
- System Analyst - Develop Specifications - Unified
- Software Supplementary - Glossary Modeling
Architect Specifications - Software Language (UML)
- Capture a Architecture Models
Common Document - Supplementary
Vocabulary Specification
- Prioritize Use
Cases

Define - Software - Architectural - Software - Software

Architecture Architect Analysis Architecture Architecture
- Designer - Service Document Document
- Technical Analysis - Analysis Model - Unified
Reviewer - Existing Asset - Design Model Modeling
Analysis - Design Class Language (UML)
- Use-Case - Design Models
Analysis Subsystem
- Identify Design - Design Package
Elements - Interface
- Describe the - Module
Run-time - Signal
Architecture - Event
- Describe - Deployment
Distribution Model
- Review the - Service Model
Architecture - Service
Component
- Review Record

Design - Designer - Use-Case - Design Model - Unified

Components - Software Design - Design Class Modeling
Architect - Identify Design - Design Language (UML)
- Database Elements Subsystem Models
Designer - Subsystem - Design Package
- User-Interface Design - Interface
Designer - Module Design - Module
- Technical - Class Design - Signal
Reviewer - Subsystem - Event
Design (SOA) - Service Model
- Component - Service
Specification Component
(SOA) - Data Model
- Database - Navigation Map
Design - User-Interface
- Design the User Prototype
Interface - Review Record
- Prototype the
User-Interface
- Review the
Design

56 The IBM Rational Unified Process for System z

 Activities Roles Tasks Output work Catalog
products Manager
examples

Code and Unit - Implementer - Implement - Implementation None

Test - Technical Design Elements Subsystem
Components Reviewer - Implement - Implementation
Developer Test Element
- Execute - Developer Test
Developer Tests - Test Log
- Review Code - Review Record

Integrate and - Integrator - Integrate - Build - Test Plan

Test - Test Designer Subsystem - Implementation - Test Cases
- Test Analyst - Integrate Subsystem - Installation
- Tester System - Test Strategy Verification
- Define Test - Test Plan Procedures
Approach - Test (IVPs)
- Define Test Environment
Details Configuration
- Implement Test - Test Case
- Define - Test Script
Installation - Test Log
Verification - Installation
Procedures Verification
(IVPs) Procedures
- Implement (IVPs)
Installation - Change
Verification Request
Procedures
(IVPs)
- Execute Test
Suite
- Analyze Test
Failure

Plan the Project - Project - Assess Iteration - Iteration - Risk List

Manager - Identify and Assessment - Software
Assess Risks - Risk List Development
- Plan Phases - Software Plan
and Iterations Development
- Develop Plan
Iteration Plan - Iteration Plan
- Acquire Staff

Lifecycle Architecture Milestone

At the end of the Elaboration Phase, the project is evaluated against the following criteria:
򐂰 The product requirements and architecture are stable.
򐂰 The key approaches to be used in test and evaluation are proven.
򐂰 Test and evaluation of executable prototypes have demonstrated that the major risk
elements have been addressed and have been credibly resolved.
򐂰 The iteration plans for the Construction Phase are of sufficient detail to allow the work to
proceed and are supported by credible estimates.
򐂰 All stakeholders agree that the vision can be met if the current plan is executed to develop
the complete system in the context of the current architecture.
򐂰 Actual resource expenditures compared to planned expenditures are acceptable.

Chapter 5. Process essentials 57

 State of several essential work products at the Elaboration Phase milestone:
򐂰 Glossary (about 80% complete)
򐂰 Software Development Plan (about 95% complete)
򐂰 Iteration Plans for the construction iterations (about 100% complete, at least for the first
iteration)
򐂰 Risk List (about 50% complete)
򐂰 Use-Case Model (about 80% complete)
򐂰 Supplementary Specifications (about 80% complete)
򐂰 Software Architecture Document (about 100% complete)
򐂰 Design Model (about 60% complete)
򐂰 Service Model (about 60% complete)
򐂰 Test Plan (about 30% complete)
򐂰 Test Cases (about 40% complete)
򐂰 Test Scripts (about 40% complete)
򐂰 Implementation Elements, including source code (about 40% complete)
򐂰 Builds are available (one or more per iteration, for instance)
򐂰 One or more executable architectural prototypes are available (to explore critical
functionality and architecturally significant scenarios)
򐂰 Installation Verification Procedures (IVPs) (about 80% complete)

5.3 Construction essentials

The main goal of the Construction Phase is to complete the development of the system based
upon the baseline architecture. The Construction Phase consists of a number of iterations
culminating in the Initial Operational Capability Milestone. A typical construction iteration
includes the activities presented in Table 5-3. The milestone is described right after the table.

Table 5-3 Activities of a typical construction iteration

Activities Roles Tasks Output work Catalog
products Manager
examples

Refine - Requirements - Detail a Use - Use Case - Use-Case

Requirements Specifier Case - Supplementary Specifications
- System Analyst - Develop Specifications - Unified
- Software Supplementary - Glossary Modeling
Architect Specifications - Software Language (UML)
- Capture a Architecture Models
Common Document - Supplementary
Vocabulary Specification
- Prioritize Use
Cases

58 The IBM Rational Unified Process for System z

Activities Roles Tasks Output work Catalog
products Manager
examples

Design - Designer - Use-Case - Design Model - Unified

Components - Software Design - Design Class Modeling
Architect - Identify Design - Design Language (UML)
- Database Elements Subsystem Models
Designer - Subsystem - Design Package
- User-Interface Design - Interface
Designer - Module Design - Module
- Technical - Class Design - Signal
Reviewer - Subsystem - Event
Design (SOA) - Service Model
- Component - Service
Specification Component
(SOA) - Data Model
- Database - Navigation Map
Design - User Interface
- Design the User Prototype
Interface - Review Record
- Prototype the
User Interface
- Review the
Design

Code and Unit - Implementer - Implement - Implementation - Source Code

Test - Technical Design Elements Subsystem
Components Reviewer - Implement - Implementation
Developer Test Element
- Execute - Developer Test
Developer Tests - Test Log
- Review Code - Review Record

Integrate and - Integrator - Integrate - Build - Test Plan

Test - Test Designer Subsystem - Implementation - Test Cases
- Test Analyst - Integrate Subsystem
- Tester System - Test Strategy
- Define Test - Test Plan
Approach - Test
- Define Test Environment
Details Configuration
- Implement Test - Test Case
- Define - Test Script
Installation - Test Log
Verification - Installation
Procedures Verification
(IVPs) Procedures
- Implement (IVPs)
Installation - Change
Verification Request
Procedures
(IVPs)
- Execute Test
Suite
- Analyze Test
Failure

Chapter 5. Process essentials 59

 Activities Roles Tasks Output work Catalog
products Manager
examples

Prepare - Deployment - Develop - Deployment None

Deployment Manager Deployment Plan Plan
- Technical Writer - Define Bill of - Bill of Materials
- Implementer Materials - User Support
- Course - Develop Material
Developer Support Materials - Installation
- Graphic Artist - Develop Artifacts
Installation Work - Training
Products Materials
- Develop - Product Artwork
Training
Materials
- Create Product
Artwork

Plan the Project - Project - Assess Iteration - Iteration - Risk List

Manager - Identify and Assessment - Software
Assess Risks - Risk List Development
- Plan Phases - Software Plan
and Iterations Development
- Develop Plan
Iteration Plan - Iteration Plan
- Acquire Staff

Initial Operational Capability Milestone

The evaluation criteria for the Construction Phase involve the answers to these questions:
򐂰 Is this product release stable and mature enough to be deployed in the user community?
򐂰 Are all the stakeholders ready for the transition into the user community?
򐂰 Are actual resource expenditures compared to planned resource expenditures still
acceptable?

The state of several essential work products at the Construction Phase milestone are:
򐂰 Glossary (about 100% complete)
򐂰 Software Development Plan (about 100% complete)
򐂰 Iteration Plans for the transition iterations (about 100% complete, at least for first iteration)
򐂰 Risk List (about 75% complete)
򐂰 Use-Case Model (about 100% complete)
򐂰 Supplementary Specifications (about 100% complete)
򐂰 Design Model (about 100% complete)
򐂰 Service Model (about 100% complete)
򐂰 Test Plan (about 90% complete)
򐂰 Test Cases (about 80% complete)
򐂰 Test Scripts (about 80% complete)
򐂰 Implementation Elements, including source code (about 90% complete)
򐂰 Builds are available (one or more per iteration, for instance)

60 The IBM Rational Unified Process for System z