The Association of System

Performance Professionals

The Computer Measurement Group, commonly called CMG, is a not for profit, worldwide organization of data processing professionals committed to the
measurement and management of computer systems. CMG members are primarily concerned with performance evaluation of existing systems to maximize
performance (eg. response time, throughput, etc.) and with capacity management where planned enhancements to existing systems or the design of new
systems are evaluated to find the necessary resources required to provide adequate performance at a reasonable cost.

This paper was originally published in the Proceedings of the Computer Measurement Group’s 1997 International Conference.

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GLEANING FACT FROM FICTION:

CAPACITY PLANNING ACCORDING TO

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THE KLINGON WARRIOR CODE
AND
THE FERENGI RULES OF ACQUISITION
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Jerry Rosenberg
SRM Associates, Ltd.

Data processing has evolved over the past three plus decades. We now
have several generations of practitioners working in the field of capacity
planning. Unfortunately, the newer practitioners view the old guard as out-
moded and archaic. They also seem to feel that the lessons that have
been learned in the dark ages of mainframe-centric computing have little
value in a new era of distributed data processing. This is unfortunate,
since the basic rules and techniques remain as applicable today as they
were in the past.

To illustrate this point, this paper will borrow from the guidelines of two
fictional cultures - the Klingon and the Ferengi of Star Trek fame - and
show that some basic truths cross cultural boundaries and remain
applicable in a universal manner.

By considering maxims from the Klingon Warrior’s Code and The Ferengi
Rules of Acquisition and observing their relevance to time honored tenets
of system management and capacity planning, the paper will demonstrate
that the basic rules haven't really changed and should still be followed.

Background Deep Space Nine. They scorn the deeply felt Klingon
beliefs and are scheming and quite manipulative.
The use of both Klingon & Ferengi social mores as a Difficult to like, but successful.
baseline is inherently interesting in that these two
cultures are themselves as totally different from each Each of these cultures follows a code by which they
other as they are from current day humans & data live and deal with others. The Klingons follow The
processing. Warrior's Way and the Ferengi have the Rules of
Acquisition. Since these two groups have opposing
Those of us who were among the original Trekkie’s values and viewpoints, it would seem unlikely that the
were exposed to only the evil side of the Klingons as same lessons can be learned from both. We will
fought by Captain Kirk and Mr. Spock. We later found show that the fundamental rules which these two
out, in the next generation with the help of Jean-Luc groups adhere to can serve as guidelines for a
and Warf, that they were actually a honorable warrior successful capacity planning process. Even though
culture with very strong values relating to loyalty and these Klingons and Ferengi are more incompatible
family. than mainframe and distributed system practitioners,
some of the basic rules are, in fact, so elementary that
The Ferengi, on the other hand, are driven by only they cross cultural boundaries. The same holds true
one rule - profit. We introduce to this race aboard for the central process and techniques of capacity
planning and resource management. If these two

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diverse cultures can sometimes share common rules, embraced operating platforms made their debuts with
it stands to reason that many of the time honored somewhat less than robust measurement and tuning

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principles of capacity planning as learned by the old suites to support them. Fortunately, this situation is
dinosaurs, can be readily applied to today's systems. being aggressively addressed and rectified on several
fronts. Even in the scaleable environments, we are
We begin our investigation with one of the first recognizing that scalability does not go on forever.
lessons that we learned as performance analysts and There are capacity limits and there are performance
capacity planners. bottlenecks that need to be addressed. Because
ultimately we experience the Ferengi Truth - “Enough
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• Always know what you are buying (Ferengi is never enough”.

Rule #218)
• Trust, but verify. (The Klingon Way) Aside from giving us an interesting capacity
perspective, it also warns us of a truth in the
These rules deal with a problem that actually took performance monitoring business, always continue to
several years for data processing professionals to first re-measure since the situation will change very
recognize as a concern and several more years to rapidly. This axiom underlies the need for an on-
realize a solution. In the early years, the method for going comprehensive performance reporting system
solving performance problems was to simply and of course, a program that reviews those reports
purchase more iron – bigger, faster, and newer. and makes intelligent decisions based on them.
Often times relying exclusively on the advice of
friendly hardware vendors to assist in the analysis of The warning to avoid complacency is also presented
performance problems and in the ultimate correction in the Klingon maxim, “Even the best blade will rust
effort. The vendors were, in fact, helpful. But to some and grow dull unless it is cared for”. This is
degree, they were motivated by the desire to sell even similarly presented in Ferengi Rule #7 “Keep your
more equipment. Sounds very Fernegi. As we ears open”.
became more knowledgeable of systems and
performance management, we understood that by Here again, two dissimilar cultures both teach us a
analyzing the performance problem, techniques could single important lesson in capacity planning. Capacity
be applied to optimize the usage of present planning requires constant nurturing and in fact, some
configurations with minimal or no additional cost. planning. Capacity planning is not a once per year
Capacity planners, even before that term existed, activity that is tied to a requirement for budget
understood that the users of computers had different information, but is rather a continuous, on-going effort
goals than suppliers of that equipment even though a that must be developed, implemented and maintained
symbiotic relationship existed. The wisdom of each of like any other business process. In fact, the capacity
the above dictums became very clear and led to the planning effort must provide for the consolidation of
development of skills in performance analysis and information across platforms. The capacity plan must
capacity planning. It is a little distressing that it has address the best computing solutions for the
taken so long for professionals operating in enterprise. This plan must provide a recommendation
client/server environments to “relearn” the need for of the hardware resources required to achieve
these skills all over again. It is common once again to acceptable levels of performance for key workloads.
find corporations configuring complex distributed These hardware resources should be a combination
environments by simply asking the vendor for the of platforms, protocols and processes that meet
specifications. This is an abdication of our corporate goals in a cost-effective manner. In other
responsibility and one of our primary job functions. words, we must transcend the concept of mainframe-
centric or distributed systems based and develop
In the old days, the validity of the Klingon Maxim: “In solutions that incorporate the best of all worlds to
order to succeed, we attack” became apparent. supply the corporation with the most effective
Attack for us is not an offensively aggressive act - but computing environment possible.
it is aggressive nonetheless. For capacity planners, The maxim “Klingons do not procrastinate”
the proactive approach means - if you want to make it suggests that the time to set up an on-going capacity
better, you must understand it first. To understand it, planning effort that embraces all corporate computing
you must observe it and measure it. is now. If you don’t have one in place, you need it. If
you have one that is not robust and comprehensive,
This need to analyze the behavior of the systems has expand it. Be sure to include all of the computing
not changed through countless iterations of hardware resources that exist in our corporation regardless of
and software implementations. The recently platform. They all work together to support the

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enterprise. They must all be managed and monitored. will be, you need to understand where you are. The
Information is required constantly. But beware, it will issue for alternate platform capacity planners is that

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take time to gather the proper data, develop a the measurement data may not be as robust or
reporting structure, and most critically, gain an standardized as it is on the mainframe. It might even
understanding of how the system behaves on a daily be necessary to rely on benchmarking to acquire the
basis in order to apply this understanding to the task needed data for workload characterization. The
of optimizing the use of computing resources. bottom line is the development of how the key
workloads on the system use the resources of that
The Ferengi know that “Free advice is seldom system.
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cheap” (Rule 59). This is also true of the advice

offered here. The establishment of a capacity This issue of workloads underlies a difference
planning methodology requires a commitment of between some platform implementation that the
personnel, time, resources and funding in order to analyst must be aware of. While workload
ensure success. But it can be done. “Satisfaction is characterization is a necessary first step to the
not guaranteed” (Ferengi rule 19) but it can be the capacity planning process and is critical in
result of hard work and dedicated effort. Fortunately, understanding the environment, the specific steps are
we (the old guys) are well aware of the process that not always the same. For traditional on-line TP
must be put in place to help guarantee success. As mainframe systems, the performance of a system is
the Klingons state, “real power is in the heart; trust characterized at the transaction level. This was very
your instincts”. In this case the instincts are the convenient and also facilitated grouping transactions
basic rules and techniques of capacity planning that into meaningful business processes.
have not changed through the years. However, just
as there are, in fact, some cultural differences This approach is not possible for UNIX systems that
between humans, Klingons and Ferengi, there are do not have a notion of transactions or workloads.
some minor differences in the application of these Resource consumption data for UNIX environments is
rules to different situations. Let us review the only available for processes and users of the system,
underlying process and point out the differences for not for workloads or transactions. The capacity
the newer platforms. In truth, we need to adapt to the planner in this environment must define transactions
changing situations in which we find ourselves and workloads using this limited resource information
because “To survive, we must expand”. in conjunction with any other data that can be
extracted from the application or gathered from users.
Capacity Planning
The analysis required to develop workload profiles
The traditional capacity planning process consists may necessitate the use of controlled benchmarks.
minimally of the following steps: Benchmarks can be designed to emulate transactions
and processes in a controlled environment to facilitate
measurement and performance assessment of
• Workload Characterization
workloads. Typical transactions are executed and
• Forecasting
measurements are taken in the benchmark
• Performance Prediction environment. Profiles of the total production
environment can then be developed for use in an
Workload Characterization analytic or simulation model to predict the
As part of the workload characterization effort, performance of the full system. While benchmarks
measurement data is collected for the total complex are required in the UNIX world, they are a necessary
and, in detail, for key workloads. The data is part of the capacity planners' repertoire for all
summarized and reviewed over time to gain an computing platforms.
understanding of resource consumption during peak
periods and the effects of variations in workload mix Adding a little more complexity to distributed systems
on performance. For the critical workloads, resource planning is the existence of the network component.
profiles of the consumption of CPU, I/O and memory The network can be viewed as another form of I/O
are calculated and validated. If possible, natural subsystem. It is basically another transport
forecasting units (NFUs) are developed and mechanism for information that is going either to or
maintained. from a processing function. It is subject to the same
requirements of path availability and server utilization
This process is still a necessary prerequisite when that we apply to DASD subsystems. But it is critical to
developing a rational capacity planning infrastructure address network performance and not overlook it in
for all platforms. Before you can predict where you

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the analysis process. It will be an important The usual outcome of the capacity planning process
component of overall performance. is the yearly Capacity Plan. It is wise to remember,

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that in order for the capacity plan to be a reasonable
Forecasting document that represents an accurate assessment of
Based on both historical information and discussions the state of performance and resource usage in the
with the user community, estimates of future workload data center, it must be based on analysis that has
volumes can be developed. Traditionally, this can be taken place over time - not just a quick snapshot view
accomplished by reviewing performance data, of computing activity. In other words, ”To
analyzing the trends and obtaining information on understand life, endure pain”. While this Klingon
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potential growth and new system implementations. view is somewhat harsh, it does make the point. In
order to understand your data processing
Unfortunately, significant historical data will probably environment, you need to measure, monitor and
not be available for the newer server based platforms. record it regularly. Consider that it may even be
Some assumptions as to trends can be made based necessary to gather the data by performing
on mainframe data, but the analyst must be extremely specialized benchmarks or directed tests to
careful about making direct conversions of relative concentrate on the measurement of areas of concern
utilization numbers. or key workloads in the system. There are no
shortcuts to this requirement for gathering data and
Ultimately, we will be required to gather some carefully analyzing it.
information from the user community. This is a very
good place to practice a new found sensitivity to the Some analysts may believe that there are, in fact,
needs of “other cultures”. The user community has easy shortcuts – rules of thumb (ROTs). To that
different needs and goals than data processing staffs, belief I respond, “Victory must be earned”. Rules of
but they are the customers and there is a definite thumb may offer a quick answer to performance or
requirement to form a symbiotic relationship. They capacity questions and may occasionally be correct,
need access to computing services that meet their but they do not always apply to your specific
requirements. Data processing needs them as a environment. The only way to determine the proper
customer and also to supply enough information to solution to your particular situation is to understand
adequately predict current and future needs. If we your environment and the factors that cause it to
don't work together, we will ultimately all fail. operate in a specific manner. I know that this requires
some effort but “Klingons do not run from battles”.
Performance Prediction
Using the information gathered on current system Performance Optimization
performance and anticipated workload changes; the
capacity planner must recommend the most cost This doesn’t mean that there are no guidelines to
effective hardware/software solution that will satisfy follow in the search for performance and capacity
user requirements consistently. Using an analytic answers. The solution is to develop a methodology
approach, predictions of the performance of various that employs established procedures in solving
hardware and software alternatives are evaluated problems in a changing environment. In the case of
given the expected workload volumes. These performance analysis, the following approach still
predictions must be geared to reasonable levels of works:
service, to be delivered to the user community.
There are only three components to any computer
The analytic approach utilized can range from simple system:
calculations on paper to very sophisticated queuing
models. Generally, it is best to only use the level of • CPU
detail that is required to answer the question at hand. • I/O
The more robust modeling tools that exist for • Memory
mainframe prediction are now becoming available for
client/server systems. In the interim, standard Over the years it has been necessary to reevaluate
statistical analysis and common sense can go a long this basic truth and it has withstood the test of time
way. For more detailed analysis, benchmarks may and technological innovation. Periodically, the
be in order. consideration of such items as cache controllers and
expanded storage and the ensuing debate as to
The Capacity Plan whether they are memory or I/O or some hybrid of
both have arisen. Consistently, the focus remains that

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all computer work generates CPU usage, is fed by do not enhance the relationship between DP and
input and creates output and takes up some amount management. The capacity plan must supply

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of storage. (A good example of this is the discussion sufficient information for management levels to make
above regarding the network as a form of I/O.) As intelligent decisions concerning resource
such, The understanding of computer performance requirements for the enterprise and it must identify
requires an awareness of how these three reasonable options to users in the client server world.
commodities are utilized and the symbiotic effects of It should not be a technical document couched in DP
each on the others. This leads to the basis of the jargon. It should relate DP needs to the business
performance analysis process - the CPU-I/O-memory plan and make a case for the proposed configuration
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interdependency. This relationship exists on all that is based on bottom line profitability to the
computing platforms and allows the analyst to focus company. A functional capacity plan should offer:
corrective action by isolating the root cause of the
problem on whatever configuration or combination of • Multiple alternatives (mainframes &/or alternate
configurations is being used. platform)
• A benefit/impact analysis for each option
1. If the CPU is at 100% utilization or less and the • Cost comparisons
required work is being completed on time, everything • Discussions of the reasonable useful life of the
is okay for now. (But always remember, tomorrow is proposed configurations
another day).
2. If the CPU is at 100% busy and all the required Give management enough information to make
work is not completed, you have a problem. Begin informed decisions in support of user needs.
looking at the CPU level.
3. If the CPU is not 100% busy, and all work is not It is advisable to remember that a single ‘Capacity
completed, a problem also exists and the I/O and Plan’ is often not the right solution. In most cases,
memory subsystems should be investigated. there is a need to perform multiple analyses of
different situations to form a focused view. For
At first glance this seems a trifle simplistic. For example, planning for the implementation of a new
example, rule 2 could occur if a problem existed in the on-line transaction support system executing during
memory subsystem causing excessive CPU due to prime time, would require a very different analysis
paging activity. While this is a memory problem, the than an investigation of the night time batch window.
way to uncover it is to decompose CPU utilization into But both prime shift and batch windows would have to
its component parts and to see which of these is be considered when developing a comprehensive
excessive. In this example, excessive CPU on behalf capacity plan. So always “Focus on the target” to
of paging would suggest an investigation of memory optimize the value of your efforts. Additional
usage. Additionally, rule 3 will generally manifest itself examples of a need of a consolidated view of
as a result of queuing for I/O or memory or long waits computing requirements include:
in either subsystem.
• Planning for a distributed system in which the
This would appear to supply performance analysts analyst must consider the performance and
with a ”cookbook” approach to investigating computer capacity implications of each server, the clients
systems. (This is probably a good point to mention and the network in order to develop a total picture
that capacity planning is basically the process of of required resources.
proactively applying performance analysis to a future • Planning for a complex configuration that
scenario. Therefore the same rules apply). It is left to encompasses both distributed servers and a
the individual analyst to select preferred data capture, mainframe. An example might be the use of a
analysis and reporting tools to facilitate this process mainframe for data warehousing and
on each platform type. management (e.g. DB2) while transaction
processing is supported on a client/server
Management Focus network. Once again, the analyst must
investigate the performance issues on each
Another frequent shortcoming of the Capacity Plan is component and then combine these to develop an
that it is often couched in detailed technical terms that overall projection of configuration resource
have little meaning to the decision makers it is meant requirements.
to influence. Many capacity plans have little or no
relation to the business and are linguistically Reporting
incomprehensible to management personnel. These

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This focus is also very important in the area of designing reports, first determine the message that
reporting. While the capacity plan is often the central you are trying to deliver and what the primary focus of

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focus of the resource management effort, it should not the report/analysis is. Concentrate on that issue and
be the only document that is produced. The year- limit the report to satisfying that goal.
round effort should be supported by a reporting
system that responds to the needs of both technical In addition, it is important to utilize reports as a
and management staffs. Most analysts realize that feedback mechanism for yourself and for others.
reports are necessary in the development of the “Have the courage to admit your mistakes”. It is
capacity plan, but don’t develop a structure that always best to point out flaws in your analysis and
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monitors on-going performance, flags changes in key projections before others do. Particularly, when you
measurements and facilitates corrective actions. This can also present a course of corrective action. But
type of comprehensive reporting system is central to especially don’t be shy about publicizing your
the successful resource management effort. successes either.

The nature of the reports that we produce as capacity Financials

planners needs careful examination and re-
evaluation. While we still require technical reports in
The truth is that we all operate in the real world. This
order to perform performance analysis, we also need
means that “Deep down everyone’s a Ferengi”.
to enhance our reporting efforts in the area of
Often, it all comes down to the financial issues.
management and user communications.
Let’s face it – the “bottom line” is the common
Reporting should be the process of supplying
language of upper management and user
accurate, timely and adequate information, to decision
departments. Virtually all companies, regardless of
making levels, for controlling the use of resources in
what they sell or make, are concerned with
support of the enterprise.
maximizing profits and minimizing expenses. If we
are truly interested in catching the attention of
For distributed systems environments, users are part
corporate and user management, then we need to
of the decision making process and reports should be
discuss profitability, return on investment and cost per
customized to their needs as well. The designer of
unit. Keep in mind that much of the early movement
reports for mixed environments of distributed and
to alternate platforms was predicated on large cost
mainframe systems must develop an approach that
savings. It is part of the task of resource managers to
supplies information regarding end user performance
accurately weigh the costs and profits of one platform
while still allowing the analyst to identify bottlenecks.
over another and present this data in a meaningful
format.
The analyst can do a very adequate job of satisfying
the recipients of reports by considering the nature of
This should not be a frightening undertaking. All of us
that recipient’s job and answering these questions:
have the basic skills required to balance a checkbook
and the mathematics involved is no more
• How fast are we utilizing resources? complicated. In terms of hardware proposals, the
• What are the resources being used? concepts involved are no different than those needed
• Who is using them? to purchase a car or a house - it’s just that the
• How does this track with projections? numbers are bigger.
• When will we be in trouble?
• And based on analysis, what should we do? The ability to acquire information for financial analysis
and discussion is certainly enhanced by a good
Users and management need these answers in chargeback or cost recovery system. While a
language they can understand and relate to - not DP chargeback system is strongly recommended, one
jargon. In addition, they need the answers quickly and should not minimize or underestimate the time and
correctly. Management and user reporting must effort needed to develop, implement and maintain a
answer questions in a clear, concise, complete worthwhile chargeback mechanism. The raw data
manner. needed for complete chargeback or cost recovery is
only now emerging for alternate platforms. You can,
Another mistake that is often made is in the attempt to however, do some financial analysis with the available
have one single report that answers all questions for utilization data, cost information and a spreadsheet
all people. This is not a realistic or feasible solution. package.
“Don’t just aim, hit the target”. When you are

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The basic requirements of any chargeback system Consider the issue in this manner - it is probably fair
that you implement are: to expect that an experienced salesperson has the

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basic skills that allow him to sell almost any product.
• Ease of maintainable We would, however, be disappointed if that
• Repeatable charges salesperson did not invest some time and effort in
• Readily automated and integrated with financial “knowing the product”. Would you be happy buying a
systems car from a salesperson who was only doing auto sales
• Understandable to users and management part time but was really a furniture salesperson? All of
• us have basic DP knowledge. What we need to
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Equitable
• Auditable acquire is an understanding of the DP role in
supporting our corporation’s business plans.
• Able to influence behavior to support standards
One good way to achieve success in the corporate
In other words, everyone should be able to
environment is to constantly anticipate not only the
understand the system and trust it.
questions that your boss will ask you, but also the
questions that your boss is likely to be asked by the
Satisfying the Customer next level up. If you can be ready to supply
information to answer those questions offer it before
The ultimate truth, as any Ferengi businessperson the questions are asked; you will be on the road to
can tell you, is that the art of surviving consists of success. Now expand this horizon to include
dealing well with your customer base. The customers anticipation of user needs and you can truly excel in
of capacity plan include the user community and the new world.
corporate management. In the end, it is their
requirements that we need to satisfy. To many of us, 3. Make Every Effort and Recommendation to
they seem more difficult to understand than the Enhance the Supportive Role of Data Processing.
Klingons and Ferengi. Here are some very basic The basic charter of capacity planning must include
guidelines to follow in developing your capacity the mission of making data processing more
planning process: responsive to the needs of the enterprise. If we learn
1. Understand the Business. the goals of the users and how we can support them,
Spend some time researching the question of what we can address the issue of supporting them better,
the corporation does for a living. Read trade faster, more economically and more proactively.
publications, not only in DP matters, but also in your
company’s area of interest. Find out what the non-DP Summary
user departments do for a living and how they support
and enhance the business enterprise.
The people that we deal with regularly and the
Learn the key concerns, acquire the jargon and situations in which we find ourselves, to which we
develop an empathy for the business process and its must adapt, may often seem as strange as Klingon or
dynamics. This is not an easy or trivial task, but the Ferengi cultures. It is prudent to remember the
benefits are enormous. lessons of Star Trek – These very diverse cultures
can function together and challenges can be
2. Appreciate the Relationships between the overcome successfully. In fact, adaptation and
cooperation are required for survival and success. It
Business and DP.
just takes a view to the past in using the knowledge
It is assumed that we have a reasonable knowledge
that we have accumulated, an open mind in applying
of DP fundamentals and the technical environment in
that knowledge to new situations, and the readiness to
place. Given that and some active effort to achieve an
understand the needs of those with whom we need to
understanding of the business, the capacity planner
coexist.
should focus on determining how data processing
acts to support the activities of the enterprise. Are we
It is wise to remember that while many things change,
actually assisting the user departments in achieving
some things stay the same. This is why we find
their goals? Do we enhance corporate bottom line
common threads in the underlying structure of
performance? In short, is there a symbiotic
seemingly different cultures. In our daily professional
relationship between DP and the corporation and how
lives, we can find much of value by reviewing the
it functions?
techniques and processes that have been used in the
past and applying them to emerging technologies.

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For capacity planners, this entails considering time- References

tested techniques, adapting them to comply with the

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new environment, and applying the updated process J. Bleker, “ UNIX Capacity Planning Hints And Tips”,
to the problem at hand. This approach will be more CMG Proceedings 1994
productive and expedient than constantly trying to
reinvent the wheel. B. Domanski, “Capacity Management For Client–Server
Architectures: Techniques & Systems Management Issues”,
You will find that this analysis is well worth the effort.
CMG Proceedings 1994
“There is no substitute for success” (Ferengi rule
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58).
G. J. Lipovich, B. Gauthier and B. Pieper, “Shoes For The
Cobbler’s Children: The Rightsizing of Performance And
Capacity Management”, CMG Proceedings 1994

J.L. Rosenberg, “Resource Management 101: An

Introduction To Capacity Planning And Performance
Analysis For The New World”, CMG Proceedings 1994.

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