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Luận án Risk management in software project scheduling using bayesian networks
equirements 
Figure 2.7. A sub BN for the risk factor “Lack of contact person competence” 
 lack_of_quantitative_historical_data 
 ++inaccuring_cost_estimating 
Figure 2.8. A sub BN for the risk factor “Lack of quantitative historical data” 
 50 
 inaccurate_cost_estimating 
 +staff_experience_
 shortage 
 ++schedule_pressure 
 Figure 2.9. A sub BN for the risk factor “Inaccurate cost estimating” 
 ++large_and_complex_project 
 large_and_complex_external_interface 
 Figure 2.10. A sub BN for the risk factor “Large and complex 
 external interface” 
 +communication_overhead +++defect_rate 
 large_and_complex_project 
Figure 2.11. A sub BN for the risk factor “Large and complex project” 
 51 
 ++project_size 
 unnecessary_features 
 Figure 2.12. A sub BN for the risk factor “Unnecessary features”
 ++project_size ++rework 
 creeping_user_requirement 
 Figure 2.13. A sub BN for the risk factor “Creeping user requirement” 
 +defect_rate ++schedule_delay 
 unreliable_subproject_delivery 
 Figure 2.14. A sub BN for the risk factor “Unreliable subproject delivery”
 Figure 2.15 shows the sub BN of the risk factor “Incapable project 
management” which stated in literature to have high level of impact on project 
schedule. The experiments in this thesis will also confirm that. The risk factor 
relates to “Lack of senior management commitment” (which will also a common 
risk factor in all the lists examined in this thesis) and “Creeping user requirement”. 
According to Hui and Liu [9], these three risk factors all have high probability of 
affecting software projects. 
 52 
 Figure 2.15. A sub BN for the risk factor “Incapable project management” 
 +staff_experience_
 +low_moral 
 shortage 
 lack_of_senior_managem
 ent_commitment 
 ++project_schedule +schedule_pressure 
Figure 2.16. A sub BN for the risk factor “Lack of senior management commitment” 
 53 
 lack_of_organization_maturity 
++incurate_cost_estimating ++inadequate_process_method 
 ++schedule_pressure 
Figure 2.17. A sub BN for the risk factor “Lack of organization maturity” 
 +schedule_pressure +rework 
 ++inadequate_process_
 +productivity 
 method 
 immature_technology 
 +defect_rate 
 Figure 2.18. A sub BN for risk factor “Immature technology” 
 54 
 +rework 
 ++defect_rate +productivity 
 inadequate_configuration_
 control 
 +manual_efforts +project_schedule 
Figure 2.19. A sub BN for the risk factor “Inadequate configuration control”
 +defect_rate 
 +productivity ++low_moral 
 excessive_paper_work 
 Figure 2.20. A sub BN for the risk factor “Excessive paperwork” 
 55 
 +schedule_pressure 
 ++inaccurate_reporting ++inaccurate_cost_
 estimating 
 inaccurate_metrics 
 Figure 2.21. A sub BN for the risk factor “Inaccurate metrics” 
 +inaccurate_cost
 +schedule_pressure 
 _estimating 
 excessive_reliance_on_a_sing
 le_process_improvement 
 +defect_rate 
Figure 2.22. A sub BN for risk factor “Excessive reliance on a single 
 process improvement” 
 56 
 ++productivity +communication_overhead 
 lack_of_experience_with_
 project_environment 
 ++staff_training 
 Figure 2.23. A sub BN for the risk factor “Lack of experience with project 
 environment” 
 +defect_rate +communication_overhead 
 lack_of_experience_with_project_software 
 +productivity +staff_training 
 Figure 2.24. A sub BN for the risk factor “Lack of experience with project 
 software” 
Figure 2.25 shows the BN of overall model in software projects. 
 57 
 Figure 2.25. The overall BN for software risk factors 
2.1.3. Risk impact calculation 
 As discussed in Section 1.4.1, BNs allow us to associate probability distribution 
with each individual node. The initial probability distributions can be based on 
expert opinions, surveys, or mathematical methods. The derived probabilities can be 
calculated by Bayes rule, chain rules (as mentioned in Section 1.4.1) and Bayesian 
inference (as described in Section 1.4.2). 
 We apply the following characteristics of BNs to calculate the impacts of risks 
in software projects [42]: 
 - Expression of expert opinions, experiences or beliefs about the dependencies 
between different factors. 
 - Consistent propagation of the impact of uncertain evidence on the 
probabilities of outcomes. 
 - Calculation and revised calculation of probability when the evidence is 
known. 
 Figure 2.26 illustrates how the above characteristics are applied. The Figure 
shows that the events x, y, and z are dependent of each other, x is independent of z 
with the condition y. 
 58 
 Figure 2.26. A simple example of Bayesian inference 
 - Expert opinions, experiences, beliefs: z impacts y, and y impacts x. 
 - Propagation of the impact of evidence: If we know that the probability of z 
happen is P(z) = 0.9, the condition probability of y given z happen is P(y|z) = 0.7 
and the condition probability of x given both y and z happen P(x|y,z) = 0.6. 
 Then by applying the chain rule, we can calculate that the probability P(x). 
 - First we calculate P(y): 
 P(y) P(yzi ) P(y | zi )P(z)
 Since: 
 ___ 
  P(yzi ) P(yz) P(y z )
 Therefore: 
 ___ ___ 
 P(y) P(y | z)P(z) P(y | z )P( y )
 __
 Assume P(y | z) 0.5 , then: 
 P(y) = 0.7x0.9 + 0.5x0.1 = 0.68 
 - Now we can calculate P(x): 
 P(x)= P(x, yi z) P(x | yi z)P(yz) 
 Since: 
 __
  P(x, yi z) P(xyx) P(x y z) 
 Therefore: 
 59 
 __ __
 P(x)=P(x|yz)P(y)+P(x| y z)P( y) 
 __
 Assume P(x | y z) 0.5 , then: 
 P(x) = 0.6x0.68 + 0.5x0.32 = 0.568. 
 Given Figure 2.26, the formula to calculate p(x|z): 
 p x | z  P(x | z  yi )P(yi | z)
 yi
 (2.1) 
  P(x | yi )P(yi | z)
 yi
 Bayes Theorem has a very important property that we can calculate revised 
parent probability when we know that the child is true. Recall formula 1.2 that: 
P(x|y) = P(y|x)*P(x)/P(y). 
 + Revised probability of y being true: 
 P(y|x) = (P(x|y)*P(y))/P(x) 
 = 0.6 * 0.68 / 0.568 
 = 0.7183. 
 + Revised probability of z being true: 
 P(z|y) = (P(y|z)*P(z))/P(y) 
 = 0.7 * 0.9 / 0.68 
 = 0.9265. 
 Based on the above model, we looked at an algorithm that calculates the impact 
of risk factors, allowing project managers to estimate and make appropriate 
decisions for the team development, aiming to bring the software project completed 
on time. 
 Figure 2.27. The three nodes of a simple-chain BN 
 60 
 Which is in Figure 2.27: 
 x: the examined risk; 
 y: the risk directly generated from the examined risk; 
 z: the risk generated in the condition that the two previous risks 
 occurred. 
 P(y|x), P(z|xy): possibilities of risks when the conditions are true (in 
 three weight levels: + (low) (p=0.3), ++ (medium) (p=0.6), +++(high) 
 (p=0.9)). 
2.1.4. Bayesian Risk Impact algorithm 
 We propose the algorithm BRI (Bayes Risk-Impact) to assess the impact of risk 
factors. 
 The algorithm BRI 
 * Input: Risk factors and probability (Table 2.1) 
 * Output: The degree of the impact of the risk factor on the fulfillment of a 
software project in the form of a vector of numerical values. The higher the value, the 
greater the impact. 
 *The BRI algorithm assesses the impact of risk factors: 
 Step 1. Based on known probabilities, for example P(X|~parent(X)) = 0.4, 
calculate the possibilities of child nodes in each sub BN. 
 Step 2. With each child node, recursively find ImpactWeight(child_node). 
 Find Bayesian networks started by the examined child node in the original BN. 
Calculated ImpactWeight(child_node) with the probability calculated in Step 1. 
 If not found, ImpactWeight(child_node) = P(child_node). 
 Step 3. ImpactWeight(examined_risk) = ∑ImpactWeight(child_node). 
 Step 4. Sum up together ImpactWeight(examined_risk) into impact vector. 
 Step 5. Repeat to examine next risk. 
2.1.5. Tool and experiments 
a) Building tool 
 The purpose of the tool is to stimulate the above model and algorithm, helping 
managers assess the level of impact of the risks on the ability to complete a software 
project when the probability of occurrence of the risks is known in advance. The 
software is built in C# programming language, with MS.NET Framework 4.5 
 61 
library and the integrated developer environment (IDE) is Visual Studio 2012. The 
graphical interface of the software is shown in Figure 2.28. 
 Figure 2.28. The graphical interface of the tool 
 To use this tool, it is only required to input the initial probabilities of the risk 
factors or the tool can simply accept the default probabilities that were established 
in the tool based on research results. The tool then, will automatically calculate the 
impacts weight level in terms of a numeric value. 
 At the different phases of a software project, managers and project teams can 
assess the risks and their probabilities of occurrence, as well as making decisions in 
 62 
the planning and management tasks. Through a comparison of the metrics, the 
project team will make decisions to the software project. 
b) Experiments 
 The sample data set is the data of 2 real software projects and the results of the 
research of Hui and Liu [9] which is shown in Table 2.1. 
 Test results (calculation of impact levels of risk factors) with the data of the 
research of Hui and Liu [9] (the risk factors and the initial probabilities of the risk 
factors are shown in Table 2.1) are summarized in Figure 2.29. The results show 
that the two factors have the highest impacts are “incapable project management” 
and “lack of client support”. This result fits with the fact that the sub-BNs of these 
risk factors are of the most complex ones which related to some other key risk 
factors (Figure 2.6 and Figure 2.15). 
 Figure 2.29. Result of experiment 1 
 With the two real-life projects, the project managers and secretaries based on 
their practical experience in those projects to help the authors estimate the initial 
probability of the risk factors. 
 Project 1 is a project about a social networking game, consisting of 8 people (1 
admin, 1 tester, 5 developers and 1 designer). The project is expected to be in 4.5 
months but last for 10 months. Some of the main problems encountered by the 
 63 
project team were the large self-built framework, many bugs generated, workloads, 
and slow response. 
 Project 2 is an outsourcing software project for a Japanese telecommunications 
company. This project is expected to be done in 5 months with 15 stages, but in fact 
it lasted in 10 months like Project 1. The biggest problems encountered are 
identifying customer requirements (in phase 1), assessing the complexity of each 
module to allocate resources, and a long lead time for transfer and guidance to 
customer. 
 Table 2.2. Risk factors in the phases 
 Impact 
 (High, 
 Phase Risk factor Probability 
 Medium, 
 Low) 
 Requirements 
 Creeping user requirement High 0.5 
 Identification 
 Requirements 
 Incapable project management High 0.1 
 Identification 
 Requirements 
 Lack of client support High 0.2 
 Identification 
 Requirements 
 Staff experience shortage High 0.4 
 Identification 
 Software Design Staff experience shortage High 0.2 
 Software Design Immature technology Medium 0.1 
 Software Design Unnecessary features Medium 0.99 
 Experiment method: joint testing for all 3 data sets and testing in each phase of 
each project. The general experimental results are shown in the comparison chart in 
Figure 2.30. Experimental results with all three data sets show the similarity of the 
 64 
levels of impacts (all high) of the risk factors (e.g. incapable project management, 
lack of client support, or excessive reliance on a single process...). 
 With Project 2 data: since the project is well organized from the early phases, 
the author would like to go into the analysis of the impact of risk factors in each 
phase of the project. The authors have been provided with estimates/ assessments by 
the project manager on possible risks in some phases as shown in Table 2.2. The 
project team highly considered the influence of factors incapable project 
management and lack of client support. 
 The experimental results of the software with the Requirements Identification 
phase show more clearly: for this phase, the greatest level of risk impact is 
incapable project management, which requires the improvement of management 
skills and quality; there should be clear and specific commitments from project 
managers; do not let errors occur while making management requests and 
accurately identify user requirements. 
 For Software Design phase, the biggest risk impact is from immature technology 
(Figure 2.31), this requires a strategy to avoid risks when handling methods; 
minimize the risk of schedule pressure. According to the project manager, this result 
is consistent with what happened in Project 2. 
 Figure 2.30. Results of the three experiments 
 65 
 Based on the vector of the influence level of risks in each project period and the 
overall project, it is possible to realize that the management's risk affects the ability 
to complete the project on time as well as project success. The bigger the project, 
the more complex it is and the more risk factors that need the higher skills level, 
experience, and capabilities of the project manager. Other important factors are lack 
of commitment and support from clients, incapable project management, and 
excessive reliance on a single process... This result confirms the need for supportive 
tools for the project team to estimate, evaluate and promptly adjust. Project 
managers need to pay more attention to the risk factors that have the greatest impact 
on the project to ensure the project is carried out smoothly. 
 Figure 2.31. Experimental results for Software Design phase 
2.1.6. Conclusion and contribution 
 The tool and experimental results show that the algorithm BRI accurately 
assesses the impact of risk factors on the project schedule. The algorithm would 
quickly help the management team to foresee impacts weight caused by their risk 
factors. Users of the experimental tool are only required to input the initial 
probabilities of the risk factors or they can simply accept the default probabilities 
that were established in the tool based on our research results. Project managers 
need to pay more attention to the risk factor that causes highest impacts in order to 
keep their software development projects from falling into troubles, especially time, 
cost and quality ones. 
 66 
 The proposed models, algorithms and tools, in addition to quantifying risks and 
their consequences, can also help identify problems and potential risks at the first 
phase of the project – project scheduling and project planning. The authors also 
assert that if we can identify and control issues from the early phases of the project, 
we can significantly increase the likelihood of the project's success. Although the 
BN model generally provides an accurate picture of the risks of typical software 
projects at an early phase, it still needs further development especially when using it 
for other specific industries, or at later phases of software development projects. 
 Therefore, further research on this issue can focus on implementing the 
application of BN technique in modelling risks in project scheduling by 
incorporating BNs with different project scheduling techniques (CPM, PERT, 
simulation ...), then evaluate and make better recommendations to the project team. 
The author would also collect and run the algorithm with more empirical data sets, 
so that there is better evaluation and analysis for the algorithm. An expert survey 
will also be carried out so that, together with the test results of the tool, a list of risk 
factors that best suits each type of software developed as well as each method of 
software development. The authors will also study more closely and integrate more 
sources of risk into the scheduling process and how to deal with other types of 
unforeseen factors (such as unknown unknowns). 
 The final development of the project is the management of actions and decision 
making support for project managers when the project has a scheduling problem 
(some phase is delayed or the whole project is delayed) by evaluating multiple 
schedule scenarios right during the project scheduling process. 
2.2. Experiments on common risk factors 
 This section is the work whose results were represented in publication 3 [PUB3]. 
 In reality, all the phases of the software development life cycle (SDLC) are 
potential sources of uncertainty since they have to deal with hardware, software, 
technology, people, cost, and processes. Current state-of-the-art scheduling 
techniques based on the assumption that every task, activity or phase of the project 
is carried out exactly as it is planned, which almost never happens in real-life 
projects. Recent research on risk management focuses on the relationships between 
uncertainty (risk factors) and the outcomes of a project. This section examines a 
model and a probabilistic tool CKDY using Bayesian Belief Network to evaluate 
risk factors in software project scheduling. 
 67 
2.2.1. Discovering the top ranked risk factors 
 We apply the method proposed by Kumar and Yadav [24] including 4 steps: (1) 
Selecting the top ranked risk factors in software project scheduling; (2) 
Constructing causal relationships among the software risk factors; (3) Constructing 
the node probability table (NPT) for each node (factor) of the model; (4) 
Calculating the probability value of software risk factors for the project. In each 
step, we choose the right solution to put into the building of the tool CKDY. The 
following is a detailed description of the options. 
a) Selecting the top ranked risk factors 
 The risk factors in software project scheduling depend on various software 
aspects such as project size, budget, human resources etc. There are certain sources 
of useful information for identifying risk factors such as previous research and 
analysis, historical data and lessons learned, system safety and reliability analysis, 
expert interviews etc. A number of software risk prediction and risk assessment 
models using software risk factors has been proposed [33, 84, 85]. Most of the 
existing models evaluate a number of risk factors, although some risk factors are not 
suitable for some types of projects, or less important. However, assessment and 
estimation of software risk by taking all the risk factors have some drawbacks like: 
computationally complex and more expensive processing cost. Selecting the most 
important software risk factors that affect an entire project or each phase of the 
project could increase the accuracy of the risk prediction and risk assessment. 
 We synthesize from a number of published risk factors such as SEI risk 
classification [86], NASA NPD2820 risk classification [87], along with research 
results (24 risk factors) of Hui and Liu [9], the selected 27 risk factors by Kumar 
and Yadav [24], to select a set of risk factors in software project scheduling to test 
the method proposed by Kumar and Yadav [24]. The set of 5 top ranked risk factors 
in software project scheduling is shown in Table 2.2. These risk factors have 
consequences on the software project and eventually lead to the project over 
scheduled. 
 Table 2.3. Risk factors, consequences and impact 
 Component Sub component 
 Risk Factors Poor management skills and experience 
 Pressure on the schedule 
 Frequent changes in customer requirements 
 Inappropriate process 
 68 
 Component Sub component 
 Inappropriate technology 
 Consequences Incomplete mission 
 Wasted resources 
 Reliability 
 Impact Over scheduled 
b) Constructing causal r

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