Initial Experiences in Software Process Modeling

June 2000
Volume 2 • Number 3

Contents

Initial Experiences in Software Process Modeling

Litton’s Guidance and Control Systems (GCS) Division has been using system dynamics to create mostly small-scale models for investigating managerial process issues and supporting personnel training. At the project level, these include models for planning specific projects, studying Brooks’ Law and hiring issues, an interactive earned value model, requirements volatility, and a detailed peer-review model. Insights provided by the models have supported decision making at different levels and helped galvanize process improvement efforts. The training applications have added spark in classes and improved overall learning.

Key words: Brooks’ Law, COCOMO, earned value model, simulation, software quality management, training

by Ray Madachy and Denton Tarbet, Litton Guidance and Control Systems

INTRODUCTION

Litton GCS achieved CMM level 4 certification in 1998, and process simulation is being used to support continued improvements. The company has started some efforts in the areas of managerial training and project and organizational modeling. As a high maturity organization, existing process performance baselines provide leverage in developing and calibrating meaningful simulation models. Experimenting with these models has identified opportunities for process improvement, including the applicable ranges of conditions for improvement. Longitudinal results of these efforts will be reported in the future.

Software development is a dynamic and complex process, as there are many interacting factors throughout the life cycle that impact the final cost, schedule, and quality. Unfortunately, these factors are rarely accounted for on software projects. Many organizations and their models gloss over process interactions and feedback effects, but these must be recognized to achieve greater improvements. GCS is attempting to bring simulation into the everyday fold.

Knowledge gleaned from a global perspective that considers these interactions can be represented in executable simulation models that serve as a common understanding of an organization’s processes. Systems thinking, as a way to find and bring to light the structure of the organizational system that influences its dynamic behavior, together with system dynamics as a simulation methodology, provide critical skills to manage complex software development.

Models are also an excellent vehicle for learning efforts on both organizational and personal levels. Organizational learning in the context of a software process involves translating the common “mental model” of the process into a working simulation model that serves as a springboard for increased learning and improvement. Mental models must be made explicit to frame concerns and share knowledge among people on a team. Everyone then has the same picture of the process and its issues. Collective knowledge is put into the models as the team learns. Elaborated representations in the form of simulation models become the bases for process improvement.

For personal learning, GCS has been using models to demonstrate basic and advanced project management concepts through simulation. Student awareness is heightened when “games” like simulations are used, particularly when they participate. Visual dynamic graphs provide faster and easier remembered learning compared to the traditional lecture format. Exploration is encouraged through the ability to modify and replay the models.

A process modeling characterization matrix initially developed by Kellner is used to place the various GCS studies in Figure 1. See (Kellner, Madachy, and Raffo 1999) for information regarding the characterization framework.

IMPLEMENTATION

The Software Engineering Process Group (SEPG) is responsible for organizational analysis and training, and model development. The SEPG and senior executives first confer on model purpose. Team techniques are then used to elicit process views and formulate explicit representations of the mental models into executable simulation models. The software director helps “sell” the analyses and results to other affected groups, thus improving intergroup coordination. Hard issues are dealt with using the model results as objective evidence. Previous hand waving is replaced with explicit quantitative models. The rest of this section provides a brief overview of some models developed at GCS. Each subsection describes a main application category.

Software Manager Training

Selected process management principles are demonstrated using live classroom simulations. Software managers and other designated leaders receive training from the SEPG in project management, software metrics, and other related subjects. Live simulations have been used in the training venues for students to better visualize metrics trends and to improve their control techniques via interactive situations.

Using the dynamic models has enlivened the training sessions and stirred thought-provoking discussions. Using the models in real-time also allows for quick simulation runs to explore issues brought up during discussion. For example, a posed question may be translated into model input and the simulation run for all to see the outcome. This often happens when presenting managerial subjects, as students propose specific scenarios that can be quickly evaluated through the simulation model.

The first models used for training purposes are an earned value model, Brooks’ Law model, and a simple estimated productivity model. The earned value model is also used as a basis for actual project control and evaluating the impact of requirements volatility, and the Brooks’ Law model is also used to determine optimal staffing for some real projects.

Earned value model
Earned value is an approach for monitoring performance against budgeted plans. Earned value refers to the dollar value of work accomplished, where the value of a given task is defined in a cost or schedule budget baseline. Value is earned after completing the budgeted milestones as work proceeds. Objective milestones consist of directly observable steps or events in the software process, and earned value is therefore a measure of progress against plan.

The earned value model has been used to: 1) demonstrate what earned value is; and 2) show how it can be used to manage a project using feedback. The model implements the basic formulas for cost performance index (CPI) and schedule performance index (SPI) using dynamic cost indicators. CPI represents cost efficiency against plan and SPI represents schedule efficiency against plan. See Figure 2 for the earned value model.

The model is used to teach managers to spot trends early in order to affect control. This is done by monitoring the slope of earned value trends as opposed to current static values only. A classic example involves evaluating progress compared to planned completions. A quick glance at early trends to see whether task completion is behind may be deceiving. Figure 3 shows sample output from the model.

For example, a project that starts out solving easy problems quickly creates an illusion of early overall completion. Whereas the slope of the progress line, also borne out in the dynamic CPI/SPI curves, clearly shows a worsening negative trend. A partial simulation of two comparative projects is shown to students for discussion before completing the simulation. Many people fail to consider the changing slopes of the initial progress trends, and erroneously choose which project will perform best.

Part of the training involves managers interacting with project simulations as they are running. This is often called “flight simulation” analogously. The earned value model is used for hands-on practice in this manner. For example, simulated CPI and SPI trends are monitored by an individual who can control certain parameters during the run. Typically the simulation is slowed down or paused so individuals can react in time by varying sliders. In the earned value simulation, managers can control the staffing levels interactively as the simulation progresses. See Figure 4 for a sample flight simulation interface to the earned value model.

Brooks’ Law model
In the early software engineering classic The Mythical Man-Month, Fred Brooks (1975) stated: “Adding manpower to a late software project makes it later.”

His explanation for the law was the additional linear overhead needed for training new people and the nonlinear communication overhead (a function of the square of the number of people). These effects have been widely accepted and observed by others. The simple model in Figure 5 describes the situation and will be used to test the law.

The model is conceived around the following basic assumptions:

  • New personnel require training by experienced personnel to come up to speed.
  • More people on a project entail more communication overhead.
  • On average, experienced personnel are more productive than new personnel.

It is built on two connected flow chains representing software development and personnel. The software development chain assumes a level of requirements that need to be implemented. The requirements are transformed into developed software at the software development rate. The level of developed software represents progress made on implementing the requirements. Project completion is when developed software equals the initial requirements. Software size is measured in function points, and the development rate is in function points per person-day.

The software development rate is determined by the levels of personnel in the system: new project personnel who come onto the project at the personnel allocation rate, and experienced personnel who have been assimilated (trained) into the project at the assimilation rate.

The model is a high-level depiction of a level-of-effort project, and it will be exercised by adding more people via the personnel allocation rate. This will allow for tracking the software development rate over time and assessing the final completion time to develop the requirements under different hiring conditions.

As time progresses, the number of requirements decreases since it represents requirements still left to implement. These requirements are processed over time at the software development rate and become developed software, so requirements decline as developed software rises. The software development rate is constrained by several factors: the nominal productivity of a person, the communication overhead percent, and the number of personnel. The effective number of personnel equals the new project personnel plus the experienced personnel minus the amount of experienced personnel needed for training the new people. The communication overhead percent is expressed as a nonlinear function of the total number of personnel that need to communicate. The experienced personnel needed for training is the training overhead percentage as a fraction of a full-time equivalent experienced personnel. The default of .25 indicates one-quarter of an experienced person is needed to train a new person until he or she is fully assimilated.

The bottom structure for the personnel chain models the assimilation of new project personnel at an average rate of 20 days. In essence, a new person is trained by one fourth of an experienced person for an average of 20 days until he or she becomes experienced in the project.

The nominal productivity is set to one, with the productivities of new and experienced personnel set to .8*nominal productivity and 1.2*nominal productivity, respectively, as a first-order approximation.

Sample results
The default steady state behavior of the model shows a final completion time of 274 days to develop 500 function points with a constant staff of 20 experienced personnel. Experimental runs are then performed to optimize the schedule finish. The first perturbation run injects an instantaneous pulse of five new people at the 100th day, and on the next run 10 people are added at the 100th day. Figure 6A is a sensitivity plot of the corresponding software development rates for the default condition and the two perturbation runs.

With an extra five people (curve no. 2), the development rate nose dives, then recovers after a few weeks to slightly overtake the default rate, and actually finishes sooner at 271 days. When 10 people are added, however, the overall project suffers (curve no. 3). The initial productivity loss takes longer to stabilize, the final productivity is lower with the larger staff, and the schedule time elongates to 296 days. The plunge and smooth recovery seen on both are the training effect. The extra staff gains in the first case are greater than the communication losses, but going from 20 to 30 people in the second case entails a larger communication overhead compared to the potential productivity gain of having more people.

Project application
The Brooks’ Law model was applied to an actual project GCS in order to trade off some staffing alternatives. For a project already behind schedule with about four months to go, the following options were considered:

  • Case 1: Do nothing to current staff. Let staff members work for four months at same rate.
  • Case 2: Add nine people in one week. Incur training losses and extra communication overhead.

After some minor calibrations to the model to reflect the project, the following results were obtained.

Scenario Cost Schedule
Case 1 1870 person-days 85 days
Case 2 2930 person-days 96 days

Figure 6B shows the productivity trends for these two cases. Adding people in this case clearly added more cost and schedule time to the project, and was decided against.

The model shows how the law holds only under certain conditions, since there is a tradeoff between the number of added people and the time in the life cycle. There is a threshold of new people that can be added until the schedule suffers. A specific addition of people may be tolerable if injected early enough. Conversely, the project time determines how many can be effectively added.

Based on the insight provided, Brooks’ Law can be clarified. Adding manpower to a late software project makes it later if too much is added too late. That is when the additional overhead is greater than productivity gains due to the extra staff. See (Madachy and Boehm 2000) for more details.

Estimated productivity
A simple model of estimated productivity has been developed, which represents the ongoing estimate of the productivity to be achieved at project completion. It combines an estimate-to-complete (EAC) with a size stability indicator (estimate of the final size). Tracking this indicator includes periodic updates to the EAC accounting for actuals to date and monitoring of size stability. The model demonstrates how to combine these dynamic trends in order to track estimated productivity and stay on top of the project. Figure 7 shows sample output from the model.

Project Planning and Control

A new project is being used as a pilot for dynamic planning and control to raise the visibility of certain planning issues and to monitor the project. The critical project is a large integrated system development with incremental releases. Major elements of the system dynamics model include incremental development, Brooks’ Law effects, hiring delays, earned value, and requirements volatility.

A first-cut baseline of the project staffing dynamics and schedule milestones was derived with the COCOMO cost model. The Costar cost-estimation tool was used to develop a baseline staffing profile for the planned increments using a sophisticated incremental version of COCOMO. The profile was then translated into manpower addition and transfer rates to achieve the desired staffing, and used as a basis for exploring requirements volatility and hiring issues.

The COCOMO model assumes breakage from requirements changes is constant throughout the project, but different behavior is expected on this particular project. Because of software dependency on unprecedented hardware development and other factors, most breakage is expected during integration. This indicates a model clash between static COCOMO and assumed actual breakage patterns.

Figure 8 shows the nominal staffing profile with estimated requirements volatility coincident with increment integration points, whereby the volatility is modeled independently of the staffing profile (the numbers have been slightly modified to mask actual project data and preserve anonymity). Past organizational data and expert judgment were used to estimate the magnitudes of volatility. It makes clear that some replanning and risk mitigation is necessary, and the model will be used to evaluate different decisions.

Several other dynamic effects are also being explored on this project. A Brooks’ Law model is used to determine optimal staffing-up rates and team sizes. An earned value model is connected with the actual and planned task completions to predict and monitor earned value trends like CPI and SPI.

The earned value model was modified to incorporate requirements volatility. The delayed effect on CPI and SPI of unbudgeted requirements changes has been demonstrated during senior management reviews of selected projects, including this one. The public visualization has been used to improve communication between software engineering and project control personnel.

Brooks’ Law and Hiring

GCS is also using the Brooks’ Law model to support hiring and project-transfer decisions. The model shows under what circumstances hiring people on a late project will help and those when it will not. Effort is increased in every case, and schedule time can be recouped only under certain conditions. In particular, there are losses due to training new staff and communication overhead. If the teams are relatively small and hiring does not continue very late, then schedule performance can be slightly improved. This is a multiattribute problem that system dynamics provides insight for.

Hiring policies have also been analyzed. Despite project plans and aggressive recruiting, bringing on new hires entails months of delays. The average hiring delay is slightly greater than two months for an individual, though business management virtually never accounted for these effects. After the simulation results were presented, management started producing more realistic and conservative hiring plans.

Project Contention Model

A model of resource switching was motivated by reactive behavior on the part of executive management whereby senior people were juggled between projects to fix short-term problems per customer whims. The software engineering department wanted to demonstrate that the practice was counterproductive in terms of cost and schedule performance. Both projects suffered learning-curve and communication overhead drains that overwhelmed any gains on the initial “troubled” project. Additionally, the juggled individuals experienced losses due to the multiple context switching. Their net output is much less when attempting to work on several tasks at once compared to a single task.

The model is shown in Figure 9. One key to the model is expressing the learning curve as a function of volume (that is, tasks produced) rather than time per se. See (Raccoon 1996) for a detailed discussion of software learning curves. When there are interruptions and context switching between projects, then an individual going back to a project requires longer than the interruption time to reach previous productivity levels.

A Delphi-poll and other queries were used to gauge the learning-curve losses. It was estimated that two to three weeks are needed after a one-week break to get back into the productive mode of the original project. Added together, the respective losses and gains for the involved projects produced a net loss compared to not hot-switching personnel. More important, the anticipated schedule slips were directly correlated to customer (dis)satisfaction. These results were shown to the executives who could not disagree with the conclusions, and they have changed their corresponding policies. Figure 10 shows sample output.

The effects of working on multiple tasks has also been quantified by Weinberg (1992). He developed a table of relative productivity vs. the number of tasks that validates the results found in the Litton GCS model, and is a good lesson for software organizations to keep in mind.

 

Peer-Review Model

An inspection model was initially developed at Litton’s Data System Division (DSD) in conjunction with the University of Southern California to answer the research question: What are the dynamic project effects of performing inspections? It has now been modified at GCS to model other types of peer reviews, particularly walkthroughs. The model portion for the product and error chains is shown in Figure 11A.

The dynamic model serves to examine the effects of peer-review practices on cost, schedule, and quality throughout the life cycle. It uses system dynamics to model the interrelated flows of tasks, errors, and personnel throughout different development phases and is calibrated to industrial data. Details on the original model are in (Madachy 1996).

The original inspection model was calibrated to data at DSD. GCS walk-through data were used to parameterize the model, and scenarios were run to quantify the expected cost and schedule impacts of peer reviews. The experimentation has helped solidify plans for peer reviews on specific projects. On others, it was shown that performing additional peer reviews may not be worthwhile. The model has also helped educate executives and developers alike on the importance of peer reviews, and provided motivation to optimize the peer-review processes.

The model is general enough that it required no structural changes to handle other peer-review types besides inspections. The following calibration parameters were determined for each project based on existing GCS baseline data as refined for specific projects:

  • Nominal productivity
  • Review efficiency
  • Design defect density
  • Code defect density
  • Average design defect amplification

Project-specific parameters include:

  • Job size
  • COCOMO effort parameter
  • Schedule constraint

The following parameters represent management decisions regarding scheduled processes for each project:

  • Design walk-through practice (percent of design packages reviewed)
  • Code walk-through practice (percent of code reviewed)

An illustration of data used to calibrate the defect introduction rates, detection rates, and review efficiencies for the peer review model is shown in Figure 11B. The data have been sanitized from some actual project data. All data come from the defect-finding mechanisms listed in the left column, and the review efficiencies are calculated accordingly.

Core Software Reuse Model

Product line reuse is a major risk item. GCS has several product lines, one of which has a team developing reusable components for multiple projects. The core software is shared among projects within the product line. Unfortunately, the planned reuse levels are rarely met on a project. It is not known whether current reuse practices involving the core software library are economical. Changes to the core library by one project often adversely affect other projects. These side effects create new problems that often lead to cost and schedule overruns. Experience indicates a conflict with business development policies, which presume significant cost savings.

The observed effects are due to increasing software entropy. A software system that undergoes continuous change will grow in complexity and become more disorganized over time. This phenomenon is often attributed to conventional software architectures, whereby the entropy increases when interfaces are changed for tactical reasons. Generally the software lifetimes are much shorter than commonly expected. At Litton, this problem was exacerbated by the fact that more than a dozen projects use the core-reuse library simultaneously. Changes from a single project ripple into problems on other projects.

A product-line reuse model is being developed to analyze the dynamics of core software reuse. The effort is currently in the conception and data-collection phases. Some past trend data serve as reference behavior for the model in terms of the core dynamics. To parameterize the model, reuse process data are currently being collected analyzed, and the collection is also being automated.

Based on the eventual findings, an architecture team will investigate ways to improve reusability across projects over longer periods. Conversely, reuse criteria and reuse planning processes will be revamped. Figure 12 shows a high-level model of the situation.

CONCLUSIONS

System dynamics simulation is well suited to exploring process issues. Even small models are highly valuable for providing insight into dynamic trends. In fact, smaller is better when presenting results to people not familiar with process modeling or simulation. The models are also well received as training vehicles for a fun and interactive learning experience. Simulation has proved to be a real “utility” player for the organization in that it can play different roles and attack many types of problems. It supports learning at the organizational and individual levels.

An important thrust of the modeling work has been multiproject in nature, where studies look at specific well-defined problems. Rather than producing a complex model of the entire organization at this time, Litton GCS has been using system dynamics for partitioned focused studies on common issues and problems in its environment. This provides individual lessons that collectively have improved management’s vision and actions.

There are important advantages to using simulation in the classroom. It can be used to impart information in a more meaningful and dynamic way compared to traditional methods. Some principles are better visualized through time-based simulations. Live demonstrations also keep up the interest of the student audience as opposed to strict lecture, and interactivity serves to drill in the learning experience. Not all lessons can be enhanced by demonstrating management principles through live simulations. Whether to use live simulation should be considered on a per-case basis.

REFERENCES

Brooks, F. 1975. The mythical man-month. Reading, Mass.: Addison-Wesley.

Kellner, M., R. Madachy, and D. Raffo. 1999. Software process simulation modeling: Why? What? How? Journal of Systems and Software (spring).

Madachy, R. 1996. System dynamics modeling of an inspection-based process. In Proceedings of the Eighteenth International Conference on Software Engineering, IEEE Computer Society Press, Berlin, Germany.

Madachy, R., and B. Boehm. Forthcoming. Software process dynamics. Washington, D. C.: IEEE Computer Society Press.

Raccoon, L. 1996. A learning curve primer for software engineers. Software Engineering Notes, ACM Sigsoft (January).

Weinberg, G. 1992. Quality software management, vol. 1, systems thinking. Dorset House Publishing.

BIOGRAPHIES

Dr. Raymond Madachy is a managing principal at C-bridge Internet Solutions serving as professor and chief software process architect. Previously he was manager of the Software Engineering Process Group at Litton Guidance and Control Systems when this work was done. Litton GCS achieved CMM level 4 during his tenure there. He is also an adjunct assistant professor in the Computer Science Department at the University of Southern California teaching graduate-level software engineering. He has published more than 40 articles and is currently writing a book, Software Process Dynamics, with Dr. Barry Boehm. He is a co-author of the soon-to-be released book Software Cost Estimation with COCOMO II.

Madachy received his doctorate in industrial and systems engineering at USC, has a master’s degree in systems science from the University of California, San Diego, and a bachelor’s degree in mechanical engineering from the University of Dayton. He can be reached by e-mail at rmadachy@c-bridge.com.

Dr. Denton Tarbet is the director of software engineering at Litton Guidance and Control Systems. Previously he managed systems engineering at Edwards Air Force Base, was director of the Computer Science Center at Tektronix, was vice president of engineering at Hydro-Aire, and has had other management and consulting positions for embedded real-time software development. He teaches seminars in configuration management, project management, and quality assurance. He received a doctorate in systems engineering from the University of Houston, a master’s degree in operations research from the University of Houston, and a bachelor’s degree from Truman University. He can be reached by e-mail at tarbetd@littongcs.com.

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