1. Improving IR-based Traceability
Recovery Using Smoothing Filters
Andrea Massimiliano Rocco Annibale Sebastiano
De Lucia Di Penta Oliveto Panichella Panichella

2. Software traceability
“The degree to which a relationship can be established
between two products of a software development process”
[IEEE Glossary for Software Terminology]
Source
Use case Test case
code
Source
Use case Test case
code
Important for:
Up-to-date traceability

 program comprehension Up-to-date traceability
 requirement tracing links rarely exists →
links rarely exists →
 impact analysis
need to recover them
need to recover them
 software reuse
 …

3. IR-based traceability recovery
Antoniol et al., 2002 (VSM+Probabilistic model)
Antoniol et al., 2002 (VSM+Probabilistic model)
Marcus and Maletic, 2003 (LSI)
Marcus and Maletic, 2003 (LSI)

4. Traditional IR vs.
IR applied to Software Engineering
Traditional IR IR applied to SE
 Deals with  We have sets of
heterogeneous homogeneous
documents for what documents for what
concerns: concerns
 Linguistic choices  Syntax, linguistic
 Syntax choices
 Semantics  Examples:
 We just live with that  Use cases, test
differences documents, design
documents follow a
common template and
contain recurrent words

5. Problem
 Different kinds of software artifacts require specific
preprocessing
Test case Change the date for a visit:
Test case Change the date for a visit:
C51
C51 Version: 0 02 000
Version: 0 02 000
Use case
Use case Satisfies the request to modify a visit
for a patient request to modify a visit
Satisfies the
for a patient
UcModVis
UcModVis
Priority
Priority High
High
....
....
Test description
Test description
Input
Input Select a visit:
Select a visit:
26/09/2003 11:00 First visit
26/09/2003 11:00 First visit
Change: 03/10/2003 11:00
Change: 03/10/2003 11:00
Oracle
Oracle Invalid sequence: The system does not allow
Invalid sequence: The system does not allow
to change a booking
to change a booking
Coverage
Coverage Valid classes: CE1 CE8 CE14 CE19 CE21
Valid classes: CE1 CE8 CE14 CE19 CE21
Invalid classes: None
Invalid classes: None

6. Problem
 Different kinds of software artifacts require specific
preprocessing
Test case Change the date for a visit:
Test case Change the date for a visit:
C51
C51 Version: 0 02 000
Version: 0 02 000
Use case
Use case Satisfies the request to modify a visit
for a patient request to modify a visit
Satisfies the
for a patient
UcModVis
UcModVis
Priority
Priority High
High Artifact-specific words do
....
.... not bring useful
Test description
Test description
Input Select a visit:
information
Input Select a visit:
26/09/2003 11:00 First visit
26/09/2003 11:00 First visit
Change: 03/10/2003 11:00
Change: 03/10/2003 11:00
Oracle
Oracle Invalid sequence: The system does not allow
Invalid sequence: The system does not allow
to change a booking
to change a booking
Coverage
Coverage Valid classes: CE1 CE8 CE14 CE19 CE21
Valid classes: CE1 CE8 CE14 CE19 CE21
Invalid classes: None
Invalid classes: None

7. A similar problem: image processing

8. Noisy images
Pixels with peaks of low Pixels with peaks of
color intensity high color intensity
Noise

9. Reducing noise using smoothing filters
Mean filter
1
g ( x, y ) =
M
∑ f ( n, m )
f ( n , m )∈S

10. Image vs. traceability noise
Image noise: Traceability noise:
 Pixels with high or  Terms and linguistic
low color intensity patterns occurring in
 Pixels are position many artifacts of a given
dependent category
 Use cases, test
cases..
 Artifacts (columns) are
position independent
d1 d2 d2 d1

11. Representing the noise
Source Documents Target Documents
s1 s2 s3 L sk t1 t2 t3 L tz
word1  v1,1 v1,2 v1,3 L v1, k v1,1 v1,2 v1,3 L v1, z 
v v2,2 v2,3 v2, k v2,1 v2,2 v2,3 v2, z 
word 2  2,1 L L 
M  M O M O M O M M O M O M O M 
 
word n vn ,1 L vn ,2 L vn ,3 L vn ,k vn ,1 L vn ,2 L vn ,3 L vn , z 
Linguistic information strictly Linguistic information strictly belonging
belonging to source documents to target documents
Common Information Common Information
for Source Documents For target documents

12. Representing the noise
Source Documents Target Documents
s1 s2 s3 L sk t1 t2 t3 L tz
word1  v1,1 v1,2 v1,3 L v1, k v1,1 v1,2 v1,3 L v1, z 
v v2,2 v2,3 v2, k v2,1 v2,2 v2,3 v2, z 
word 2  2,1 L L 
M  M O M O M O M M O M O M O M 
 
word n vn ,1 L vn ,2 L vn ,3 L vn ,k vn,1 L vn,2 L vn,3 L vn, z 
1 k 
k ∑ v1, j  1 m
 z ∑ v1, j 

 j =1   j = k +1 
1 k  1 m 
 ∑ v2, j 
Mean source vector S=  k ∑
S =  j =1
v2, j  Mean target vector T= T =  z j = k +1 

   M 
M  m 
 k  1 
1   z ∑ vn , j 
∑ vn, j 
Common Information  k j =1  Common Information  j = k +1 

for Source Documents For target documents
The Mean Vectors are like the continuous component of a signal…
The Mean Vectors are like the continuous component of a signal…

13. Representing the noise
Source Documents Target Documents
s1 s2 s3 L sk t1 t2 t3 L tz
word1  v1,1 v1,2 v1,3 L v1, k v1,1 v1,2 v1,3 L v1, z 
v v2,2 v2,3 v2, k v2,1 v2,2 v2,3 v2, z 
word 2  2,1 L L 
M  M O M O M O M M O M O M O M 
 
word n vn ,1 L vn ,2 L vn ,3 L vn ,k vn ,1 L vn ,2 L vn ,3 L vn , z 
- -
S T
(mean target (mean target vector)
vector)
Filtered
Filtered Filtered
Filtered
Source Set
Source Set Target Set
Target Set

14. Empirical Study
 Goal: analyze the effect of smoothing filter
 Purpose: investigating how the filter affects
traceability recovery
 Quality focus: traceability recovery performance
(precision and recall)
 Perspective:
 Researchers: evaluating the novel technique
 Project managers: adopt a better traceability recovery
technique
 Context: artifacts from two systems
 EasyClinic and Pine

15. Context
EasyClinic Pine
Description Medical doctor office Text-based
management email client
Language Java C
Files/Classe 37 31
s
KLOC 20 130
Documents 113 100
Language Italian English
Artifacts Use cases Requirements
Interaction diagrams Use cases
Source code
Test cases

16. Research Questions and Factors
 RQ1: Does the smoothing filter improve the
recovery performances of VSM-based traceability
recovery?
 RQ2: Does the smoothing filter improve the
recovery performances of LSI-based traceability
recovery?
 RQ3: How do the performances vary for different
types of artifacts?
 Factors:
 Use of filter: YES, NO
 Technique: VSM, LSI
 Artifact: Req., UC, Int. Diagrams, Code, TC
 System: Easyclinic, Pine

17. Analysis Method
 Performances evaluated by precision and recall:
correct ∩ retrieved correct ∩ retrieved
precision = recall =
retrieved correct
M1 M2
 We statistically compare the #
of false positives of different 0
methods for each correct link
2
identified
2
 Wilcoxon Rank Sum test
3
 Cliff’s delta effect size

18. Results

19. EasyClinic: Use cases into source (VSM)
Filtered
Precision
Not Filtered
Recall

20. EasyClinic: Use cases into source (LSI)
Filtered
Precision
Not Filtered
Recall

21. EasyClinic: Test cases into source (LSI)
Test cases are:
 Short documents
 Limited vocabulary
 Mostly consistent with
source code
Precision
Filtered
Not Filtered
Recall

22. Pine: Use cases into requirements (LSI)
Precision
Filtere
d
Not Filtered
Recall

23. Statistical Comparison
Data set Traced VSM LSI
Artifacts
p-value Effect size p-value Effect size
EasyClinic UC→Code <0.01 0.50 <0.01 0.50
(large) (large)
Int. Diag. <0.01 0.52 <0.01 0.34
→ Code (large) (medium)
Pine TC → Code 1.00 - 1.00 -
(negligible) (negligible)
Req. → UC <0.01 0.58 <0.01 0.58
(large) (large)

24. Link precision improvement
Login Patient
Login Patient
vs. Person
vs. Person
Poor vocabulary
Poor vocabulary
overlap (10%)
overlap (10%)

25. Threats to validity
 Construct validity
 Mainly related to our oracle
 Provided by developers and for EasyClinic also peer-
reviewed
 Internal validity
 Improvements could be due to other reasons…
 However we compared different techniques (VSM, LSI)
 The approach works well regardless of stop word
removal/stemming and use of tf-idf
 Conclusion validity
 Conclusions based on proper (non-parametric) statistics
 External validity
 We considered systems with different characteristics and
artifacts
 … but further studies are desirable

26. Conclusions
 We proposed the use of smoothing filter to
improve performances of IR-based traceability
recovery
 Idea inspired from digital signal processing
 The filter significantly improves IR-based
traceability recovery based on VSM (RQ1) and LSI
(RQ2)
 Filter particularly suitable for artifacts having a
higher verbosity (RQ3)
 e.g., requirements and use cases
 Less useful for artifacts composed of short
sentences and using a limited vocabulary
 e.g., test cases

27. Work-in-progress
 Study replication
 Different systems and artifacts
 Use of relevance feedback
 More sophisticated smoothing technique
 Non linear filters
 Use in other applications of IR to software
engineering
 E.g. impact analysis or feature location

28. That’s all folks!