CHAPTER-1

COMMUNICATION
TOPICS
Concept and Meaning of Communication, barriers to Communication,
Methods of Communication, Techniques to improve Communication.
OBJECTIVES
Subject of communication has been introduced for the First Year Degree
students, with a view to well equip them for successful future career
development. They should be able to identify the conditions to become effective
communicators as Engineers and Managers. This requires certain basic
language skills and deep study of the course and methods of communication.
Both written and oral communication skills of certain standard are required to be
developed so as to achieve professional success.
INTRODUCTION
Nearly seventy per cent of our working time is used for communication in
one form or the other i.e. for either reading or writing or speaking or listening. No
group can exist without communication. In the process of communication, we
convey our ideas, thoughts or feelings. Take an example of any imaginary group
in which there is a member who speaks only English. The others in the group do
not know English language. In that case, the thoughts and feelings of the person
speaking only English will neither be properly understood nor grasped by the
other members of group. Communication of any kind must include both
transference and understanding of the various aspects of the meanings of the
words and sentences spoken or written. A perfect communication is that through
which thoughts or ideas are transmitted in such a way that certain mental picture
is created in the mind of the receiver and the said picture synchronizes with the
one in the mind of the conveyor or speaker.
Effective communication is an essential factor to influence others, to
express feelings and emotions and to provide, receive and exchange information.
The integrity of the formal structure of an organization is kept intact by the
channels of communication laid down by that organization. It is the most vital
process that keeps the wheels of an organization moving smoothly.
The study of the subject of communication helps students to become aware
of the importance of the process of communication in daytoday business or
professions. It equips then with skills both in oral and written communication and
creates in them an intellectuals interest in the field of business and engineering.
It also provides the theoretical background with discussions of practical situations
in day to day life and improves students ability to acquire effective skill in oral
and written communication. Business and society would be better served if
proper attention is given to improve on the job communication and to build cordial
workersmanagement relations.
NATURE OF COMMUNICATION
What is communication?
The word communication is of Latin origin. In Latin Communist means
common. It means sharing of information or intelligence. All the acts of listening,
speaking, reading, writing, facial expressions, movements, actions, colors,
diagrams, gestures, ideas, facts, opinions, information and understanding and
other means help individuals to communicate thoughts to other people and to
themselves. Communication is a transfer or transmission of some information
and understanding from one person to another. Any effort to produce meaning is
a form of communication. It is the sum of all things a person does when he wants
to create understanding in the mind of others. Communication in fact is an
unending process in the world of human beings, animals and plants. It goes on
continuously all the time. It is an inseparable part of life itself. The need of
communication is as basic as, or perhaps even more important than, the hunger
for food and thirst for water.
Definition of Communication
Attempts have been made to define communication. A few of these definitions
are given below:
1. Communication is the process by which information is transmitted
between individuals and /or organization s so that an understanding
response results.
Peter Little
2. Communication is an exchange of facts, ideas, opinions, or emotions by
two or more persons.
W.H. Newman
3. Communication is the process of passing information and understanding
from one person to another. It is essentially a bridge of meaning between
people. By using this bridge of meaning, a person can safely cross the
river of misunderstanding that separates all people.
Keith Davis
4. Communication is the sum of al things that one person does when he
wants to create an understanding in the mind of others. It is a bridge of
meaning. It involves a systematic and continuous process of telling,
listening and understanding.
Louis A. Allen
5. Communication is the process of meaningful interaction among human
beings. More specially, it is the process by which meanings are perceived
and understandings are reached among human beings."
Dr. Mc Farland
6. Communication is the process of involving the transmission and accurate
replication of ideas reinforced by feedback purporting to stimulate actions
to accomplish organizational goals.
Scott and Sprigel
7. Communication is the transmission and reception of ideas, feelings and
attitudes both verbally and nonverbally eliciting a response. It is dynamic
concept underlying all kind of living systems.
Norman B. Sighand
8. Communication is an exchange of facts ideas, opinions or emotions by
two or more persons.
William Newman and Charles Summer
9. Communication is a continuing and thinking process dealing with the
transmission and interchange with understanding of ideas, facts, and
course of action.
George R. Terry
10. Communication is a process of transmitting ideas or thoughts from one
person to another person for the purpose of creating understanding in the
thinking of the person receiving the communication.
Brown C.A.
11. Communication is the from of interaction which takes place through
symbols. may be gestural, pictural, plastic, verbal or any other which
operate as stimuli to behaviour which would not be evoked by the symbol
itself in the absence of special conditions of the person who responds.
Lundberg
Information is an important word in the first definition. Communication
consists in transmitting information. But this definition does not indicate the
objects about which information is to be transmitted. This is exactly what is being
done in the second definition. Communication transmits information not only
about tangible facts and ideas and opinions but also about emotions and frame
of communicators mind. In some cases, facial expressions also play an
important part in the process of communication. After going through these
definitions, one can come to the conclusion that in any communication the
following four important factors are involved:
1. The process of communication involves communication of ideas.
2. The communication should reproduce in the mind of the receiver
exactly what the transmitter intends to convey.
3. The transmitter must be assured of the exact replication of hid ideas
through feedback. Feedback envisages the receivers response which
is communicated by him back to the transmitter. Communication is
thus, a twoway process consisting of transmission and feedback.
4. The purpose of all communication is to elicit action.
In any communication, the ideas should be sufficiently enlarged to include
emotions. In brief, it can be stated that the process of communication involves
exchange of facts, ideas, opinions or emotions between two or more persons
where feedback is an essential factor. The main purpose of communication is to
inform or to bring round to a certain point of view or to elicit action.
Situation for Communication
1. There is a person desirous of passing some kind of information;
2. There is another person to whom the information is to be passed on;
3. The receiver partly or wholly understands the message passed on to
him; and
4. The receiver responds through feedback.
Need of Communication
1. Communication is needed for transmission of ideas, facts and feelings.
2. Communication is instrumental in fulfilling the objectives of an
organization.
3. Communication is needed for carrying out the day to day activities of
human life.
4. Communication is essential for the management function or process.
Importance of Communication
1. Communication is the life blood of any business. No business can be
performed without effective communication.
2. In case of large organizations, upto date, effective and efficient network
of communication system must.
3. Effective communication promotes the spirit of understanding and
cooperation between management and employees.
4. It is important in case of negotiations and keeping contacts with
distributors, retailers and individual customer.
5. Possessing appropriate communication skill is one of the important
qualifications both at the time of appointment and or promotion.
6. It is a effective tool of supervision.
7. Communication is a tool of collecting and dispersing of information.
8. It is useful for motivating and morale booting.
FEATURES OF COMMUNICATION
Following are the important features of effective communication:
1. Communication is instrumental in fulfilling achievements of an
organization. Communication failures are more frequent than
communication successes in our life.
2. Communication between human beings is clearly an essential element
of all activities at al the levels.
3. Several authors have treated management as a function or process and
have linked communication with managerial performance.
4. For any communication, at least two persons i.e. sender and receiver
are involved;
5. It is a continuous process.
6. There are several medias of communication.
7. It deals with transmission of facts and feelings.
8. It is an understandable device of information.
OBJECTIVES OF COMMUNICATION
There are five main objectives of communication in a business organization.
1. It assists in the attainment of the operating objectives of the business.
2. It helps to improve performance and job satisfaction of employers at all
levels.
3. It increases the image of the organization with the employees and the
general public.
4. It improves understanding approval and support of the organizational
position on vital economic, political and social issues.
5. It keeps management informed about attitudes, trends and reactions
among employees and public.
FUNCTIONS AND COMMUNICATION
Communication performs the following four important functions with a group:
1. Communication gives information.
2. It motivates individuals and group.
3. It gives emotional expression.
4. It works as a motivator.
The first function that communication performs relates to its role in
decisionmaking. It increases motivation by clarifying the employers what is to be
done and how well they can do it. The communication within the group is a
fundamental mechanism for the members to express their feelings. It provides
emotional expression to their feelings for the fulfillment of social needs. In
communication the interaction between a group and organization performs on or
more of the above functions.
TYPES OF COMMUNICATION
Much of the time of the executives is spent in communication in the form of
reading, writing, listening and speaking. The higher the position, the greater is
the proportion of time spent in communication. Efficiency of any organization
depends on regularity of flow of messages of all kinds. If the flow of message is
not carefully organized into a well arranged network, there is every likelihood of
remaining communication gaps. Every organization has a hierarchical line of
authority along which runs a communication channel used for transmitting all
written and oral messages. The following treediagram can give a broad idea
about the types of communication.
(Diagram)
Written
Communication
Verbal
Communication
On the basis of the
method of expression
Upward
Communication
Downward
Communication
On the basis of
the Direction
On the basis of the
organizational structure
Informal
Communication
Formal
Communication
Communication
Types of
Communications
Horizontal
Communication
ORAL COMMUNICATION
Oral communication is one of the most important types of communication. In
this type, there is nothing in writing. The examples of verbal communication
are numerous. Oral orders, face to face discussions, telephonic talk, lectures,
interviews, counseling, public speeches, audiovisual aids, movies etc. fall in this
group. Quite often, more than one medium is required to be employed to make
the communication effective. Face to face communication, often combine oral
form with the visual. They encompass gestures and facial expressions. Oral
communication can be carried out buy air vibrations when it is face to face or
over the microphone, loud speaker, telephones and radio.
WRITTEN COMMUNICATION
Written communication is always in black and white. It includes the use of
language. Written communication can be transmitted by mail, telegraphs, telex,
fax, noticeboards, newspapers, magazines, bulletins, pamphlets and such other
forms.
FORMAL COMMUNICATION
Formal communications are mostly in black and white. Formal
communication derives support from the formal organizational structure. It is
generally associated with a particular position of the communicator. When the
general manager instructs his subordinates by virtue of his position, it can be
taken as a formal communication.
INFORMAL COMMUNICATION
This type of communication is free from all sorts of formalities. It is based on
informal relationship between the parties. It is generally termed as the
grapevine communication; Informal communication may be conveyed even by a
simple glance, gesture, nod, smile or sometimes mere silence.
UPWARD COMMUNICATION
If the communication flows from the subordinate to their superior it is called
an upward communication. Such communication includes employees reactions,
suggestions or their grievances etc. This type of communication is considered to
be a main source of motivation for an employer.
DOWNWARD COMMUNICATION
Downward communication flows from the uppermost level of management
towards the working force. It includes rules and regulations, orders, policies,
instructions, guidelines etc. They are directives in nature.
COMPONENTS OF COMMUNICATION SYSTEM
Communication in fact is necessary in the world as the life itself not only for
human beings but also for animals and plants. Communication is the name
we give to the countless ways of keeping is relationship with whatever we are
concerned in our day to day life. It means, communication is natural to all living
creatures. It can be established even between human and nonhuman beings in
case they live together. Pet animals for example, also communicate with their
human companions. Methods of communication may however, differ from
individual to individual, groups to groups or community to community. A civilized
group cans posses better communication ability. It is central to everything that
we perform in our day to day life. In order to achieve goals effectively, it is
necessary to adopt the process of effective communication. An organization can
he held together only if there is proper communication among its members. Each
person has different goals and they may be achieved through cooperative,
coordinate efforts which needs proper communication. Hence, without
communication no organization can properly function. It is a tool which can
exercise influence on others. Communication motivates them to establish and
keep the relations with them. It means that there can be no society without
communication.
For transferring the thoughts and ideas certain means and methods are required
to be adapted. For this, we use the following means which stands for the ideas:
1. Symbols 2. Signs 3. Pictures 4. Sounds 5. Words
As we know, communication is the process by which information is passed
on from one individual to another individual from one organization to another
organization and so forth. An individual, who wished to pass on certain
information, puts his thoughts either into words or other symbols which can be
understood by the persons to whom he wants to communicate. The process of
communication begins with an emergence of thought or idea in ones mind. Mere
emergence of thought or idea does not start the process of communication. The
individual concerned must intend to communicate it to somebody. This intention
to convey idea or
thoughts begins the process of communication. In a broad sense, the
communication process takes place in the following general form
The Sender: A person who intends to convey or communicate his thoughts
or ideas is called as a sender. He has to translate this message in such a
language which is known or understood by the Receiver. The effect of his
message not only depends on the language he uses but also upon his status and
reputation. Status relates to authority, knowledge and prestige while reputation
relates to the kind of person he is known to be i.e. whether he is cooperative or
noncooperative (hostile). For example, a message from a popular boss who is
liked will be appreciated or believed by the subordinates much more than the one
receives from a boss who is not in subordinates very good esteem.
Encoding: The method which initiates the message is called encoding a
thought. The sender puts his thoughts in certain form of logical and coded
message. It may be either oral or written communication. It can be stated in a
specific form may be in letter, telegram, verbal talk, (gestures) or some other
form of expression. As the sender intends to know the effect of his message, he
considers various factors such as the receivers knowledge about the subject
matter, his working conditions, his job responsibilities and other background
information. There are four aspects which are important for encoding the
message.
1. The senders skill of encoding the message;
2. His knowledge as well as the sociocultural system of which he is a part;
3. Success in sending the message depends upon the senders skill about
writing speaking, reading, listening and reasoning.
4. The attitude of the sender substantially influences the receiver.
Dispatch and Reception: A message is the actual physical product at the
encoding source. When one speaks, writes or paints a picture is considered as a
message. Gestures, movements of arms facial expressions etc. are also taken
as messages. It is affected by the code or a group of symbols used to transfer
meaning. The meaning of what is to be communicated itself and the decision that
the sender makes in choosing, arranging and selecting both contents and codes,
constitutes a message.
For transmitting the message, some kind of medium or chemical is essential.
It can be sent directly or through a proper channel. This process involves certain
media. It may be a face to face message, a conversation or a written or typed
matter or simply some sort of gestures. The channel bridges the gap between the
sources and the receiver. In case of face to face communication, a talk over the
telephone or a broadcast radio or telecast on Television, reception almost
synchronizes with the dispatch of the message. In other forms of communication,
it depends upon the efficiency of the medium used. There may be some time
interval between dispatch and actual reception of the message. A letter may take
few days to reach the destination while a telegram may reach within a few hours,
and an Email in a few seconds.
The Receiver: Just as the sender has his own frame of references, so does
the receiver. What the receiver has to select to listen and give attention to,
depends upon his own opinions, attitude and relationship with the sender. It also
depends on the type of message sent, the channel employed, the manner of his
reception and the situation under which it is received. The frame of the mind of
the Receiver also carries equal importance in the process of interpretation or
decoding of the message as that of the sender in encoding.
Decoding of message: The work of interpretation is concerned with
receiver of the message. He accepts the message and tries to find out its exact
meaning by analyzing the sender, his intent his role, knowledge, experience and
authority. Receiver of the message tries to translate the symbols, ideas into a
form that can be understood by him. The process of translation and interpretation
of the signals is called decoding. The process of decoding requires that the
receiver must possess skill in reading or listening and must also be able to apply
reason. Receivers attitude and cultural background can distort the message. In
case, the encoding is efficient and the receiver is conversant with those codes
and symbols, his perception can be good. There can be a fairly accurate
reproduction of the message. When the message is properly decoded by the
receiver, he may immediately respond to it. This response exists in his mind in
the form of ideas or emotions.
Feedback : Feed back is the turn of message or responses from the
receiver to sender of the message. It determines whether understanding is
achieved or not. When the message reaches the state of decoding, the process
of understanding starts. The sender expects that the receiver shows some
response or reaction so that he can take some action or reply or behave in a
particular way as a result of the responses he receives. The sender of the
message needs to know whether the receiver responds in the desired way or not.
He can find this out only through the feedback he gets from the receiver. Thus,
feedback is the knowledge of the result of communication, which can be useful
for undertaking or modifying future communication.
(Diagram)
In the process of face to face communication, there is an immediate and
continuous feedback. The facial expressions of the listener can tell the speaker,
whether the message is understood, accepted, rejected, liked or not liked by the
receiver. The speaker can further modify his message according to the situation
needs and understanding of the listener, so as to make it more acceptable to the
listener. It is possible for the speaker to ask certain questions to find out whether
the message is fully understood or not by the listener. In certain cases, listener
can also ask questions for better understanding and clarification of the message
he receives.
IMPORTANCE OF COMMUNICATION
The system of feedback in face to face contact in oral communication helps
the listener to influence the speaker. The positive response by way of nodding
the head, clapping, smiling etc. helps in this process. The negative response
like yawning and looking unattended or bored etc. makes the speaker to change
his speech and make it suitable to the listeners level of understanding and his
expectations. In case of meetings and large gatherings, the audience can be
controlled by the speaker through the perception of feedback on the spot. In case
of written communication, feedback is quite slow. Here, the sender may not have
the advantage of observing facial expressions or immediate reactions or reading
the communication. There is no immediate chance to modify or even to find
out whether or not the message is perfectly understood. The feedback becomes
available only after receipt of a reply from the receiver. This process takes
certain time and may, therefore, cause delay in understanding. In some cases, it
is quite difficult to get feedback about readers emotions or reactions which
cannot be translated in terms of exact written words.
In mass communication media like Television, Radio, Newspapers,
Magazines etc. the process of feedback is very slow and once it is delayed, the
speaker himself may miss the exact idea of his speech or writings. Feedback in
this respect is more important. Special efforts in the form of field work, or survey
etc. need to be made to understand public opinion or result of the speech from
mass audience. This feedback helps the sender to modify future programmes
and communication. The exact reaction of the receiver to our message gives us
important information regarding the effectiveness of communication. For this
reason, it is necessary to arrange for the feedback. Many a times, a
person is blamed for not performing the given job exactly according to the
specifications supplied or instructions given. One has to find out in the very
beginning, whether the given instruction is exact, properly understood and
sufficient for carrying the assigned job. This is possible to know only if a perfect
feedback system is available at our disposal. In such case, the receiver can
immediately check up on his understanding of the message. One of the methods
of acquiring the feedback is to ask the receiver summaries what he understood
by the message given. This method of summarizing can be tactfully applied
with a sense of cooperation. The receiver should not feel that his understanding
is being suspected. A good summary can be produced in the process of
answering questions. It is always useful to find out what the receiver has
understood by asking only key questions. Yet another method is to encourage
and invite questions from the receiver. This method may not be effective all
the times as the receiver of the message might not have grasped the message
to the extent to either ask questions he may not have understood.
It is not possible for the superiors to get the correct feedback from
subordinates reaction to the communication, as they usually know what their
boss want to hear and accordingly they respond to the wishes of their superiors.
In many cases, the instructions may be carried out but the boss may not get
feedback on emotional grounds. Thus, the senders status becomes a barrier
in the process of feedback. It is important for persons in senior positions to be
receptive to feedback. Communication can be greatly improved by arranging a
systematic use of the process of feedback. Enough opportunities are given to the
receiver to freely express what they feel so that feedback can be true and proper.
The important requirement for successfully getting feedback is the art of
being a patient listener. An impatient superior cannot get sufficient feedback from
his subordinates. He must be sufficiently silent and alert when others speak.
He must be skilful in drawing out feedback by asking questions but only at
appropriate moments. He must also be alert to observe nonverbal feedback
which is often given unconsciously and indicates emotional reactions.
The other side of this process is the receiver who also should give full
cooperation and checkup his own understanding by offering a summary of the
message or by asking clarifications and stating his own views and feelings with
response to the communication.
COMMUNICATION PROCESS
Communication is natural to all living creatures. It can be established even
between human and nonhuman beings if they live together. It is central to
everything that we do in our daily life. All our activities fall in the area of either
success or failure, depending upon our ability to make the communication
effective. All organizations are held together because of communication. It is a
tool with which we exercise influence on others. Without communication there is
no interaction between two persons, or groups, or communities, or people.
Process of communication can be defined as Transferring of thoughts or ideas
form one person (or group of persons) to another person so that it can be
understood and acted upon. It has always certain purpose. In order to transfer
an idea, which one gets in ones mind and to make the communication effective
one has to use certain words, symbols, pictures or sounds that stand for those
ideas. The symbols one uses must be such that the receiver understands
them. Peter little has defined communication as the process by which
information is passed between individuals or organizations by means of
previously agreed symbols.
(Diagram)
Communication is a dynamic process. Mere looking at something means to
analyze it for description in terms of other matters or events related to it.
Everything changes with the changes in the surroundings and circumstances.
Communication, which must be considered as a whole, is a process of a dynamic
interaction both affecting and being affected by many variables. It is a basic
social process necessary for the growth and development of the individuals,
groups, society and people.
Communication links called Channels bind the groups. It is not a single
process but a part of the set or processes. It uses various means like oral,
written, verbal, nonverbal etc. The means of communication are determined by
many factors such as personal, social, political, economic, cultural etc. Business
organizations use mass communication media to establish and maintain
contacts with various people within and outside the organization. It can be done
with the help of various means.
In case of subordinates, communication is established through intercom,
memo, orders, face to face communication etc. Business communication is
concerned with the study of communication between individuals and groups
created in the process of administration of an organization. One has to be
alert, careful and cautious about what people say and how it affects, all the
concerned people. In certain cases, gestures and other nonverbal signals
convey meaningful messages. The success of any communication, either
personal or corporate, lies not in sending and receiving it, but in its appropriate
understanding by the receiver. Business communication is thus a process of
linking superiors and subordinates in various sections of the organization and all
those outsiders associated with the organization in one way of the other.
Communication in this sense is the dynamic interactive process of relating
people to other people, relying on feedback.
COMMUNICATION CYCLE
(Diagram)
COMMUNICATION PROCESS
Messages can be transmitted:
1. By verbal communication (Face to face or by Telephone talk)
2. In writing (through letters, circulars, bulletins, signboards etc.)
3. Nonverbal signs (patting, winking etc.)
4. through gestures (by pointing fingers, nodding etc.)
5. Noise
6. Feedback
The sender of a message has to put his ideas in proper language or symbols
so that they can be transmitted through verbal or nonverbal medium.
1. The process of packing ideas is called as encoding.
2. The receiver of the message has to interpret the message. This is called
as decoding the message.
3. When the encoded message is the same the decoded one, the
communication is considered to have been effectively taken place.
4. When the message is not effectively communicated or it is
miscommunicated it can be referred as Noise. The noise can enter
the communication process because of situational factors like:
(1) Inability of the receiver to decode or interpret
(2) Language problem
(3) Status effect
(4) Physical distraction
(5) Information overload
(6) Ego
(7) Cultural difference etc.
TECHNIQUES TO IMPROVE COMMUNICATION
Communication must serve its purpose. It is, therefore, necessary for any
organization to develop an appropriately suitable and efficient network of
communication. For this purpose, the following basic principles of communication
must be considered.
(Diagram)
1. Principle of clarity: Whenever an idea is to be communicated, one
should give attention towards its clarity and precision. The idea should not be
either confusing or vague. It should be easily understandable by people at all
levels of organization. No communication is said to be complete and effective
unless it is understood by the receiver in the same sense with which the sender
conveys it.
2. Principle of consistency: Whenever a person wishes to communicate
certain message he must be consistent in his expression. It should be consistent
with overall objectives, policies, statement and his action; otherwise the receiver
may not be faithful in his acceptance of the message and its execution. The
communicator must always try to make his subordinates into confidence and
encourage them to follow his plans of action.
3. Principle of completeness and adequacy: Whatever to be
communicated should be adequate and complete in all respects. Insufficient or
inadequate statements of communication may create misunderstandings in the
mid of the receiver resulting in delays. Consequently, original plans may not be
successfully executed in action. The adequacy of the information also depends
upon the power of understanding of the receiver of the message.
4. Principle of information: In the beginning the sender of the message
must have perfect clarity in his own mind about what is to be communicated.
Where there is proper understanding there is effective communication.
Communication is a systematic and continuous process of telling, listening and
understanding. The communicator as well as receiver should sincerely
participate in the process of communication. There should be a perfect
understanding between both the parties, i.e. receiver as well as sender of the
communication.
5. Principle of channel or media adaptation: There should be
appropriate channel of communication. The choice of any communication
channel depends upon the content or matter of the message to be conveyed.
For example, whenever the messages are lengthy, writing channel is suitable
as it suits the simple purpose; In general, simple messages are conveyed
through oral communication.
6. Principle of appropriate time element: The sender of the message
must take into consideration the element of time factor while conveying the
message. Unsuitable time of communication may result in failure of achieving the
expected results. The system of communication should be continuous. Honest
efforts on the part of receiver and sender are essential to make the
communication successful.
7. Principle of Integration: In any organization, it is necessary to prepare
an integrated system of communication so that the enterprise can achieve its
goals. Members of management groups must give due importance to keep intact
the communication frame and arteries. As it is a means to an end, it should be
free from any personal prejudices. It should not be offensive in its
content but should convey the sense of adopting definitely cooperati ve principle
of give and take.
8. Principle of flexibility: Any organization no matter how big or small it is
should have a perfect system of communication. It should be flexible so as to suit
the changing requirements of the organization. It should also be able to quickly
and aptly adjust to the new working techniques as well as new
communication systems or methods without much resistance or difficulties.
9. Principle of informality: Management of any organization should see
that the communication at all levels is maintained by supporting formal
communication with informal contacts. The communication becomes most
effective when managers utilize the informal organization to supplement the
communication channels to the formal organization.
10. Principle of feedback: Communication is not a substitute for good
management but it requires good management to operate it effectively and
efficiently. Communication is a two way process which provides enough
opportunity for constructive criticism from the receiver of the message leading
to the emergency of creative ideas. The communicator must create such
atmosphere in the organization that while conveying certain messages or orders
they must depict a correct picture of message and get proper response from the
receiver. The organization must create such feelings in the minds of its
subordinates that they feel free to contribute to the work of the organization.
When the communicators respond with proper feedback system, it may lead to
the speedy progress of the organization. Hence, it is very important that the
management should adopt and encourage such system of communication that
there prevails free and frank atmosphere in the company leading to constant
flow of information in all directions.
BARRIERS OF COMMUNICATION
(Diagram)
Communication is a complex interactive process, involving assumptions
and unspoken agreement between persons. There are frequent errors and
misunderstandings in the process of communication. Due to faulty
communication, a large number of managerial problems arise. Poorly
transmitted messages may lead to understanding and frictions which may
have an adverse effect on the morale of subordinates. There are various
obstacles or difficulties that come in the way of communication. They
are termed as the Barriers of Communication. They may be physical,
mechanical, psychological, cultural or linguistic in nature.
I. External or Mechanical Barriers:
There are certain defects in the devices used for communication. They are
taken as external barriers not within the control of either receiver and or sender
of the message. They are as follows:
1. Increase in difficulty in reception.
2. Defects in reaching certain elements of the message to its destination.
3. The absence of communication facilities.
4. Disturbance interfering the fidelity of transmission.
5. A defective telephone.
6. Cross talks often heard over an intercom link.
7. In case of Mass communication, failure of loudspeaker, disturbance etc.
which are mechanical in nature.
8. Disturbance on the radio, spread ink in the newspaper, rolling of picture
on T.V. etc. Can be taken as barriers of communication.
9. There are environment sounds like traffic noise, other conversations,
doors and window banging etc.
II. Physical Barriers:
In case of physical barriers, there are four main distractions:
1. The competing stimulus: In this case the disturbances may be in the
form of another conversation going on within the hearing distance, loud
music, traffic noise etc.
2. Environmental stress: In this case the factors like humidity, poor
ventilation, strong glare etc. may disturb the smooth communication.
3. Subjective stress: Sleeplessness, ill health, mood variation etc. disturb
listening and interpreting.
4. Ignorance about the Medium: The use of medium with which the
Receiver is not familiar, may become a barrier in understanding. For
example, inability to read maps, graphs, charts etc.
Messages senders limitations:
Following are the senders limitations:
1. The sender of the message may not be able to put his message in a
proper language or may be using confusing language.
2. He may be providing unnecessary details without any logical order.
3. The voice of the sender may grate on listeners ears.
4. The sender may be lacking in the art of composition of sentences. He
may, therefore, confuse the receiver.
5. His choice of words and their arrangement may not be appropriate and
easy to understand.
6. The wiring may be misinterpreted.
7. There may be too much of information in a single visual.
8. The design of the matter may not be simple and easy to understand
9. The written material might not be properly arranged.
Message Receivers Limitations:
Following are the message receivers limitations:
1. The receiver may be inattentive.
2. The level of intelligence of receiver to understand and memories the
message may be inadequate.
3. Listeners background and store of information may not be enough.
4. Confusion may be caused abstract due to theoretical communication.
5. The listeners level of understanding may not be sufficient to grasp the
message.
III. Psychological Barriers:
The frame of human mind through which one looks towards others differs
from individual to individual. The feelings like fear, desire, hope, likes and
dislikes, views, opinions are the attitudes formed because of social environment,
education, family background, and training and personnel experiences. Certain
persons act in certain particular way. It is difficult to predict ones reaction
because one might be influenced by different circumstances of communication.
Following are the important points in respect of psychological barriers of
communication:
1. Self image (self concept): It means a person looks at himself or at the
picture he has of himself. It is this image which makes the person always
defend his point of view. We retain in our mind only that information
which is pleasant, or liked by us or supports our ego, while we
conveniently forget the information which is unpleasant, not to ones
liking or humiliating.
2. Assumption: There are certain assumptions which become barriers in
communication. The speaker feels that he need no elaborate or explain
certain points. This becomes a barrier in communication. In certain
cases, for example, an Engineer takes it for granted that workers
understand various technical terms he uses. It ma y be a wrong
assumption.
3. Redundant phrases: Many times, we use phrases like It is well
known or It goes without saying. These and such others may be
wrongly presumed statements.
4. Generalization: Some people have attitude of illness that is the
tendency of generalization. For example, someone may make a
statement that Businessmen lack manners. It is nothing but
prejudice against a particular group.
5. Prejudgment: Sometimes, we interpret messages in terms of our own
frame of references. In that case, our judgment acts as a barrier in
accepting the facts.
6. Snap reactions: A listener or reader quickly or prematurely responds to
the message may be because one is hottempered. Such reactions are
called as snap reactions. They may prove to be barriers in
communication.
7. Tendency to Evaluate: The main barrier in case of interpersonal
communication is our natural tendency to judge, to evaluate, and
disapprove the statements of others.
8. Group identification: Opinions are formed due to the influence of the
various factors such as a group, neighbors, colleagues, locality city,
religion, economic background etc. to which one belongs. For example,
a person participating in strike because he feels that the idea of a group
is more important, therefore not willing to accept any communication
contrary to the interests of his group.
9. Self Image: A selfimage is created over years and it is difficult to
accept any idea which goes against it. Suppose someone feels himself
to be efficient in performing his job and becomes an officer. As an officer
he is required to control his subordinates and get work done rather than
doing it himself. Here he fails. To accept this shortfall is almost insulting.
It may become barrier in communication.
10. Status Block: A person may develop the feeling that he knows
everything about running a business. He is not easily ready to accept
the contention that his subordinates can also be having useful ideas to
contribute in the success of business. Several times, their useful ideas
may go unheard merely because of the distance in their social status.
It may be a difficult barrier which both may be unable to overcome. Such
barrier can be overcome only by adopting an open door policy.
11. Closed Mind: Intellectual background, narrow interest, failure in
understanding human nature, may become barriers to receive
communication with sympathy. Example is to receive complaints and
grievances in the organization. Counseling can help to overcome this
difficulty.
12. Poor communication skill: Inefficiency in writing and speaking
prevents the speaker in encoding his ideas properly and to attract
listeners properly. This skill can be improved upon by suitable training.
Poor reading habits and faulty listening are psychological shortcomings.
In case of oral communication, unfamiliar pronunciation, nervousness in
facing audience may become a major barrier in communication.
13. State of health: State of health can also become a barrier in
communication. A person with illhealth gets his ability to communicate
reduced due to lack of energy and many, therefore, refuse to
communicate. Reciprocally, receiver may not properly respond.
IV. Semantic Barriers:
The important means of communication is language and it must be used
properly. Words having different shades of meaning and pronunciations should
be used very carefully. For example, a word Record can be used as a verb as
well as a noun with a difference in stress but without any difference either in
pronouncing or in spelling. The words like site, cite, sight can cause
misunderstanding in speaking. In certain cases, technical terms may not be
understood particularly those who are not associated with that field. All such
factors are covered under the term semantic barriers.
V. Cultural Barriers:
Any language is the expression of the thoughts, feelings and experiences in
terms of cultural environmental. The same language when used in different
cultures, take different color and conveys different meaning. Sometimes, we
modify our language according to the person with whom we are speaking. There
is a difference in the use of language for discussions, formal talks informal talks
etc. Language influences behavior of individuals and groups.
1. In certain cases, language itself becomes a barrier in communication.
2. Words are mere symbols and frequently convey more than one meaning
both in the minds of a sender and a receiver.
3. Symbols represent subjective and objective meanings.
4. Favorable and unfavorable arrangement of words depends upon the
context in which it is used.
5. Communication difficulties arise when
(I) one does not express what one means.
(ii) One uses the language, idioms, phrases etc. one does not
Men for it.
(iii) One speaks at a wrong moment.
(iv) Words carry different meanings for different people.
Important barriers in communication can be summed up as follows:
1. Lack of clarity and precision
2. Semantic distortion
3. Premature evaluation
4. Inattention
5. Failure in communication
6. Fear or resistance to change
7. Distrust of communication.
System of overcoming the barriers in communication:
1. Proper information to the employees
2. Proper listening
3. Developing interpersonal relations
4. Communication through action and deeds
5. Use of proper language
6. Use of the grapevine (informal communication)
7. Feedback of information.
Following are the barriers in the way of effective communication and they are
to be torn down or improved upon.
1. Vagueness in communication is a major barrier in the way if effective
communication
2. Empty words, phrases, careless omissions, lack of coherence, repetition,
failure to clarify implications, poor instruction are the main characters
of bad communication.
3. Lack of clarity and precision leads to costly errors and corrections.
4. Managers receive different types of directives from superiors and also
receive information from subordinates. He has to translate them both
ways, i.e. to transmit superiors directive to subordinates and
subordinates feelings, thoughts and reactions to superiors. At times, it
is not enough to pass on the communication word. It must be either put
into words appropriate to the framework in which the receiver operated
(understands) or else it would involve the risk of bad communication.
5. Transmission: Successive transmission of the message generally
becomes decreasingly accurate. In case of oral communication, 30
percent of the information is lost in each transmission. In case of large
organization, it is not possible to rely upon oral communication form on
level to another level. Even written communication followed by
interpretations is sometimes subjected to loss of some meaning in
transmission.
6. Inattention: Sometimes carelessness in reading printed matters like
notices, bulletins and minutes of meetings is a common feature in many
organizations.
7. Nonlistening seems to be one of the important drawbacks of human
behavior.
8. Overlooking unqualified assumptions and noncommunication of critical
information becomes a barrier in the way of the effective communication.
Insufficient Time for Adjustment: Some announcements have a vital
bearing on the working conditions of subordinates. For example, the declarations
about the changes in shift, place, order etc, are very important for them. The
subordinates require time to think and understand the full meaning of the
message. It is not appropriate to force changes on the workers before they adjust
with such changes. This aspect is very important form efficiency point of view.
Distrust of communicator: Sometimes superiors do change messages that
follow original communications. They may be the result of illogical decision. This
leads to delay in taking actions by the subordinates with enthusiasm.
Premature evaluation: Those who wish to communicate must be listened in
an unprejudiced fashion before any response is generated. Otherwise, it
becomes a barrier.
Fear: mangers must accept that they have to depend on their subordinates
for information. There is no guide yet developed, that would communicate
upward. Fearing the consequences of the discloser, subordinates sometimes
mislead the superiors. This may become an important barrier in the way of
communication.
Failure to Communicate: Sometimes laziness in transmitting message
becomes a main barrier in effective communication. One cannot communicate
everything that is obviously necessary.
Effective communication is a process of meaningful interaction between
human beings. It is fundamental for achieving successful cooperation and
coordination in the organization.
CHAPTER-2
METHODS OF COMMUNICATION
(VERBAL AND NONVERBAL)
Nonverbal communication: Skill in oral communication is important
equipment for life. In face to face interaction, a person does not communicate
through words alone. The persons whole personality, his general bearing, facial
expression, gestures etc. are involved in the process. A properly dressed man
with a pleasant expression will be able to establish contact with others with better
ease. Once a person secures attention of the audience, more that half of the
battle is won.
If a person is asked to give a speech, he walks straight and stands at ease,
keeps his hands on the sides and tries to feel relaxed. Once the speaker realizes
the good mannerism of the audience, he feels relaxed and develops confidence.
His further speech becomes easier, more natural and therefore, effective.
Eye contact
Eye contact is on instantaneous and effective means of establishing rapport
with an audience. A good speaker first looks at the audience and takes a
pause before beginning his speech. It helps him to make good impression on
the audiences. In case the speaker gives break and put his ideas into small units
rather than in a lengthy narration, it allows listeners some intervening time to
grasp those ideas. Once this is dome, the speaker can proceed to explain next
points or ideas. While speaking also it is necessary to maintain eye contact with
the audience. If the listeners feel that the speaker is ignoring them, reciprocally
they are also likely to ignore the speaker and what he says. Through eye
contact, the speaker gets signals whether the channel of communication is open
and operating on right lines. This sense itself works as the feedback.
Voice modulation:
The speaker must know how effectively he should use his own voice. In case
someone wants to become an effective speaker, good voice is a must. A good
voice is no doubt a natural gift; but one can very well make efforts to improve the
quality of ones own voice with a skilful training and practice. Proper attention to
this aspect would lead to acquire confidence and power.
1. Variations in the pitch and tempo of the voice are essential to transmit
the message effectively.
2. Fast delivery of speech indicates lack of confidence, and betrays the
objects of the speech and the image of the speaker. The speed of
delivery must be such that audience can keep pace and understand the
matter properly. One should no go beyond the speed of 125 to 150
words per minute. One has to bring the speed of speaking within this
range by making proper practice.
3. Pronunciation of the words used must be proper with due stresses
wherever required.
4. Speak loudly enough so that everyone including even the last man in the
audience is able to listen the speech clearly.
5. Do not use repeatedly the words like You see. I mean, Do you
understand, Is it clear etc.
6. If using a microphone keep mouth eight to ten inches away from the
microphone to ensure proper transmission of the voice to the
audience.
Audience Awareness
Before starting the speech the speaker should give attention to the following
points:
1. Size up the listeners;
2. Consider the age, sex, background and interest of the listeners;
3. Ascertain whether the audience is friendly or hostile;
4. Use common sense to become a good speaker;
5. Select the approach that suits the audience;
6. Make the listener feel that you are talking with him individually;
7. No verbal firework is necessary to arrest the attention of the audience;
8. Make audience feel you sincerity about their interest;
9. Dramatize certain ideas to overcome the barriers of communication;
10. Create an impression that you want to share the views and ideas of the
audience;
11. While cutting a joke relates it in such a way that it should appear to be a
part of the speech and that the audience should receive it almost
unprepared;
12. Do not get disturbed if a listener smiles or whispers to neighbor;
13 Concentrate on ideas.
14
Presentation plan
The art of speaking is the fruit of constant efforts. There is no definite formula
to be adopted to become an effective speaker. Enough planning and
preparation is essential for successful presentation. Preparation is the best habit
for overcoming nervousness.
1. as far as possible the speaker should not read out a written speech word
to word;
2. Written speech seldom sounds fresh;
3. It is not necessary to memorize the speech either. It never exhibits
spontaneity;
4. Memorization of speech would hamper flexibility consequently,
communication will suffer.
5. Face to Face conversation or interaction expects thinking and speaking
and not mere repetition.
6. Even while reading the speech, one has to lift the head occasionally and
observe the audience.
7. The speaker must draw adequate notes and points and arrange them in
a proper order before actually starting the speech. It should bear proper
headings and subheadings.
8. Devote appropriate time for introduction and the main body of the talk.
9. Notes and points should be written neatly in bold letters.
10. A positive attitude be generated while speaking.
NonVerbal Human Interaction
Communication without using words is nonverbal communication. Messages
conveyed by nonverbal methods are simple and limited. However, some
methods such as maps, charts and graphs are skillfully developed for conveying
information and presenting data. Sometimes, words are also used in
combination with the nonverbal method. For example, in television, cinema,
posters, maps etc. such combination proves quite effective.
NonVerbal Methods
Visual Auditory
Visual methods are those which can be seen; for example, signs, pictures,
colors etc. Auditory methods are those which one can hear; for example bells,
horns, whistles etc. The following are the uses of nonverbal methods:
1. Nonverbal methods have instant effect because of quick perception by
the receiver.
2. Nonverbal methods take less time to see a picture, color, or listen bell,
horn than to understand what is spoken.
3. The nonverbal methods are more convenient.
4. The nonverbal communication devices like traffic signs and signals
have become essential.
5. People instantaneously react to pictures, colors, sound, horn or a
whistle.
6. Nonverbal method can present the data in a compact form.
7. The matter which can be conveyed after writing several pages can be
given instantaneously by graphical methods.
8. For the purpose of comparison, nonverbal method can be placed
Graphically.
9. In some case warning can be given through symbols e.g. showing skull
and cross bones for indicating danger to life.
10. Visual presentations are more effective than verbal representation.
11. News on the T.V. make a greater influence than does the one on the
radio.
12. T.V. and Cinema are the most powerful devices in the process of
conveying messages.
13. Color is a very useful and powerful means of communication. It plays an
important role in our day to day life (i.e. designs, decorations, color,
advertisements, etc).
14. Traffic signals which play an important role in metropolitan cities rely
solely upon colors for communication.
15. Colors have psychological effect in motivation and state of mind of
employees at the work place.
16. Color sometimes help to represent moods and feelings; for example,
black color stands for death or sorrow while the white color stands for
peace and purity.
17. In case of graphs, charts, maps, colors give additional dimension to the
information to be communicated.
18. Colors are also used to identify teams, regiments and countries etc. A
national flag of a country for examples is called color.
19. Pictorial representation is the best form for mass communication in case
of advertisements and photographic reproductions.
20. Pictorial symbols are quickly understood and easily remembered and
hence they are more useful to the eyes movements and where
semiilliterate or illiterate population is more.
21. Graphs and charts of different kinds are nothing but pictorial
presentation of statistical information, where special skill and technique
is applied. Through them an overall situation can be understood at a
glance.
22. Nonverbal communication is more effective in representing figures than
tables. It needs less space than what is required for a description.
23. Maps are used for numerous purposes like showing transport routes,
climatic.
24. Signs and Signals are nothing but the marks used to represent
something, e.g. (+) or () or other Mathematical signs.
25. Where instantaneous decisions are required for conveying information
words cannot become as quick as signs. Signals become an important
method.
26. Many times, visual signs and signals are used for communication if the
people are not within the hearing distance of each other. Such signs
are made with hands, lights and color or any other which is large enough
to be easily seen or visible.
27. One part of nonverbal communication falls in the area of auditory
symbols. Auditory symbols are those which are perceived by the ears
i.e. sound. Tribal use drumbeats to convey the messages to distant
places in forest. Its modern form is sirens which are used in times of
emergency situations like fire, accidents, war etc.
28. Secrets tunes sounds, etc. are used for conveying secret messages by
secret organizations.
Realia (Real objects, people, events etc.)
A number of nonverbal clues play an important role in oral communication.
When we meet a stranger and wish to interact with him, we observe his
Physical characteristics, his body movements, his facial expressions etc.
Nonverbal c communication is no substitute for verbal communication. It
merely supplements and reinforces what we say. There are occasions when
nonverbal clues may belie verbal communication. For example, a tiny, shabbily
dressed person may create a poor impression but he may later prove to be an
interesting person.
There is a language beyond verbal, linguistic and visual which is an
expressive and is loaded with denotative and connotative meanings. It has come
to be known as body language. Nonverbal language can be classified as:
Body language or Kinesics (gestures, body movements,
facial expressions, eye movements, postures etc.)
Paralanguage (laughing, yawning)
Nonverbal
Language Proxemies (perception of physical space)
Olfaction or body odour
Skin sensitivity (touch and temperature)
Dress (Cosmetics and grooming)
Body language : Body language is a comprehensive term used for the method
of communication through the different parts of the body other than the
tongue. It includes all sorts of body movements gestures, facial expressions,
postures, mining, touch etc. depending upon the physical space between the
communicators. Silence as a body communication also plays an important role
in certain exchanges. Body language, by and large, is unintentional and truthful
than verbal messages. It is easy to deceive a person by expression. A person
may smile and yet be a villain.
Gestures: In certain cases, gestures are used extensively when a person does
not know the local language. Deaf and dumb persons mainly depend upon
gestures for their sing language. In certain discussions, gestures of a person
convey much more than what he speaks e.g. Enthusiasm, attitudes,
emotions, etc. A gestures like shaking hand display friendship and warmth. Other
such examples are holding of hand, patting on a shoulder etc.
Facial expressions: Facial expressions are mostly emotional and exhibits
attitude. A smile expresses friendliness and affection. Rising of eyebrow conveys
surprise while furrowed forehead expresses worries and anxiety. Various parts of
the human body, particularly eyes are used for communicating information. Eyes
are the most significant organs which communicate subtle message.
Really speaking, eyes by themselves do not show emotion; but when they
associate with the other parts of the face; they are windows to the soul.
Squinting, winking, staring and gazing express a world of meaning. Looking at
the eyes face and other verbal signals during conservation perform certain
important functions:
1. Looking helps with the synchronizing of utterances.
2. It provides definite feedback.
3. It provides additional nonverbal information which elaborates verbal
messages.
Postures: Each movement or position of the body has expressive and defensive
functions. The way in which we sit or stand, walk in or walk out tells a lot about
our emotions and attitudes. But nobody movement itself has any exact meaning.
Just as spoken words assisted by gestures, posture is taken together with other
verbal and nonverbal clues. For example, lowering of head indicates the end
of the statement or the raising of the head indicates the end of the question. A
large number of postural changes indicate end point in interactions; for example,
the end of a thought or the end of a statement. A shift in posture shows that
something is happening. This aspect of body language is known as
Proxemics.
Dress and Appearance: The kind of dress we use and the way in which we
groom ourselves show our status and attitudes. Most of us are influenced by
how others look and the clothes they wear. Physical attractiveness plays an
important role in our assessment of the people. We consider attractive
people to be more successful, more intelligent, and more competent than those
who do not look or appear attractive. Persons physical appearance and dress
conveys a great deal of information about him. Our judgment or evaluation of
people is very much influenced by physical appearance. It exercises a definite
impact on the communication process.
Silence: Speech is silver, but silence is golden. It means silence speaks louder
than the words. It is a nonverbal language par excellence. It establishes the
relationship between communicators and their attitudes towards each other.
Movements of silence show that the parties are either confused or do not know
how to continue further conversation. In case of public speaking when the
speaker punctuates his remarks with periods of silence, it may mean that they
are used for stressing the importance of his message. In some cases, silence is
generalized. For example, when worker fails to complete his assigned job and
the supervisor makes enquires about it his silence speaks for the failure.
Visual Communication
Before the primitive man learnt to use the verbal communication, he might have
used nonverbal and visual signs for making him understand. He might have
used pictures, images, paintings etc. Preliterate man might have expressed
himself visually. The discover of alphabets led to a form of writing. Abstract
symbols replaced visual representation of objects. Following are the important
visual forms of communication today.
Communication nowadays:
1. Charts and graphs, 2 Pictogram, 3 Maps and plans, 4 Tables, 5 Slides, 6
Film strips.
In visual communication, very elementary and simple ideas, orders, warnings
are used. It can be effectively used only in combination with other media. The
diagrammatic representation combines the written with the visual. Pie charts and
pictograms also combine the two, because there is always a written indication of
what is shown in them. Such forms are very useful in the presentation of
statistical data.
Merits of Visual Communication
1. To overcome the language difficulty; charts, graphs etc. can be effectively
used for visual communication because they are easily grasped and
understood by the viewers.
2. To make the people remember the matter for a longer period; pictures and
graphs are the good examples.
3. To make comparisons easy.
4. To make the publicity work more effective, charts and graphs are
introduced. They change the attitude of educating them.
Demerits of Visual Communication
1. Charts, graphs etc. cannot be used for conveying all kinds of
information.
2. They are not suitable for discussions.
3. They are not suitable for explaining the ideas and their details.
4. They may convey misleading information.
GRAPHIC COMMUNICATION:
Their objectives and purpose
Importance of Graphic Language: The importance of graphic language can be
understood by comparing it with word languages by all those who are educated
and attend school or college, learn to read, write and speak it with some degree
of proficiency. Language is a highly developed system of communication. But
any single word in any language is not enough to describe the size, shape and
its relation with physical object. Engineering being an applied science, the
communication of physical facts must necessarily be complete and accurate or
else it may bring disastrous results. Qualities relationship can be expressed
mathematically. However, for designing machines and structures, graphic
representation is necessary. Major engineering drawings are made in line with
different views arranges in a logical system of projection. This is the language of
graphics which can be defined as the graphic representation of physical
objects and their relationship. Engineers have to study the language of
engineering graphics so that they can write it clearly for those familiar with it and
can read it readily when written by others. It is essential for an engineer to
master these specific modes of communication.
Modes of Communication
Verbal language Mathematics Graphics
Graphics is a device in which visual symbolism is applied for the description
and representation of objects and concepts. Skill in each type of language
enables an engineer to describe technical concepts accurately. Most of the
formal education is devoted to the development of languages and
mathematics. Graphics is the most important languages with which engineers
communicate.
Objectives of graphic communication
1. Graphic communication provides the ability visualize, and
2. Communication to design concepts and ideas.
With a set of drawings, an engineer can represent his thoughts and ideas on
paper. He makes possible structure of engineering projects such as bridges,
machines tools etc. on paper.
Business people are supposed to read many letters and reports every day.
Writings that contain a lot of statistics will usually be difficult to read and grasp
quickly. Such information would be much easier to comprehend if it appears in
the form of a graph or chart. One of the most valuable functions of a computer is
that it can produce charts, graphs, and other visual aids accurately, quickly and
easily. When statistical information is fed into a computer, a good graphics
programme can automatically turn it into an appropriate visual aid. Not only the
report containing visual aids easier to read but they also look more professional
and appealing. Many pages of prose appeal are difficult to read, even thought the
subjectmatter is fairly simple. A few well placed charts and graphs can make a
report appear more helpful to arouse readers curiosity and interest. Most
computer graphics programme can reproduce visual aids in color, making
then even more attractive and appealing.
Computer graphics are quite helpful to designers, engineers and research
scientists as they plan new products and test new theories. Now the use for
computer graphics, both in and out of the office, is being discovered all the
time. Computer can be used to produce maps, drawings, blue prints, network for
advertising and almost anything.
Pictograms: Pictograms represent figures by pictures. The best form is that in
which the value of a figure is shown by the size or number of figures shown. This
form is an effective way of representing information to general public.
Tables: Tables are useful for presenting statistical at a glance:
Example:
(Diagram)
Maps: Map represents on paper the earths surface or a part thereof showing
countries, rivers, mountains, oceans, roads etc. take for example, a Map of India
or a Map of Maharashtra State.
Signs and Signals: Nowadays, signs and signals are widely used to convey
messages, warnings, requests etc. They possess certain universal
characteristics, conveying the same meaning all over the world. The
fundamental difference between a sign and signal is, while signs are always
static, signals are dynamic. For example, Mathematical signs (+ or) are static
while the traffic signs etc. are dynamic. A sign is, therefore, like a still photograph
or picture, whereas a signal is like a movie.
Posters: Posters are used for displaying advertisements. They are mostly
displayed at strategic points so that they can easily catch the public attention.
Posters, nowadays, have become more effective for catching or attracting
public appeal. A well designed poster has a great visual public appeal. Poster
message can be visualized in a sample form and reaches all people irrespective
of whether they are literate or illiterate.
CHARTS AND GRAPHS:
Certain kind of information can be represented in the form of charts, graphs,
diagrams etc. They have however, certain limitations. They cannot be used to
record discussions, instructions and for legal arguments.
A chart shows the organization of something by representing its subdivisions
or the sequences of steps in that process. There are three main types of
charts (1) organizational charts, (2) flow charts and (3) block charts.
Organizational chart
This chart shows the drain of command in an organization. It can be observed
that the chain of command moves vertically form top to bottom and posts or of
equal ranks or status are aligned horizontally.
(Diagram)
Written communication
Nowadays, communication is possible through a variety of media. The
written form of communication includes letters, circulars, telegrams, memos,
minutes, questionnaires, manuals etc. Everything that is transmitted in the written
form falls in the category of written communication.
Written communication has certain merits and demerits.
Merits
1. Written communication can be accurate and precise.
2. It can be referred again and again till it is properly understood.
3. It serves as a permanent record.
4. It can serve as a legal document.
5. It facilitates to fix up responsibilities if needed.
6. It can cover a wide are as it a be sent wherever desired.
7. In case of written communication.
8. There are less chances of missing any point.
9. Even lengthy matters can also be transmitted.
10. It helps in reducing disputes as it can be referred as evidence.
11. It gives enough time to the receiver to think, understand and act.
Demerits (Limitations)
1. Written communication is time consuming.
2. It is a costly process.
3. Quick clarification of doubts and misunderstandings is not possible.
4. Addition or alterations, if required become expensive and time consuming.
5. There are great chances of leakage of the content.
6. It lacks personal touch.
7. There is a possibility of delay and redtapism.
Oral communication
It includes face to face conversation, talks on telephone, radio broadcasts,
group discussions, meetings, conferences, seminars, announcements and public
addresses. Here nothing is in black and white.
Oral communication has also certain merits and demerits.
Merits
1. Oral communication saves time and hence more important where timely
action is expected
2. In some cases it saves cost.
3. It is a more powerful means of persuasion and control.
4. It can convey different shades of meaning.
5. In oral communication, feed back is quick.
6. Quick clarification is possible.
7. It can help to establish and promote friendly relations.
8. It is useful when a group is addressed.
9. It is easy for understanding.
10. It is easy to modify the content of the message.
11. It is more flexible.
12. The speaker can sometimes withdraw his statement.
13. It is useful when quick actions are required.
Demerits:
1. Oral communication is not possible when the communicator and the receiver
are at distant places.
2. Lengthy messages cannot be conveyed through oral communication.
3. It cannot be retained for a longer period.
4. It does not have any legal validity.
5. There are great chances of understanding.
6. Responsibility for mistakes cannot be fixed.
7. It may have only temporary impact on the listener.
8. Receiver of the message may take less interest in accepting the oral
communication.
Oral Communication Written Communication
1. It is free form all formalities ; it is
informal
2. Oral communication cannot serve
as an
Evidence because no record can
be kept.
3. It can be delivered quickly. Hence
there is
No wastage of time.
4. It can be misunderstood in certain
cases.
5. The language of oral
communication can be changed.
1. It is formal in nature.
2. Being permanent in nature, it
can be preserved and can
become evidence.
3. It is time consuming and slow in
nature.
4. There are less chances of
misunderstanding.
5. Written communication is rigid
and cannot be changed.
6. It cannot be rescrutinized. Exact
review is difficult.
7. There is less accuracy.
8. It may be casual.
9. In oral communication there are
no symbols. It is easy.
6. It can be rescrutinized even
after an apse of time. One can
review whenever required.
7. More accuracy is possible
while preparing the statement.
8. It carries importance.
9. Written communication depends
on the use of symbols and
requires precise selection of
symbols otherwise it may
Lead to misunderstanding.
Media: Channels of Communication
Nowadays electronics has brought a revolution in the information
technology. There are many media which can easily pass on our message. Each
one has its own merits and demerits in a given situation. Selecting suitable
medium of communication depends upon the nature and urgency of sending
the messages.
Written communication
Media & Modes of
Communication
Oral communication
Written communication is transmitted by mail, telegraph, telex, and fax.
Email, news papers, notice boards etc.
Oral communication can be passed on by air vibrations when it is face to face
microphone, loudspeaker, telephone, radio cinema, T.V. etc.
Postal service: This is a government owned network service which usually
uses rail, road and air passages to link people within and outside the country.
Various types of services are valuable from the postal departments; for
example, mail, registered mail etc. It also includes Quick Mail Services like
express delivery, speed post, etc.
Telegraph: In most of the countries it is government owned network. It works by
transmitting different letters of the alphabets. It can be sent by express, ordinary
way or replypaid telegrams. It gives the impression of urgency and is used
when urgent action is expected.
Telex: It is an electronic device in which the message at the senders end is
exactly typed at the receivers end. A machine is fitted with a roll of paper and
messages can be transmitted continuously. The main advantage of this machine
is that no person is required to attend it. It types the messages automatically.
The received message can be acquired and read, even after the lapse of time.
If certain cases, Telex messages can be had on a screen, when moments to
moment information is required to be transferred; for example in the newspaper
office, share markets etc.
Telephone: It is the most useful medium of transmitting information for oral
communication. It allows two or more persons to exchange their views even
though they are not at the same place. Intercom and STD facilities nowadays
are available in all major cities of the world. It is an instrument which can be
used for instant communication. In certain advance countries, conference
facility is also available. Cordless and wireless telephones enable people to
contact even while they are in transit. It transmits not only the words which we
express but more significant part is that it also transmits the tone, the pitch of
voice of the speaker. Telephone communication is the most personal one. In
certain cases, it is cheaper than written communication. In this case, immediate
feedback is available and by this way lot of valuable time can be saved.
Telephonic communication does not, however, provide a record of what is
transacted and, therefore, the chances of misinterpretation are high. The receiver
in telephonic talk gets a chance to listen and interpret it. It is however, possible to
know the right frame of mind in conversation on phone. In several cases, there is
a possibility of breakdowns in communication channels which are more frequent
particularly in rainy seasons. Disturbances also occur due to cross
conversation because of environmental distractions. For some people,
conversion on a phone is a skill. A very few people can master it. It may be a life
line.
Telegrams: (Cable grams, and fax). In this case the use of language or printed
form must be precise and accurate. Unnecessary words and descriptions are
avoided to make it quite brief. The word STOP is used to avoid confusion. All
these are managed by Telecommunication Department and they are charged
according to the number of words used in the message of telegram or cable
grams. Fax messages are charged according to the transmission time it covers.
Telex and Fax facilities are now available throughout the country and outside the
country as well. In this case, the receiving operators presence is not required.
Telex messages can be received at any time of the day and it can be collected
later on. Hence it is most convenient for the organizations to send actual
information where immediate feedback is expected. The main advantage of
Telex and Fax are their quickness and accuracy. Fax is a machine which
produces a photo copy of a document on the receivers machine when the
document is inserted at the senders end. It reproduces as it is the entire
document from one end to another end almost instantaneously.
Radio: Radio is a medium of mass oral communication. News, notices,
announcements, advertisements, signs, conversations etc. are transmitted to the
public by radio communication. It permits only a one way mass media
communication.
Television (T.V.): Nowadays it has become a medium of mass
communication. It has got the advantage of audio as well as video facilities. It
has got greater impact on people that that of radio communication. It, however
allows only one way communication.
Film: This has become the most powerful medium of communication these
days. It is an audiovisual medium. It combines all possible forms, like written,
oral, and visual. A film can be shown either in a theatre or on a video.
Kinds of communication situation
Newspaper and magazine: These are mass media communication used by the
reading public and also by the organization for inviting tenders, recruitments,
notices etc. It keeps the public in touch with various activities of day to day
life.
Posters and bill boards: These are used to convey simple ideas. They convey
short messages. In these cases, location of posters plays an important part.
They are displayed on such a place which can catch the attention of the public
passing by. They are used for mass publicity and mass communication.
Notice boards: These are used in various organizations where internal
communication is important. Notice board is required to be properly located so
that the concerned people can observe it conveniently. The notices displayed
should be simple and properly worded so that the matter is grasped quickly and
easily.
Courier service: Courier service these days is under private sector agencies.
They collect the matter and or material and deliver it to the person at their exact
destination. Although the cost of providing such service is bit high people prefer it
as this service is quick and sure in delivering letters and parcels.
Hand delivery: In certain cases business organization make their own
arrangements to deliver their letters and articles, through their own employees. It
ensures prompt delivery. Even though cost may be little high, it is used when the
sure and quick delivery with a proof or acknowledgement for the sake of record is
required.
Photographic: Photographic mode of communication is used to recognize the
person and to verify his identify. It is visual presentation which is often more
effective in representing information.
Message: Forms and Content
Language is the expression of thoughts in the context of their environment. The
same language if used in different cultures may make difference. For example,
English language used in India and that in Britain carry different color and
meaning. We in India use sometimes English language and sometimes
connotation. Pronunciation also changes, as it comes under the influence of
local languages. Each language independently shapes the reasoning of its
speaker. Many times we change our language according to the person we are
talking with. There are different situations when we are required to modify our
language. For example, businessmans language is the central element of his
environment. The success of his business much depends on the way and nature
of written and spoken words he uses.
In any language, words are used as symbols. They represent certain meaning
attached to them. These symbols are understood differently by the sender and
the receiver ending this process in interpretation. Meanings of words not only
exist in words themselves but also in the minds of people who use them and the
way they are pronounced.
In sending messages, words and letters are the most common factors. We
write a letter because this is the most important mean of keeping oneself in touch
with those who are separated by distance. In the days before the emergence of
tele communication, letter was the only method used for sending messages.
Even though other means of sending messages are now available, letter is still
the most commonly used and important method of conveying messages. It helps
to maintain personal relations, serves as record and as a means of keeping other
parties informed. The speed of modern media has definitely changed and made it
impact in our day to day life. Media like Telex, Fax, Email have surely made a
difference.
Modern form of writing messages has become easy to understand and it
helps to cultivate and maintain personal relations. Progressive companies
believe in getting favorable responses if they write in a personal and informal
manner rather than by using old fashioned business jargon. A large amount of
printed and nonprinted matter that reaches the business people, executives,
managers is simple, informal and sincere in style as it receives greater
responses. Following are the useful and important hints for preparing form and
content of a message.
1. The message (written or oral) must create goodwill.
2. It must be as brief as possible. Because a brief message is easy to
remember.
3. Meaningless and outdated words and phrases should be avoided.
4. It should be simple in style so as to be easy for understanding.
5. Communication must be upto date and efficient.
6. Beginning of the message must try to establish personal touch with the
receiver.
7. Unfriendly and pompous terms be avoided.
8. Use of technical terms without enough explanation should be avoided when a
message is addressed to laymen.
9. The content of a message should make proper impression and convey its
purpose within a short period of attention it gets.
10. The manner in which a message is written in more important than the matter
it carries.
11. Good messages are easily readable.
12. It must attract favorable response from the receiver.
13. The message must be clear, precise and courteous.
Message (Form)
Oral Written
(Using words) 1. Letters
Face to Face orders, telephone talk etc. 2. Reports
3. Memo
4. Notes
5. Drafts
6. Notice
7. Resolutions
8. Minutes
IMPORTANT POINTS TO REMEMBER
What is Communication?
1. From Latin word Communis means common.
2. Transfer of information.
3. Convey thoughts and feelings.
Process of Communication
1. Desire to communicate (Message).
2. Sender of message.
3. Encoding message.
4. Medium.
5. Receiver of the message.
6. Decoding message.
7. Feedback.
Need of Communication
1. Transmission of ideas.
2. Fulfill organizations objectives.
3. Carry day to day activities.
4. Management function.
Importance of Communication
1. Life blood of business.
2. Establishes coordination.
3. Promotes understanding
4. for negotiations
5. Helps supervision
6. Motivates activities
Features of Communication
1. It requires at least two persons.
2. It is a continuous process.
3. It improves performance.
Functions of Communication
1. Gives information.
2. Gives expression to thoughts and ideas.
3. Works as motivator
Basic types of Communication
Oral
1. Modes
Written
Formal
2. Structure
Informal
Upward
3. Direction
Downward
Components of Communication
1. Communication is natural to all living creatures
2. Civilized persons can posses better communication ability.
3. Because of development of civilization, communication has become fast.
4. For transferring ideas we use words, symbols, sounds, signs etc.
5. Communication is basic social process.
6. Communication links are called channels.
7. The sender has to translate his message in a language.
8. From Receiver side, interpretation and decoding of message is important.
Communication process
1. Receiver behavior is important in receiving the communication.
2. Communication is complete when it completes two way process.
3. Sender puts his thoughts in coded message may be oral or written.
4. The skill of encoding depends upon knowledge and sociocultural system.
5. Senders success depends upon skill of writing and speaking.
6. Writing and speaking, gestures, facial expression etc. can be taken as a
message which transfer certain meaning
7. For transferring message, certain channel is required.
8. Interpreting of message can be taken as deciding where exact meaning is
found out.
9. The skill of reading and listening is important in decoding the message.
10. Feedback is in the form of message or response from the receiver to sender
of the message.
11. Face to face contact helps the listener to influence the speaker in oral
communication.
12. In case of written communication feedback is slow.
13. Feedback helps in modifying future communication.
14. Good summary helps in the process of answering the questions.
15. Senders status becomes a barrier in the process of feedback.
16. One should be sufficiently aware when others speak.
Modes of Communication [Verbal and Nonverbal]
1. Communication is a skill to acquire and it is essential for the success in life.
2. While speaking, man expresses his personality.
3. To establish effective rapport, eye contact is important.
4. Voice plays important part to become effective speaker.
5. While speaking it is necessary to have audience awareness.
6. Presentation of points while speaking plays important part.
Communication [NonVerbal]
1. Communication without use of words is nonverbal.
2. Maps, Charts, Graphs play important part in nonverbal communication.
3. There are two methods in nonverbal communication:
(i) Visual
(ii) Auditory
4. Visual which we can see [pictures, colors etc.]
5. Auditory where we can listen [bell, horn etc.]
6. Nonverbal is used to draw the immediate attention of receiver.
7. Attention of human beings can be immediately attracted to pictures, colors
and sounds which is more effective.
8. T.V. and Cinema are most powerful devices in conveying messages.
9. Pictorial representation is more powerful in case of mass communication.
10. Signals are more effective where instantaneous decisions are needed.
11. Nonverbal clues like Body language, Gestures, Facial expression,
Postures, Appearance, and Silence play important part in nonverbal
communication.
12. In case of visual communication, Charts, Graphs, Pictograms, Tables,
Slides, Film Strips play important part.
13. Charts, Graphs and similar other methods are more effective in education
system.
Written Communication
1. Written communication includes letters, circulars, minutes etc.
2. There are several merits and demerits in written communication.
3. Written communication is precise, permanent, and legally important and it
gives sufficient time to think and act.
4. Written communication consumes more time and rigid.
5. Oral communication is free from all formalities and consumes less time.
Barriers of Communication
1. Barriers of communication may be
(a) Mechanical
(b) Physical
(c) Psychological
(d) Linguistic
(e) Cultural
1. Exploring the receiver to understanding certain terms.
2. Wrong assumptions.
3. Tendency of generalization.
4. Interpretation of message in terms of speakers way.
5. Tendency to disapprove the statements of others.
6. Influence of group and others.
7. Selfimage which goes against listeners will.
8. Status and feeling that he knows everything.
9. Failure is understanding human nature.
10. Inefficiency in writing and speaking.
11. Use of words having different meanings [Semantic]
12. Cultural barriers Language influences behaviour of group and individual.
13. Language influences individuals and groups.
14. Feedback helps in reducing barriers in communication.
System to overcome the barriers
1. Proper information and listening.
2. Development of interpersonal relations.
3. Communication through action deeds.
4. Use of proper language.
5. Use of grapevine [informal communication]
6. Feedback.
Barriers to effective communication
1. Vagueness in communication.
2. Empty words.
3. Lack of clarity.
4. Improper transmission of message.
5. Nonlistening.
6. Insufficient time for adjustment.
7. Disturb of communicator.
8. Premature evaluation.
9. Fear in the minds of subordinates.
10. Laziness in transmitting message.
Methods of Communication Process
1. Message can be transmitted by:
(a) Verbal communication
(b) Writing
(c) Nonverbal (signs)
(d) Gestures
(e) Noise
QUESTIONS
1. State the importance of communication for the development of engineering
career.
2. Define communication and state the importance of communication for the
development of engineering career.
3. What is communication? What are the different meanings that can be
ascribed to the term?
4. What are the major objectives of communication? Explain them in brief.
5. State in brief the different features of effective communication in fulfilling the
objectives of an organization.
6. State, in brief, the basic types of communication?
7. Write short notes on:
(a) Need of effective communication.
(b) Importance of communication.
(c) Features of communication.
(d) Functions of communication.
(e) Basic types of communication.
(f) Verbal communication.
(g) Upward and downward communication.
(h) Formal and informal communication.
(i) Written communication.
8. Give in brief the main features of message preparation.
9. What are modes of verbal and nonverbal communication?
10. Explain, in brief, the ideas of Audience Awareness.
11. State, in brief, the essentials to become an effective speaker.
12. What is meant by nonverbal communication? Explain in brief.
13. Explain how nonverbal clues plays an important role in communication.
14. Write short notes on:
(i) Body language
(ii) Gestures
(iii) Facial expressions
(iv) Postures
15. Describe in detail the importance of visual communication.
16. Mention in brief the importance of graphic communication for education
purpose.
17. State the merits and demerits of written and oral communication.
18. Compare the merits and demerits of oral and written communication.
19. What are the different channels of communication? Explain them in brief?
20. Explain some of the barriers which prevent communication.
21. Write a note on psychosociological barriers in communication. What can
be done to overcome them?
22. Explain what is meant by communication gap. How does it occur?
23. What steps can an organization take to prevent communication gap?
24. What are the different barriers in effective communication?
25. Enumerate the barriers to communication in a classroom situation. Find our
how they can be overcome.
26. State the importance of effective communication.
27. Mention the basic principle of communication.
28. What are the main principles of effective communication?
+++
















CHAPTER-3
REPORT WRITING
3.1 INTRODUCTION
With the rapid development in industry and technology there has been a greater
pressure on technical professionals to improve their communication skills. Report
writing is a major from of communication in the professional world.
Report writing is a part of an engineers job. It is calculated that, an engineer
spends about 75 percent of his time writing reports. These reports are the end
products of their work and therefore are criteria for promotion in the job. A poorly
drafted report not only reflects poorly on the writer of the report, but may affect
his career. Survey after survey has emphasized the importance of good writing
skills for technical people. When the American Society for Engineering Education
conducted a survey to determine which academic subjects are most essential for
successful engineering careers in industry, they found that technical writing
ranked second among the 38 subjects most needed for engineering careers in
industry. This survey was conducted based on the responses received from
engineers who had several years of experience.
A famous corporation in the USA writes about the importance of the written
report in one of the technical report manual:
It (a report) us often his (an engineers) only tangible product. It presents his
investigation, his testing and experimentation. If his efforts are to count in the
judgement of his superiors, he must describe clearly what he has done. He must
show the significance of his work. And often the engineers written report is his
only contact with the management.
For the smooth running of an industry or a business organisation, the skills of
report writing are as essential as good equipment and quality raw materials. The
management of an organisation uses the written reports to perform two crucial
functions planning and control. The reports guide the executive in taking the
right decision and facilitate his evaluation of men and materials.
However, brilliant an engineer is, to convince his superiors, colleagues, clients,
supervisor and the public at large he needs to develop good writing skills. They
are his critical tools for success. His technical skills will be unnoticed,
unappreciated and unused if he cannot effectively communicate his technical
skills to others.
Report writing improves the power of discrimination, judgement, planning and
communication in an individual. Among many qualities that an engineer should
possess, the ability to write good reports is one.
3.2. QUALITIES OF A REPORT
A good report should posses the following qualities
3.2.1. Accuracy of Facts
The most important thing the report writer must know is to say the truth.
Inaccurate or incomplete information will lead to wrong decisions. Unless the
facts and details are clear, the writer should not make generalizations based on
it. Sometimes, due to the differences in individual perceptions of facts and
circumstance, accuracy may not be achieved. To ensure accuracy, it is expected
of the writer to follow the given guidelines.
1) The facts or data should be described in concrete terms instead of vague
expressions. Its better to say the company has incurred a loss of Rs.1
Crore in the year 199697 rather than the company has incurred terrible
loss.
ii) Quantities and numbers should be mentioned wherever required.
iii) Accuracy can also be got by the use of mathematical symbols, figures,
illustration, diagrams etc.
iv) The facts encountered during the investigation should be presented to the
reader regardless of whether they are important or not. This helps the
reader to gain a clearer perspective of the different details and will help
them in their understanding of the report.
v) All the report writers claims should be supported with substantial evidence.
A statement like in my opinion, it is advisable to start the textile industry at
Pune will prove ineffective unless it is backed with enough evidence.
vi) Accuracy can be assured if the report writer follows effective methods of
research, correct experimentation and proper observation.
vii) The use of poetic terms, figures of speech and vague expressions will rob
accuracy of matter.
3.2.2. SelfSufficiency
A good report should be selfsufficient. The report should clear all the doubts
and queries that arise in the readers mind. The reader should not have to refer
to other books or journals to verify the matter. The report writer must anticipate
numerous questions from the reader and draft the report covering all the
information the reader needs to know. The introduction of the report must state
clearly the nature of the problem addressed the conditions of study and the date
and time when the research was conducted. The report should also mention the
places visited, people interviewed, the journals referred, the expressions
conducted, the procedure followed etc.
3.2.3 Objectivity
Unlike literacy writings which ought to be subjective, technical reports should be
objective.
A report is not an expression of ones personal feelings. It is written not because
one likes to write a report but because the conditions demand it. Therefore, the
report writer should maintain a purely impersonal attitude through out the report.
The report should contain only scientific and technical details. Emotional
statements and imaginative ideas should be avoided. The conclusions drawn and
recommendations suggested should be based on reason. Prejudices and biases
should be checked from influencing ones writing. The choice of words and form
of sentences will to some extent influence the quality of objectivity, idioms,
phrases and descriptive words should never be used in a technical report. The
use of passive voice helps in conveying objectively better than sentences in
active voice, A report should be made weighty by the facts and arguments it
presents and not by sheer use of words. The subjective and the objective
descriptions of a building are given below:
The newly constructed building looks magnificent. Nowhere have we seen a
building of such beauty. All the people who have seen it have admired the
splendor of the architectural design.
The newly constructed building is of 25 floors. It is built using Jaipur Marbles and
granites which has lens the sheen to its walls. The architectural design was liked
by most people.
3.2.4 Effective Style
A good report should be written in an effective technical style. The features of
effective technical style are clearness, simplicity, directness, conciseness and
readability.
Clearness: The report writer should aim to express himself as clearly as possible.
Clarity can be achieved by using simple, short words instead of long, complex
and abstract words. The wrong choice of a word may lead to ambiguity.
Technical terms should be instead of vague or literary terms. The report
writer should be clear about the concepts before expressing it in paper.
Confusion in thoughts will result in confused writing.
Simplicity: Since the reader of the report is often a busy person, he expects to
read a report written in simple style to easily understand the matter. The report
writer should use short sentences instead of long complicated sentences. A
complex sentence with a clause can be made simple by substituting an infinitive
or a gerund. Simplicity can also be maintained by being brief. Given below are a
few sentences to show simplicity of style.
a) During the course of our research, we learned that (unedited)
Our research revealed that (edited)
b) The manufacturing costs were quite a bit lower than any of us thought to
be (unedited) the manufacturing costs were much lower than expected.
(Edited)
c) The problem with the present stock control system is that it cannot be
depended on. (Unedited).
The present stock control system is not dependable. (Edited)]
Directness: The reader of the report would prefer to read information given
directly since it saves his time. The report writer should use his discretion and
decide the form of sentences. The structure of sentence influences the
directness of expression. Directness will be lost when sentences begin with
vague subjects like It is .......... or These are .......... For example, the following
sentences lack directions:
There are complaints from people in the neighborhood that air pollution results
from the use of chemicals in our factory.
It can he made direct if it is reconstructed thus:
People in the neighborhood of our factory complain that the use of chemicals
pollute the air they breathe.
Directness can also be achieved when the more important facts precede the less
important facts.
Conciseness: The report should not be unduly long. It is possible to write a
concise report containing all the details if proper attention is given to the choice
of words. Verbosity or the use of too many words when few are sufficient is a
major setback to conciseness. Some of the commonly used wordy phrases which
must be avoided are
In the final analyses finally
As per your instructions as instructed.
The size of the report is 100 pages in the length the report contain 100 pages.
A large number of people are of the opinion that Many people believe that
Readability: The report should be written in a readable style. The correct use of
grammar, right spellings and proper punctuation will make the report readable.
The report should be neatly written in legible handwriting or properly typed
without any typographical mistakes.
3.2.5. Correct Mechanics
It is not enough if the report is factually correct. The correctness of the form is
also equally important. By mechanics we mean the rules and regulations laid
down for correctness of form. Since the technical report conveys scientific or
technical matter, the report writer can use mathematical or scientific equations to
communicate lengthy information in few words. When these equations are used
they should be set apart from the text. The chemical symbols and numerals
should not be used at the beginning of a sentence. Abbreviations of standardised
terms can be used freely in the report.
3.2.6 Interest
The written report should arouse the interest of the reader. Arousing the interest
of the reader is a difficult job. To do this the report writer must first understand his
audience very well. He should know their educational qualification, their financial
condition, their position within the organisation etc. He should also find out their
interests and needs, by catering to their interests the report writer can do an
excellent job. The reader will find the report interesting only if it proves beneficial
To them.
3.3. FORMATS
The three most common formats of writing report are,
i) Report in the form of letter.
ii) Report in the form of a memorandum.
iii) Report in the form of a book
3.3.1 Report in the Form of a Letter
This format is widely used today. This format is chosen when there is a close
association between the report writer and his reader, when the topic of the report
is not of a permanent nature, and when the subject matter is brief.
The format of a report in the form of a letter is very much similar to the format of
a business letter. It must have all the elements and qualities of a business letter.
The style of the report is expected to be positive and personal rather than
impersonal and objective. An impersonal and objective attitude is displayed in the
formal report.
The letter report differs from the business letter in the use of headings and
subheadings. Proper headings should be given to the paragraphs dealing with
different matter. The facts, results, conclusions and recommendations should be
systematically presented.
A specimen of a report in the form of a letter is given below.
Report on the possibility of opening a new fertilizer factory at Nasik.
NDIAN FERTILIZERS LTD.
Thane Belapur Road,
NaviMumbai400 708
15 May 1998
The Managing Driector
Indian Fertilizers Ltd.
Navi Mumbai.
Subject: Report on the possibility of opening a new fertilizer
Factory at Khopoli.
Sir,
In accordance with your instructions, given to me, in your letter No.512, of
6 May 1998. I visited the city of Khopoli and studied the prospects of opening a
new fertilizer factory at Khopoli. Here is my report:
Findings: Khopoli is chiefly an agricultural area. It population is about 10 lakhs. It
is famous for its high quality agricultural products. Khopoli is directly connected to
three important cities Mumbai, NaviMumbai and Pune. Roadways and Railways
link Khopoli to these cities.
Site: Through my survey I found that there are quite a few good sites available at
a reasonable price.
Electricity: Adequate supply of electricity is available in this town. The authorities
of the Maharashtra State Electricity Board have promised to supply industrial
current to our proposed factory at a lower cost per unit.
Labour: Skilled labour in Khopoli is much cheaper than in Mumbai or
Navi Mumbai. The chances of laborers going on strike are also very rare in this
area.
Water Supply and Raw Materials: Water supply facilities are satisfactory and
there is no dearth of raw materials in and around Khopoli. Khopoli can easily
supply the complete requirement of raw materials.
Conclusion: Since there is not a single fertilizer factory in the town of Khopoli,
inspite of it being an agricultural area, the demand for fertilizer products is very
high. The customers who have been ordering to fertilizers from Poona and
Mumbai will greatly benefit from our factory. Moreover since there is no good
fertilizer factory even in the neighborhood towns, there will be a heavy demand
for fertilizers. Therefore in my opinion the opening of the fertilizer factory at
Khopoli is a wise and profitable decision.
Yours Sincerely,
(K.R. Rao)
Secretary
3.3.2 Report in the Form of a Memorandum
This format is specifically used within the office or organisation. A memo report is
never used to communicate with people outside the organisation. A memo report
is used when the information to be conveyed is of concise nature and is devoid of
tables, diagrams and figures. A memo report is unlike a letter report both in
structure and form, the memo does not have the salutation and the
complimentary close which is present in a letter report. Memo reports are written
for various reasons to explain a procedure, to establish terms of contract to
document the progress of any event and to maintain a permanent record of any
transaction. Memos are often produced as evidence in the case of an
investigation or litigation.
A specimen of a report in the form of a memo is given below.
To: Mr. A. K. Sharma, Managing Director
From: Mr. K.V. Prabhu, Sales Manager Date: 15 June, 1998.
Subject : Causes of decline in the sales of Bubble Beauty soap in the year 1997.
Please refer to your Memo No. MD/5/15 dated 6th June, 1998 requesting me to
investigate the causes of decline in the sales of Bubble Beauty soap in the year
1997.
Findings
i) The 10% increase in the price of Bubble Beauty soap has displeased
majority of our customer.
ii) Some of our sales personnel and the retail shop owners have received
complaints form the public that the use of this soap has resulted in a dry
skin.
iii) Since there are many new and attractive brands of toilet soaps in the market
there has been a stiff competition resulting in the decline of our sales.
iv) Some of the retailers in the suburbs of the city have not received supplies of
Bubble Beauty soap.
v) On observation of the other soaps in the market, I have noticed that the
soaps that sell well have an attractive package. Fluorescent colours in glossy
papers seduce the customer into buying. Our Bubble Beauty soap does not
have this quality.
To overcome the poor sales of our Bubble beauty soap, here are some
recommendations.
Recommendations
i) Though the 10% price hike on our Bubble Beauty soap has displeased most
of our customers, it is not advisable to decrease the price of the soap now.
As an incentive to customer we can offer then attractive free gifts along with
the purchase of two Bubble Beauty soaps.
ii) The Glycerine content in our Bubble Beauty soap has to be increased so
that it does not leave a drier skin after every wash.
iii) Bubble Beauty soaps should be advertised widely and frequently through
out the country to attract greater number of customer.
iv) Supply of Bubble Beauty soaps should be extended even to the suburbs of
the city and even to small towns.
v) An attractive cover of glossy paper may attract the customers and therefore
it is my advice to change the carton of our Bubble Beauty soaps.
Our company is sure to incure extra expenditure for implementing the above
recommendations. But the resultant explosion in sales will certainly neutralize the
additional expenditure.
3.3.3 Report in the Form of a Book
These reports are also known as formal reports. They are usually long, running
into many pages. They may take the form of an essay, a pamphlet, a booklet or a
book. The deal with serious topics and are rich in information, the tone
throughout the report is impersonal and the style objective. The feature of a
report in the form of a book is:
i) It has a formal title.
ii) When the report is very long, it has a table of contents.
iii) A summary or an abstract is presented at the beginning.
iv) In the introduction and the authority under which the work is conducted.
v) The formal report should be divided into chapters and serious with proper
headings.
vi) The formal report can present tables, figures, graphics, charts or drawings to
supplement the information.
A formal report has all the features of a science text book. However certain
features like the table of contents and the division of the text into chapters and
sections can be avoided if the report is not so long. Usually, a book report deals
with a significant topic of long standing value. Since they have a lot of information
to be told, which cannot be condensed into few pages they are written in the form
of books. A book report has to be drafted with great care. A book report should
be structured into the following parts.
1. Front mater or prefatory parts.
2. Main body or text of the report.
3. Back matter or supplementary parts.
Front Matter or Prefatory Parts: The front matter in a book report should have
the following parts.
a. Cover
b. Title page
c. Preface
d. Acknowledgment
e. Table of contents
f. List of illustrations
g. Abstract
Main Body or Text of the Report: The main body of a book report should
consist of the following parts.
a. Introduction
b. Description
c. Conclusion
d. Recommendations
Back matter or supplementary parts: The back matter of a book report is
made up of the following parts.
a. Appendixes
b. List of reference
c. Bibliography
d. Glossary
e. Index
3.3.3.1 The Front Matter or the Prefatory Parts
The prefatory parts are the components of the report that precede the text. All the
prefatory parts can be easily drafted after completion of the report. All the
prefatory parts are explained in a sequence.
Cover: The book report should possess a good cover. The cover should have
the title of the report either printed on it or labelled. The writers name and the
submission date can also be printed on the cover,
The Title Page: The title page should contain further information about the
report. It should contain the title of the report, the name and title of the person,
group or organisation that authorised the report and the name and title of the
person or group that prepared the report and the date on which the report was
submitted. A specimen of a title page is shown below.
Report No. 128
A report
On
The Study of Fiber Optics
In Telex Communication
Prepared for
M. N. Sheikh
Chief Engineer
BEL
Prepared by
B. R. Veerapur
Senior Engineer
BEL
10 December, 1997
Preface: The preface is an introduction of the report to the readers. It gives the
gist of information contained in the report.
Acknowledgements: The name of persons and organisations that have directly
or indirectly helped the writer in the production of the report should be
acknowledged with thanks. Some of the expression than can be used for
acknowledgement is:
1. I thank.....
2 I am grateful.....
3. I am profoundly grateful.....
4. I am highly obliged to.....
5. My sincere thanks are due to.....
6. I am deeply indebted.....
7. I must acknowledge my obligation.....
Table of Contents: In a long report it is essential to have the table of contents.
The table of contents indicated in outline form the main topics discussed in the
report. Since the reader should have easy access to the information deals in the
report, the table of contents should be divided into headings and subheadings.
The headings used in the body of the report or the text are the basis of the table
of contents. Depending on the length and the complexity of the report, the table
of content may have only the main heading or may have subheadings. In a
complex and lengthy report it is better to include the secondlevel as well as the
third level headings. However, it will be easy for the readers to focus on the main
points if the table of contents is not cluttered with different levels of headings.
The correct page number should be shown against each heading; the headings
should be worded exactly as they are in the text of the report. Apart from the
headings in the text, all the components of the supplementary parts should also
be listed on the contents page. A specimen follows:
Synopsis or Abstract: A synopsis or the abstract is the summary of the report. It
precedes the main text in a long report. It presents a brief overview of the details
in the report. Thought the terms synopsis and summary sound synonymous.
There is quite different form one another. A synopsis, also referred as an abstract
is much more concise than a summary. It is essentially the table of contents in
the prose form. It merely outlines the main points of the report, while a summary
presents the substance of the report. A summary is supposed to be a mini
version of the report aimed at r5eaders who lack time to read the entire report.
Short reports do not need a summary. When a report is about 20 pages, a
synopsis can be used instead of a summary, but if it is longer than 20 pages, it is
advisable to write a summary.
3.3.3.2 Main Body or Text of the Report
The vital information on the topic will be found in the text of the report. They are
given under the following headings.
a) Introduction: The text of a report begins with a good introduction. The
introduction is written to serve the following important functions.
To inform the reader of the reports purpose.
To show the report in a broader context by relating it to a problem.
To preview the content and organisation of the report.
To establish the tone of the report.
The introduction may be brief or lengthy depending on the length of the report.
For a brief report it is sufficient to have a short introduction. On the other hand,
for a formal report it is necessary to have an introduction extending to several
pages.
The topics that are to be covered in an introduction are:
Authorization The name of the person or group of persons who authorised
the report. The date of authorisation. The manner of authorisation i.e. whether in
letter form, through memo or through memo or through telephone. The name of
the report writer and the due of submission.
The purpose and scope The reason why the report is written, the aim
which the report attempts to fulfill and the details that are covered in the report.
The background The factors that have given rise to the report. They may
be social, scientific, technical or historical. This enables the readers to know the
significance of the report.
Sources and methods The sources of information and the methods used to
collect data. These details add to the validity of the report and make the report
more convincing to the reader.
Organisation of collected data The different issues dealt with and the order
in which they are dealt. This helps the reader to know what follows next and why.
All theses items are expected to be in the introduction. As the introduction plays
a crucial role in arresting the readers attention, great cure has to be taken while
writing it.
b) Description: This part of the report usually consists of various headings
that present, analyze and interpret due data collected during the investigation.
These details from the proof of support conclusions and recommendations given
by the report writer.
Since all the details collected on the topic cannot be included in the body, the
writer ahs to use his discretion and decide on what to add and what to omit. The
amount of details to be included depends on the type of information, the purpose
of the report, and the preferences of the readers. There are some topics which
require to be explained in detail and some others which can be treated briefly.
The use of visuals, aid in providing more details in a letter space.
c) Conclusions: The conclusions form the final part of the report. They
contain the answers to the questions posed at the beginning of the report. They
contain the report writers analysis of the findings. Again, as in the introduction
the conclusions can be brief if the report is brief and longer if the report is
lengthy. The conclusion should be logically and systematically arrived at. They
should be effectively formulated so as to convince the reader of its validity. No
new information should be included in the conclusion.
d) Recommendations: Recommendations are given in the report to suggest
future course of action. They are written for specific reports, after gaining
permission from the authorised person. When the authorised person does not
ask for recommendation, the report need not have them. Whey they are called
for, the writer should present them in the descending order of importance. These
recommendations are particularly important in action intended reports or when
the report deals with an urgent topic.
3.3.3.3 The Back Matter or the Supplementary Parts
a) Appendix: An appendix is a supplementary part that contains information
related to the topic, but not included in the body as they are not directly relevant.
The materials that are included in the appendix are sample questionnaires,
computer printouts, statistical formulas, data sheets, derivations of equations etc.
Different types of materials require a separate appendix. The can be labelled as
Appendix A: Questionnaire, Appendix B: datasheets etc. it is essential to
mention and list all appendixes in the table of contents.
b) List of References: In the course of investigation, the report writer has to
refer to various books and journals to collect information. Information borrowed
from other published or unpublished works has to be cited in the text and listed at
the end of the report. It is known as the list of references. If there are fewer
references, they need not be enlisted at the end of the report, but can be
mentioned at the bottom of the same page in the form of footnotes. The readers
attention can be drawn towards the footnotes by marking the statement cited with
a star, an asterisk or a number. The footnotes should contain all the information
about the book referred like the title of the book and the author, the year of
publication, the name of the publisher and page no. Commas should be used to
separate the above notations. For e.g.:
Tom Miller, Communication skills, 2nd Ed, 19665 Pan Management Series, p.58
c) Bibliography: A bibliography is a list of books consulted when preparing
the report. It serves as a reading list to those readers, who want to know more
about the report. The bibliography presents in alphabetical order every source
that has been referred to in the text along with other books that has been referred
to in the text along with the other books that has been referred, but has not been
mentioned in the report. If all the sources referred have already been listed in the
reference, a bibliography seems unnecessary, but it is essential to have a
separate bibliography as it is a part of the formal report. Each entry in the
bibliography must be announced, that is comments can be made on the subject
matter viewpoint and the usefulness of the book. These annotations may be
written in complete or incomplete sentences but preferably in brief sentences.
For example: Tones, Ann. Complete Guide to Effective Communication Skills
England: Dawson Associates, 1990. Thorough review of communication skills.
Two parts: written and oral skills 300 pages,
d) Glossary: Glossary is the explanatory list of abstruse, obsolete, dialectal or
technical terms that are used in the report. If the list is long they are given in a
separate section at the end of the report, it they are few they can be explained in
the footnotes. Usually a glossary is included only when the readers of the report
belong to a different area of expertise and are not familiar with the technical
terms mentioned on the report.
e) Index: An index is an alphabetical list of names, places and subjects
mentioned in the report with the page numbers written against it. It is the last item
of a report or a book. It is very useful to the reader as it helps him to quickly
locate any information he wants. The index is written only for long reports as the
table or contents do the job of the index in shorter reports. In unpublished reports
it is not necessary to include the index.
3.4 EXERCISE
1. Explain the important of report writing skills in the Engineering Career.
2. What is a report? Enumerate the qualities of a good report.
3. What are the different forms of a report? Discuss their use and importance.
4. Define and explain the tern Report. State the characteristics of a good
report. (B.U. May 95)
5. Explain the structure of a formal report. (B.U. May 95)
6. What are the functions of reports in modern business? (B.U. Dec 95)
7. How does a letter form a report differ from a memo form report? (B.U. Dec
95)
8. Why is a book form preferred for a long report? (B.U. Dec 95)
9. Suggest five basic elements of a report. (B.U. Dec 95)
10. Why has the importance of reports increased in our times? (B.U. May 97)
11. Discuss briefly the main factors you would bear in mind in order to cultivate
an effective style for report writing. (B.U. May 97)
12. Why do engineers need training in report writing?
13. What is the main difference between an oral report and a written report?
14. What is meant by logical organisation of a report?
15. What is the essential difference between Committee report and a report
written by an individual?
16. Explain the role of recommendations in report? (B.U. May 96)
17. What is the difference between on abstract and a summary? (B.U. May 96)
18. What are the main subdivisions of the front matter, main body and back
matter? (B.U. May 96)
19. List out the different types of reports, explaining each one of them. (B.U. May
97)
20. Define the terms: glossary, index, and appendix. (B.U. May 97)
21. What are the four elements of a title page? (B.U. Dec 97)
22. What is an abstract? What does it do? (B.U. Dec 97)
+++












CHAPTER-4
MEETING DOCUMENTATION
Writing of a Notice, Agenda and Minutes of Meeting
4.1. INTRODUCTION
Meetings are a regular feature in every organisation. An organisation cannot
function effectively without these regular meetings. They are a chief form of
communication in every organisation. Effective meetings prove to be an useful
forum for making key decision and cocoordinating the activities of people and
departments.
4.2 Why are Meetings Called?
A meeting is called for some purpose, the purpose may be
To give and receive new ideas.
to exchange information and share experience.
to discuss and solve problems.
to inform the members on the plans already made and the work completed.
to resolve quarrels, misunderstanding and disagreements.
to discuss important matters pertaining to business.
4.3 PROCEDURE OF CONDUCTING MEETINGS
An organizational meeting is convened by the chief of the organisation. He
presides the meeting and appoints a responsible person as the secretary of the
meeting. Thereafter the secretary is given the duty of arranging further meetings.
The secretary has to decide about the day, date, time and venue of the meeting
in consultation with the chairman. He should also decide about the number and
the names of the members to be included in the meeting. Discretion should be
used in inviting members. Only those people who are likely to
contribute to the common goal should be invited. Those people who have selfish
motives or those who sit dumb as dead weighs are better to be avoided.
However, the notice of the meeting must be sent to all those who have the power
to attend.
The next step in arranging the meeting is to issue a notice and plan the agenda.
4.3.1. Notices
A Notice is brief information written to intimate the members about the meeting.
The notice should have details of the day, date, time and place of the meeting;
the notice should contain the name and address of the organisation and the date
of circulation. If the meeting due to be scheduled is of a brief nature with only a
few items to be discussed, they can be mentioned in the notice itself. It there are
many items of business to be transacted, they should be
written in a separate sheet and enclosed with the notice as annexure.
4.3.2 Agenda
The term agenda literally means things to be done, with reference to a
company. Therefore, it means the items of business to be considered at a
meeting. Though the agenda of a meeting has no legal significance, it is of much
practical importance. The agenda enables a meeting to discharge its objectives
in a proper order. When the agenda of the meeting is known as the members
prior to the meeting it serves several purposes:
It will intensify the members expectations about the meeting, lending them
a more positive attitude.
It will keep the members thinking about the topics before hand, resulting
better contribution of idea towards the discussion.
The agenda will positively influence the efficacy of the meeting by having a
clear purpose and a clear outcome.
The agenda will avoid diversion of the topic which often arises in meeting by
checking the members in time.
4.3.3. Drafting an Agenda
The agenda of the meeting is usually drafted by the secretary in consultation with
the chairman. If the agenda forms a part of the notice, only the items to be
discussed should be mentioned as the other details are written in the notice.
There are two methods of preparing the agenda paper. According to the first
method, the list of items to be discussed in the meeting should be mentioned
point wise on the left hand side of the sheet. A side margin should be left on the
right hand side so that notes taken in the meeting can be recorded against the
item of business. These notes will assist the Secretary in writing the minutes of
the meeting.
In the second method, the list of items of business to be transacted is explained
in greater detail. The agenda, is so worded that, by changing a few words, the
agenda paper forms the final minutes of the meeting
Ideally the first item on an agenda should be the minutes of the previous
meeting. The other items should be listed in the order of importance. The routine
matter can be put towards the endof the list. Each item of business should be
given a number as it facilities not only filing of information, but also easy access
for reference in future. If the meeting forms one of a series of meetings,
then the item number in the agenda should bear the number of the meeting. For
example, if the meeting is the third meeting. Then the items in the agenda can be
numbered as follows:
3.01 Minutes of the previous meeting
3.02 Payments
3.03 Transfer of shares
3.04 Register of members
3.05 Next meeting
If the meeting is of a highly official nature, it is better to indicate the time against
each item in the agenda. This ensures precision and allows equal time to be
allotted to each item. It also avoids unnecessary discussions and prolonged
disagreements among members in the meeting.
4.3.4. Minutes
The written records of the proceedings of a meeting are known as minutes. The
dictionary meaning of the term minutes is, a note to assist the memory. The
object of writing minutes is to record the fact that a meeting was held and that it
arrived at certain conclusions. These minutes are written by the secretary of the
meeting as soon as the meeting is over. The secretary or the person
appointed to write minutes should be alert in the meeting and jot down points as
the meeting progresses. Important decisions, valuable, suggestions, and the
conclusions reached should be written in the minutes. The minutes should not
be very lengthy, nor should it be too brief at the cost of clarity. It should be an
organized summary of the business transacted in the meeting and should be
presented in a clear, concise and precise manner. The minutes of a meeting are
supposed to be valuable documents of a company. They serve as legal
records and are included to be preserved for years. When the
minutes of a meeting are entered in the minute the company and signed by the
chairman, they become the official records of the company. No erasures should
be made in the minutesbook. Ordinary ruled Quarto books can be used as
minutebook. These minutes books should be maintained properly. They should
be properly ruled, the pages should be numbered, and every page of the
minutebook should be initiated or signed by the chairman. The minutesbook
should have an index. The index should contain entries about the subject and the
number of minutes.
4.3.4.1. Kinds of Minutes
Minutes can be recorded in two ways. These two methods are:
a) The minutes of Resolution and
b) The minutes of Narration
a) Minutes of Resolution: In this method only the resolutions are recorded
and no reference is made to the discussion.
b) Minutes of Narration: In this method along with the resolution, a brief note
or the discussions and the various motions considered in the meeting can
be written. The minutes of narration are widely preferred.
4.3.4.2 Writing the Minutes
The minutes must present a fair and precise summary of the proceedings at the
meeting. As in the agenda, even in the minutes, the difference points
mentioned are given a specific member to facilitate reference in future. The
minutes are written point wise according to the sequence of events. Such
minutes serve as official records they have to give the following details:
Name of the organisation
Nature of the meeting
Day, date, time and venue of the meeting
Number of the meeting, if it is one of a series
Constitution of the meeting
Names of the chairman and the secretary
Names of all the members present
Names of the members who were not present in the meeting
Names of those members who were specially invited.
Record of transactions
Appointment of officers
Name of members dissenting from and not consenting to the resolution, the
number of votes cast in favour and against.
The minutes should not contain the following matter:
Information that may defame a person.
Irrelevant or insignificant information of the proceedings of the meeting.
Information that may be detrimental to the interests of the company.
The chairman of the meeting has the absolute right to decide about information
to be included in the minutes. The minutes of a meeting should be drafted very
carefully always keeping in mind that, they may be referred to after the lapse of
many years. They should be written first in rough and after gaining the consent
and suggestion of the chairman, should be written in fair. The minutes thus
recorded become valid only when they are read in the succeeding meeting and
are approved by the members. After the approval of the members, the chairman
signs the meeting.
Example No. 1: Notice Agenda and Minutes and Minutes of a Third Meting
of the Board
Of Directors
SAI MARBLE INDUSTRIES LIMITED
Registered Office: 20, Mahatma Gandhi Road,
Mumbai 400 008.
12 December 1997
Notice
Notice is hereby given that the Third Meeting of the Board of
Directors will be held in the registered office of the company, 20,
Mahatma Gandhi Road, at 11.00 a.m. on Monday, 2 January
1998.
The agenda is attached.
Nitin Kumar
Secretary
To Member of the
Board of Directors
SAI MARBLE INDUSTRIES LIMITED
Mumbai 400 008.
12 December 1997
Agenda
Agenda for the Third Meeting of the Board of Directors to be
held at 11.00 a.m. on Monday, 2 January 1998 at 20, Mahatma
Gandhi Road, Mumbai.
3.01 Confirmation of the minutes of the last meeting.
3.02 Confirmation of the appointment of Directors
3.03 Appointment of the Managing Director
3.04 Appointment of solicitors
3.05 Issue of prospectus
3.06 Date for the next meeting
3.07 Any other matter with the permission of the chairman.
Nitin Kumar
Secretary
SAI MARBLE INDUSTRIES LIMITED
Minutes
Minutes of the Third Meeting of the Board of Directors held
at the registered office of the company (20, Mahatma Gandhi
Road, Mumbai) at 11.00 a.m. on Monday, 2 January 1998.
Present : Sri S. R. Shetty Chairman
Sri Sudhir Kumar
Sri Uday Chandra
Shri Bharath Bhushen Directors
Shri Amar Hegde
Sri K.R. Kutty
In attendance : Sri Ntiin
Kumar, Secretary
Sri Satish Shah, Solicitor
No. of Subject of minutes Details of
Minutes Minutes
3.01 Confirmation of the minutes The minutes of the
meeting
of the last meeting held on October 20,
1997
was signed by the
chairman.
3.02 Confirmation of the The secretary informed
that
appointment of Directors all the Directors present
had
accepted the office and
signed the agreement to
tale the required number
of
qualification shares.
3.03 Appointment of the Resolved: That Sri
Sudhir
Managing Director of the Kumar be appointed
Company Managing Director of the
Company.
3.04 Appointment of Solicitors Resolved: That messrs
Cheddha and Sharma, R.
B.
Road, Pune be appointed
Solicitors of the company.
3.05 Issue of prospectus It was decided that the
45
solicitors should at the
next
Meeting produces a draft
of
The prospectus to be
issued
In March 1998 inviting
Application for the
shares.
3.06 Next Meeting The Secretary was
directed to
Call the next meeting of
the
Board on March 1998.
S.R. Shetty Nitin Kumar
Chairman Secretary
Example No. 2: Agenda as a part of the Notice and Minutes of the First
Meting of the Directors of the Company.
THE RED ROSE LTD.
Queens palace
10. K.C. Road,
Mumbai 400 0077.
10 January, 1997
Notice
The first meeting of the Directors of the company will be held at
3 p.m., on Tuesday 22 January, 1997 in Room No. 12,
Queens Palace. The agenda is given below:
Item No. Particulars
Note
1. Election of chairman
2. Incorporation and appointment
3. of Directors
3. Appointment of officers etc.
4. Appointment of Bankers
5. Approval of Prospectus
6. Fixing date for the next meeting
7. Any other business permitted
By the chair
Chairmans
Initials
46
Minutes
The Red Rose Ltd.
Queens Palace,
10, K.C. Road
Mumbai 400 077.
Minutes of the first meeting of the Directors of the company held
at 3 p.m.,
On Tuesday, 22 January, 1997 at Queen Palace.
Present : U. A. Bansal
D. C. Kulkarni Directors
J. K. Bhattacharya
S. A. Thomas
M. M. Pandey Secretary
V. G. Kurup Solicitor
1. Election of the chairman: Shiri U.A. Bansal was elected
chairman of the meeting.
2. Incorporation and appointment of Directors: The secretary
produced certificate of Incorporation, dated 21 November,
1996 and reported that all the directors present had signed
the usual acceptance of office and had applied for the
necessary qualification shares.
3. Appointment of officers: Resolved: That Shri U.A. Bansal be
appointed chairman of the Board.
Resolved: That Shri M. M. Pandey be and is hereby
appointed secretary of the company.
4. Appointment of bankers: Resolved: That the Bank of
Maharashtra (Chembur Branch) be and they are nearby
appointed bankers of the company.
5. Approval of Prospectus: The solicitor produced the draft of
the proposal prosecution to be issued inviting application for
shares.
6. Next Meeting: The secretary was directed to summon the
next meeting of the Board for Wednesday, 23 February, 1977
at 4.30 p.m.
Place : Mumbai Sd/
Date : 22.1.97 Chairman
47
Example No. 3: Agenda as a part of the Notice called for the 2nd Annual
General Body meeting of a CoOp Hsg. Society.
Happy House Cooperative Housing Society Ltd.
Gulmohar Road, Juhu, Mumbai 400 016.
3 November, 1997
Notice
Notice is hereby given that the 2
nd
Annual General Body Meeting of the
Society will be held on 28 November 1997 at 2.30 p.m. in the Societys
office at Happy Home coop. Hsg. Society, Juhu, Mumbai 400 016, to
transact the following business. All members are invited to attend.
Agenda
1. To read and confirm the minutes of the first Annual General Body Meeting
held on 23.11.19996.
2. To consider and adopt the Annual report of the Managing Committee.
3. To appoint internal auditor, statutory auditor and also accountant for the
year 1997 to 1998.
4. To bear the expenses of the leakage in all drainage lines and walls of the
societys buildings.
5. To apply and get passed the plan of additional FSI for society from
concerned authority.
6. To construct bore well for solving water problems that may arise in future.
7. To admit new members to the society.
8. To collect long pending dues from members.
9. To discuss about the security of the society.
10. To transact any other business that may be brought forward with the
permission of the chairman expecting those requiring proper notice.
For on behalf of
Managing Committee
(S.K. Pawar)
Example No. 4
GOKHALE COLLEGE OF ENGINEERING
Hamilton Street, Mumbai 400 065.
10 December 1998
Notice
A meeting of all HODs and Sr. Lecturers will be held at 2.00 p.m. on
15 December 1998 in the Principals cabin to discuss the following
matters:
Agenda
1. The morning assembly
2. The Christmas vacation
3. The unit tests
4. Syllabus completion
5. The sports day
C. N. Ramachandran
(C. N. RAMACHANDRAN)
Principal
Minutes
GOKHALE COLLEGE OF ENGINEERING
Hamilton Street, Mumbai 400 065.
Minutes of meeting of all HODs and Sr. Lecturers held on 10
December1998 at 2.00 p.m. in the principals cabin.
Present : Dr. C. N. Ramachandran
Dr. Shashidhar R.
Dr. Radha Achar
Mr. Pattabhirama Somayaji
Mr. Ravishankar Rao
Mr. Parinitha Punja
Mrs. Manjula K. T.
Mrs. Aruna Shenoy
1. The Morning Assembly: The functioning of the morning
assembly was discussed at length. It was decided that the
opportunity to give the thoughfor theday should be extended to
students in the II semester. All the lecturers maintained that
background music is provided to enhance the effect of the national
anthem sung. It was decided to take strict action against those
students who do not attend the assembly.
2. The Christmas Vacation: All the eligible teachers would be
granted Christmas vacation of 10 days. The tentative dates being
24.12.1998 to 04.01.1999.
3. The Unit Tests: It was decided to hold three unit tests, and the
dates to conduct the unit tests were decided to be
11.01.99 to 13.01.99 for the first unit test
11.02.99 to 13.02.99 for the second unit test
11.03.99 to 13.03.99 for the third unit test
4. Syllabus Completion: It was decided to complete the entire
syllabus by 31 March 1999, so as to close by 03.04.99. This would
enable the students to prepare well before time for the university
exams scheduled to commence form 03.05.99.
5. The Sports Day: It was decided that the finals sports meet would
be held on 25.01.99 in the college grounds.
C. N. Ramachandran
(C. N.
RAMACHANDRAN)
Principal
Example No. 5
CHINMAYIACRYLON LIMITED
Gurupura
Gurudwara Road, Dist, Moradabad (U. P.)
10 September
1998
Notice
Notice is hereby given that the 15
th
Annual General Meeting of the
members of Chinmayiacrylon Acrylon Ltd., will be held on Saturday,
the 26
th
day of September, 19998 at plant premises of Chinmayi
Acrylon Ltd., village Gurupura, Gurudwara Road, Dist, Moradabad
(U.P.) at 10.30 a.m. to transact the following business:
Agenda
1. To receive, consider and adopt the Audited Accounts for the year
ended March 31, 1998, Directors Report and the Auditors
Report thereon.
2. To appoint a Director in place of Mr. Prafful Chandra, who retires
by rotation and, being eligible, offers himself for reappointment.
3. To appoint a Director in place of Mr. Vittal Alva, who retires by
rotation and being eligible, offers himself fore reappointment.
4. To appoint a Director in place of Mr. Jayaprakash Rai, who retires
by rotation and being eligible, offers himself for reappointment.
5. To appoint Auditors and fix their remuneration.
By order of the Board
Chinnmayi Acrylon
Limited
New Delhi Kiran Shankar
Dated: September 10, 1998 Company Secretary
Example No. 6: Minutes of a Nonregistered organisation
Minutes of nonregistered association Mahila Sabha (Matunga
Branch)
A meeting of the Managing Committee of the Mahila Sabha was held
on Tuesday 11 March, 1998 at 3.30 p.m. at Mahila Sabha Office,
Maharshi Karve Road, Matunga, Mumbai 400 065.
Members Present
1. Mrs. Aparna Muley
2. Mrs. Hema Rao
3. Miss. Shantala Bhat
4. Mrs. Shobha Warrier
5. Mrs. Tulasi Iyer
6. Miss. Rama Naidu
7. Mrs. Raji Menon
1. Minutes of the Meeting: The minutes of the Managing
Committee meeting held on 10 February, 1998 were confirmed.
2. Handicrafts Exhibition and Sale: It was decided to hold the
handicrafts exhibition cum sale on Sunday 10 May 1998 in Kelkar
hall, Matunga and the members were requested to help the
programme a success.
3. Donation to the Orphanages: It was decided that clothes,
books and other useful items should be collected from willing
donors, and distribute it to the children in the nearby orphanage.
4. Vote of Thanks: As there was no other business to be
transacted the meeting ended with a vote of thanks to the chair.
Date Sd/
11.3.1998 Chairman
Example No 7: Notice along with agenda of a sports club.
SAMATA SPORTS CLUB
D.N. Road, Andheri,
Mumbai 400 58
12 January 1998
Notice
Notice is hereby given that the Annual General Meeting of the
members of our sports club will be held at the premises of the club at
Andheri on Sunday 28 January, 1998 at 3.30 p.m. to transact the
following business.
Agenda
1. Confirmation of the minutes of the previous meeting.
2. Admission to new life members.
3. Purchase of sports items.
4. Auction of old sports goods.
5. Date for the next meeting.
6. Any other matter with the permission of the chairman.
Kamal Shah
Secretary
To all members of Samata Sports Club.
Example No.8: Notice, agenda and minutes of the students council
meeting.
GOKHALE COLLEGE OF ENGINEERING
Hamilton Street, Mumbai 400 065.
2 December 1998
Notice
Notice is hereby given that a meeting of the members of the students
council will be held in room No. D/4, at 2.00 p.m. on Friday, 6
December, 1998 to discuss the proposed dates and programme of
the college Annual day function.
The agenda is attached.
Anand Rajan
Secretary
To members of the
Students council
GOKHALE COLLEGE OF ENGINEERING
Hamilton Street, Mumbai 65.
2 December 1998
Agenda for the meeting of the members of the students council will
be held at 2.00 p.m. on Friday, 6 December, 1998 in room No D/4.
1. Read notice about convening the meeting Chairman to explain that
the meeting is held to discuss about date and programmes of the
college annual day function.
2. Deciding the date for the annual day function.
3. Cultural programmes to be held.
4. Prize distribution ceremony.
5. Selection of the chief guest.
6. Arrangements at the venue.
7. Any other relevant matter with the permission of the chairman.
Anand Rajan
Chairman
GOKHALE COLLEGE OF ENGINEERING
Minutes of meeting of the members of the students council held in
room No. D/4 on Friday, 6 December1998.
Present : Mr. Anand Rajan Chairman
Miss. Anita Noronha Secretary
Miss. Namita More
Mr. Vejesh Nair Member
Mr. Prakash Shinde
Mr. Abhishek Singh
1. Object of the Meeting: The chairman explained the reason why
the meeting was called and what were the objectives of the meeting.
2. Fixing the date of the Annual Day Function: It was decided to
hold the
Annual day function on Sunday the 21
st
December, 1998, from 6.30
p.m.
3. Cultural Programmes: The student council decided to keep a
few select programmes of dance and drama.
2. Classical group dances
1 Folk dance in group
1 Short skit in Marathi
1 A one act play in English.
2. Slots be kept for music
4. Prize Distribution Ceremony: It was decided to keep the prize
distribution ceremony at the end from 9.00 9.30 p.m.
5. Chief Guests: It was unanimously decided to invite Mr. T.
Chandrasekhar the Commissioner of Thane as the Chief Guest for
the function.
6. Arrangement at the Venue: Mr. Vijesh Nair and Mr. Abhishek
Singh were directed to supervise the arrangement of the venue.
Anita Norohna Anand Rajan
Secretary Chairman
4.4. Questions
1. What is a Notice? Why is it used?
2. Define an agenda? What are its uses?
3. Explain the terms Notice of meeting, Agenda and Minutes of the meeting.
4. What is an agenda? Why is it important to give an agenda before any
meeting?
(May 95)
5. Define the tern minutes. Explain the need for writing minutes of every
meeting.
(Dec 95)
6. While drafting a notice for calling a meeting, what points should a secretary
consider? (Dec 95)
7. What are minutes? Explain the purpose of recording the minutes of a
meeting? (May 97)
+++















CHAPTER-5
Memos, Short Informal Reports,
And Progress Reports
As noted in Chapter 1, experienced scientists and engineers rate shorter types of
technical and professional communication as being among the most important for
success on the job: memos or short informal reports, including progress reports.
The memo or short informal report is a one-to four-page document, usually
single-spaced and usually written to someone within the writers own company or
organization. It may note the existence of a problem, propose some course of
action, describe a procedure, or report the results of a test or investigation. The
memo may take the form of a letter or a short informal report. The organization
and format of letters are discussed in Chapter 11, and those of the short informal
report are discussed in this chapter. The term informal here does not mean
sloppy or casual or carelessly done; an informal report should be as carefully
prepared as possiblethoughtfully written, neatly typed or word-processed, and
thoroughly proofread for errors. It may be short or long; short informal reports (or
memos) will be discussed in this chapter, and long informal reports (or memos)
will be discussed in this chapter, and long informal reports are discussed in
Chapter 15. The term informal refers to the format in which the report is
presented, and that will be described below. As with other informal reports,
progress reports may be long or short, depending on the size of the project being
discussed. Short progress reports will be discussed in this chapter as a type of
short informal report. Long progress reports are a type of long report and are
treated in Chapter 15.
5.1 THE STRUCTURE OF MEMOS AND SHORT REPORTS
Memos, short informal reports, and progress reports all share the basic features
of reports discussed in Chapter 12. They are all read by a variety of
Figure 5-1 FOREWORD, SUMMARY, AND DETAILS SECTIONS OF A
SHORT INFORMAL REPORT; MOVEMENT FROM GENERALIZATION AND
CLAIMS TO DATA AND SUPPORT
Watson Telephone Laboratories, Inc.
Lincoln Hill, NJ 07123
To: Dr. J. C. Smith
Manager, Low-Energy Research Group
From: Catherine Doe
Mechanical Systems Engineer
Positron Research Group
Subject: Positron Beam Experiment: Reducing Delays
Date: February 5, 1989
Foreword: In your letter of January 23, 1989, to Dr. D. Newman, Director of the
Positron Research Group, you expressed concern about the numerous delays in
the positron beam experiment. Dr. Newman attributes most delays to the 10
hours required to pump the vacuum system down from atmospheric pressure to
an acceptable operating level and have asked me to investigate means of
reducing these delays. This report recommends a solution for reducing the
delays.
Summary: The purchase of a gate valve for the Vac-Ion pump was found to be
the optimal solution to the delay problem in the positron beam experiment.
Addition of the gate valve will reduce evacuation time to 3 or 4 hours, cost no
more than $600, and present no installation problems. The use of a larger fore
pump was seen as the only alternative approach, but this would require
extensive modification of the vacuum system, cost approximately $1100, and
give no improvement in the evacuation time.
Details: The excessive time required to obtain a suitable vacuum, 10
-7
torr or
less, is primarily due to contamination of the ion pump. When the vacuum system
is opened to the atmosphere, the entire inner surface of the system and the ion
pump itself become contaminated. The contaminated surface then outgases
considerably upon evacuation, keeping the pressure high for more than 10 hours.
The two possible solutions to this problem are to avoid the contamination
altogether or to decontaminate more quickly.
The proposed solution would avoid contamination by the installation of a gate
valve on the Vac-Ion vacuum pump. This would allow the ion pump to remain in
operation even while the rest of the system is open to the atmosphere, thus
preventing contamination of the pump. This would be a major improvement,
since only the relatively small surface area of the rest of the vacuum system
would become contaminated, and evacuation time would be reduced to 3 or 4
hours. A suitable gate valve costs $500 to $600.
The rejected alternative, the purchase of a larger pump, would speed the
decontamination of the vacuum system, but cost too much. Replacing our
present 120 ft
3
/min fore pump by an 800 ft
3
/min pump would reduce the
evacuation time to about 4 hours. However, an 800 ft
3
/min fore pump costs
approximately $1100, and its installation would require substantial modification of
the vacuum system.
Thus, I recommend the purchase and installation of a gate valve as the best
method for reducing delays in the positron beam experiment.
If you have any questions, I would be happy to answer them.
Audiences: by technical experts in the field as well as by managers and other
nonexpertsthe busy, inattentive, and perhaps uninterested readers described in
Chapter 3. Thus, the memo or report should be accessible to all these readers
and responsive to their needs and reading habits.
As part of their accessibility, all these reports share the basic structural features
described in Chapter 12 and summarized in Figure 12-3. They all have a
Foreword (the statement of the problem) and Summary (the main results and
other important information a manager needs to know) written for managerial and
nonexpert readers. (A short company report to a small, knowledgeable audience
sometimes may combine the Foreword and Summary into one section which
may be either unlabeled or labeled with a local label such as Overview.) All of the
reports move from general to particular throughout the reportthat is, they order
generalizations or claims before data and support. Thus, short reports are
organized so that a busy managerial reader (a reader who wants to read no more
words than are absolutely necessary) can stop after the Foreword and the
Summary. The Discussion or Details section gives the extra information needed
by technically involved readers: support for the claims in the Summary or extra
details needed to implement or fully understand the solution proposed.
To see how a short report illustrates these features, examine the report in Figure
5-1. As did the reports in Chapter 12, the main text of this report begins with a
Foreword, which poses a problem: there have been frequent delays in an
experiment because of the excessive time required to pump down a vacuum
system. Since these delays are undesirable, the writer has been asked to reduce
them. This Foreword is followed by a Summary which reports the writers
solution: buy a gate valve for the vacuum pump. The Summary also tells why this
is a good solutionit will reduce evacuation time to acceptable levels, cost no
more than $600, and present no installation problems. Notice that these
advantages address the managers concerns. Before a manager could approve
the purchase of the gate valve, she or he would need to know the cost (only
$600), the benefits (reduction of delay), and the implications (no installation
problems). In addition, the phrase no installation problems implies other useful
information: that there should be no more problems with the unit and any unusual
work or resources required.
5.2 THE FUNCTIONS OF MEMOS AND SHORT REPORTS
The view of reports and memos in Chapter 12 stresses their persuasive nature
that they are basically arguments of fact or policy (described in Chapter 4) which
the writer is presenting to the reader. For instance, a progress report claims that
the writer (or the writers group) has made certain progress and then supports
that claim with evidence and documentation of the progress. A final report
presents the results of an investigation (the writers claim about some state of
affairs) along with the data to prove that the investigation was done carefully and
appropriatelythat is, with the proof that the writers vision of reality is true or
defensible. In all the reports/ memos in Chapters 12 through 14, the writers are
making arguments of fact or policy and providing support.
However, the writers do more than provide support for current readers. They are
also providing crucial documentation for future readers, for those who may need
to continue, extend, test, or defend the writers work. This function is crucial in all
reports but is especially pressing in the progress report. Progress reports are
written before the entire project is completed. The documentation of what has
been done is important, since the only other sources of information about current
work on the project are usually notes and workbooks in a form only the writer can
understand. If something happens to the writeran accident, an untimely death, a
job changethen those who must continue the project need to have the earlier
work available in a usable form. Thus, the progress report becomes a convenient
vehicle for spelling out conclusions and for assembling data at regul ar intervals. If
the writer has finished some library research and discovered something
important for the project, she or he should spell out the discovery and provide a
relevant Bibliography. If the writer has designed a part or developed a process
flowchart or derived an important mathematical relationship, that work should be
documented by including the relevant material either in the body of the report or
in an Appendix. That work shouldnt have to be done again if something should
happen to the writer.
Short reports can serve a wide variety of functions, as illustrated by the short
reports in Figures 5-2 through 5-6. The two reports in Figures 5-2 and 5-3 serve
complementary functions and provide two views of the origin of a report
addressing an organizational problem. The memo report in Figure 5-2 illustrates
a response to a request for problem solving. In this situation, someone other than
the writer (here a supervisor) has identified a problem and requested the writer to
deal with the problem: someone other than the writer has initiated the situation to
which the writer is responding. In the response, the writer outlines the problem
generating the request for action in the first paragraph, recommends a solution to
the problem in the second paragraph (the unlabeled Summary paragraph), and
provides some arguments to support its recommendation in the rest of the report.
(The attachments mentioned in the report are not included in Figure 5-2.)
In contrast, in the report/memo in Figure 5-3, it is the writer who identifies a set of
problems which no one else has noticed before (a drain of the time of usability
specialists) and who thus initiates the writing of the report. The report first
outlines the problems and proposes a solution: hire a usability researcher. The
report then goes on to provide the information that a manager would need to
approve and process the request without having to wait for another memo on the
duties and qualifications of the new usability researcher: the report provides a job
description for the new position and a list of the qualifications needed by the new
researcher. Thus, this report is a complete little package totally initiated by the
writer: it identifies the problem, identifies the solution, and identifies the
information needed to implement the solution. It does everything but actually hire
the applicant!
The report in Figure 5-4 is a short test report which gives the results of a series of
tests, along with the methods and criteria used in carrying out the tests. Such test
reports are important because they provide empirical data for managers to use in
making often difficult decisions with technical and financial implications. They
also provide an important source of material for lawyers in product liability suits
who are trying to justify (or attack) the companys decisions or for managers who
are reviewing earlier decisions. Unfortunately, test reports are often written so
frequently and quickly that they become compressed into the bare bones of the
results, without adequate context setting or specification of methodology or
interpretation of the test results needed by later audiences.
Figure 5-5 presents a self-assessment written at the end of the work year. It
provides at least some of the information which the writers supervisor will use in
evaluating the writers performance for promotions and raises. According to the
writer,
My strategy in writing this was to inform my supervisor of the kinds of work that I
had been doing during the past year. I had the feeling that my supervisor was not
really aware of what I had been doing and, because her appraisal of me is
important to my future, I wanted to make sure she was not missing something.
By the way, the rating scores that my company uses mean the following: The
scale is 1-5. A 5 rating is practically superhuman. A 4 is above the average
(consistent 4 ratings put someone in line for a promotion). A 3 means youve
done a good job, but not really out of the ordinary. A 2 means there is a
deficiency, and a 1 means youd better watch out because you could lose your
job real soon.
Figure 5-6 presents a trip report whose purpose is to document that the writer
went on the trip and is justified in having certain expenses paid. Trip reports also
allow writers to tell their organization what they saw, concluded, or recommended
as a result of the trip.
EXERCISE 5-1
Compare the reports in Figure 5-2 and 5-3 for similarities and differences in types
of information and relative amounts of space devoted to various sections.
5.3 THE FORMATTING OF MEMOS AND SHORT REPORTS
In addition to their structure, the reports in Figures 5-1 through 5-6 demonstrate
two other notable features about memos and short informal reports: the format of
the heading information and of the text of the report.
Formatting the Heading of the Memo and Informal Report
The memo and the short informal technical report begin with a heading segment,
which typically gives the following information. (Distribution, Enclosures, and
References are optional.)
To: Name of reader, job title
Readers department
Readers organization
Address of readers company or organization
(Sometimes included)
From: Name of writer, job title
Writers department
Writers company or organization
Address of writers company or organization
(Sometimes included)
Subject: Title of report (Subject may be replaced by Re or RE,
For Regarding)
Date: Date
Dist: Distribution list of other people receiving the report (omitted if there is no
distribution list)
Encl: Enclosures; other documents which are included with the report (omitted if
there are no enclosures)
Ref: References; list of particularly important background documents (omitted if
there are no such documents)
Often, memos and informal reports are written on company letterhead, special
company stationary that has the companys nameand usually the address and
phone numberalready printed on it. If the memo or report is written on
letterhead and if any of the above heading information appears in the letterhead,
then it is not repeated in the to, from, or Distribution items. Thus, a typical
heading on letterhead paper would include the following information for the to
and from parts of the heading. The letterhead information is in bold.
Name of Company or Organization
Name of Department (if included)
Address and Phone Number of Department or Company
To: Name of reader, job title
Readers department (if not in letterhead)
From: Name of writer, job title
Writers department (if not in letterhead)
Note that the heading segment is easy to read because of its format: liberal use
of white space and aligned columns. It is also functional, because the first
information it gives is the information readers need first.
It is obvious why writers need to put the subject and date on the report and why
they need to give the name of the reader and writer. They give the subject to
define the purpose of the report and to predict what kinds of information the
report will present, and they give the date to indicate when the report was written.
It may be less clear why they need to give the job title, department, and
organization of the reader and writer. These are provided because, at one level,
documents are written not to people but to and from the occupants of particular
jobs. Thus, it needs to be clear what job or position a person holds. Note that
none of the information is presented more than once at the beginning of the
report. If the names of the organization and/or the department are included in the
letterhead, then these do not reappear under the to and from headings. If they do
not appear in the letterhead, then they must appear under the headings.
Figures 5-7 and 5-8 present two different heading segments with appropriate
organization of information. Note that Figure 5-7 is written on organizational
letterheadno department or division is specified in the letterheadand so
Optoelectronics Department must appear under the names of the reader and
writer. In contrast, Figure 5-8 is written on departmental letterhead, and so
Optoelectronics Department does not need to be repeated. If the reader had
been in a different departmentsay, in the Finance Departmentthen the
appropriate heading segment would be that of Figure 5-9. Notice that the writers
department appears in the letterhead but not under his or her name, whereas the
readers department appears under his or her name and not in the letterhead.
The rest of the information remains the same.
Formatting the Text of the Short Informal Report and Memo
Each main section of the report/memothe Foreword, the Summary, and the
Discussion (or Details)follows the previous section, with only a double or triple
space between sections. A clearly visible heading indicates the beginning of
each section and announces the contents and, if possible, the point of the
Figure 5-7 HEADING SEGMENT FOR SHORT INFORMAL REPORT/MEMO ON
ORGANIZATIONAL LETTERHEAD
(No Department or Division Specified)
AEI American Electronics Incorporated
To: Mr. John Nicol
Chief Optoelectronics Engineer
Optoelectronics Department
From: Khalil Najafi
Assistant Optoelectronics Engineer
Optoelectronics Department
Date: October 30, 1989
Subject: Liquid Crystal Displays: Analysis of Failure and Recommendations for
Solution
Dist: Mr. Edward Jones, President
Section. If there are Appendixes, they begin on a new page at the end of the
report/memo. Formatted short informal reports and memos appear in Chapter 12
as well as in this chapter, and the overall structure of an informal report/memo
appears in Figure 5-10.
Section headings should be as informative as possible. Notice that the headings
in Figures 12-1, 5-2, 5-4, and 5-5 are especially informative. For instance, the
headings in Figure 12-1 not only announce the type of information to be found
performance information and cost informationbut they also tell the reader what
point is being made about these sections: aerated lagoons have superior
performance and aerated lagoons have superior cost characteristics (are
cheaper). Such informative headings make it very easy for the reader to read
quickly. Indeed, they allow a reader to know the main point of a section without
having to read it. As with other reports, short reports and memos should use
white space and formatting to indicate structure.
EXERCISE 5-2
Examine the section headings in the figures in Chapter 5. If the headings are
very general (such as Details), see if you can suggest more informative
headings.

+++
15
Long Reports
15.1 THE LONG INFORMAL REPORT
The long informal report is quite similar to the short informal report. Both are
written for readers within the writers organization; both use the To, From,
Subject, Date heading segment; and both are formatted so that each section
follows the previous section with only a heading and a double or triple space
between sections. However, the long informal report is different from the short
report in two important ways: (1) the long report is longer, and (2) because of its
length, its Discussion section is organized differently to make a greater amount of
technical material accessible.
If you examine the table of contents of the long informal report at the end of this
chapter, the similarities and differences between the long report and the short
report are obvious. Let us focus on the differences. As illustrated in Figure 15-1,
the Discussion section has three main subsections: the Introduction to the
Discussion, the main Proof or Development section, and the Conclusions and
Recommendations section. As a whole, the Discussion restates the material in
the Foreword and Summary, but for a technically competent and interested
reader. The Discussion gives the technical details, technical reasoning, and data
that the technical reader needsin contrast to the general orientation to the
subject that the managerial reader needs. How does the Discussion do this?
The Introduction to the Discussion
The Introduction to the Discussion is the first part of the Discussion: it restates
the Foreword in terms meaningful to the technical reader. The foreword
[DIAGRAM]
Focuses on the implications of the problem for the managerial reader by
presenting the problem in terms of safety, cost, efficiency, quality control, labor
relations, or compliance with legal regulations. In contrast, the Introduction to the
Discussion focuses on the implications of the problem for the technical reader: it
defines the technical nature of the problem or outlines technical assumptions,
values, sub problems, background, or resources relevant to the problem.
For example, consider the following two examples. The first was written by an
electrical engineer at a company making heaters, fans, and portable lights, and
its Introduction to the Discussion focuses on the technical nature and details of
the problem. The second was written by a harried inventory controller, and its
Introduction to the Discussion focuses on the technical background.
Example 1
Foreword
Because of increasing competition in the home appliance market, Electronic
Design Division is evaluating the operating convenience and marketability of its
less successful products. As part of this effort, I was asked to evaluate a
proposed control circuit for our combined heater, light, and fan; to document any
problems with this circuit; and, if necessary, to design a new control circuit. This
report presents my evaluation and new design.
Introduction to the Discussion
Ms. Durkis of Marketing has requested a simpler control switch for our combined
heater, light, and fan. I have evaluated a preliminary design for a circuit which
could turn on all three units by flipping a single switch and then remove power
from one or more of the units by depressing another switch. The design for the
control circuit was built around three relays and claimed to operate by picking
these three relays in different combinations to produce the desired switching
capabilities. the following sections detail the preliminary design of the circuit and
its problems, a revised design, and a cost analysis of the revised design.
Example 2
Foreword
During Photons recent companywide expansion program, the inadequacy of our
inventory numbering system became apparent. Thus, I was asked to design a
more efficient and systematic numbering system based on our departmental
needs and expected growth. This report provides an overview of the system and
its response to our needs.
Introduction to the Discussion
The present inventory (parts) numbering system has been in use for almost 5
years. At the time of its conception. Photon did not have the computer
capabilities it has now, nor did it envision the growth it has recently experienced.
Because of these factors, the current parts numbering system is quite basic and
limited. As the quantity of parts increased over the years, the numbering system
could not efficiently keep track of them, nor could it assign new part numbers on
a systematic basis. (In fact, new part numbers were assigned on a purely random
basis.)
Last month, Photon underwent one of its most comprehensive expansion
programs to date and suffered critically from the present numbering system.
Often customers had to wait for us to reorder unexpectedly depleted supplies,
and our Inventory Department logged hundreds of hours of overtime. Thus,
management decided to do away with the present system and develop a new
one. This report documents the various departmental needs identified, the
computer-assisted inventory control system I have designed, and features of the
system directly responding to the needs.
The different emphases of the Foreword and the Introduction to the Discussion
are reflected by these examples. For instance, in the second example, the
Foreword states the problem generally, devotes only one sentence
Table 15-1 DISTRIBUTION OF CONTENTS IN THE FOREWORD AND THE
INTRODUCTION TO THE DISCUSSION
Introduction to the
Foreword Discussion
Managerial problem 35-70% 0-20%
Technical problem or assignment 5-35% 60-80%
Purpose/Forecast of contents 10-30% 0-25%
to it, and presents it in terms relevant to managerial concerns: the inventory
system is inadequate. In contrast, the Introduction to the Discussion states the
problem in more detail, devotes the first one and one-half paragraph to it, and
focuses on what particular technical reasons made the inventory system
inadequate: for instance, the numbering system could not efficiently keep track
of them, nor could it assign new part numbers on a systematic basis. (In fact,
new part numbers were assigned on a purely random basis.)
These different emphases of the Foreword and the Introduction to the Discussion
are reflected in Table 15-1, which presents the relative percentages of each
devoted to the managerial problem, the technical problem or assignment, and the
forecast of contents. Notice that the Foreword devotes proportionally more of its
space to the managerial problem, whereas the Introduction to the Discussion
devotes more of its space to the technical problem.
EXERCISE 15-1
A A student complained that she was having trouble with the following
Foreword that it was more like an Introduction to the Discussion than a
Foreword (and she was right). Turn it into a Foreword by eliminating
details unnecessary for a managerial reader. Feel free to rewrite
sentences or to move information around.
Foreword
Flutter is a phenomenon in which structural instabilities arise from
aerodynamic loads. In aircraft, these instabilities are often characterized
by divergent oscillations of the wings, resulting structural failure and
possible loss of the aircraft. Flight flutter testing involves the tracking of
damping estimates of the excited vibration modes at different flight
conditions.
The violent nature of flutter makes safety an important concern during
flight flutter testing. As with any flight test program, cost is also a major
concern. Our objective at Smith is to provide safe testing at the lowest
cost. Costs can be lowered by decreasing flight time. This requires
utilizing the fastest analysis technique that will meet the accuracy
requirements that safety demands.
Presently, we have available two software packages for data analysis
during flight flutter testing. They are
1 the Power Spectral Density (PSD) Package
2 the Random Decrement (Randomdec) Package
The main objective of each package is to determine damping estimates of
the structural modes. It was assigned to do a comparison study of the two
packages looking at two questions:
1 How accurate are the damping estimates?
2 How much time is required for the analysis?
These questions are concerned with safety and cost, respectively. The
purpose of this report is to present the findings of my study and to make
some recommendations concerning future testing.
B When you have finished with your revision, compare it with the Foreword
in Figure 14-2 and to the revisions done by several of your classmates.
Discuss the differences among the versions.
Conclusions and Recommendations
The Conclusions and Recommendations section appears at the end of the
Discussion section and gives information a specialist reader might want in
addition to that needed by the manager. It might include the most important
technical results which led to the conclusions and recommendations, and it might
be technically too complex or difficult for the managerial reader. When possible,
the Conclusions and Recommendations section should move from
generalizations or claims to data and support. The Conclusions and
Recommendations section contrasts with the Summary in that it provides more
technical detail and assumes a higher level of relevant technical knowledge.
For instance, consider the Summary and the Conclusions and Recommendations
presented below from a report written by a geologist to the Milton Township
Council. (The Foreword is given first to orient you.) Unless you are a geologist,
you probably wont understand all the information presented in the Conclusions
and Recommendations, though you should easily find your needed information in
the Summary.
Foreword
Within Milton Township, the greatest industrial and residential development has
occurred in areas with limited groundwater resources. This development has
already created water shortages and a need to deepen existing wells; more
seriously, it has greatly handicapped or prevented the development of new
industry. Thus, the township council authorized Moody and Associates to locate,
if possible, several high-yield water wells to provide a sufficient municipal water
supply. The purpose of this report is to describe the successful location of sand
and gravel materials with excellent groundwater-yielding capability.
Summary
We conducted studies and six test drillings to locate an area in which a reliable,
high-quality, municipal water well field could be developed. We have located
such a site.
Results: Four of the six wells drilled were productive and penetrated sand and
gravel suitable for development of municipal wells. Each of the four productive
wells showed very good water-producing capability, yielding 300 to 500 gallons
per minute. Further, the wells produced water of generally excellent quality,
though with a potentially high but treatable concentration of manganese. One test
well showed manganese concentration now high enough to require treatment,
and there is concern that manganese levels in all the wells might increase to
such a level. However, this would not prevent development of the well field, and
additional study will be required to determine of manganese removal is
necessary at all.
Conclusions: Production wells complete4d at the test well sites should more
than supply the townships current and future needs. Analysis of test data
indicates that such production wells could produce over 2 million gallons per day,
twice the townships projected requirements. Further, if the water-bearing sand
and gravel are as extensive as we project them to be, yields up to 5 million
gallons per day could conceivably be developed.
Recommendations: We recommend that the property tested be acquired for
development as a municipal well field. The property is unique in its supply
capability within Milton Township, and a well field on this property should meet
any present and foreseeable water requirements within the township.
Conclusions and Recommendations
Conclusions: Six test wells were drilled, four of which penetrated sand and gravel
suitable for developing adequate municipal wells.
1 The relationship of geologic units encountered in Test Wells 1 through 6 is
interpreted and presented in Plate 1 [not included here]. Two aquifers were
identified; an extremely thick aquifer was encountered in Test Wells 2, 5,
and 6 ranging in thickness from 78 to 125 feet, and a deep aquifer was
encountered in Test Well 1 extending from 150 to 185 feet. There is
theorized to be limited hydraulic connection through fine-grained units
between the two aquifers. Some degree of connection between the deep
aquifer and upper aquifer was established by the rapid rise in water levels
in Test Well 1 observed during a heavy rain in September 1989.
2 A conservative estimate of the yield from the upper aquifer is 2.0 mgd.
Aquifer data indicate this could be produced by pumping any combination
of two wells among Test Wells 2, 5, and 6 (assuming manganese in Test
Well 2 proves acceptable). Ultimate production from a French Creek well
field could prove to be in the 3.0 to 5.0 mgd range.
3 It is difficult to estimate the maximum production available from the lower
aquifer encountered in Test Well 1 because this unit was not identified in
the other five test wells. Based on the data from the pump test of Test Well
1, the yield of the lower aquifer is estimated to be 0.5 to 1.0 mgd.
4 The water quality from all wells is good, with the exception of the
anomalously elevated manganese found in Test Well 2. Iron and
manganese were present in all other wells but in acceptable
concentrations. If there is a source of manganese (none has been
identified to date) in the immediate vicinity of Test Well 2, there is concern
that due to the extremely high permeability of the aquifers, the high
manganese groundwater could migrate toward the other wells with long-
term pumping.
Typically, the water is moderately hard to hard, with hardness ranging from
approximately 7 grains in Test Well 1 to 10 grains in Test Well 5 to 14
grains in Test Well 2.
Recommendations: Based on results from drilling and sample analysis,
the following tests and land purchases are recommended.
1. A short pump test (8 hours) should be conducted on Test Well 2 to recheck
the iron and manganese concentrations in this well.
2. In order to stress the aquifer as heavily as possible and simulate municipal
well field operation, a pump test should be conducted on Test Well 6 with
an attempted pumping rate of 700 to 1,000 gpm for 48 hours.
3. In order to secure the existing test wells, provide a buffer around these
wells, and permit some aquifer test drilling, it is recommended that the
township purchase property roughly rectangular in form extending 800 feet
north and 800 feet south of Test Well 1 and west to the abandoned railroad
tracks. This would be approximately 40 acres. If obtaining this acreage is
not feasible, then it is recommended that at a minimum the township obtain
property extending 800 feet north and 800 feet south of Test Well 1 and
600 feet to the west of Test Well 1. This would be approximately 22 acres.
It is also recommended that a long-term option be obtained on the Barco
property south of Test Well 2 and southwest of Test Well 3 for potential
long-range future well field development.
The Conclusions and Recommendations section of this well report was
written for geologists: it assumes a certain level of technical knowledge which a
non geologist would not have and implies conclusions which are not directly
stated. For instance, item 1 of the Conclusions assumes that the reader knows
what an aquifer is (a writer-bearing layer of permeable rock, sand, or gravel). It
assumes that the reader will see the facts in item 1 and know that they mean we
found water that we can use. This conclusion is implied, but not directly stated.
Item 2 assumes that the reader knows what mgd means (million gallons per day),
that a community the size of Milton Township would use only about 1 mgd, and
thus that 2 mgd or 3-5 mgd would be more than enough water for the township.
This item implies that enough water was found, but it does not directly state it.
Item 2 of the Recommendations assumes that the reader known what gpm
means (gallons per minute).
This kind of assumed and implied knowledge is common in texts written for
experts. However, when non geologists read the Conclusions and
Recommendations section of this well report, they encounter many problems of
vocabulary, assumptions, implications, and missing connections, and have
serious problems understanding the text. Thus, you should not write this way in
the sections of the report intended for non specialist readers, such as the
Foreword and Summary.
We should note that although experts can understand the type of text in which
generalizations are only implied, they appreciate the direct presentation of
generalizations, such as those in the summary above:
We have located such a site (in which a reliable, high-quality, municipal water
well field could be developed).
Four of the six wells drilled were productive and penetrated sand and gravel
suitable for development of municipal wells.
Each of the four productive wells showed very good water-producing
capability.
The wells produced water of generally excellent quality.
Specialists appreciate such directly stated generalizations because they make
the text easier for even the specialist to read. The specialist does not have to do
the mental work to translate a fact into a conclusionfor instance, to translate the
fact that the yield from the upper aquifer is 2.0 mgd (from item 2) to the
conclusion that we have found enough water for the township. Thus, a direct
general-to-particular structure, such as that presented in Chapter 12 with
generalizations specified up front, is recommended even for specialist readers.
EXERCISE 15-2
A The following Foreword and Summary were written by an engineer at Jur-
Kay Carriers, a moving company specializing in long-distance hauling.
Unfortunately, the engineer provided far too much detail for the busy
managerial readers of this report. Your job is to write a new Foreword and
Summary which give a proper (and short) overview of the problem and
proposed solution. Try to make each section no longer than 100 to 150
words. Then write an Introduction to the Discussion and a Conclusions and
Recommendations section. A Table
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CHAPTER-6
The Proposal
A proposal requests supportusually moneyfor work that a proposer wants to
do. It could be written to a funding agency and propose to conduct a scientific
research project; it could be written to the managers of a company and propose
to solve a problem within the company; it could be written to a customer and
propose to provide services or products which the customer needs. In any event,
the person or group receiving the proposal has its own interests and goals, which
may or may not coincide with those of the proposer. Thus, the proposal must
convince the person who receives itthe potential funderthat the proposed
activity will be a good investment, that is, that the activity is worthy of support
and will advance the funders goals, produce high-quality results, and do all this
better than other activities competing for the same funds. To make things even
more difficult, the proposal must make these arguments to busy readers trying to
divide too few resources among too many applicants.
To be successful in this environment, you must quickly and clearly answer the
questions a potential funder will bring to any request for support:
What does the proposer want to do?
How much will it cost?
Is the problem important and relevant to the funders interests?
Will the proposed activity solve or reduce the problem?
Can the proposed activity be done? Will it duplicate other work?
Is the method or approach appropriate, clearly defined, and well thought out?
Can the results be adequately evaluated?
Is the proposer qualified to do the activity or work? Better qualified than others?
Will the results of the activity be available to others?
Are the proposed schedule of activity and budget reasonable?
Answers to these questions will depend on the particular guidelines, interests,
and standards of particular funders. To be sure that your proposal meets the
expectations of a given funder, you should examine whatever literature you can
find on the funders goals or interests. For example, if you are thinking of
submitting an unsolicited proposal to a private company, you might first want to
consult published reviews of the company and the companys annual report to
see if your proposed project fits into its agenda of activities and then talk to
someone at the company about the companys needs.
In the case of solicited proposals, the best initial source of information is usually
the Request for Proposals (RFP) given out by the funder. To avoid being
inundated by inappropriate proposals and to provide guidelines for reviewers,
funding agencies usually put considerable time and thought into the wording of
RFPs. Therefore, you should read the RFP very carefully before deciding
whether to send a proposal to that particular agency. If your proposed project
and the RFP do not match up, you would do well to look for another agency.
Even if there seems to be a good match between a companys needs or an RFP
and your project, you never know unless you first check with a relevant company
manager or the project officer at the funding agency. Its better to make sure
youre on the right track early on than risk losing months of time on a proposal
that has no chance of winning. Therefore, at some point early in the proposal
process, its a good idea to call the relevant company manager or project officer
and make sure that your project truly fits the companys or agencys interests. In
many situations, the manager or project officer plays a major role in the decision-
making processscreening submissions, selecting reviewers, presenting cases to
the final selection committee, etc. Talking with the manager or project officer
allows you to make sure that he or she understands the nature of your project.
(Written preproposals serve the same purpose, but not all companies or
agencies accept them. If you are seeking support from some institution that does
accept preproposals, you would be foolish not to take advantage of such a good
opportunity for early feedback.)
The penalties for failing to have the right information are severe: failure in the
proposal process and much wasted time. This is illustrated in the following
commend aimed at university proposal writers, but appropriate for a more
general audience.
For many of the agencies issuing RFPs [Request for Proposals], the colleges
responding with proposals are automatically rejected unless proposal instructions
are completely complied with. Others are more subtle. They simply imply or
interpret inability from the proposals inability from the proposals inability to meet
the RFP criteria. Either course is negative.
1
6.1 THE ORGANIZATION OF A FORMAL PROPOSAL
Most proposals follow the general outline presented in Figure 6-1, an outline
similar to that given in Chapter 4 for the argument of fact and policy. Indeed, you
could argue that a proposal is an argument of policy (the funding agency should
fund this proposal) based on several embedded arguments of fact (the problem
is important, the activity proposed will alleviate the problem, the proposers are
qualified to do the work proposed, etc.).
The general outline should be adapted and modified according to the needs of
the readers and the demands of the topic proposed. For instance, long or
complicated proposals might well contain all the sections shown in Figure 6-1 in
fully developed form, with their own headings corresponding to the sections and
subsections of the outline. In contrast, shorter or simpler proposals might contain
only the sections noted in Figure 6-2; they might treat a given subsection very
briefly or combine several subsections. A very short informal proposal is shown
in Figure 6-4. While its heading information (To, From, Subject, Date, etc.) is
formatted differently than that for a formal proposal, it well illustrates the
compression of sections that can occur in shorter formal proposals.
Notice that since a short proposal is short and simple, it may have no Table of
Contents or separate sections for Background or List of References, as indicated
in Figure 6-2. Any background information and references may be folded in with
the discussion of the problem (in Problem Addressed) or with the other sections.
Also, in Figure 6-2, the Plan for Accomplishing Objectives, the Plan for
Evaluating Results, and the Schedule for Project Completion are listed as major
topics, not subtopics under Description of Proposed Activity as in Figure 6-1,
Parts pf a Long Proposal.
Title Page
The Title Page provides the basic To, From, Subject, Date information found in
headings and title pages for other types of technical communications; it also
includes financial information relevant to proposals alone. Specific formats for
title pages vary from one proposal to another, but most include the following:
1 The title of the proposal (as short and informative as possible)
2 A reference number for the proposal
3 The name of the potential funder (the recipient of the proposal)
Title page
Abstract
Table of contents
Introduction
Problem addressed
Purpose or objectives of proposed activity
Significance of proposed activity
Background
Description of proposed activity
Plan for accomplishing objectives
Plan for evaluating results
Schedule for project completion
Institutional resources and commitments
List of references (for about six or more references)
Personnel
Explanation of proposed staffing
Relevant experience of major personnel
Budget
Budget in tabular form
Justification of budget items
Appendixes
Letters of endorsement
Promises of participation, subcontractors proposals
Biographical data sheets (vita sheets)
Reprints of relevant articles, reports, background documents
4 The name and address of the proposer(s): the project director or project
manager and other especially important participants (research proposals will
include the name of the principal investigator and any co principal investigators)
5 The proposed starting date and duration of the project
6 The total funds requested
Title page (ideally, with abstract)
Introduction
Problem addressed
Purpose or objectives of proposed work
Significance of proposed work
Plan for accomplishing objectives
Plan for evaluating results
Schedule for project completion
Institutional resources and commitments
Personnel
Explanation of proposed staffing
Relevant experience of major personnel
Budget
Budget in tabular form
Justification of budget items, where necessary
Appendixes or attachments, if needed
7 The proposals date of submission
8 The signatures of the project director and responsible administrator(s) in the
proposers institution or company
A sample Title Page is shown in Figure 6-3. It lacks items 7 and 8 because there
were included on the institutions cover form, which accompanied the proposal.
The Title Page provides the basic title information needed by a reader deciding
whether or not to read the proposal, and the title and reference number needed
for filing it. It also provides an overview of the funding and timing of the project.
Abstract
Like other Abstracts, the Abstract of proposal is short, often 200 words or less. In
a short proposal addressed to someone within the writers institution, the Abstract
may be located on the Title Page; in a long proposal, the Abstract will usually
occupy a page by itself following the Title Page.
Figure 6-3 SAMPLE TITLE PAGE FOR A FORMAL PROPOSAL
PROPOSAL FOR EXTENSION OF NASA GRANT NSG 1306
MODELS AND TECHNIQUES FOR EVALUATING THE
EFFECTIVENESS OF AIRCRAFT COMPUTING SYSTEMS
INREPLY REFER TO: DRDA 81-2096-Pl
Submitted to the
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION LANGLEY
RESEARCH CENTER HAMPTON, VIRGINIA 23365
Submitted by the
SYSTEMS ENGINEERING LABORATORY
DEPARTMENT OF ELECTRICAL AND COMPUTER ENGINEERING THE
UNIVERSITY OF MICHIGAN ANN ARBOR, MICHIGAN 48109
PRINCIPAL INVESTIGATOR: John F. Meyer
PROPOSED STARTING DATE: 1 July 1990
PROPOSED DURATION: 1 year
AMOUNT REQUESTED: $39,932
The Abstract is a critical part of the proposal because it provides a short overview
and summary of the entire proposal; it is the only text in the proposal seen by
some readers. The Abstract should briefly define the problem and its importance,
the objectives of the project, the method of evaluation, and the potential impact of
the project; it normally does not define the cost. A longer treatment of Abstracts
appears in Chapter 18.
Table of Contents
The Table of Contents lists the sections and subsections of the proposal and
their page numbers.
Introduction
The Introduction of the proposal, like the Foreword of the technical report, orients
a non specialist to the subject and purpose of the document. It explains why the
project is important and should provide the following pieces of information in
terms appropriate for a managerial audience.
1 The problem being addressed (perhaps defining what it isnt as well as what it
is)
2 The purpose or objectives of the proposed project
3 The significance of the proposed project
If the project is simple, the Introduction may also include some relevant details
which would belong in the Background section of a more complicated proposal.
If you are responding to a Request for Proposals (RFP), your approach to the
definition of the problem and the purpose or objectives of your proposal should
reflect the thrust of the RFP.
Background
As a separate section, the Background allows you to fill in important technical
details inappropriate for the non specialist readers of the Abstract and
Introduction. The Background provides a place to discuss the history of the
problem, to survey previous work on your topic (a survey leading up, of course,
to some problem or gap in the previous work), and to place this project in the
particular context of previous work you may have done on the problem if the
proposal extends earlier work you have done, be sure to show why your previous
work needs to be continued and how the proposed work differs from it. Do not
spend a great deal of time justifying your earlier efforts and budgets; concentrate
on the new work proposed.
If previous work has been done on your project, you need to demonstrate that
you are aware of it and understand its importance and limitations. (Funders dont
want to pay you to reinvent the wheel.) You usually do this in a subsection called
Literature Survey or Previous Work, in which you demonstrate your competence
by carefully selecting and evaluating the works you cite. If you cant select the
most crucial items for your project and briefly show why theyre crucial, youre
probably not expert enough to know what you need to do and how best to do it.
Also, you wont be able to show how your work fits into the larger scheme of
things, how it builds on previous work and goes beyond it, how it is original and
contributes to knowledge in the field.
Description of Proposed Activity
The Description of Proposed Activity is the most important section of the whole
proposal. It describes what you want to do and how you intend to do it:
1 The plan for reaching the stated objectives
2 The plan for evaluating the results
3 The schedule for completing the work
This section will be evaluated carefully by the proposals reviewers, who will be
knowledgeable in the field. Their job is to eliminate all proposals whose
objectives or plans are inappropriate or unclear or not well thought out. Thus, you
job as a writer is to convince them that you are doing what needs to be done and
are doing it in the most careful and thorough way.
When preparing the Description section, you should assume that you are writing
for a critical, hostile audience, for you are. You should provide all the details a
knowledgeable critic would need to assess your argument:
1 The assumptions on which your work is based
2 The approach or hypothesis you are following
3 The specific problem(s) or question(s) you are trying to address
4 The particular work and evaluation methods you are using
5 The appropriateness of your methods for the problem proposed
In addition to providing these items, you may need to justify them, especially if
there might be any question or controversy about them. It is particularly important
to demonstrate the appropriateness of your method for solving the problem
posed. If this isnt clear, probably nothing else will matter.
You also need to convince the critical reader that your proposed schedule is
appropriate and realistic. You don't want to propose to do too much, given your
time and resources, or it will seem that you have a poor assessment of the
project and dont really know what you are doing. One way to demonstrate that
your schedule is realistic is to spell it out very specifically so that the critical
reader can easily see its merits and the care and thoroughness you put into
determining it. If you demonstrate that youve really thought of everything,
carefully, youre halfway to success.
Institutional Resources and Commitments
If you are proposing a project that requires special equipment, one important
factor in your ability to do the proposed work is having access to that equipment.
Having this equipment already available at your institution is a big plus for your
proposal, since a funder could pay you much less to do the work than it would
have to pay someone who had to buy the equipment. Thus, it is to your
advantage to list relevant institutional resources. Further, funding agencies often
feel that proposers work harder (and institutions monitor them more carefully) if
the proposers institution has resources invested in the project.
List of References
If your references are so extensive that they may interrupt the text if you insert
them as you go along, you may want to set them up in a separate section. You
may also want to do this if the previous work is especially important and you want
your reviewers to see that you have cited all the right items. As a rule of thumb,
if you have more than six references, you might consider a List of References,
placed before the sections on Personnel and Budget. The references may be
listed consecutively as they appear in the text, with the authors name in normal
order (first name or initials first), or they may be listed alphabetically with the
authors last name first.
Personnel
The purpose of the Personnel section is to explain who will be doing what and to
demonstrate that the people listed for a proposed activity are competent to do it.
This is normally accomplished in two subsections, one outlining the
responsibilities of the individual participants and the structure for coordinating
their activities and one providing short biographical sheets (usually no more than
two pages) for the main participants. The biographical sheets should focus on
only the relevant qualifications of the participants.
Budget
Like the Personnel section, the Budget section has two purposes: to explain what
things will cost and to justify and explain individual expenditures, especially when
these are not obvious. The Budget is usually summarized in a table, such as
Table 6-1. (A simple proposal may have a much simpler budget.) The typical
headings in a Budget are Personnel, Equipment, Supplies, Travel, Computer
Time (if relevant), and Indirect Costs. Items typically included under these
headings are listed in Table 6-2. Note that not all proposals will need to include
all items, but the items listed in Table 6-2 should be treated in a proposals
budget when appropriate.
Table 6-1 SAMPLE 12-MONTH BUDGET
Contributed by Contributed Total
Sponsor Our Company
Personnel
Project direct, half time $ 25,000 $ 0 $ 25,000
Project associate, quarter time 0 9,000 9,000
Research assistant, full time 15,000 0 15,000
Clerk-typist, full time 20,000 0 20,000
Subtotal $ 60,000 $ 9,000 $ 69,000
Staff benefits 9,000 1,200 10,350
(15% of salaries and wages
Subtotal $ 69,000 $ 10,200 $ 79,350
Consultants
Warren Duval, $400/day, 2 days $ 800 $ 0 $ 800
Equipment
Methometer $ 2,000 $ 0 $ 2,000
Materials and Supplies
Miscellaneous office supplies $ 200 $ 0 $ 200
Glassware 200 $ 0 200
Chemicals 200 0 200
Subtotal $ 600 $ 0 $ 600
Travel
Project director consultation with
sponsor, Chicago to Washington,
DC, and return; 1 person, 2 days
Airfare $ 294 $ 0 $ 294
Pen diem @ $65/day 130 0 130
Local transportation 40 0 40
Subtotal $ 464 $ 0 $ 464
Total Direct Costs $ 72,864 $ 10,200 $ 83,214
Indirect Costs (69% of salaries and $ 48,62 $ 7,038 $ 55,306
Wages, including staff benefits)
Grand Total $ 121,026 $ 17,238 $ 138,520
SOURCE: Adapted from Proposal Writers Guide (Ann Arbor: University of
Michigan, Division of Research Development and Administration, September
1975), p. 9.
Table 6-2 CHECKLIST FOR PROPOSAL BUDGET ITEMS
Salaries and Wages Travel
1 Academic personnel 1 Administrative
2 Research assistants 2 Field work
3 Stipends (training grants only) 3 Professional meetings
4 Consultants 4 Travel for consultation
5 Interviews 5 Consultants travel
6 Computer programmers 6 Subsistence
7 Tabulators 7 Automobile rentals
8 Secretaries 8 Aircraft rental
9 Check-typists 9 Ship rental
10 Editorial assistants Services
11 Technicians 1 Computer use
12 Subjects 2 Duplication services (reports, etc.)
13 Hourly personnel 3 Publication costs
14 Staff benefits 4 Photographic services
15 Salary increases in proposals 5 Service contracts
That extends into a new year 6 Special services (surveys, etc.)
6 Vocation accrual and/or use
Equipment Other
1 Fixed equipment 1 Space rental
2 Movable equipment 2 Alterations and renovations
3 Office equipment 3 Purchase of periodicals and books
4 Equipment rental 4 Patient reimbursement
5 Equipment installation 5 Tuition and fees (training grants)
6 Hospitalization
Materials and Supplies 7 Page Charges
1 Office Supplies 8 Subcontracts
2 Communications
3 Test materials Indirect Costs
4 Questionnaire forms
5 Duplicating materials
6 Animals
7 Laboratory supplies
8 Laboratory supplies
9 Glassware
10 Chemicals
11 Electronic supplies
12 Report materials and supplies
SOURCE: Proposal Writers Guide (Ann Arbor: University of Michigan, Division
of Research Development and Administration, September 1975), p. 10.
Appendixes
Appendixes are reserved for necessary supporting documents which, because of
their length of type, would disrupt the flow of the proposal. The most common
Appendix items are biography sheets, letters of endorsement for the proposal,
and promises of participation from important participants. Other materials may be
pertinent to a given proposal, but the proposal writer should consider carefully
any item included in the Appendix and eliminate anything not really needed to
support the importance of the topic, the credentials of the proposers, or the ability
of the proposers to carry out their work.
6.2 THE ORGANIZATION OF A SHORT INFORMAL PROPOSAL
The outlines for proposals presented in Figures 6-1 and 6-2 are relatively full
outlines; they allow writers to argue convincingly to someone who doesnt know
them that the stated problem is important, that their proposed activity will
alleviate the problem, and that they are qualified to do the proposed work.
Sometimes, however, proposers need to write very short, almost routine
proposals meant for people in their own unit. Such proposals might concern
some small thing to be done, some small problem to be addressed, some small
piece of equipment to be purchased. In such a situation, a proposal using a
compressed form of the outline shown in Figure 6-2 might be very appropriate.
Such a proposal appears in Figure 6-4. This proposal omits the Personnel and
Budget sections. These are, however, implied in Sections 5 and 6: one person,
the writer, will work for 4 weeks, and perhaps someone from the Hardware
Department will work for a short time to provide the necessary hardware.
However, the proposal does contain the other sections in relatively obvious
terms. It has an Introduction, which states
1 The problem (we need a catchy demonstration program)
2 The objectives of the proposed work (to provide a demonstration program by
simulating the control panel of a nuclear reactor)
3 The significance of the work (to prove the ability of the computer programming
language, Industrial Pascal, to communicate with various input/output devices
and to test its capabilities to monitor and control several simultaneous tasks of
the sort described in the proposal)
The proposal has a plan for accomplishing the objectives, and this is outlined in
Sections 2-5. It also has an implied plan for evaluating the results; an observer
would simply see if the demonstration program simulates the nuclear control
panel by producing the actions described in Section 4. Finally, the proposal has a
schedule (Section 6), and it lists resources already available in the unit (Section
2) as well as needed resources (Section 5).
Figure 6-4 SAMPLE OF A SHORT INFORMAL PROPOSAL
Chen Computer Systems
Interoffice Memorandum
To: John Van Roekel
Software Manager
From: Larry N. Engelhardt
Senior Programmer
Date: 9 August 1989
Subject: Proposed Demonstration Project for Industrial Pascal:
Specifications and Description
1 Introduction
The Programming Division has just finished developing an Industrial Pascal*
language system for our new 3935 RacPac minicomputer system. We now need
a computer program that will allow our salespeople to demonstrate the
capabilities of the RacPac system running Industrial Pascal in a real
environment.
I propose to develop a demonstration program that will control a simple but
realistic representation of a control panel of a nuclear reactor. This demonstration
program will be written entirely in Pascal and will run on a RacPac system in an
Industrial Pascal environment.
The RacPAc will be hooked into a 3910A-3920A simulator, and together the
RacPac and simulator will represent the control panel of a nuclear reactor. The
program will read and write digital and analog inputs and outputs to and from the
controls and indicators on the simulator front panel and respond in an interesting
and amusing manner. This demonstration will both prove the ability of Industrial
Pascal to communicate with various input/output devices and test its capabilities
to monitor and control several simultaneous tasks in our environment.
2 Hardware Capabilities
The hardware configuration on which the demonstration program will run consists
of a simulator built by Bill Lepior and a 3935A RacPac system. The simulator is a
cabinet which features to potentiometers and a meter connected to a 3910A
analog I/O controller, and eight lamps and eight switches connected to a 3920A
digital I/O controller. Both controllers are plugged into the chassis of the RacPac.
Furthermore, the RacPac has an integral plastic keyboard and 5inch CRT
screen controlled by an 1812 interface for
* Authors Note: Pascal is a computer language, and Industrial Pascal (IP) is a
version of Pascal used on small computers in industrial settings to control
machinery or to monitor various processes. Software is a computer program or
programs. I/O is input/output, that is, the text or information put into a computer
(input) or that given out by it (output). A CRT screen is a cathode ray tube
screen, a screen similar to a television, which prints out the letters and numbers
the operator types and which prints anything the operator commands the
computer to calculate and print. Hardware is equipmentcomputers (the hard
parts of computers) and other equipmentand a PROM (Programmable, Read-
Only Memory) is a small part in a computer.
Operator I/O. This mix of digital and analog I/O devices offers a good sample of
control devices.
3 The Demonstration
One assembler language program has already been written to demonstrate the
simulator. Of course, a Pascal program could be written to duplicate the functions
of the assembler program exactly. However, to be interesting for the customers,
the Pascal demo program could be made more realistic. In addition, a dynamic
and robust demonstration program is needed to make use of all the I/O devices
of the simulator and also to exercise the multitasking features in IP in a real-time
control situation. This document proposes that the IP demo program be designed
to be a nuclear reactor control panel.
4 Operator Controls
The IP demo program would turn the simulator, keyboard, and screen into a
simplistic representation of a control panel of a nuclear reactor. For example, the
eight panel switches could move damper rods into and out of the make-believe
reactor. The corresponding panel lights would go on when a rod is removed. As
damping rods are removed, the core temperature would rise over time. The core
temperature can be displayed by the large analog meter. As more rods are
withdrawn, the temperature would rise at a faster rate. The operator can reduce
the rate of temperature rise by increasing the cooling water feed rate with one
potentiometer. The second potentiometer could set an alarm point on a
temperature which will cause the reactor to scram automatically. The goal of
the operator is to keep the reactor running in a range between letting the core
cool off and scramming, or going critical.
The screen of the RacPac can display values for all of the activity of the
simulation. The screen can also display helpful but ominous warning message
such as Warning: Evacuate the state of Pennsylvania! While the screen
duplicates the analog and digital inputs and outputs, the keyboard will accept
some simple commands to control execution of the program.
5 Hardware Required
The development of the demonstration program will require a 3800B for editing
and compiling. Intermediate debugging could be done by plugging the simulator
into a 3800B if it is equipped with an 1850 controller board in addition to its
standard 1824. Final checkout will require either down-line loading of the
program from a 3800B to the simulators RacPac or burning f the program into
PROMs for installation into the RacPac. The Hardware Department has both a
3800B and an 1850 controller board, and it could burn the program into PROMs
and install the PROMs.
6 Schedules
Description Weeks Required Total Time
Research drivers 1 1
Design program 1 2
Code 1 3
Debug 1 4
In what it includes, then, this proposal provides the context and information
necessary for those reviewing it while still being an appropriately short proposal
for a small project.
6.3 EDITING THE PROPOSAL
Once you have written a proposal, it is wise to analyze it for weak spots, areas
needing more proof or detail. As a guide, you might refer to the analysis below of
the problems detected in 605 proposals rejected by the National Institutes of
Health.
2
While this is an analysis of research proposals; it seems to reflect
problems with other kinds of proposals as well. More than one item may have
been cited in rejecting a proposal.
A PROBLEM (58%) %
1 The problem is not of sufficient importance or is unlike to
Produce any new or useful information. 33.1
2 The proposed research is based on a hypothesis that
Rests on insufficient evidence, is doubtful, or is unsound. 8.9
3 The problem is more complex than the investigator
Appears to realize. 8.1
3 The problem has only local significance, or is one of production
Or control , or otherwise fails to fall sufficiently clearly
Within the general field of health-related research. 4.8
4 The problem is scientifically premature and warrants, at most,
Only a pilot study 3.1
5 The research as proposed is overly involved, with too many
Elements under simultaneous investigation. 3.0
6 The description of the nature of the research and of its
Significance leaves the proposal nebulous and diffuse and
Without a clear research aim 2.6
B APPROACH (73%) %
1 The proposed tests, methods, or scientific procedures are
Unsuited to the stated objective. 34.7
2 The description of the approach is too nebulous, diffuse,
And lacking in clarity to permit adequate evaluation 28.8
3 The overall design of the study has not been carefully
Thought out. 14.7
3 The statistical aspects of the approach have not been given
Sufficient consideration. 8.1
5 The approach lacks scientific imagination. 7.4
6 Controls are either inadequately conceived or
Inadequately described. 6.8
7 The material the investigator proposes to use is unsuited
To the objective of the study or is difficult to obtain. 3.8
8 The number of observations is unsuitable. 2.5
9 The equipment contemplated is outmodes or otherwise
Unsuitable. 1.0
C INVESTIGATOR (55%) %
1 The investigator does not have adequate experience or training
For this research. 32.6
2 The investigator appears to be unfamiliar with recent
Pertinent literature or methods. 13.7
3 The investigators previously published work in this field
Does not inspire confidence. 12.6
4 The investigator proposes to rely too heavily on
Insufficiently experienced associates. 5.0
5 The investigator is spreading himself too thin; he will be more productive if
he concentrates on fewer projects. 3.8
6 The investigator needs more liaison with colleagues in this field
Or in collateral fields. 1.7
D OTHER (6%) %
1 The requirements for equipment or personnel are unrealistic. 10.1
2 It appears that other responsibilities would prevent
devotion of sufficient time and attention to this research. 3.0
3 The institutional setting is unfavorable. 2.3
4 Research grants to the investigator, now in force, are
adequate in scope and amount to cover the proposed research. 1.5
Other problems lead to the following suggestions to proposal writers offered by a
foundation executive, who reviews proposals and deals with authors.
3
1 Be realistic; dont promise global changes from your efforts.
2 When you call a funder, be organized; dont use the funder to motivate you to
organize your thoughts.
3 Keep the funder informed of your work; dont let the next time the funder sees
you be when you are asking for second-year funding.
4 Requests for continued funding are just as important as the original request;
dont merely submit a letter asking for more money.
6.4 GETTING THE PROPOSAL APROVED FOR SUBMISSION
Different organizations have different procedures for handling proposals. Often
proposals to someone within the writers organization can be submitted without
much red tape. You may need to get your supervisors approval before sending
out a proposal asking that you work for another department or unit, but a verbal
OK may be all the approval you need. (Note, however, that you should at least
inform your supervisor if you propose to work on a project outside your unit.)
In contrast to the simple procedures for approving internal proposals, the
procedures for approving proposals to funding agencies outside the proposers
organization may be quite involved. Organizations often insist on formally
reviewing and approving any proposal to external funders. This allows the
organization to monitor commitments made to outside organizations; it also
allows the organization to eliminate undesirable competition among members of
its own staff who may be competing with one another for funding. The problem
with this organizational review and approvalfrom the proposers point of viewis
that it takes extra time, and the proposer must plan that time into the writing
process.
In addition, the proposer may need to get special forms filled out and signed by
administrative officers in the proposers organization. For instance, the sample
approval form in Figure 6-5 for proposals seeking external funds had to be filled
out and signed by four administrative officers in addition to the proposer. Just
finding these people can take some time, and theoretically each person should
have some time to review the contents of the proposal he or she is approving.
If the proposers organization requires such approval, the proposer should be
aware of this fact long before the proposals deadline and should plan to allow
sufficient time for each reviewer.
EXERCISE 6-1
Compare the structure of a long and short proposal to the proposal outlines given
in Figures 6-1 and 6-2. See if you can identify the various sections outlined in the
figures. Compare the treatment of these sections with the comparable treatment
of sections in the short informal proposal in Figure 6-4.
EXERCISE 6-2
Write a short formal or informal proposal for some project you want to do. Be
sure to include all relevant information, and be prepared to justify the information
you have included or excluded.
REFERENCES
1 Tim Whalen, Grant Proposals: A Rhetorical Approach, The ABCA Bulletin,
March 1982, p. 36.
2 Proposal Writers Guide, Division of Research Development and
Administration, University of Michigan, Ann Arbor, 1975. From E. M. Allen,
Science, November 25, 1960, pp. 1532-1534.
3 Bill Somerville, Where Proposals Fail: A Foundation Executives Basic List
of What to Do and Not Do When Requesting Funding, The Grantsmanship
Center News, January February 1982, pp. 24-25.

+++
CHAPTER-7
Perception
7.1 Introduction :
Perception is an important cognitive process in understanding Organizational
Behaviour. Perception is the source of ones knowledge about the world. The
behaviour of an individual is largely a result of the way he perceives himself and
the world around him at any given moment. The following story illustrates this
point well:
This is a story of three workers breaking rocks at the construction site of a huge
temple. When asked, what are you doing? one of them answered, Dont you
see Im just breaking rocks? The other one said, Im working for Rs. 30/- per
day, whereas the third man replied, Im proud of the fact that Im helping to build
this huge temple!
This example clearly indicates that perception is like beauty, in that it lies in the
eye of the beholder.
Perception refers to the manner in which an individual experiences the world.
Every individual approaches life differently. What he does in the world depends
on how he sees himself and his place in the world; and also how he responds to
his surrounding milieu. Perception lies at the root of every individual behavior. An
individuals behaviour is based on his perception of what reality is, not on reality
itself. The world as it is perceived is the world that is behaviorally important.
7.1.1.1. Definition:
Perception is an active Psychological process by which individuals organize and
interpret their sensory impressions in order to give meaning to their
environment. *
Perception may also be defined as A process of receiving, selecting, organizing,
interpreting, checking and reacting to sensory stimuli or data so as to form a
meaningful and coherent picture of the world.
7.1. Nature of Perception:
Perception is the process by which people become aware of internal and external
messages and interpret these messages into meanings. Every individual
perceives the world through his senses: sight, hearing, touch, smell and
awareness of heat, cold, pain, pleasure and pressure. In addition to perceiving
external messages through the senses, an individual also perceives internally
generated messages. Internal messages are both physiologically oriented
(hunger, fatigue) and mentally oriented (day dreaming, nervousness). Thus,
there are overwhelming number of potential messages available to the
* Robbins, Stephen, P. Organizational Behaviour (6
th
Ed.), Prentice Hall of
India, New Delhi, 1993, p. 135.
Perceiver. Every Individual has only limited cognitive space for processing
information. Attempting to perceive all available messages would lead to
information overload. However, the cognitive process of selective perception
helps an individual to process the information without any confusion. Through
selective perception an individual selects, organizer and interprets sensory
stimuli and information into terms and categories which are consistent with his
own frame of reference and personal views of the world. This process is normally
carried out instantaneously and without conscious deliberation.
The key to understanding perception is to recognize that it is a unique
interpretation of the situation * not an exact recording of it. The traditional
commonsense view that perception is simply a registering process of the reality
has been revised now. Modern Behavioural scientists believe that an individual
does not just passively register sense impressions picked up from the world
around him. The raw incoming data is interpreted in the light of his past
experiences, and in terms of his current needs and interests. Modern view
emphasizes that individuals tend to distort their perceptions of reality with a view
to making it congruent with their needs, beliefs, and attitudes. Like the mirrors at
amusement parks, they distort the world in relation to their tensions.
Thus, perception is a very complex cognitive process by which an individual
selectively absorbs or assimilates the stimuli in his environment, cognitively
organizes the perceived information in a specific fashion, and then interprets the
information to make an assessment as to what is going on in ones environment.
Since perception is a subjective process, it provides an individual quite unique
picture of the world that may be significantly different from reality.
7.1 Importance of Perception:
Keith Davis * * rightly observes that reaction to a job is filtered by perception,
which is an individuals own view of the world. Every individual perceives his
environment in an organized frame work that he has built out of his own
experiences and values. His own needs, objectives, problems, interests, and
background control his perception of each situation. Every individual has a
perceptual world that is selective and partial concentrating on features of interest
and importance to him.
Understanding the difference between the perceptual world and the real world is
vital to the study of organizational behaviour as well as human relations.
Individuals at work tend to perceive the same stimulus situation in different ways.
For instance, union and management have great differences in perception while
confronting strike situation, similarly in the event of low morale or low productivity
there are divergent perceptions held by workers and supervisors. It is well
recognized that major interpretation of industrial disputes is nothing but
perceptual differences between parties involved. In conflicting situation same
facts are perceived quite differently by members of both parties. Thus, to union
member, the fact may be that a variation in machine layout has caused a safety
hazard whereas supervisor may not agree and may blame the complaining
worker for the careless behaviour. Thus, a fact is conceived not as what it is, but
what one believes it to be. Every individual has different degree of readiness to
respond to objects, people, and events
* Luthans, Fred, Organizational Behaviour, 6
th
Ed., Mc. Graw Hill International
Editions, 1992, p. 55.
** Davis, Keith, Human Behaviour At Work, 6
th
Ed., Tata Mc-Graw Hill Publishing
Co., New Delhi, 1993. p. 53.
in the organizational settings. These differences create undesirable tensions and
disputes in work settings which deserve utmost care.
Individuals ability to observe the world comes through perception which reveals
the world to the individuals through their five senses. Individuals perceive when
they
* recognize (objects, sounds, tastes, smells, feel);
* Discriminate (between colours, facts and fallacies);
* Relate (parts to a whole, like objects to each other, a
Principle with its Practice);
Most important of all, perhaps, perception is what helps individuals to use the
knowledge they have in an entirely different situation from that in which they
learned it. For instance, an individual may have learned to use a knife to cut with,
but he might subsequently use it to remove a cork from a bottle, open the lid of a
tin, to turn a screw, or to paint a picture.
Perception operates from the most concrete to the most abstract levels and very
often perceiving a relationship at one level will enable people to perceive new
material at another level. Thus, audiovisual aids, simplified models, graphic
symbols, the use of analogies and examples all help to engage peoples
perceptions and transfer them to new situations *
Leavitt** correctly observes that if the management intends to improve the
behaviour of individuals at work which is largely the result of their perceptions of
environmental factors, it should attempt to understand their perceptions with a
view to recognizing the circumstances under which their behaviour might be
modified.
In the organizational settings there are numerous examples which indicate the
significance of perception. For instance:
1. Departmental head and subordinate react differently to top management
directives.
2. An individuals answer to a question is based on what he heard the boss
say, not on what the boss actually said.
3. An employee may be considered by one manager as a very good employee;
however, another manager may view the same employee as a very poor
one.
4. Similarly, the same boss may be viewed as most effective superior by some
subordinates and some other subordinates may consider him as most
ineffective boss.
5. Any change in the personnel policy of the organization may be perceived as
desirable by middle managers but undesirable by shop floor workers or view
versa.
A very popular and oft-quoted*** example is the universal managerial assumption
that subordinates always want promotion even though in fact, many subordinates
really feel psychologically compelled to accept a promotion. Neither the manager
nor the subordinate makes keen
* An Introductory course in Teaching and Training Methods for Management
Development, Management Development Manual, 1983. ILO Publication,
Sterling Publishers Ltd. New Delhi 20.
** Leavitt, H.J. Managerial Psychology, the University of Chicago Press, Chicago,
1958. p. 355.
*** Luthans, Fred, op. ct. p. 55.
Efforts to find out whether the promotion should be offered. Thus, the perceptual
word of the manager differs significantly from the perceptual world of his
subordinate and both of them may be quite different from reality. Obviously, if
management can assess the perceptual world of subordinates so as to prepare
them for promotion, then it can succeed in getting the desired results. That is why
it is extremely essential that management understands the basic perceptual
process and recognizes its significance at work. An in depth understanding of the
concepts involved would facilitate direct application and proper utilization of
different techniques for better effectiveness in managerial situations. Divergent
perceptions may some times lead to industrial conflict. Hence it is essential to
assess perceptions on various aspects accurately. Thus, for achieving success
and effectiveness in managerial performance, it is extremely crucial to
understand how the perceptual process works and to recognize its significance in
organizational settings.
7.4. Sub-processes of Perception:
Perception involves five sub-processes:
(i) Confrontation of specific stimulus
(ii) Registration
(iii) Interpretation
(iv) Feedback
(v) Reaction
Perceptions begin when an individual is confronted with a stimulus situation.
Registration involves the physiological mechanism including both sensory and
neural; the physiological ability to see and hear will affect perception.
Interpretation is extremely crucial cognitive aspect of perception. Other
psychological processes assist in the interpretation of the situation. For instance,
in organizational settings, perceptual interpretation depends upon an individuals
motivation, personality and learning process. Feedback is important for
interpreting the perceptual data. Psychological feedback like raised eyebrow or
change in the tone of voice is likely to affect an individuals behaviour at work.
Perception ends in reaction or response which may be in the overt or convert
form. As a result of perception an individual may act more rapidly or slowly (overt
behaviour) or make a self-evaluation or form an opinion (covert behaviour).
The sub-processes of registration, interpretation and feedback are internal
cognitive processes that are unobservable. Perceptual selectivity and perceptual
organization play a key role in the internal cognitive aspects of perception.
Perceptual selectivity is the process through which certain parts or aspects of the
data are filtered or screened out and others are admitted. Screening prevents an
individual from processing irrelevant or disruptive information.
Perceptual organization is the process through which incoming stimuli and
information are organized or patterned in systematic and meaningful ways.
Organization means that an individual sees his environment in such a way that
the perceived environment has a personal meaning for him.
7.5 Principles of Perceptual Selectivity:
Every individual uses a selection mechanism when he is incessantly exposed to
a multitude of sensory stimuli and has to filter out unimportant, distracting and
irrelevant sensory stimuli. Only a part of the sensory data impinging upon an
individual is admitted to awareness. The individual closes himself off entirely from
some stimuli and tends to open his channels of input to others. Thus, he sets
himself to respond to a particular stimulus or a group of stimuli. For instance,
while watching a movie on the television, the individual is aware that the baby is
fast asleep upstairs. When the baby cries, he would immediately screen out the
movie and concentrate to hear whether the cry is a pain cry, a hunger cry, or a
temper cry, to enable him to decide what action to take.
Sometimes, certain events may characteristically creep into an individuals
perceptual life and distract his attention. For instance, the sound of a gun
normally catches more attention than the sound of air conditioner. Thus, in
dealing with the phenomenon of perceptual selectivity, two terms are involved:
attention and set... Attention is general readiness to perceive, as in listening or
looking. Sometimes it also involves focussing of sense organs. Attention
incorporates all aspects of the selective process whereas set refers to specific
factors or processes within the individual himself which have a bearing on what
he attends. Set relates to a readiness to perceive or to respond in some specific
way. It can also be considered an attitude which facilitates or predetermines an
outcome.
Focussing on key messages in any given situation is known as selective
attention. Blocking out extraneous or unimportant messages in any situation is
known as habituation. Selective attention and habituation work hand in hand
and operate simultaneously. An individual selects some messages and not
others because of his unique past experiences and predispositions. He gives
more cognitive space (attention) to more important messages. Every second, the
individual updates his selection of important messages and changes the priority
of the messages he has selected.
In order to give full attention to the chosen important messages, habituation is
crucial. The individual must be able to block out both external messages and
internal messages that he judges to be unimportant in the given situation.
External messages like noises or distracting visual cues and also internal
messages like fatigue or day-dreams usually compete for attention. Individual
gradually develops his ability to habituate well through continued practice.
Perceptual selectivity is governed by various external and internal factors. The
external factors* consist of outside environmental influences such as intensity,
size, contrast, repetition, motion, novelty and familiarity.
7.6 The External Attention Factors:
7.6.1. Intensity:
The intensity principle of attention states that the more intense the external
stimulus, the more likely it is to be perceived. Various people like advertisers,
salesmen, teachers and managers use intensity to attract and hold attention of
others. Loud voice, bright light and strong odour catch attention and get noticed
very quickly than soft sound, dim light and weak odour.
However, shouting loudly at workers is likel y to turn them off instead of drawing
their attention. Hence, the intensity aspect has to be considered in the light of
any given situation.
7.6.2. Size:
The principle of size is closely related to Intensity. It states that the larger the
object, the more likely it will be perceived. Bigger machines, larger pictures get
more attention than smaller ones. Just a few lines in classifieds are not eye-
catching as compared to full-page advertisement.
1.6.3. Contrast:
The contrast principle states that external stimuli which stand out against the
background will attract the attention. For example,
* Luthans Fred, op. cit., pp. 58 61.
[DIAGRAM]
The middle dark circle on the right-hand side appears larger than the one on the
left because of the contrast with the background surrounding circles.
Similarly, contrast colour combinations like black and red, black and white, yellow
and green etc. are attention getting. Safety signs are painted in contrast colour
combinations.
Contrasts like tall and short, fat and lean etc. also attract attention.
Written messages have some words printed in bold or in italics or underlined so
that they become eye-catching.
7.6.4. Repetition:
The repetition principle states that a repeated external stimulus is more attention
getting than a single one. Repetition is believed to increase ones sensitivity and
alertness to the stimulus. Thus, workers generally hear better when instructions
are given again and again several times. Advertisers rely heavily upon repetition.
Frequently repeating a message results in making people aware of it.
7.6.5. Motion:
the motion principle states that people will pay more attention to moving objects
in their field of vision than they will to stationary objects. Flashing neon signs are
more attractive than the still ones.
7.6.6. Novelty and Familiarity:
Novelty and familiarity principle states that either a novel or a familiar external
situation can serve as an attention-getter. New objects or events in a familiar
setting or familiar objects and events in a new setting will draw attention of the
perceiver. For instance, job rotation of workers increases the attention they give
to the task.
7.1. The Internal Set Factors:
Various internal factors like psychological needs, goals, background, experience,
beliefs, attitudes, values etc. influence perceptual selectivity. An individual tends
to select out stimuli or situations from the environment that appeal to, and are
compatible with, his learning and motivation and with his personality. * The
internal factors like learning motivation and personality give rise to expectations
which make the individual more ready to respond to certain stimuli in certain
ways and less ready to respond to other stimuli. This readiness to respond in
specific ways is called the individuals perceptual set.
7.1.1. Learning:
[DIAGRAM]
Learning plays a major role in developing perceptual set. Reading the instruction
in the triangle. Now Press The Button is normally done so quickly that it takes a
few seconds to realize that there is something wrong. Previous learning creates
expectancy to perceive in certain manner. It is important to remember that people
see and hear what they expect to see and hear.
The boss called his assistant into his office, waved a letter at him and said, I
thought I told you to appoint this new girl on the basis of her grammer.
Grammer? said the office manager surprisingly, I thought you said glamour!
Another interesting example * which is often quoted by various teachers is as
follows:
Pronounce the following words slowly:
M A C D O N A L D
M A C M I L L O N
M A C T A V I S - H
M A C M O H A - N
M A C H I N E R Y
If the last word was pronounced Mac-Hinery instead of machinery, the reader
was caught in a verbal response set.
Previously held expectations, beliefs, opinions, general attitudes and
preconceived notions make people perceive what they want to perceive. If a new
employee is told that the supervisor will be friendly, the employee will be more
likely to see a friendly supervisor and to respond in a friendly way.
Past experience and learning have a constant bearing on what an individual
sees in the world. Even though past learning may not be relevant to the present
situation, it is nevertheless used by the perceiver. An individual tends to perceive
those things to which he can relate.
7.1.2. Motivation:
Motivation also plays a vital role in perceptual selectivity. Perception of a
frustrated individual significantly differs from that of any highly motivated
individual. Unsatisfied needs or motives stimulate individuals and may exert a
strong influence on their perception. This was dramatically demonstrated in
research on hunger. ** Individuals in the study had been deprived of food for
varying numbers of hours (ranging from one hour to sixteen hours). These
subjects were shown blurred pictures and the results indicated that the extent of
hunger influenced the interpretation of the blurred pictures. Those who were
without food for sixteen hours perceived the blurred images as pictures of food
far more frequently than did those subjects who had eaten only a short time
earlier.
Secondary motives like power, affiliation or achievement play crucial part in
developing perceptual set. Depending on the strength of each motive, the
individual will give attention to the relevant situational factors. Security motive is
also important in work settings. Personal insecurity can be transferred into the
perception that subordinates who show superior performance are posing a threat
to the boss. Any individual, who feels insecure about his job, is likely to perceive
job-threatening comments.
7.1.3. Personality:
Just like learning and motivation the personality of the perceiver greatly affects
what an
* Luthans, Fred, op. ct. p. 63.
** McClelland, David, C and J.W. Atkinson, The Projective Expression of Needs:
The Effect of Different Intensities of the Hunger Drive on Perception, Journal of
Psychology, Vol. 25, 1948, pp. 205 22.
Individual is likely to attend to in the confronting situation. Personality
characteristics and interests are significant in the development of perceptual set
as they determine an individuals response disposition.
Response disposition refers to an individuals tendency to perceive familiar
stimuli rather than unfamiliar ones. For instance, when a policeman, a doctor and
a mechanic witness a car-accident, each one will probably notice certain things
about the accident and the things that will stand out for each will be different. The
policeman would be interested in knowing who was responsible for the accident
and who violated traffic rules. The doctor would pay attention to the condition of
the people involved in the accident and whether thy need medical helps and
ambulance. The mechanic would notice the condition of the car and the extent of
damage. Thus, each one would select from the total event those aspects as he
would think to be significant.
An individual who has deviant personality is likely to be more prone to see others
as also deviants. Optimistic individual tends to perceive things in favorable
manner whereas pessimistic individual in negative manner. An individual with a
good sense of humour tends to look at the funny side of things, objects, events,
as well as people in the environment.
An individuals current psychological state or emotional state also influences his
perception of his environment. An individual in sad, dejected and gloomy mood
perceives the same situation differently than if he is in glad, excited and jolly
mood. An individuals characteristic mood determines his mode of behaviour at
work.
Empirical research* offers interesting evidence as to how personality factors and
perceptions are closely related to each other. For instance,
(i) Secure people perceive others a warm individuals and not as cold or
indifferent.
(ii) Thoughtful people do not make extreme judgements of others. They can
perceive different shades of grey rather than only black or white.
(iii) Self-accepting people have faith in their individuality and tend to perceive
things favorably.
(iv) Self-accepting people perceive themselves as liked, wanted and accepted
by others. Those who are not self-accepting tend to distrust others.
(v) Self-accepting people also accept others easily, whereas those who are
not self-accepting do not accept others also readily.
Obviously, in the work settings, individuals who are insecure, thoughtless or non-
self-accepting are less likely to perceive themselves and those around them
inaccurately. As a result, they are likely to distort and misinterpret stimulus
situations. This again may create an impact on their opinions and attitudes
towards the situation. Ultimately, their resultant behaviour will be ineffective in the
given situations.
Postman, Bruner and McGinnics ** conducted an excellent experiment on
perceptual sensitization. In their study of personal values and perception they
administered the Allport-Vernon Scale of Value to students to discover whether
those who are markedly equipped with
* Costello, T.W. and Zalkind, S.S. Psychology in Administration: A Research
Orientation, Englewood Cliffs, Prentice-Hal, N.J., 1963, pp. 45-46. Also, see-
Hamacheck, D.E. Encounters with the Self, Holt Rinchart and Winston, New
York 1911.
** Postman, L. J. Bruner and E. McGinnics. Personal Values as Selective
Factors in Perception. Journal of Ap. Social Psychology, 1948, Vol. 43, pp. 142-
54.
A particular kind of value (i.e., religious, social, economic, aesthetic, political and
theoretical) would recognize more quickly the words having any implications in
the area of that value. The results showed that the subjects with a dominant
religious value tended to recognize even on very short exposures words such as
priest or minister whereas they look longer to recognize words related to
economic values such as cost or price. This was also true of other value areas.
Thus, personality and attitudinal factors play a significant part in perception. The
individuals personal patterns of needs, interests, attitudes and values interact to
organize is perception as well as to focus his mind set to selective attention.
7.8. Perceptual Organization:
Perceptual organization is a process whereby each individual strives to impose
meaning on incoming information. The principles by which the process of
perceptual organization works were first identified by Max Wertheimer in
1923.organizing the incoming stimuli into a meaningful whole picture are called
as Gestalt process. Gestalt is a German word that means to organize.
Usually, perceptual selectivity is believed to influence perceptual organization.
There are two psychological principles involved in this:
(i) Figure-Ground Principle
(ii) Relevancy
7.8.1. Figure-ground principle:
The figure-ground principle means simply that perceived objects stand out as
separable from their general background. In the perceptual field, meaningful and
significant stimuli are kept in focus and called as figure whereas the insignificant,
unimportant, or meaningless stimuli are in the background and called as ground.
For instance, when a lecture is going on the various stimuli received by people
attending the lecture are grouped into two. There are certain stimuli which are not
in the focus of peoples attention like the outside noise, chirping of the birds
outside or the sound of the moving traffic on the road, etc. All these become the
background and attention is not paid to them (Ground). What may be in focus is
what the lecturer is saying (Figure). Thus, stimuli are organized into figure-
ground.
While reading, the reader perceives black shapes letters, words, sentences
printed against a while background. Thus, he perceptually recognizes incoming
stimuli into recognizable figures (words) that are seen against a ground (white
page). How perceptual selectivity influences perceptual organization? For
instance, when the reader is set to perceive black on white pages throughout the
book, it takes time before he can organize and make sense when reverse is true
that is when the figure is not black but the ground is black and figure is white.
(a) FLY Or White vase on Black ground and when white is considered as
background, it looks like two black profiles. (Ref. Fig. 1.3).
It is important to remember that in work settings, an employees psychological
storage and
Subsequent interpretation of information tends to get affected by whether he
classifies the information as figure or ground. What becomes figure and what
becomes ground is likely to depend on the individuals needs and expectations in
different situations.
7.8.2. Relevancy:
Relevancy principle emphasizes that people selectively perceive stimuli and
group them if they are relevant to their needs and desires.
[DIAGRAM]
An event looks meaningful only when it is closely related to the perceiver. Higher
the relevance of perceived object or event, the greater will be its effect on the
individuals perception.
7.8.3 Role of central nervous system:
In perceptual organization some organizing processes which give meaning to the
incoming information occur in the nervous system and are relatively free from the
effects of past experience or motivational factors. These processes form the
structural factors of organization and are called as primitive processes. The
active role of the central nervous system is best exemplified by illusions, false
interpretations or misleading organization of sensory events.
Illusions involve perceptions which are not consistent with reality. The famous
Muller-Lyer illusion is shown here:
(a) <>
(b) ><
Which line appears longer, (a) or (b)?
In this example, both lines are of same length but line (b) appears to be longer
than (a) because of visionary illusion.
Similarly, an individual may mistake a coiled rope for a snake and be afraid of it
as if it were a snake.
7.9. Perceptual Grouping:
The grouping principle of perceptual organization states that there is a tendency
to group several stimuli together into a recognizable pattern. Perceptual grouping
takes place by closure and continuity, proximity or similarity.
Closure and Continuity: The closure and continuity principle is that an individual
tends to fill gaps in incomplete or ambiguous patterns of stimuli in ways that
make them meaningful. Closure and continuity make important contribution since
closure supplies missing stimuli and continuity enables to perceive continuous
patterns. For instance, when perceiving these four lines the tendency is to
perceive them not as four separate lines but as a square.
Similarly,
These are not perceived as broken lines but a circle. Thus, the individual
will close partial and confusing information to make it intelligible and useful.
This tendency to fill gaps and make sense is also seen in organizational setting.
Managers usually do not have complete information and they tend to fill the
missing messages and take decisions.
7.9.1. Proximity:
The principle of proximity states that a group of stimuli that are close together will
be perceived as a whole pattern of parts belonging together *
e.g.
a b c d e f g h i j

Here, one tends to perceive five pairs of dots rather than just ten dotes. Dots a
and b are seen as belonging to each other in a way that dots d and c do not,
because they are closer to each other.
Work groups are perceived as a single entity because of physical proximity in the
work settings.
7.9.2. Principle of similarity:
The principle of similarity states that the greater the similarity of the stimuli, the
greater the tendency to perceive them as a common group.
OO OO
* Luthans, Fred. p. 69. Op. cit.
Here, one perceives six pairs of symbols: three pairs of squares and three pairs
of circles and not just twelve symbols.
Similarly dressed individuals in an organization are perceived to be a common
group.
These principles of perceptual organization apply to the perceptual process in
general and not just visual stimuli. They also affect the way in which individuals
tend to perceive other people.
7.9.3. Perceptual constancy:
In order to have a sense of stability in a changing world, the individual creates
perceptual constancies. Perceptual constancy means attributing some constant
and repeatable characteristics to events and people and objects. Individuals find
perceptual constancy of size, shape, colour, brightness and location of objects as
they interpret stimuli. Learning plays a crucial role in the phenomenon of
perceptual constancy and stabilization of perceptions.
In the organizational context, perceptual constancy may help a manager to
perceive similar problems in the same perspective, even when the context may
change.
7.9.4. Perceptual context:
Context is important in that it gives meaning and value to simple stimuli, objects,
events, situations and people in the environment, thus, a verbal order, a memo, a
new policy, a suggestive gesture, a raised eyebrow, or a pat on the back takes
on unique mean in and value when placed in the context of work organization.
7.9.5. Perceptual defense:
Perceptual defense is used by the perceiver to deal with conflicting messages
and conflicting data that would make him uncomfortable with his existing
impressions. An individual may build a defense (a metal block or a refusal to
recognize) against stimuli or situational events in the context that are personally
or culturally unacceptable or threatening.
An individual is usually unaware of the automatic psychological mechanisms
which go to work when objects, events or social interactions arouse fears or
concerns in him. These are the defense mechanisms like denial, modification,
distortion or projection and so on.
Various studies have verified the existence of perceptual defense mechanism.
Two studies are highly interesting: one by Bruner and Postman * and the other
by McGinnies. ** Bruner and Postman found barriers to perceiving personally
threatening words. McGinnies discovered identification thresholds for critical and
emotionally toned words. These studies indicate that individuals tend to have
mental blocks on such words and hence need a longer exposure to recognize
them. Thus perceptual defense enables the individual to shut his perceptual door
to those aspects of his environment which he finds unbearable.
In another study*** more directly relevant to organizational behaviour, college
students were exposed to the word intelligent as a feature of factory workers. As
this contradicted with their perception of factory workers, they built defenses in
various ways like denial,
* Bruner Jerome S. and Leo Postman, Emotional Selectivity in Perception and
Reaction, Journal of Personality, Sept. 1941, pp. 69-11.
** McGinnies, Elliolt, Emotionality and Perceptual Defense, Psychological
Review, Sept. 1949, pp. 244-251.
*** Haire, M. and W.F. Grunes, Perceptual Defense Processes Protecting and
Organized Perception of Another Personality, Human Relations, 1950, 3, pp.
403-12.
+++
Chapter -8
IEEE STANDARDS OF TECHNICAL COMMUNICATION
IEEE Standards documents are developed within the IEEE Societies and the Standards
Coordinating Committees of the IEEE Standards Board. Members of the committees
serve voluntarily and without compensation. They are not necessarily members of the
Institute. The standards developed within IEEE represent a consensus of the broad
expertise on the subject within the Institute as well as those activities outside of IEEE that
have expressed an interest in participating in the development of the standard.
Use of an IEEE Standard is wholly voluntary. The existence of an IEEE Standard does
not imply that there are no other ways to produce, test, measure, purchase, market, or
provide other goods and services related to the scope of the IEEE Standard. Furthermore,
the viewpoint expressed at the time a standard is approved and issued is subject to change
brought about through developments in the state of the art and comments received from
users of the standard. Every IEEE Standard is subjected to review at least every five years
for revision or reaffirmation. When a document is more than five years old and has not
been reaffirmed, it is reasonable to conclude that its contents, although still of some
value, do not wholly reflect the present state of the art. Users are cautioned to check to
determine that they have the latest edition of any IEEE Standard.
Comments for revision of IEEE Standards are welcome from any interested party,
regardless of membership affiliation with IEEE. Suggestions for changes in documents
should be in the form of a proposed change of text, together with appropriate supporting
comments.
Interpretations: Occasionally questions may arise regarding the meaning of portions of
standards as they relate to specific applications. When the need for interpretations is
brought to the attention of
IEEE, the Institute will initiate action to prepare appropriate responses. Since IEEE
Standards represent a consensus of all concerned interests, it is important to ensure that
any interpretation has also received the concurrence of a balance of interests. For this
reason, IEEE and the members of its societies and Standards Coordinating Committees
are not able to provide an instant response to interpretation requests except in those cases
where the matter has previously received formal consideration.
I. IEEE Standards of Communication and Documentation
Standard Rationale/Background
IEEE 802 refers to a
family of IEEE standards
about local area networks
and metropolitan area
networks
More specifically, the IEEE 802 standards are restricted to
networks carrying variable-size packets. (By contrast, in
cell-based networks data is transmitted in short, uniformly
sized units called cells. Isochronous networks, where data is
transmitted as a steady stream of octets, or groups of octets,
at regular time intervals, are also out of the scope of this
standard.). The IEEE 802 family of standards is maintained
by the IEEE 802 LAN/MAN Standards Committee
(LMSC). The most widely used standards are for the
Ethernet family, Token Ring, Wireless LAN, Bridging and
Virtual Bridged LANs. An individual Working Group
provides the focus for each area. The increasing need for
mobility has spawned the greatest growth in the use of
wireless technology, expanding from enterprise verticals,
such as healthcare and retail, to general use in corporations,
schools, hotels, airports, coffee shops and more
The IEEE Standard for
Binary Floating-Point
The IEEE Standard for Binary Floating-Point
Arithmetic (IEEE 754) is the most widely-used standard
Standard Rationale/Background
Arithmetic (IEEE 754) for floating-point computation, and is followed by many
CPU and FPU implementations. The standard defines
formats for representing floating-point numbers (including
zero and denormals) and special values (infinities and
NaNs) together with a set of floating-point operations that
operate on these values. It also specifies four rounding
modes and five exceptions (including when the exceptions
occur, and what happens when they do occur).
IEEE 754 specifies four formats for representing floating-
point values: single-precision (32-bit), double-precision (64-
bit), single-extended precision ( 43-bit, not commonly
used) and double-extended precision ( 79-bit, usually
implemented with 80 bits). Only 32-bit values are required
by the standard, the others are optional. Many languages
specify that IEEE formats and arithmetic be implemented,
although sometimes it is optional. For example, the C
programming language, which pre-dated IEEE 754, now
allows but does not require IEEE arithmetic (the C float
typically is used for IEEE single-precision and double
uses IEEE double-precision).
The full title of the standard is IEEE Standard for Binary
Floating-Point Arithmetic (ANSI/IEEE Std 754-1985),
and it is also known as IEC 60559:1989, Binary floating-
point arithmetic for microprocessor systems (originally
the reference number was IEC 559:1989).
IEEE 1284 Standards
for Parallel Interfaces
IEEE 1284 is a standard that defines bi-directional parallel
communications between computers and other devices. In
the 1970's, Centronics developed the now familiar printer
parallel interface that soon became a de facto standard. The
standard became non-standard as enhanced versions of the
interface were developed, such as the HP Bitronics
implementation released in 1992. In 1991 the Network
Printing Alliance was formed to develop a new standard. In
March of 1994, IEEE 1284 was released.
The IEEE 1284 standard allows for faster throughput and
bidirectional data flow with a theoretical maximum
throughput of 4 megabits per second, with actual around 2
depending on hardware. In the printer venue, this allows for
faster printing and back channel status and management.
Since the new standard allowed the peripheral to send large
amounts of data back to the host, devices that had
previously used SCSI interfaces could be produced at a
Standard Rationale/Background
much lower cost. This included scanners, tape drives, hard
disks, computer networks connected directly via parallel
interface, network adapters and other devices. No longer
was the consumer required to purchase an expensive SCSI
card- they could simply use their built in parallel interface.
These low cost devices provided a platform to leapfrog the
faster USB interface into its present popularity, displacing
the parallel devices. However, the parallel interface remains
highly popular in the printer industry with displacement by
USB only in consumer models.
IEEE 1284 standards
IEEE 1284-1994: Standard Signaling Method for a
Bi-directional Parallel Peripheral Interface for
Personal Computers
IEEE 1284.1-1997: Transport Independent
Printer/System Interface- a protocol for returning
printer configuration and status
IEEE 1284.2: Standard for Test, Measurement and
Conformance to IEEE 1284 (not approved)
IEEE 1284.3-2000: Interface and Protocol
Extensions to IEEE 1284-Compliant Peripherals and
Host Adapters- a protocol to allow sharing of the
parallel port by multiple peripherals (daisy chaining)
IEEE 1284.4-2000: Data Delivery and Logical
Channels for IEEE 1284 Interfaces- allows a device
to carry on multiple, concurrent exchanges of data
Parallel Port Background
When IBM introduced the PC, in 1981, the parallel printer
port was included as an alternative to the slower serial port
as a means for driving the latest high performance dot
matrix printers. The parallel port had the capability to
transfer 8 bits of data at time whereas the serial port
transmitted one bit at a time. When the PC was introduced,
dot matrix printers were the main peripheral that used the
parallel port. As technology progressed and the need for
greater external connectivity increased, the parallel port
became the means by which you could connect higher
performance peripherals. These peripherals now range from
printer sharing devices, portable disk drives and tape backup
to local area network adapters and CD ROM players.
Standard Rationale/Background
The problems faced by developers and customers of these
peripherals fall into three categories. First, although the
performance of the PC has increased dramatically, there has
been virtually no change in the parallel port performance or
architecture. The maximum data transfer rate achievable
with this architecture is around 150 kilobytes per second and
is extremely software intensive. Second, there is no standard
for the electrical interface. This causes many problems when
attempting to guarantee operation across various platforms.
Finally, the lack of design standards forced a distance
limitation of only 6 feet for external cables.
In 1991 there was a meeting of printer manufacturers to start
discussions on developing a new standard for the intelligent
control of printers over a network. These manufacturers,
which included Lexmark, IBM, Texas Instruments and
others, formed the Network Printing Alliance. The NPA
defined a set of parameters that, when implemented in the
printer and host, will allow for the complete control of
printer applications and jobs.
While this work was in progress it became apparent that to
fully implement this standard would require a high
performance bi-directional connection to the PC. The usual
means of connection, the ordinary PC parallel port, did not
have the capabilities required to meet the full requirements
or abilities of this standard.
The NPA submitted a proposal to the IEEE for the creation
of a committee to develop a new standard for a high speed
bi-directional parallel port for the PC. It was a requirement
that this new standard would remain fully compatible with
the original parallel port software and peripherals, but would
increase the data rate capability to greater than 1M bytes per
second, both in and out of the computer. This committee
became the IEEE 1284 committee.
The IEEE 1284 standard, "Standard Signaling Method for a
Bi-directional In 1991 there was a meeting of printer
manufacturers to start discussions on developing a new
standard for the intelligent control of printers over a
network. These manufacturers, which included Lexmark,
IBM, Texas Instruments and others, formed the Network
Printing Alliance. The NPA defined a set of parameters that,
when implemented in the printer and host, will allow for the
Standard Rationale/Background
complete control of printer applications and jobs.
While this work was in progress it became apparent that to
fully implement this standard would require a high
performance bi-directional connection to the PC. The usual
means of connection, the ordinary PC parallel port, did not
have the capabilities required to meet the full requirements
or abilities of this standard.
The NPA submitted a proposal to the IEEE for the creation
of a committee to develop a new standard for a high speed
bi-directional parallel port for the PC. It was a requirement
that this new standard would remain fully compatible with
the original parallel port software and peripherals, but would
increase the data rate capability to greater than 1M bytes per
second, both in and out of the computer. This committee
became the IEEE 1284 committee.
The IEEE 1284 standard, "Standard Signaling Method for a
Bi-directional Parallel Peripheral Interface for Personal
Computers", was approved for final release in March of
1994.
IEEE 1394 or FireWire FireWire (also known as i.Link or IEEE 1394) is a
personal computer and digital video serial bus interface
standard offering high-speed communications and
isochronous real-time data services. FireWire can be
considered a successor technology to the obsolescent SCSI
Parallel Interface. Up to 63 devices can be daisy-chained to
one FireWire port. The IEEE 1394 multimedia connection
enables simple, low-cost, high-bandwidth isochronous (real-
time) data interfacing between computers, peripherals, and
consumer electronics products such as camcorders, VCRs,
printers, PCs, TVs, and digital cameras. With IEEE 1394-
compatible products and systems, users can transfer video or
still images from a camera or camcorder to a printer, PC, or
television, with no image degradation..
Almost all modern digital camcorders have included this
connection since 1995. All Macintosh computers currently
produced have built-in FireWire ports, as do all Sony PCs
and many PCs intended for home or professional
audio/video use. FireWire was also used on the Apple iPod
music player for a long time, permitting new tracks to be
uploaded in a few seconds and also for the battery to be
recharged concurrently with one cable, but newer models,
Standard Rationale/Background
like the iPod nano and the new fifth generation iPod, have
completely dropped support for it.
History of the IEEE 1394 Standard
The 1394 digital link standard was conceived in 1986 by
technologists at Apple Computer, who chose the trademark
'FireWire', in reference to its speeds of operation. The first
specification for this link was completed in 1987. It was
adopted in 1995 as the IEEE 1394 standard. A number of
IEEE 1394 products are now available including digital
camcorders with the IEEE 1394 link, IEEE 1394 digital
video editing equipment, digital VCRs, digital cameras,
digital audio players, 1394 IC's and a wealth of other
infrastructure products such as connectors, cables, test
equipment, software toolkits, and emulation models.
Future of 1394
The strong multimedia orientation, self-configurability,
peer-to-peer connectivity and high performance of 1394
have encouraged new, innovative product concepts soon to
be released or in development now. With the advent this
year of native IEEE 1394 support in Microsoft Windows
operating systems, a number of new applications for 1394
will come forth that link the worlds of consumer and
computer electronics.
Benefits of 1394
Applications that benefit from IEEE 1394 include nonlinear
(digital) video presentation and editing, desktop and
commercial publishing, document imaging, home
multimedia, and personal computing. The low overhead,
high data rates of 1394, the ability to mix real-time and
asynchronous data on a single connection, and the ability to
mix low speed and high speed devices on the same network
provides a truly universal connection for almost any
consumer, computer, or peripheral application.
IEEE Std 730, IEEE
Standard for Software
Quality Assurance Plans,
The Software Engineering Standards Subcommittee of the
Technical Committee on Software Engineering (TCSE)
published its first standard, IEEE Std 730, IEEE Standard
for Software Quality Assurance Plans, on a trial-use basis
three years later. The collection has now grown to over 40
documents.
IEEE Software Engineering standards are used throughout
Standard Rationale/Background
industry today to maximize software development
investments. Covering software engineering terminology,
processes, tools, reuse, project management, plans,
documentation and measurement IEEE Software
Engineering standards are implemented in an array of
disciplines, including: Computer science, Quality
management, Project management, Systems Engineering,
Dependability and Safety.
Together, the more than 40 standards that comprise IEEE
software engineering standards collection excel in technical
integrity on an individual basis and each can take its place
within a suite of standards that may be adopted in totality or
in part by interested organizations. The standards are as
follows:
1. 610.12-1990 Standard Glossary of Software
Engineering Terminology
2. 730-2002, Standard for Software Quality Assurance
Plans
3. 828-1998, Standard for Software Configuration
Management Plans
4. 829-1998, Standard for Software Test
Documentation
5. 830-1998, Recommended Practice for Software
Requirements Specifications
6. 821-1988, Standard Dictionary of Measures to
Produce Reliable Software
7. 1008-1987 (R1993), Standard for Software Unit
Testing
8. 1012-1998, Standard for Software Verification and
Validation
9. 1012a-1998, Supplement to Standard for Software
Verification and Validation
10. 1016-1998, Recommended Practice for Software
Design Descriptions
11. 1028-1997, Standard for Software Reviews
12. 1044-1993, Standard Classification for Software
Anomalies
13. 1045-1992, Standard for Software Productivity
Metrics
14. 1058-1998, Standard for Software Project
Management Plans
15. 1061-1998, Standard for a Software Quality Metrics
Methodology
Standard Rationale/Background
16. 1062-1998, Recommended Practice for Software
Acquisition
17. 1063-2001, Standard for Software User
Documentation
18. 1074-1997, Standard for Developing Software Life
Cycle Processes
19. 1175.1-2002, Guide for CASE Tool Interconnections
- Classification and Description
20. 1219-1998, Standard for Software Maintenance
21. 1220-1998, Standard for the Application and
Management of the Systems Engineering
22. 1228-1994, Standard for Software Safety Plans
23. 1233-1998, Guide for Developing System
Requirements Specifications
24. 1320.1-1998, Standard for Functional Modeling
Language-Syntax and Semantics for IDEF0
25. 1320.2-1998, Standard for Conceptual Modeling
Language Syntax and Semantics...
26. 1362-1998, Guide for Information Technology-
System Definition-Concept of Operations
27. 1420.1-1995, Standard for Information Technology-
Software Reuse-Data Model for Reuse
28. 1420.1a-1996, Supplement to Standard for
Information Technology-Software Reuse-Data
29. 1420.1b-1999, IEEE Trial-Use Supplement to
Standard for Information
30. 1462-1998, Standard - Adoption of International
Standard ISO/IEC 14102: 1995;
31. 1465-1998, Standard - Adoption of International
Standard ISO/IEC 12119: 1994(E)
32. 1471-2000, Recommended Practice for Architectural
Description of Software Intensive
33. 1490-1998, Guide - Adoption of PMI Standard - A
Guide to the Project Management Body of
Knowledge
34. 1517-1999, IEEE Standard for Information
Technology-Software Life Cycle Processes-Reuse
35. 1540-2001, Standard for Software Life Cycle
Processes- Risk Management
36. 2001-2002, Recommended Practice for Internet
Practices - Web Page Engineering
37. 14143.1-2000, Adoption of ISO/IEC 14143-1:1998
Information Technology-Software
38. IEEE/EIA 12207.0-1996, Industry Implementation
of International Standard ISO/IEC 12207: 1995
Standard Rationale/Background
39. IEEE/EIA 12207.1-1996, Industry Implementation
of International Standard ISO/IEC 12207: 1995
40. IEEE/EIA 12207.2-1997, Industry Implementation
of International Standard ISO/IEC 12207: 1995
41. IEEE 15288, "Systems Engineering: System Life
Cycle Processes
This collection is the basis for the Software Engineering
Body of Knowledge (SWEBOK) and the CSDP effort in
place to certify software engineering professionals.
With the adoption of ISO/IEC 12207 a standard that defines
the major software engineering processes and ISO/IEC
15288 a standard that addresses the full life cycle of
systems, the IEEE will share the same reference set of
systems and software engineering processes as the ISO/IEC
Joint Technical Committee 1, Subcommittee 7 (ISO/IEC
JTC1/SC7) and make it easier for the two to create
compatible standards. As holders of the world's two major
collections of software engineering standards and standards
for the engineering of systems containing software, these
organizations are creating correspondence among their
standards to eliminate user confusion and align work done
under the standards from either organization.
IEEE 1003 (also
registered as ISO/IEC
9945), or POSIX,
The SUS emerged from a mid-1980s project to standardize
operating system interfaces for software designed for
variants of the Unix operating system. The need for
standardization arose because enterprises using computers
wanted to be able to develop programs that could be used on
the computer systems of different manufacturers
reimplementing the programs. Unix was selected as the
basis for a standard system interface partly because it was
manufacturer-neutral. These standards became IEEE 1003
(also registered as ISO/IEC 9945), or POSIX, which
loosely stands for Portable Operating System Interface.
Previously, The Open Group's Single UNIX Specification
was separate from the official IEEE POSIX. The near-
equivalent SUS became more popular with the involvement
of several major vendors in the wake of the Unix wars
because it was available for free, whereas the IEEE charged
a substantial fee for access to the POSIX specification.
Standard Rationale/Background
Beginning in 1998 a joint working group, the Austin Group,
began to develop the combined standard that would be
known as the Single UNIX Specification Version 3.
the IEEE Standard
Digital Interface for
Programmable
Instrumentation, IEEE-
488-1978 (now 488.1).
The Hewlett-Packard Instrument Bus (HP-IB), is a short-
range digital communications cable standard developed by
Hewlett-Packard (HP) in the 1970s for connecting electronic
test and measurement devices (e.g. digital multimeters and
logic analyzers) to control devices such as computers. Other
manufacturers copied HP-IB, calling their implementation
the General Purpose Instrumentation Bus (GPIB). In
1978 the bus was standardized by the Institute of Electrical
and Electronics Engineers as the IEEE Standard Digital
Interface for Programmable Instrumentation, IEEE-
488-1978 (now 488.1).
IEEE-488 allows up to 15 intelligent devices to share a
single bus by daisy-chaining, with the slowest device
participating in the control and data transfer handshakes to
determine the speed of the transaction. The maximum data
rate is about one megabyte per second. Paraphrasing the
1989 HP Test & Measurement Catalog: HP-IB has a party-
line structure wherein all devices on the bus are connected
in parallel. The 16 signal lines within the passive
interconnecting HP-IB cable are grouped into three clusters
according to their functions: Data Bus, Data Byte Transfer
Control Bus, and General Interface Management Bus.
In addition to the IEEE several other standards committees
have adopted HP-IB. The American National Standards
Institute's corresponding standard is known as ANSI
Standard MC 1.1, and the International Electrotechnical
Commission has its IEC Publication 625-1. In June 1987
the IEEE approved a revised standard for programmable
instruments called IEEE-488-1987 (now 488.2): Codes,
Formats, Protocols, and Common Commands. Hewlett-
Packard's HP-IB implementation, however, still concurs to
the aforementioned IEEE-488.1 version.
Not specifically planned for at the outset by HP-IB's
designers was the use of IEEE-488 as a standard peripheral
interface by general-purpose computers. Such applications
of the bus were made by the Commodore PET/CBM range
of educational/home/personal computers, whose disk drives,
printers, modems, etc, were daisy-chain connected to the
(host) computer, 'talking' and 'listening' on the designated
Standard Rationale/Background
bus lines to perform their jobs. All of Commodore's post-
PET/CBM 8-bit machines, from the VIC-20 to the C128,
utilized a proprietary 'serial IEEE-488' for peripherals, with
round DINconnectors instead of the heavy-duty HP-IB
plugs.
Tektronix's computer family (the 405x series) also used
IEEE-488 as a peripheral int erface. Hewlett-Packard's
business computer group also used the HP-IB bus to control
computer peripheral devices such as tape drives, printers etc.
HP used standard HP-IB hardware and a protocol called
'CS-80' in their business computers. Additionally, some of
HP's advanced pocket calculators/computers of the 1980s,
such as the HP-41 and HP-71 series, could work with
various instrumentation via an optional HB-IB interface.
The interface would connect to the calculator via an HP-IL
module (Hewlett-Packard Instrument Loop, also optional).
II. IEEE Standard Glossary of Software Engineering Technology
III. IEEE Guide for Developing Software Project Management Plans
TRIO Standards and Communication Plan
1.0 Introduction
This report reviews the major ITS National Standards initiatives, focuses on those efforts
to be of particular importance to existing or planned systems in the Tri-State Rural
Advanced Traveler Information Systems program (TRIO). This report also identifies
functional requirements and concepts of operations of the planned systems and their
seamless connectivity.
In the past, there were no standards to define how devices should communicate with
other equipment. Each manufacturer developed its own data communication formats,
protocols and methods to meet particular needs. As a result, to integrate systems
manufactured by different companies, considerable extra work was, and in many cases
still is, performed, resulting in increased development and deployment costs. This
shortcoming limits interchangeability of components between different vendors and
restricts information sharing between users and systems. These problems have not been
limited to any particular field or type of device. Many entities need to exchange
information between each other and with field devices. In surface transportation,
examples include traffic control centers, transit operators and information service
providers. These agencies must communicate with field devices such as dynamic
message signs, bus priority sensors, weather and environmental monitoring systems.
1.1 Purpose
The purpose of this document is to identify and describe the relevant ITS Standards
required to achieve seamless data communications between various equipment and traffic
management centers (TMC), as well as between TMCs of separate agencies.
This document serves as a guide to identify and describe technical details of:
Existing relevant ITS standards
Concepts of operations
Requirements
Data elements and message sets
This document is intended for:
Transportation operations managers
Transportation operations personnel
Transportation engineers
Transportation management procurement officers
System integrators
Device manufacturers
This document will provide information on the ongoing efforts on adopting XML as a
future standard for center-to-center and center-to-field communications, linkages between
software and databases, and the XML schemas developed up to date.
Finally, this document is the first of the three-volume deliverable. The data elements and
messages in XML format will be discussed in the following volume II and volume III,
respectively.
1.2 Existing Relevant Standards
The United States Department of Transportation (U.S. DOT) is supporting specific ITS
standards initiatives in areas expected to have significant public benefit. To expedite
deployment of nationally interoperable ITS systems and services, seven standards
development organizations (SDO) are developing a host of non-proprietary, industry
based ITS standards. Nationally recognized organizations that are leading these SDOs
comprise:
Institute of Transportation Engineers (ITE)
American Association of State Highway and Transportation Officials
(AASHTO)
American National Standards Institute (ANSI)
American Society for Testing & Materials (ASTM)
Institute of Electrical and Electronics Engineers (IEEE)
Society of Automotive Engineers (SAE)
Electronics Industry Alliance (EIA)
Additionally, the SDO known as the National Transportation Communications for ITS
Protocol (NTCIP) is a joint initiative of AASHTO, ITE, and the National Electrical
Manufacturers Association (NEMA).
The National ITS Standards efforts underway by the seven SDO incorporate both the
words (data elements or object definitions) and the sentences (message sets) needed to
communicate between systems and agencies. In addition to these two components,
specific languages (data formats) used to send the data are also being defined within the
National ITS Standards effort.
Data format definitions address the lower-level computer operations required to send and
receive data. A hierarchy is utilized in computer data transfers, separating the low-level
linguistic tools from the higher-level data content. ITS deployments, such as TRIO, will
use the data formats prescribed by the National ITS Standards to ensure compatibility and
interoperability between systems without focusing on the specific formats. Each system
will adhere to the selected data formats, but may elect to use one methodology over
another for cost, maintenance or technological reasons.
Data elements are defined in data dictionaries which are key components in the operation
of computer-based ITS. They provide the basic information definitions that are used in
the exchange of information between systems. An established data dictionary with
unambiguous definitions is one of the essential standards required to exchange messages
among systems. Users can help assess specific needs for data definitions, and the
relevance of the definitions already proposed by the SDO during design and
implementation of systems.
Message sets are another component in the design and operation of modern computer
based systems. They provide the basic information flows upon which communications
between systems depend. Specifically, a message set defines the information sequence
and rules (syntax) for handling information exchanges on specific topics. In essence,
message sets are the sentences where data elements are the individual words. It is at this
level that deployments may have most impact on the draft standards, offering a test bed
for appraisal and further development.
In this document, two types of communications are considered, including center-to-center
(C2C) and center-to-field (C2F). Traffic Management Centers (TMC), Transportation
Operation Centers (TOC), Transit Operation Centers (TrOC), Emergency Management
Centers (EMS), 911 call centers, etc. have initially been built and operated as individual
agencies in separate jurisdictions. In recent years, however, advanced information
technologies allow agencies to share possessed information in near real-time. The data
exchanges within and among various agencies is called center-to-center communications.
Communications established between agencies and ITS field equipment (DMS, HAR,
ESS, etc.) are called center-to-field communications. Several key standards are discussed
in the following sections fulfill the needs of C2C and C2F communications including:
1) Traffic Management Data Dictionary (C2C)
2) Advanced Traveler Information Systems (C2C)
3) Transit Communications Interface Profiles (C2C, C2F)
4) Environmental Sensor Stations (C2F)
5) Dynamic Message Signs (C2F)
6) Closed Circuit TV (C2F)
7) Weigh-in-motion (C2F)
8) Incident Management (C2C)
9) Commercial Vehicle Information Systems and Networks (C2C, C2F)
10) Internet Standards (C2C)
2.0 Concepts of Operations
The TRIO Program involves the integration of many agencies and systems used to
collect, monitor and manage the transportation system. This integration involves traffic
and transit management systems, incident management, commercial vehicle operations,
in-field devices and information service providers using different media.
The Condition Acquisition and Reporting System (CARS) program will be the central
software and database for the TRIO region. It will store all the events entered, integrate
data collected by in-field devices, and provide event details to all the information
dissemination media. The CARS program uses the World Wide Web to allow authorized
staff to input construction, accident, delay, and other roadway, weather and tourism event
information into statewide databases.
CARS supports a number of different services outlined in the National ITS Architecture
that include travel and traffic management, public transportation management,
commercial vehicle management, emergency management, and information management.
Each user service addresses specific needs of the participants by providing the
combination of collected information, including:
Weather;
Road Conditions;
Truck Permit Status;
Road Construction;
Accidents;
Delays and Detours;
Mayday Emergency Notification;
Parking Status;
Special Events; and
Tourism Events.
The CARS program adheres to the National ITS Standards set forth by the Traffic
Management Data Dictionary (TMDD) and the Message Sets For External Traffic
Management Center Communications (MS/ETMCC). The CARS system is using a
translation of the Abstract Syntax Notation One (ASN.1) message structure into
eXtensible Markup Language (XML) for communication of information.
The CARS system will be the central repository for all event data within the TRIO
Program, and as a result, provides an effective tool for managing the dissemination of
information to other users and systems. The following sections discuss the concept of
operations for the various ITS components within the TRIO program.
2.1 CARS and External Centers
One of the cornerstones of the National ITS Architecture is the interaction of remote
centers in the sharing of information that can be used internally and for public
dissemination. As the hub of the program, the CARS system provides the source and
collection point for many of the interagency communications. CARS will interact with
external systems to share the necessary information regarding in-state traffic management
efforts and events.
The common interaction medium will be over the Internet through the use of the
MS/ETMCC messages from the TMDD. CARS will be capable of supporting both real-
time reporting of new traffic information as well as handle on-demand queries for the
latest updates for particular areas, routes or types of events. This dual capability will
allow a variety of different operational scenarios to be supported as may be needed by
different agencies and external centers.
2.2 CARS and FORETELL
The FORETELL system provides winter maintenance operators with the ability to view
current and impending weather conditions forecast by state-of-the-art weather models
from the National Weather Service. The interaction between CARS and FORETELL
provides the opportunity to have users view traffic events that are affecting the roadway
while also viewing the weather conditions. This unique perspective affords users with the
ability to understand the impact that the weather is having on travel conditions.
Communication between these systems will use the message sets established within the
TMDD.
2.3 CARS and Transit
Within each state there are often numerous different transit agencies that operate buses,
ferries, trains and other modes. The transit agencies play a vital part in the health and
vibrancy of an area, but also can either be affected by or affect the traditional roadway
transportation network. This interaction can result in delays, problems with travel
services and also affect non-transportation industries like tourism.
CARS will communicate with transit modes using the TCIP message sets to obtain the
latest schedules, delay information and other transit information. Using the data
exchanged, CARS will identify and develop events related to travel delays and
communicate this information with centers and travelers using the TMDD messages.
2.4 CARS and Tourism
Tourism plays a large role in the impact on travel and traffic conditions of a region.
Sporting and other special events may draw significant numbers of visitors, add
congestion to the traffic network and possibly result in closure of roadways. This
interaction between tourism and traffic conditions demonstrates an inherent need to
exchange information about on-going and impending events between these two systems.
The interaction between CARS and tourism central servers will focus on the use of both
the TMDD and SAE-ATIS message sets for exchange of information.
The tourism central server shall communicate required details about major events that
will result in unusual travel patterns and road closures so that the traffic management
system can plan necessary response plans. CARS shall respond to requests from the
tourism central server regarding events on the highway network that may affect a
visitors travel.
2.5 CARS and Commercial Vehicle Operations
Agencies involved in the management of and approval of permits for commercial
vehicles require detailed information regarding routes on which these vehicles wish to
travel. Generally, permits are required for oversized (OS) and overweight (OW) vehicles,
as well as those carrying specialized cargo that may be hazardous. Routing one of these
vehicles along an inappropriate route can result in economic, physical and environmental
damage to the area and the roadway.
The CARS-CVO module will interact with CARS using the TMDD messages to query
the database for any active events that would result in rejection of a routing. The module
will also interact with existing OS/OW databases using messages to be developed in the
standards processes to obtain permanent, or fixed, limits along routes. Finally,
CARSCVO will interact with CVISN systems to either poll or provide information
related to requested permits for verification that a vehicle or driver has a satisfactory
rating.
2.6 CARS and Environmental Sensor Stations
Road and weather sensors that monitor the current conditions provide an opportunity to
update information provided to the traveling public in real-time about precipitation, high
winds or icy road conditions. The ability to monitor the occurrence of these events will
also allow for communications between the ESS Central Processing Unit (CPU) and
CARS. Message communications can be configured to occur when condition warrant a
message to be triggered or can occur at periodic intervals so that information can be
continuously updated and disseminated to the traveling public.
The ESS CPU will gather information from the in-field ESS units using the NTCIP
standard set of messages and store that information for future retrieval. CARS will
communicate with the ESS CPU using TMDD messages to obtain the latest report of
conditions from each of the reporting stations.
2.7 CARS and Dynamic Message Signs
CARS will use the appropriate TMDD standards to communicate with the DMS central
server. This DMS central server manages and communicates directly with the in-field
DMS units using the NTCIP standards. By knowing the severity and location of all
events affecting the traffic network, CARS will be able to effectively determine and
notify the DMS central software which signs should display which messages to most
appropriately manage traffic.
The TMDD standard will also allow other centers to access information regarding status
and the display of messages currently on signs. Other centers may desire a DMS
inventory and current status information including being able to locate these devices on a
map and determining the consistency of the sign message with the other informationbeing
provided to motorists. Potentially, other centers may also request that messages related to
their network be displayed on signs under control of other agencies to maximize the
dissemination of information to the public.
2.8 CARS and Traveler Radio Broadcasts
The use of Highway Advisory Radio (HAR) and Low-Powered FM (LPFM) radio
stations enables agencies to reach a broader audience over a greater area and for a longer
period of time than the few lines available on a DMS. This enhanced ability provides the
opportunity to provide information about a wide range of important traffic, road and
weather conditions as well as tourist and other related information. As the central
database, CARS will be capable of providing to the LPFM/HAR stations with up-to the
minute information about events on the highway network on a regional basis.
CARS will communicate with the LPFM/HAR central server to provide details of events
currently affecting locations in the stations travel impact area. The LPFM/HAR central
server will then communicate the play list that the station software shall then disseminate.
2.9 CARS and 5-1-1
With the release of the 5-1-1 number by the Federal Communication Commission (FCC)
for traveler information systems, the ability to reach a broader audience with user specific
information about the status of events on routes of interest. Again, the use of
CARS as the supplier of information for the 5-1-1 system is vital to ensuring travelers
have access to the latest information both pre-trip and while en-route.
The 5-1-1 system will poll CARS using the TMDD message sets to obtain the latest event
information and will interact with the automated voice response systems using the Voice-
XML language standard.
2.10 CARS and Public View Websites
A commonly used interface to provide information to travelers is through public view
websites that allow information to be presented in tabular, graphical and map-based
formats. These different methods enable users to gather the necessary details about
potential impacts along their travel routes. Web services will request and retrieve data
from CARS using the TMDD message sets. This data will be parsed and prepared for
presentation. Websites shall use the common HTML standard for encoding the website to
allow Internet browsers to interpret and properly display the information.
3.0 System Requirements
The requirements in this document aim to identify and functionally describe the ways in
which the system will be used. In the case of this document, this entails identifying the
various ways in which transportation operations personnel may use Center-to-Center
connections to fulfill their duties, and how ITS devices may operate to fulfill their
functionality.
3.1 Security Data
There are three operational requirements areas for the security information for Center-to-
Center (C2C) communications. The requirements of these functional areas are as follows:
3.1.1 User Login: The system shall support user login before granting an access to the
remote user.
3.1.2 Authentication: The system shall support authentication in order to provide
predetermined privileges to the remote user.
3.1.3 Support Security Tokens: The system shall support security tokens for providing
and using protected services with other authorized traffic management systems. Security
token is an identifier given by the owner of the system to those who have been
authenticated.
3.2 Administrative Information Sharing
The administrative data establishes a context for C2C relationships between the
organizations on the network. The requirements statements for each of the functional
areas are as follows:
3.2.1 Agency Information Sharing: The system shall support the sharing of agency
information with other authorized traffic management systems; including agencys name,
role, contacts, etc.
3.2.2 Organization Information Sharing: The system shall support the sharing of
organization information with other authorized traffic management systems; including
organizations name, role, contacts, etc.
3.2.3 Contact Information Sharing: The system shall support the sharing of contact
person information with other authorized traffic management systems; including person
name, role, email, phone, fax, cellular, pager, etc.
3.3 Events
Events describe the current or expected travel situation, whether normal or abnormal.
They seek to explain the situation in ways easily understood by users.
Events shall be exchanged between interested parties in language-independent forms
suitable for automated processing, sorting and selection. Event information shall be sent
from TMCs to ISPs for eventual dissemination to travelers. This information may also be
of use to centers other than ISPs, especially centers not actively involved in managing the
event.
Events include descriptions of unusual circumstances (e.g. traffic problems; severe
weather warnings) and/or current status (e.g. level of service; weather situation). Event
information is created and updated in an originating database, by human operators or by
automated systems. It is copied to one or more remote databases by means of messages.
Functional requirements for exchanging events and requests between centers are as
follows:
3.3.1 Event Information Sharing: The system shall support the sharing of event
information with other authorized traffic management systems defined as being part of
the C2C network. Event information data elements and message sets will be elaborated
further in the following sections of this document.
3.3.2 Event Information Recap: The system shall support the recapping of event
information with other authorized traffic management systems defined as being part of
the C2C network.
3.4 Traffic Network and Traffic Data
The requirements for sharing traffic network inventory (links and nodes) and traffic data
are as follows:
3.4.1 Traffic Network Inventory Information: The system shall support sharing of
network inventory composed of a list of nodes and links, with other authorized traffic
management systems defined as being part of the C2C network.
3.4.2 Node Status Information: The system shall support sharing of node status
information with other authorized traffic management systems defined as being part of
the C2C network.
3.4.3 Link Status Information: The system shall support sharing of node status
information with other authorized traffic management systems defined as being part of
the C2C network.
3.4.4 Link Data Sharing: The system shall support sharing of link data with other
authorized traffic management systems defined as being part of the C2C network.
3.5 Traffic Detectors
The requirements for sharing traffic detector inventory and status are as follows:
3.5.1 Traffic Detector Inventory Information: The system shall support sharing of traffic
detector inventory with other authorized traffic management systems defined as being
part of the C2C network.
3.5.2 Traffic Detector Status Information: The system shall support sharing of traffic
detector status information with other authorized traffic management systems defined as
being part of the C2C network.
3.6 Environment Sensors
The requirements for sharing environment sensors inventory and status are as follows:
3.6.1 ESS Inventory Information: The system shall support sharing of environment
sensors inventory with other authorized traffic management systems defined as being part
of the C2C network.
3.6.2 ESS Status Information: The system shall support sharing of ESS information with
other authorized traffic management systems defined as being part of the C2C network.
3.7 Camera Control and Video Switching
Closed Circuit Television (CCTV) Control and Video Switching functions are connected
as one represents the control and the other the data delivery from the same device. The
requirements for camera control and video switching are as follows:
3.7.1 CCTV Inventory Information: The system shall support sharing of CCTV inventory
with other authorized traffic management systems defined as being part of the C2C
network.
3.7.2 CCTV Status Information: The system shall support sharing of CCTV status
information with other authorized traffic management systems defined as being part of
the C2C network.
3.7.3 Remote Control of CCTV Devices: The system shall be capable of receiving
CCTV control requests and sending responses.
3.7.4 Control Requests to Remote CCTV Devices: The system shall be capable of issuing
control requests for remote CCTV devices.
3.8 Video Switch Functional Requirements
The requirements to exchange video switch information and command/control requests
between centers are as follows:
3.8.1 Video Switch Inventory Information: The system shall support sharing of video
switch inventory with other authorized traffic management systems defined as being part
of the C2C network.
3.8.2 Video Switch Status Information: The system shall support sharing of video switch
status information with other authorized traffic management systems defined as being
part of the C2C network.
3.8.3 Remote Control of Video Switch Devices: The system shall be capable of receiving
video switch control requests and sending responses.
3.8.4 Control Requests to Remote Video Switch Devices: The system shall be capable of
issuing control requests for remote video switch devices.
3.8.5 Video Attributes: The system shall be capable of issue a request to set the video
attributes of a video channel.
3.9 Dynamic Message Signs
The requirements for sharing DMS inventory and status information and supporting
control functions are as follows:
3.9.1 DMS Inventory Information: The system shall support sharing of DMS inventory
with other authorized traffic management systems defined as being part of the C2C
network.
3.9.2 DMS Status Information: The system shall support sharing of DMS status
information with other authorized traffic management systems defined as being part of
the C2C network.
3.9.3 Remote Control of DMS: The system shall be capable of receiving DMS control
requests and sending responses.
3.9.4 Control Requests to Remote DMS: The system shall be capable of issuing control
requests for remote DMSs.
3.9.5 DMS Library Updates: The system shall send a DMS library request when the
update date in the inventory information indicates the message library has been updated.
3.10 Highway Advisory Radio / LPFM
The requirements for sharing HAR inventory and status information are as follows:
3.10.1 HAR Inventory Information: The system shall support sharing of HAR inventory
with other authorized traffic management systems defined as being part of the C2C
network.
3.10.2 HAR Status Information: The system shall support sharing of HAR status
information with other authorized traffic management systems defined as being part of
the C2C network.
3.11 Telephone (511) System
The requirements for sharing 511 coverage, inventory, and status information and
supporting control functions are as follows:
3.11.1 511 Coverage Information: The system shall support sharing 511 coverage area
(regional, statewide, etc.) with other authorized traffic management systems defined as
being part of the C2C network.
3.11.2 511 Inventory Information: The system shall support sharing 511 traffic network
inventory composed of a list of nodes and links, with other authorized traffic
management systems defined as being part of the C2C network.
3.11.3 511 Status Information: The system shall support sharing of 511 status information
with other authorized traffic management systems defined as being part of the C2C
network.
3.11.4 Remote Announcement Requests to 511: The system shall be capable of receiving
announcement (events, warnings, etc.) requests and sending responses.
3.11.5 Announcement Requests to Remote 511: The system shall be capable of issuing
announcement requests to remote 511 systems.
3.12 Web Portal
The requirements for sharing web portal coverage, inventory, and status information and
supporting control functions are as follows:
3.12.1 Web Portal Coverage Information: The system shall support sharing web portal
coverage area (regional, statewide, etc.) with other authorized traffic management
systems defined as being part of the C2C network.
3.12.2 Web Portal Inventory Information: The system shall support sharing Web Portal
traffic network inventory composed of a list of nodes and links, with other authorized
traffic management systems defined as being part of the C2C network.
3.12.3 Web Portal Status Information: The system shall support sharing of Web Portal
status information with other authorized traffic management systems defined as being
part of the C2C network.
3.12.4 Remote Announcement Requests to Web Portal: The system shall be capable of
receiving announcement (events, warnings, etc.) requests and sending responses.
3.12.5 Announcement Requests to Remote Web Portal: The system shall be capable of
issuing announcement requests to remote Web Portals.
3.13 Transit and Ferry Service
The requirements for sharing transit and ferry service information are as follows:
3.13.1 Transit and Ferry Service Inventory Information: The system shall support sharing
of transit and ferry service inventory with other authorized traffic management systems
defined as being part of the C2C network.
3.13.2 Transit and Ferry Service Status Information: The system shall support sharing of
transit and ferry service status information with other authorized traffic management
systems defined as being part of the C2C network.
3.13.3 Transit and Ferry Service Schedule Information: The system shall support sharing
of transit and ferry service schedule information with other authorized traffic
management systems defined as being part of the C2C network.
3.13.4 Transit and Ferry Service Schedule Recap: The system shall support the recapping
of schedule updates with other authorized traffic management systems defined as being
part of the C2C network.
3.14 Tourism
The requirements for sharing tourism information are as follows:
3.14.1 Tourism Event Inventory Information: The system shall support sharing of tourism
events with authorized traffic management systems defined as being part of the C2C
network.
3.14.2 Event Impact Information: The system shall support sharing of information related
to the impact on the transportation network with authorized traffic management systems
defined as being part of the C2C network.
3.14.3 Event Information: The system shall support sharing of event information with
other authorized tourism management centers defined as being part of the C2C network.
3.15 Commercial Vehicle Operations
The requirements for sharing CVO information are as follows:
3.15.1 Static OS/OW Restriction Inventory Information: The system shall support sharing
of information related to static restrictions for oversized and overweight vehicles with
authorized traffic management systems defined as being part of the C2C network.
3.15.2 Dynamic OS/OW Restriction Inventory Information: The system shall support
sharing of information related to dynamic restrictions for oversized and overweight
vehicles with authorized traffic management systems defined as being part of the C2C
network.
3.15.3 Vehicle and Driver Safety Information: The system shall support sharing of safety
data related to vehicles applying for permits with authorized traffic management systems
defined as being part of the C2C network.
3.16 FORETELL
The requirements for sharing weather and road condition information are as follows:
3.16.1 Forecast Information: The system shall support sharing of forecast information
(road and weather) with authorized traffic management systems defined as being part of
the C2C network.
3.16.2 Event Information: The system shall support sharing of event information with
authorized traffic management systems defined as being part of the C2C network.
4.0 Standards for Implementation
4.1 National ITS Standards
As discussed in Section 1 of this document, there are two types of communications
considered in the National ITS Standards which are center-to-center (C2C) and center-to
field
(C2F). Several key standards have been discussed that fulfill the needs of C2C and
C2F communications including:
1) Traffic Management Data Dictionary (TMDD)
2) Message Sets for External Traffic Management Center Communications
(MS/ETMCC)
3) Advanced Traveler Information Systems (SAE-ATIS)
4) Transit Communications Interface Profiles (TCIP)
5) Environmental Sensor Stations (NTCIP-ESS)
6) Dynamic Message Signs (NTCIP-DMS)
7) Closed Circuit TV (NTCIP-CCTV)
8) Weigh-in-motion (NTCIP-DCM)
9) Incident Management (IEEE P1512)
10) Commercial Vehicle Information Systems and Networks (CVISN)
11) Internet Standards (WWW)
The standards discussed in Section 1 provide an overview of the requirements placed on
equipment and systems that will be used in the TRIO Program. These requirements are
necessary to ensure that all systems to be implemented can operate and exchange
information with each other. Figure 1 illustrates the system architecture planned for the
TRIO program and identifies the relevant standards that impact each of the system
interconnects. Further details on each standard are provided within Section 4.
4.2 TMDD and MS/ETMCC
The organizations of ITE and AASHTO jointly lead the development of standards
relevant to users and ITS systems involved in traffic management. The Traffic
Management Data Dictionary (TMDD) standard defines a data dictionary of data
elements necessary to support data communications within and among traffic
management systems. The TMDD provides a standardized national set of data elements
that are intended to be the basis of data dictionaries implemented for specific types of
installations.
These data elements also overlap with traveler information and emergency management
efforts and this commonality assists in having a common set of definitions and phrases to
use when interacting between agencies and the traveling public. As a data dictionary
standard, the TMDD provides Meta attributes for each data element (DE) including
definitions and specific format for individual DEs.
At present four sections have been developed into the following partitions:
Traffic Links and Nodes the traffic network,
Events, Incidents and Notification Alarms events perturbing the network,
Traffic Network, Traffic Signal Control, Traffic Detectors, Vehicle Probes, Ramp
Metering, and Traffic Modeling the traffic control devices, and
Closed Circuit Television, Dynamic Message Sign, Environmental Sensor
Station, Gate, Highway Advisory Radio, and Parking advanced information gathering
or display devices
In addition to TMDD, the Message Sets for External Traffic Management Center
Communications (MS/ETMC2) standard provides message sets necessary to convey
traffic management data within and between traffic management centers and other ITS
centers. In the MS/ETMCC standard, the messages are collected into message sets and
message groups. Event Report Messages are one-way "summary" messages sent from a
TMC to another center-based subsystem, such as an ISP or an agency not closely
involved with the situation. Their main purpose is to support detailed, real time event
summaries or overviews for exchange between TMCs, and from TMCs to ISPs,
collecting together all those parts of detailed event messages that are relevant for traffic
management or may be passed on to the public. The standard defines the data elements to
be used in each message, plus the necessary sequencing and logic information.
The MS/ETMCC standard contains six message groups:
Roadway-Network: provides ability to exchange a description of a specific traffic
network as defined by a set of links and nodes.
Trio Standards and Communications Plan Volume I
Module 5B Tasks 2, 3 June 30, 2003 18
Network-State: provides a snapshot of current traffic performance for a specific traffic
network.
Network-Events: provides a description of all events that reported in a specific traffic
network.
Traffic-Requests: provides a center with the ability to request to use specific data
elements that are contained in the TMDD.
Traffic-Device-Status: provides a center with the ability to send traffic control device
data after receiving a request for status.
Traffic-Control: provides a center with the ability to remotely control traffic control
devices that are functionally controlled locally at another center.
These message sets provide for a near real-time data exchange between traffic
management centers subsystems and the following types of transportation centers:
Information Service Providers (ISPs),
Transit Management,
Emergency Management,
Toll Administration, and
Emissions Management.
Together the standards enable the effective exchange of data and information that are
becoming increasingly important for mitigation of traffic problems and increase of
traveler safety.
The most recent version of the TMDD and MS/ETMCC standards are provided in
Volume II (Data Elements) and Volume III (Message Sets) respectively. Information is
taken from www.tmdd.org, which is the website for the ITE/AASHTO Standard
Committee. The content in Volume II and Volume III reflect the standards as published
in February 2002. A revision to these standards is currently underway and the revised
documents are expected to be released in late 2003.
4.3 SAE ATIS
The Society of Automotive Engineers is charged with leading efforts related to
Information Service Providers (ISPs) and advanced traveler information systems. The
specific standards of this effort are discussed herein. The standard SAE J2353 defines the
data elements for ATIS messages. DEs from this standard are also being used by other
ITS systems that convey information about ATIS-related items. This standard is the
warehouse of definitions needed to convey information to travelers and is one of a group
of basic standards that are often referred to as functional area data dictionaries.
This standard provides the concise definition of data elements, including instructions on
how to encode them at the bit level. It also describes the implied meaning of various
phrases and points to other related data concepts on an element-by-element basis.
The standard SAE J2354 (Advanced Traveler Information Systems Message Sets
provides traveler information messages intended to be exchanged among information
service providers, traffic management centers, and other ITS centers. This standard
provides a variety of ATIS messages, as well as various profiles for requesting such
messages. It also contains various supporting messages including traffic flow, navigation,
transit, weather, parking, and other commercial uses of ATIS.
This group of standards uses data elements created specifically for ATIS content as well
as use a variety of data elements from TMDD, NTCIP, TCIP and IEEE. Messages within
this standard focus on repackaging information collected by these other standards for
transmission to other users such as weather data and events. Volume II (Data Elements)
and Volume III (Message Sets) of the TRIO Standards Plan details the data elements and
message sets used within the SAE-ATIS standard. The SAE-ATIS standards are currently
in the process of being re-balloted and are available from the SAE website (www.sae.org)
for a fee.
4.4 TCIP
The Transit Communications Interface Profiles (TCIP) is a group of standards that
specifies the rules and terms for the exchange of information in transit applications such
as operations, maintenance, planning, management, and customer services. TCIP
standards not only define the information and information-transfer requirements among
public transportation vehicles (PTVs), transit management centers (TrMCs), other transit
facilities, and ITS centers, but identify also mechanical and electrical interfaces and
methods for ensuring data integrity, specify required message sets, and provide a
common set of conformance requirements.
The contents of the family of standards provide the building blocks for supporting
information flows among transit functional entities. The transit specific functions are
divided into nine (9) business areas, including the following:
Common Public Transportation (NTCIP 1401) The common public transportation
domain covers standard data types, data elements and messages (business objects) shared
by many of the other business areas, including representative class data types and general
data concepts related to vehicle, equipment, facilities, activation/deactivation date and
times, etc. These messages and data elements are taken from NTCIP 1401 v 1.03 Draft
Amendment1 August
2002 document, which is distributed for review and comment purposes only. The reader
of this document should be aware that these standards and current statuses are available
on the WEB at http://ntcip.org/ .
Incident Management (NTCIP 1402) The incident management covers the data needs
related to detecting, verifying, prioritizing, responding to, and clearing of unplanned
events that affect transit operations. Information related to incidents involving the transit
vehicle are transmitted via data elements and messages that are taken from NTCIP 1402 v
1.03 Draft Amendment1 August 2002 document, which is distributed for review and
comment purposes only. The reader of this document should be aware that these
standards and current statuses are available on the WEB at http://ntcip.org/ .
Passenger Information (NTCIP 1403) The passenger information covers the data
needs related to providing passengers and potential customers with the information they
need and want in order to plan and make trips on public transportation. Data elements and
message sets related to passenger information are taken from NTCIP 1403 v 1.03 Draft
Amendment1 August 2002 document, which is distributed for review and comment
purposes only. The reader of this document should be aware that these standards and
current statuses are available on the WEB at http://ntcip.org/ .
Scheduling/Run cutting (NTCIP 1404) The scheduling covers the data needs of the
functions related to scheduling and run cutting. This includes all input data needed to
develop the master schedule, trip sheet, run guides, paddles, inventory files and other
supplemental information. Scheduling uses data elements and message sets taken from
NTCIP 1404 v 1.03 Draft Amendment1 September 2002 document, which is distributed
for review and comment purposes only. The reader of this document should be aware that
these standards and current statuses are available on the WEB at http://ntcip.org/ .
Spatial Representation (NTCIP 1405) The spatial representation (SP) business area
objects serve other data elements; messages defined in this business area represent the
location of fixed and mobile objects. Transit agencies use data elements and message sets
taken from NTCIP 1405 v 1.03 Draft Amendment1 September 2002 document to
exchange location information. This document has been is distributed for review and
comment purposes only. The reader of this document should be aware that these
standards and current statuses are available on the WEB at http://ntcip.org/ .
On-Board (NTCIP 1406) The on-board covers the data needs of the functions related
to on-board applications, including all data needed for the communication between on-
board components within a public transportation vehicle and other transit applications.
Data elements and messages are taken from NTCIP 1406 v
1.03 Draft Amendment1 August 2002 document, which is distributed for review and
comment purposes only. The reader of this document should be aware that these
standards and current statuses are available on the WEB at http://ntcip.org/ .
Control Center (NTCIP 1407) The control system serves as the clearinghouse for all
operations data related to dispatching, providing, monitoring and measuring transit
revenue services in real time. Data elements and messages related to control center
function and operations are taken from NTCIP 1407 v
1.03 Draft Amendment1 August 2002 document, which is distributed for review and
comment purposes only. The reader of this document should be aware that these
standards and current statuses are available on the WEB at http://ntcip.org/ .
Fare Collection (NTCIP 1408) The fare collection covers the data needs of the
functions related to the collection of fares from passengers. Fare collection elements and
messages are taken from NTCIP 1408 v 1.03 Draft Amendment1
August 2002, this is distributed for review and comment purposes only. The reader of this
document should be aware that these standards and current statuses are available on the
WEB at http://ntcip.org/ .
Volume II (Data Elements) and Volume III (Message Sets) of the TRIO Standards Plan
details the components for each of these business areas.
4.5 NTCIP
The National Transportation Communications for ITS Protocol standards group has
focused largely on the development of standards related to Center-to-Field
communications to allow the control, management and data collection from field devices.
These devices include different units such as Environmental Sensor Stations, Dynamic
Message Signs and Closed Circuit Television. Each of the relevant standards is discussed
below. The latest version of these standards and their current status are available on the
WEB at http://www.ntcip.org/.
4.5.1 NTCIP-ESS
Commonly known as Road Weather Information Systems (RWIS), environmental sensor
stations (ESS) can collect a wide array of data such as atmospheric and surface
conditions. A Remote Processor Unit (RPU) connects these sensors and acts as the hub
for transferring the data to a central processing unit (often termed the CPU).
The ESS draft data dictionary standard provides the vocabulary for the management of
environmental sensor stations, including weather information, road condition information
and air quality monitoring. The standard defines those data objects used to describe
ambient conditions and pavement conditions. The standard defines conformance group
requirements and conformance statements. These outline the needed components or data
to effectively provide information regarding a specific topic and can be used in the
preparation of ESS procurement specifications.
The ESS Committee effort has recently started work on standard RWIS messages.
FORETELL currently copes with the lack of RWIS messages by using for comma
delimited ASCII format files output at scheduled intervals. The same approach is
recommended throughout the TRIO program, both within and between states, as the
current methods for exchanging RWIS data until the NTCIP-ESS standard reaches
further maturity. It is also recommended that once the new standard is published, the
publication using NTCIP-ESS and an ASCII file continue for support of any legacy
systems. This way, the standardized data from any vendor can be tabulated for easy
review and comparison. Applications like FORETELL can also read the standardized
data into their software routines, either from HTML web tables or from equivalent XML
definitions, specifically designed for computer -to-computer linkages.
NTCIP 1204, Object Definitions for Environmental Sensor Stations, Version 2 is
currently under development. Version 2 reflects industry suggested edits to the data N
objects and allows the inclusion of new block objects for more efficient data exchange
between an ESS and its central system. NTCIP 1301 Weather Report Message Set for
ESS is under development and will define the format for transferring data between a
center and the field device. A User Comment Draft of NTCIP 1204, Object Definitions
for Environmental Sensor Stations, is expected in October 2003 and the Recommended
Standard is expected in June 2004. NTCIP 1301 Weather Report Message Set for ESS is
under development with a User Comment Draft is expected in June 2004.
4.5.2 NTCIP-DMS
Dynamic Message Signs (DMS) are used to help manage the surface transportation
system. Through the use of a central management system, a traffic operations center can
monitor and control the DMS using NTCIP Center-to-Field communications. Dynamic
Message Signs can be used to provide travelers information that help the travelers select
routes; to inform travelers about traffic congestion, travel times, roadway or traffic
conditions, planned activities that may affect traffic conditions, to provide information
about transportation alternatives and other public service announcements.
The NTCIP-DMS standard provides a standard communications vocabulary for traffic
management and operations personnel to advise and inform the travelers of current
highway conditions using dynamic message signs. The standard includes conformance
group requirements and conformance statements to support compliance with the standard.
The objects include commands to the signs, messages for display, and responses from the
signs to the transportation management center, as well as free text objects that allow an
operator to have stored or newly created messages displayed by the sign.
NTCIP 1203, Object Definitions for Dynamic Message Signs, Version 2, drafted on
January 10, 2003 for user comments, is currently under development. Version 2
represents a major upgrade in the functionality of the DMS standard. Version 2 adds
features such as graphics and device status reports. This version also restructures the
standard to make it easier for end users to specify product attributes and/or capabilities.
Added detail in Version 2 enables all parties, including users, designers, vendors and
integrators to build systems that meet requirements identified through the systems
engineering process. Rigorously identifying requirements will enable the public agency
to construct robust compliance tests for vendor systems to meet.
4.5.3 NTCIP-CCTV
Closed Circuit Television (CCTV) cameras are used to help view the surface
transportation system. CCTV devices can be used to verify the existence of traffic
congestion reports; to monitor the progress of incidents, construction, and special events;
to determine when the residual congestion from and incident is cleared; and provide
visual images to the public as to the state of the roadway.
NTCIP 1205:2001 standard (v01.08), Object Definitions for Closed Circuit Television
(CCTV) Camera Control, defines data that is specific to Closed Circuit Television
cameras, including secure area monitoring support, surveillance data, video surveillance
control, such as Pan/Tilt/Zoom (P/T/Z), focus and traffic images. Iris parameters; preset
position parameters, etc. This standard was published in December 2001.
4.5.4 NTCIP-DCM
Weigh-In-Motion (WIM) systems are roadway sensor systems capable of estimating the
gross weight of a vehicle as well as the portion of the vehicle weight carried by the tires
of each wheel assembly, axle, and axle group on the vehicle. WIM stations typically
measure not only the weight of a vehicle, but also provide other traffic data such as
vehicle speed, lane, date and time of vehicle passage, the number and spacing of axles,
and vehicle classification.
Traffic counters are also used for surveillance, measuring traffic volumes, speed,
occupancy, etc. There are several types of traffic counters meeting different budgets and
needs. Such types include inductive loops, visual detection, radar, acoustic, etc.
Data Collection and Monitoring (DCM) devices, including WIM and Traffic Counters,
usually record data over a period of time and transmit this data in the form of a file to a
central entity.
NTCIP 1206, Object Definitions for Data Collection and Monitoring (DCM) Devices,
Version 1 drafted in February 2002 for user comments is currently under development.
This standard covers object definitions include observed vehicle criteria (number of
axles, vehicle class, speed, weight etc.), device setup (device ID, battery voltage,
charging current, IO board, etc.), site setup (site ID, length, description, etc.), etc.
4.6 Incident Management
It has been recognized that there are benefits resulting from the deployment of the ITS
devices to detect, clear and manage incidents on their roadways. Various incident
management programs have been implemented to bring state and local police, fire,
Emergency Management Services and Transportation Operation Center personnel
together to coordinate efforts in their jurisdictions.
IEEE Standard P1512 - 2000, Standard for Common Incident Management Message Sets
for Use by Emergency Management Centers published in July 2000, addresses the
messages communicated among different agencies emergency management centers
during and after the occurrence of an incident.
This standard provides a framework for the exchange of messages among emergency
management centers. It does not limit the data contained in the messages; rather, it allows
the transmission of any mutually agreed-upon messages among centers, as well as
messages composed of standard ITS data elements.
This standard can be ordered from http://shop.ieee.org/store/.
4.7 Commercial Vehicle Information Systems and Networks (CVISN)
The scope of commercial vehicle operations, of which CVISN is a part, includes the
operations and regulations associated with moving goods and passengers via commercial
vehicles. It includes activities related to safety assurance, commercial vehicle credentials
and tax administration, roadside operations, freight and fleet management, and vehicle
operation.
CVISN Program Status is as follows; 49 States have completed a CVISN Business Plan,
41 States have completed the CVISN Workshop Series, 34 States have completed a
CVISN Top-Level Design and CVISN Program Plan, and have had those documents,
approved by FMCSA.
The Johns Hopkins University Applied Physics Laboratory is working for the US
Department of Transportation (DOT) to improve the safety and efficiency of operations
for commercial vehicles (trucks and buses). Their website
(http://www.jhuapl.edu/cvisn/index.html) is maintained by the Laboratory to provide a
source of current planning and technical information for the Commercial Vehicle
Information Systems and Networks (CVISN) Program, and to distribute program
documentation for review, feedback, and use. CVISN architecture and standards
documents are also downloadable.
4.8 Internet Standards
The World Wide Web Consortium (W3C) is a group of organizations, agencies,
companies and other technology leaders that guide the development of standard
communication protocols for the Internet. The proper functioning of the Internet is
guided by the standards, guidelines and procedures developed by this organization. The
main physical connections used are direct dial-up links and network links via the Internet.
A wide range of Internet standards exists, including:
Point-to-Point Protocol (PPP) - which can be used for dial-up links?
File Transfer Protocol (FTP) - allows for the transfer of files between connected
systems;
Internet Protocol (IP) - which can be used for networks (local-area and wide area); and
Transport Control Protocol (TCP) - which provides connection-oriented services over
networks?
The most commonly used standard over the Internet is the Hypertext Markup Language
(HTML). This language is used for publishing and viewing websites by the public and
other agencies. HTML has matured significantly over the years and continues to evolve
as new needs and ways of performing tasks are found. Any deployment of Internet
technology for presentation of information should conform to the rules of this standard
language.
One relatively new Internet standard that is attracting attention in ITS is called
Extensible Markup Language (XML). XML is a simple, very flexible text format derived
from SGML (Standard Generalized Markup Language). Originally designed to meet the
challenges of large-scale electronic publishing, XML is rapidly becoming the foundation
for fully automated web-based transactions. One application is to enhance available
traveler information services by reducing the complexity of processing and integration of
weather, construction, and road condition and traffic information. XML is a set of rules
for designing text data formats in a way that produces files that are easy to generate and
read using a computer. XML files are unambiguous, and avoid common pitfalls such as
lack of extensibility and platform-dependency.
The World Wide Web Consortium maintains a web presence that documents current
work, published standards and technical assistance related to Internet based products.
The website (www.w3c.org) provides the latest information on HTML, XML and web
services.
CHAPTER-9
IEEE STANDARDS
5.0 XML Schemas XML Linkages
Traveler information is exchanged between public sector agencies, private companies,
and private citizens. The World Wide Web is one of the most widely used dissemination
mechanisms, along with voice telephony. The information on web-based systems is
primarily formatted for, presented to, and used by a human. The information is formatted
by using HyperText Markup Language (HTML). However, HTML doesnt provide the
meaning of the data, but how to present it.
XML, or eXtensible Markup Language, marries flexible, low cost fully-automated
information exchange to the Web. XML is a set of rules for designing text data formats in
a way that produces files that are easy to generate and read using a computer. XML files
are unambiguous in that they define specifically the type of data available and use
schemas that outline the exact order the data is presented. By using XML, data providers
avoid common pitfalls such as lack of extensibility and platform-dependency. Messages
in XML format used within the TRIO Project and discussed below are available in
Volume III (Messages) of this document.
5.1 CARS CARS
CARS databases in TRIO are connected to each other for exchanging events between
agencies. CARS use the National ITS Message known as the Event Report Message
(ERM) to transmit and receive data via XML. The CARS system uses a translation of the
ASN.1 message structure into XML. That means CARS can be seamlessly integrated
with other ITS applications and systems. It also allows CARS to be powerfully extended
with CARS-511 travel information system, commercial vehicle operations, and public
information web sites, Dynamic Message Signs (DMS), Highway Advisory Radio (HAR)
and Low Power FM Radio (LPFM), among other components.
5.2 CARS SAE/ATIS
The Society of Automotive Engineers (SAE) ATIS committee began development of an
XML vocabulary for ATIS, the Traveler Information Markup Language (TIML) which
used the major underpinnings of the Event Report Message used from TMDD and
implemented within CARS. Mitretek was actively participating in this development
effort, and were developing a standard set of rules for converting the existing Abstract
Syntax Notation 1 (ASN.1) definitions of data elements and message sets into an XML
format. This automates the process and will make it easier to maintain the standards when
both ASN.1 and XML Schema definitions are required.
However, recently it is decided that TIML will no longer be used; and the translation of
SAE-ATIS into XML will be adopted.
5.3 CARS CARS 511
CARS-511 servers are connected to CARS databases pulling the near real-time updates to
be relayed to the callers. ERM is used to exchange updates between CARS and CARS-
511 servers. Once the messages are received by CARS-511 server then VXML
translation is generated to produce voice application. The VoiceXML is a standard
essential to making Internet content and information accessible via voice and phone.
VoiceXML is the HTML of the voice web, the open standard markup language for voice
applications.
VoiceXML was designed to create audio dialogs that feature text-to-speech, digitized as
well as prerecorded audio, recognition of both spoken and DTMF key input, recording of
spoken input, telephony, and mixed-initiative conversations. Its goal is to provide voice
access and interactive voice response to Web-based content and applications.
5.4 CARS CCTV
The proposed functionality of the interface between CARS and the CCTV control
software is to enable user to send control commands for pan/tilt/zoom (PTZ) functions
for adjusting the camera position for a better view towards the area of interest. The
CCTV control software, which provides the operating tools needed to communicate
between the central control system and the cameras, will interpret the messages received
through the interface and process them for onward transmission to the targeted camera
controller(s). The new TMDD messages for requesting command and control functions;
and sharing inventory and status information will be used via XML. These commands
will then be interpreted by the receiving system and adjustments to the camera position
may be altered given proper authentication.
5.5 CARS HAR/LPFM
CARS database is connected to the LPFMClient Software which produces an ERM XML
document at regular intervals. This ERM XML document also includes the phraseology
of the event as CARS 511 Traveler Information System would broadcast. At this point,
the LPFM Central Management Utility (CMU) reads through the XML document from
the LPFMClient and determines which audio files correspond to which situations. It then
passes the newly created situation to each of the local Station objects (these local Station
objects correspond to their counterparts out in the field, but run at the CMU). The local
Station objects determine if the situation meets their criteria for play (based on location
and priority) and then make sure they have all of the audio files necessary to play the
situation. If both of these criteria are met, the local Station determines if the situation is
high enough priority to be considered an emergency event. If so, it sends an
Emergency Update notification to the remote Station software running at the actual
LPFM broadcast station, which interrupts and plays the message as soon as possible
without sounding odd. Either way, the event is then added to a list of known events which
are used to create the next program for the Station. At regular intervals each of the local
Stations look through their program configuration files and generates a new program
based on some priority rules which includes as many situations as possible from the list
(in order of descending priority) and filler content (non-traffic related messages such as
sponsor information, local history, etc.) where appropriate. This program is then
transmitted to the remote Station software running at the broadcast station and is played
during the next program cycle.
5.6 CARS Traffic Detectors
CARS will request traffic data including the dissemination or sharing of detector based
link status that can be received from multiple field sources including probes, weigh in
motions, radar and loops. The new TMDD/ERM message sets and data elements will be
used via XML to send and receive status and inventory information.
5.7 CARS DMS
In general, the proposed functionality of the XML interface between CARS and the DMS
control software is to enable CARS user to create new messages and/or edit/delete
existing messages for targeted sign(s) and transmit these messages to the DMS control
software. The DMS control software, which provides the operating tools needed to
communicate between the central control system and the message sign(s), will interpret
the messages received through the XML interface and process them for onward
transmission to the targeted sign(s). The new TMDD messages for requesting command
and control functions; and sharing inventory and status information will be used via
XML.
5.8 CARS Web Portal
The traveler information web pages linked to the CARS condition reporting system
refreshes once per minute by receiving situation updates. The connection from CARS to
remote Web Portals will utilize TMDD/ERM messages via XML. The sharing of web
portal coverage, inventory, and status information and supporting control functions for
posting announcements will also be sent and received via XML.
5.9 CARS ESS
C2C ESS data is widely distributed to traveler information systems, emergency
management systems, and remote Traffic Management Centers to inform them of
conditions affecting roadway travel. The NTCIP object set handles all the
communications between a control system in an operations center and the devices in the
field. The inventory and status sharing as well as data exchanges will be handled via
XML.
5.10 CARS MODES
CARS-MODES will adopt TCIP standards (message sets and data elements) for the
exchange of information in transit applications such as operations, maintenance,
planning, management, and customer services. Currently, no XML version of TCIP
standards is identified. However, translation of TCIP into XML is expected to be
developed in the near future for the exchange of transit and ferry inventory, status, and
schedule information and updates.
IV. IEEE Guide for Developing Software Life Cycle Processes
1. Overview
1.1 Scope
This guide addresses selected topics covered in IEEE Std 1074-1995, IEEE Standard for
Developing Software Life
Cycle Processes. The guide provides guidance in Software Life Cycle Model (SLCM)
selection, Activity mapping, and management of a Software Life Cycle (SLC).
1.2 Purpose
The purpose of this guide is
Developing Software Life clarifications and definition
This guide is written for any organization Standard. This guide offers suggestions manual
for developing or maintaining so of IEEE, Std 1074-1995, and IEEE Standard for the
Standard). The guide provides maples and tutorials. e totid or partial implementation of
the is not offered as a detailed procedures
1.3 Prerequisites
Neither IEEE Std 1074-1995 nor this companion document specifies or presupposes a
particular SLCM. The
Standard does, however, require the user to select a life cycle model to use on any
particular software project.
1.4 References
This guide is a companion document to IEEE Std 1074-1995 and is intended to be used in
conjunction with that Standard. These are the primary references in this guide:
IEEE Std 610.12-1990, IEEE Standard Glossary of Software Engineering Terminology
(ANSI).
IEEE Std 1074-1995, IEEE Standard for Developing Software Life Cycle Processes.
A list of other IEEE standards, which may be consulted for additional guidance, is given
in Annex B. Although this guide does not require adherence to any other IEEE standard,
knowledge of principles and concepts described in the listed standards would be helpful.
IEEE publications are available from the Institute of Electrical and Electronics
Engineers, 445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331, USA.
IEEE
Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING
1.5 Definitions and acronyms
1.5.1 Definitions
The definitions listed here establish meanings within the context of this guide.
Definitions of other terms used in this document can be found in [Bl] or [B2]. Terms in
the references are not repeated here.
1.5.1.1 Constraints: Restrictions, resources, rules, etc., that limit Software Life Cycle
Model selection, project planning, and management.
1.5.1.2 Integral Process: A Process that is needed to complete project Activities
successfully, but is outside the management and development processes. The Integral
Processes are
Verification and Validation, Software Configuration Management, Documentation
Development, and Training.
1.5.1.3 Invoked Process: That portion of an Integral Process that is called like a
subroutine.
1.5.1.4 Process Architect: The person or group that manages the implementation of the
Standard in an organization.
1.5.1.5 The Standard: IEEE Std 1074-1995.
1.5.2 Acronyms
The following acronyms appear within the text of this guide:
IEEE
SCM
SLC
SLCM
SPMPI
SQM
V&V
Institute of Electrical and Electronics Engineers
Software Configuration Management
Software Life Cycle
Software Life Cycle Model
Software Project Management Planned Information
Software Quality Management
Verification and Validation
1.6 Organization of this guide
Clause 1 discusses Scope, Purpose, Prerequisites, Reference Documents, Definitions, and
Acronyms.
Clause 2 discusses the major concepts used in the Standard. This section provides insight
into various managerial and procedural concerns that may arise during the development
of a SLC.
Clause 3 provides general instructions for performing the mapping operation required by
the Standard. Mapping the
Activities presented in the Standard to the users SLCM, thus producing a time-ordered
SLC, is explained. The section provides instructions for mapping, and discusses the
related topics of information tracing, information assignment, mapping constraints, and
other considerations.
Clause 4 provides additional guidance related to mapping and compliance to the
Standard. Frequently asked questions related to the application of the Standard are
addressed.
Annex A provides mapping examples
Annex B lists other IEEE standards in an annotated bibliography that may be consulted
for additional guidance.
The numbers in brackets correspond to those of the bibliographical references in Annex
B.2 SOFTWARE LIFE CYCLE PROCESSES
IEEE Std 1074.1-1995
2. General1 concepts of the Standard
Since this guide is a companion to the Standard, the guide provides clarifications and
implementation guidance based on the Standard. A description of the key concepts of the
Standard is provided for reference and understanding.
To use the Standard, a Software Life Cycle Model (SLCM) must be available to the
organization. The Standard does not dictate which SLCM to use because the user is
required to map Activities to whichever SLCM (e.g., waterfall, prototype, etc...) is
selected.
The 65 Activities are the heart of the Standard. (Three of these Activities are If
Applicable, and discussed in 2.2.)
These comprise the minimum set of Activities that must be performed to be compliant
with the Standard. Activities provide a logical approach to the development, operation,
maintenance, and retirement of software. In this context, the Processes serve as
convenient groupings of related Activities. The Input Information and Output
Information of each Activity are listed in tables that accompany the Activity descriptions.
2.1 Process Standard
The Standard is a Process Standard. All of the Activities are intended to be molded by the
Process Architect into a coherent, effective, project-specific development or maintenance
process. Information in the Input and Output
Information a table is intended to reflect the flow of information, not the documentation
set to be produced.
Figure 1 shows the connections among the fewer Life Cycle Model Process, Project
Management Processes,
Development Processes and Integral Processes. Note that the Management and Integral
Processes span the development effort, and are connected to all sets of Development
Processes. The Software Life Cycle Model
Process, at the far left in the figure, precedes all the rest.
2.2 Compliance
In the Standard, there are two types of Activities: mandatory and if applicable. The
Standard specifies the conditions under which an if applicable Activity becomes
mandatory. Compliance with the Standard requires the completion of all mandatory
Activities and invocations. This requires that all Input Information to these
Activities are processed and that all Output Information be produced.
Adaptation is the addition or deletion of Activities in the use of the Standard. For the
purpose of compliance with the
Standard, a Software Life Cycle (SLC) may be adapted only by the addition of new
Activities. Adaptation would be accomplished during the SLCM mapping Activities.
3 IEEE Std 1074.1 -1 995 IEEE GUIDE FOR DEVELOPING
Software Life
Cycle Model
Process
Identify Life
Cycle Model
Select Project
Model
Project Management Processes
Project Initiation
Project Monitoring and Control
Software Quality Management
Pre-Development
Processes
Concept
Exploration
System
Allocation
Development
Requirements
Design
Implementation
Post-Development
Installation
Operation &
Maintenance
Retirement
Support
Integral Processes
Verification and Validation
Configuration Management
Documentation Development
Training
B Time Figure 1-Inter-process connections
2.2.1 Upward adaptation
The Standard contains a minimum set of Activities needed to be used in developing
software systems. Users may find that their selected SLCM, organization, or contracting
organization requires additional Activities to be performed. Examples of additional
Activities include, but are not limited to, safety, security, or subcontractor Activities.
These additional Activities are mapped together with the Standard Activities.
Upward adaptation does not affect compliance with the Standard as long as all of the
mandatory Activities are fully completed.
2.2.2 Downward adaptation
Downward Adaptation is the intentional exclusion of one or more of the Standards
mandatory Activities. Exclusion of any mandatory Activity creates a software
development process that is not compliant with the Standard.
2.3 Applicability
The Standard applies to any software development or software maintenance project. The
user of the Standard must understand the applicability of the Standard to the particular
project. The user must determine the starting point: is there an existing SLCM or must
one be developed? See 2.5 for further discussion.
4 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-1995
2.4 Intended audience
The Standards first audience is the person or group who will determine the
implementation of the Standards Activities. In this guide this audience is called the
Process Architect. The selection of the Software Life Cycle Model and the mapping of
Activities are the primary responsibilities required of the Process Architect.
The Process Architect manages the implementation of the Standard in the organization.
Mapping all the Activities of the Standard to create a workable SLC requires a thorough
understanding of software development and maintenance, and all the related support
functions. The Process Architect should have the following:
Knowledge of the organization and the way it does software development and
maintenance
The authority to effect a software development and maintenance SLC
Knowledge of software development and maintenance methodologies, tools, and
standards
Knowledge of IEEE Std 1074-1995
After the Process Architect has mapped the Activities, the Activities descriptions and
requirements can be distributed to their organizational Owners. The second audience for
the Standard is these Owners. See 4.3 for a discussion of Owners.
2.5 How to) start using the Standard
Application of the Standard depends on two condition project to which the Standard is to
be applied.
2.5.1 SLCM
If an SLCM has not been previously selected Candidate Software Life Cycle Models.
If an SLCM is in place, it should be reviewed for its
2.4 should be: mapped as completed and the Standard
SLCM may have to be chosen and the Standard entered at Activity 2.3.
2.5.2 Project type
Projects may be new, existing, or maintenance projects. Or absence of an SLCM and the
type of the
Standard is entered at Activity 2.3, Identify to the project. I [f it is applicable,
Activities 2.3 and Activity 3.1. If the SLCM is not applicable, a new
5 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING
2.5.2.1 New projects
For a new project, the Process Architect first selects an appropriate SLCM, as described
above. Next, the Activities of the Standard are mapped to the selected SLCM. Some
Activities may already have been started or completed.
Any such Activities should be mapped and their current status recorded. SLCM selection
and Activity mapping are described in detail in clause 3.
2.5.2.2 Existing projects
The use of the Standard for existing projects may require the mapping of previously
completed Activities. Those
Activities which have been completed will still be mapped and their current status
recorded. An existing project for which full IEEE Std 1074-1995 compliance is to be
claimed must show all mandatory Activities and evidence of their completion.
In the case where only the applicable, remaining Activities of the Standard are to be used,
the starting point will be determined according to the status of the project when the
Standard is to be activated. The starting (or entry) point will reflect the remaining
Activities of the project.
2.5.2.3 Maintenance projects
The maintenance of software, according to the Standard, is the reapplication of a software
development life cycle.
As in the case of existing projects discussed above, the reentry point for the Standard will
depend on the projects current status.
2.6 SLC, SLCM, and methodology
The terms Software Life Cycle, Software Life Cycle Model, and methodology are
often used interchangeably within the computer industry. This guide utilizes these
phrases as defined in IEEE Std 1074-1995.
An SLCM incorporates a methodology for the development and maintenance of software.
The SLC is generated from the Standards Activities mapped to the SLCM.
2.7 Organizational concerns
All of the Activities comprising the Standard are collected for convenience into
Processes. Process names like
Training, Verification and Validation, and Software Configuration Management could be
the names of groups or functions in an organization. There is no intent on the part of the
Standard to associate Processes with specific groups or individuals within an
organization.
The Activities in each Process are performed by the most appropriate entity within each
organization.
For example, Training in the use of development tools might be assigned to the senior
member of a development group, whereas user training might be the responsibility of a
training group. The Standard does not require any specific, functional Training Group or
organization. Another example is the case of Verification and Validation (V&V). The
Standard does not require a V&V organization, just that V&V Activities be performed.
6 SOFTWARE L.IFE CYCLE PROCESSES IEEE Std 1074.1-1995
3. Mapping guidelines
The underlying concept in this guide is the mapping of the required Activities of the
Standard to the selected
Software Life Cycle Model (SLCM). Mapping is accomplished by inserting each instance
of each Activity into the
SLCM (See 4.2). This mapping creates the Software Life Cycle (SLC) to be used for the
software development or maintenance project. The following subclasses describe
mapping and present the general concerns that the Process
Architect should keep in mind while mapping Activities from the Standard to the selected
Software Life Cycle Model.
The Standard does not specify any particular SLCM as a starting point for mapping.
Likewise, this guide will not specify a particular mapping method, or scheme, other than
in general terms. It is intended that organizations select their own SI, CM(s) and develop
the mapping method which is most appropriate for that organization. If there are
requirements specified by an organization, but not specified in the Standard, they are to
be included with the Standards, Activities during mapping. Contractual requirements or
constraints may also add Activities to be mapped. Annex a gives an example of a
mapping exercise using both a specific SLCM and a specific mapping approach. These
are examples only, to give the Process Architect a sample of one way to map.
3.1 An approach to mapping
The balance of this clause will suggest a series of steps an organization may follow while
developing its own mapping approach. These steps are suggestions only. The intent of the
series of steps below is to present a sequential mapping approach in which each step
introduces more information or responds to increasingly critical external constraints.
Additional information about mapping is provided in 3.2 through 3.6.
3.1.1 Step one-select the SLCM
Step one, as specified by the Standard, is to mean that the whole process of locating, e
3.2.1). an organization may already have an the SLCM to ensure it is appropriate for the
specific p
3.1.2 Step two-compare Activities to SLCM requirements
Once the SLCM has been selected, a ddililcd iiiiippiiig of thc Standards Activities is
performed against the SLCM. Annex A to both the Standard and this puidc ilcpict h i 4
level of mapping. It is merely the matching of the Activities against the requirements of
the SLCM. This step provides a checklist to assure that all Activities are mapped and that
all SLCM requirements are covered by Activity (ies). Activities not mapped will be noted
in the List of
Activities Not Used, as required by the Standard. t the Activities will be mapped. This
step may acquiring an SLCM must be performed (see this time the Process Architect
should review
Identification of Activity Owners (see 4.3) begins at this time, and is corn pleteld prior to
the initiation of the owned Activity.
3.1.3 Step three-placing the Activities in time sequence
In this placement, each Activitys starting point is mapped to a general timeline. The
timeline need not have actual dates for this mapping. Its primary purpose is to show
relative timing and sequencing between Activities. It also serves as a basis for
identification of inter-Activity dependencies. The output of this first mapping is time-
ordered in the sense of relative starting and ending of Activities with relation to other
Activities. This is the definition of an SLC in the Standard. Revisions of this initial
sequencing will probably be necessary as more information is considered in succeeding
mapping steps.
It is at this point that the first mapping of the Invoked Process Activities will be done.
More information is provided for the full mapping of invoked Activities in 4.4.
7 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING
3.1.4 Step four-checking information flow
The Input and Output Information tables in the Standard specify the information that is to
be used and generated by each Activity. This step verifies that the information flow into
and out of the Activities will support the relative order into which they have been
mapped. While it is unlikely that this will cause a major rearrangement or modification of
the mapping from Step 3, it is a necessary check to be sure that all information will be
available to the Activities that need it, when they need it.
3.1.5 Step five-assigning information to documents
Each SLCM requires and defines formatted content of its own set of output products.
These products are, for the most part, the specific documents that the SLCM delivers.
Note that the term document does not imply any particular medium. This step
compares the Output Information generated by each Activity with the SLCM-required
document(s) into which it must go.
Once again, the order of the mapping, this time from Step 4, may have to be modified. If
a particular document, specified by the selected SLCM, is to be created at a particular
point in the development schedule, all the Activities which contribute information to be
recorded in that document must have had an opportunity to generate it.
Identification of external owners (see 4.3), if needed, occurs at this time.
3.1.6 Step six-add actual dates and times
Up to this point, all time ordering could have been accomplished on a merely relative
basis, without regard to the actual days, weeks, or months involved. Step 6 now adds the
actual date and time specification to the mapping so a project schedule emerges. The
outcome of this step is a time-ordered mapping of the Activities to the SLCM, related to
real-world time.
3.1.7 Step seven-reconcile the constraints
The realities of external constraints on time available for the project, its personnel
resources, and interfaces with other portions of the softwares environment, etc. may
require still another set of modifications to the mapped Activities.
The output from this step is the initial SLC for use on the project and the corresponding
project schedule.
3.1.8 Step eight-maintain the schedule and the SLC
Once the SLC and the project schedule have been developed and the project is under
way, new factors will come to light which require modifications to the project schedule.
These changes may also lead to improvements in the SLC.
Improvements to the SLC for this project may in turn lead to better mapping techniques
within the organization.
As implied at the beginning of this section, each organizations mapping method is
expected to evolve over time and with experience. This step contributes to that evolution.
3.2 SLCM+ Activities = SLC
This section provides additional information on the creation of SLCs from their
constituent parts: the selected SLCM and the Activities of the Standard. Detailed
guidance is provided in the techniques of SLC creation and the use of
SLCs in the special situations: generic (not project specific) SLCs and SLCs that are
components of a larger system.
8 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-1995
3.2.1 SLCMI selection
Each development project is different from those in the past, either in the type of project,
availability of tools and hardware, or experience level of the developers and managers
involved. There have been many models developed since the waterfall model was
proposed, and some or all of them are being used to develop software. One organization
may have a company solution model that must be followed. In another organization a
project manager may have the latitude to modify a particular model, or combine models,
to suit the project and its software life cycle management. The following section contains
basic evaluation criteria fix this selection process.
The process for evaluating and selecting a SLCM has five basic steps, as follows:
Identify all the SLCMs available to the development organization
Identify the attributes that apply to the desired end system and the development
environment
Identify any constraints that may be imposed on the selection
Evaluate the various SLCMs using lessons learned in past projects
Select the SLCM that will best satisfy the above steps
Identification of available SLCMs
Some of the SLCMs being used for software development have been developed into
commercial packages and may be obtained from various vendors. These are usually
packaged with one or more development methodology tools.
Many organ; nations have developed their own fit their way of doing business.
3.2.1.2 Identification of project attributes
The model selection should be based upon pr project attributes include, but are not
limited to, methodology (ies), modified to valuation criteria. Examples of
a) Prototyping
b) Rapid development
c) Purchased application selection
d) Reverse engineering
e) Object orientation
3.2.1.3 Identification of project constraints
Project constraints may influence phase relationships and information flow. These might
include the following:
a) Contractor and vendor relationships
b) Risk impact (life, financial, reputation, etc.) of a faulty product
c) Internal development organization relationships and formal and informal lines of
authority
d) Hardware and its availability, its own development life cycle, and its dependence on
the availability of the software to be developed
9 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING
3.2.1.4 Evaluation of various SLCMs using lessons learned
Review of past records, particularly reports of problems encountered in meeting
schedules or staying within budget, can provide valuable insight into management
practices that have worked, and organizational weaknesses that need attention. This
analysis will yield strategies for continuous improvement that must be supported by the
SLCM. The information gathered during historical review should ensure compatibility of
the SLCM with unique organizational characteristics. Evaluate each of the proposed
SLCMs using all data collected.
3.2.1.5 Selection of SLCM
Based on the preceding four steps, an SLCM is selected for the project. If an SLCM does
not exist for a managers current software development needs, the available literature can
be researched and an SLCM developed. It should be noted that this is a time-consuming
process that includes education and acceptance building and should be accomplished
before the SLCM is actually needed for a particular project.
Another key factor in the selection of an SLCM is the availability of supporting tools that
will work with the methodology (ies) used with the SLCM. Several methodologies
support phase-oriented SLCMs and have automated tools to work with them.
Methodologies and tools to support some of the more recent SLCMs are still being
developed or have limited availability. Some development organizations have adopted a
specific methodology, thereby limiting the SLCM choices.
3.2.2 Instructions for mapping Activities
The Process Architect decides which IEEE Std 1074-1995 Activities are needed and how
many instances of each Activity are appropriate. Additional Activities may be included, if
the developing organization or contract requires them. The Activities (with their Input
and Output Information) are then matched against the SLCMs, and are generally time
ordered. See Annex A in both the Standard and this guide for examples. Activity time
ordering is determined by the selected SLCM, schedule considerations, and the entry
criteria of each Activity.
To enter or start an instance of an Activity, at least one element of the specified Input
Information must be present.
A single instance of the Activity appears once in the SLC and processes all of the Input
Information and produces all of the Output Information in one execution. If there are
multiple instances of an Activity, each instance processes all of the Input Information
each time it is executed. It may require multiple iterations (see 4.2) to use all of the Input
Information and produce all of the Output Information for an instance of an Activity.
Regardless of the type of Activity, all of the Input and Output Information must be
processed before an instance of the Activity can be considered complete. There may be
situations where an Activity will span a major part of the
SLC before it has processed all of its Input and Output Information. (See 3.2.3.1.)
As the Activities are mapped, a table of Input and Output Information may be helpful in
assuring that each input and output has been properly mapped with its Activity. Such a
table would match the Output Information of one Activity to the Input Information of
other Activities to assure proper sequencing.
3.2.3 Ways to map Activities
The three ways in which Activities are mapped are as follows:
a) As an invoked Activity
b) As single instances of an Activity
c) As multiple instances of an Activity
10 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-1995
3.2.3.1 Single instances of Activity
In this case, an Activity takes all of its specified Input Information, processes them, and
produces all of its specified Output Information. It is mapped once and appears as a
single event in the SLC: Activity 3.1.4, Allocate Project
Resources, could be an example of a single instance mapping.
There may be two or more iterations (see 4.2) of an Activity before all information is
processed. Activity 3.2.5,
Manage the Project, could require multiple iterations for completion of a single
instance. When mapped, this type of Activity may span one or more of the SLCM phases.
Note that iterations might not be individually identified within an Instance. Highly
detailed mappings, however, may identify iterations and the specific Input Information
used and Output Information produced.
3.2.3.2 Multiple instances of an Activity
An Activity may be mapped multiple times with each mapping constituting an instance of
the Activity. Further, any of the multiple instances may involve iterations as required to
process all Input Information and produce all Output Information for the instance. For
example, Activity 7.1.8, Execute the Tests, may have separate instances for unit,
integration, and acceptance tests and a single instance, with iterations, for system test.
3.2.3.3 Invoked Activity
Some Activities invoke other Activities that are part integral Processes. When this occurs,
each invoked
Activity is mapped along with the invoking Activity. An invokable Activity mall be
invoked by multiple Activities and is mapped as a single instance for each invocation.
For more information on invoked Activities, see 4.4.
3.2.4 Activity time ordering
There is no time ordering specified in the determined by following these three major cri
hich Activities will be performed will be
a) The chosen SLCM will dictate an ordering, as mapping occurs, the order in which
Activities will be performed will be established.
b) Schedule considerations may cause overlap of some of the SLCMs phases and thus
impact ordering.
c) Activities may be mapped into parallel execution instead of serial execution.
The timing of available Output Information from one Activity may dictate the start of
another Activity. The
Input Information for the second Activity may be the Output Information of the first
Activity. For example, no software design of any kind can be done unless some minimum
information is available about software requirements. Another example is that no
Verification and Validation [V&V) activities can be performed unless there is some
output product upon which to work.
An example of how organizational considerations affect time ordering can be understood
upon reviewing the relationship of Activity 7.2.3, Plan Configuration Management, and
Activity 7.2.4, Develop Configuration Identification. A cursory examination of the
information flow would seem to imply a deadlock between these two
Activities; each one is dependent upon the other for information. The standard does not
intend that these Activities be executed as an infinite loop, as the two Activities may be
executing in parallel. It is up to the Process Architect to establish the completion criteria.
A second example of how mapping can resolve a complex Process can be seen in1 the
Training Process. A reasonable order of execution is demonstrated in figure 2. Note that
multiple boxes on the same line denote separate instances of the same activity.
11 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING
Develop User Training
7.4.3 Plan Training Program n
7.4.4 Develop Training Materials n r
7.4.5 Validate the Training Program n o
Initial Testing
7.4.6 Implement the Training Program I- I
7.4.4 Develop Training Materials n n (new features added)
7.4.5 Validate the Training Program o n (with new features) few Time
Figure 2-Example of Activity Ordering
3.2.5 Determining the adequacy of the SLC
Sufficient reviews of the mapping Activity should be made to assure that the Activities of
the Standard are fully mapped into the chosen SLCM and that the resulting SLC contains
all of the Activities necessary to successfully complete a software project. It should be
assured that the mapping is consistent with any development methodology that has been
designated to function within the chosen SLCM. This provides both software project
managers and general managers with the assurance that no Activities have gone
unidentified or unassigned, and all Activities were identified and mapped with specific
Input and Output Information, as identified in the Standard.
The List of Activities Not Used (from 3.1.2 above) should be reviewed to assure that
required Activities have not been inappropriately excluded.
Describing the SLC adequately facilitates the allocation of project resources. This
description allows the identification of the following:
a) The order of Activities
b) Expected Input Information
c) The expected Output Information
d) Functional units within the organization to complete each Activity
e) The methodologies to be used
3.2.6 Creating generic SLCs
There are many factors to be considered when creating an SLC that is flexible and
adaptable to many different projects in an organization.
To make a generic SLC, it is recommended that the Process Architect not map project-
specific or methodology- specific instances or iterations of Activities. For instance, there
are if applicable Activities. On an SLC that is intended to be the basis for many
projects, if applicable Activities should be mapped to the appropriate locations.
The generic mapping should note that the if applicable Activities apply only to specific
situations. These situations should be identified, if possible.
12 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-1995
The levels of multiple invocations of Integral processes should be mapped at least once.
(See 4.4 for more background information on Integral Processes.)
Although not required by the Standard, optional invocations (those indicated as may be
invoked or should be invoked) should be documented. This could be represented as
the following:
4.1.7 Refine and finalize the Idea or Need
7.1.4 V&V (may)
7.2.5 SCM (May)
7.3.4 Documentation Development (May)
Because if (applicable Activities have been left in the generic mapping, Project
Managers can later determine the Activities applicability to their project. Decisions
regarding these Activities can be further delegated to Activity Owners at the discretion of
the Project Manager.
A more important issue for Integral Process Activities is determining the reason for the
invocation or the mapping.
An approach is recommended that will give an Activity performer enough information to
perform the defined assignments. Documentation Development and So Configuration
Management (SCM) are relatively straightforward; they do the same thing each time they
oked. Training and V&V both need two definitions: on what are they acting (this comes
from the invoking sentence), and what specifically is to be done. For V&V, the
V&V invocation can cover tests, audits, and reviews; for example, 7.1 V&V (Review).
In addition, there is a discretely mapped, \crivit>. 7.1 .X, Execute the Tests, which is
intended to be used for each type of testing to be performed in an SLC. Tlic 11, pc of test
should be defined in the SLC Map; for example, Activity
7.1.8, Execute the Tests (Module). For Training, further definition is appropriate to
indicate who is intended to be trained. An example is Activity 7.4.6, Implement the
Training Pro&
3.2.7 Software as a part of a hybrid (h
Identifying needed additional Activities or i li ;-tni:.::~ irf be necessary when the software
project is part of a larger system. Additional Design and lii:,~l~I~l.*t~ I ) . b * i ; - i i
Ltivity instances could be required. Two or more levels of integration, acceptance, and
system tc,iiiiA 1i1.1) I .b,li.ii ., planning for additional instances of testing related
Activities. Additional Input and Output Information may need to be added to Activities.
Activities that are not part of the Standards minimum Activity set could also need to be
identified and mapped to the SLCM.
Software system
3.3 Information tracing
Information tracing is the validation that Input and Output Information flows correctly
between providing and using Activities. Information traceability throughout the Standard
is established by using the Output Information Tables of each Activity. A Traceability
Table may be constructed by using the Output Information of all the Activities and the
Software Project Management Tailoring Template (Annex B of the Standard). The
resulting table would be similar to the sample contained in table 1.
During the assigning of information (see 3.5) the Process Architect can use the
Traceability Table to identify the information requirements of the projects SLC.
Publication of this table will ensure that the Activity Owners and information receiving
organizations know what information they will be receiving.
13 IEEE Std 1074.1-1995. IEEE GUIDE FOR DEVELOPING
Table 1-Traceability Table for the Standard (partial sample for requirements)
Source Destination
Process Activity
Requirements 5.1.5 Prioritize and Integrate
Software Requirements
5.1.3 Define and
Develop Software
5.1.4 Define Interface
Requirements
Verification & Validation 7.1.6 Plan Testing
Installation 6.1.3 Plan Installation
Project Monitoring &
Control
3.2.3 Analyze Risks Software
Interface
Requirements 5.1.5 Prioritize and
Integrate Software
Requirements
5.2.5 Design Interfaces Design
Implementation 5.3.6 Create Operating
Documentation
5.1.5 Prioritize & Integrate Software
Requirements
Project Monitoring &
Control 3.2.3 Analyze Risks Software
Requirements
Design 5.2.X All Activities
Implementation 5.3.3 Create Test Data
5.3.7 Plan Integration
Verification & Validation 7.1.6 Plan Testing
7.1.7 Develop Test
Requirements
7.4.3 Plan the Training Program Training
14 SOFTWARE ILIFE CYCLE PROCESSES IEEE Std 1074.1-1995
3.4 Hidden information and tasks
Activities of the Standard often group several types of information. The resulting group
of information is assigned a new name. The original components of this grouping
become hidden information. For example, in Activity 3.1.5,
Establish the Project Environment, Methodologies, Standards, and other inputs are
combined into the Project Environment.
In contrast, hidden tasks are those that are performed to comply with the Standard, but do
not become readily visible during the initial mapping process. Hidden tasks are usually
within invoked Processes, and are those that the invocation causes to be required. An
example might be the various testing tasks that become visible when invoking the V&V
Process. All hidden tasks will become apparent through rigorous mapping. Identifying
hidden tasks helps ensure a complete mapping of all necessary instances of Activities.
3.4.1 Hidden information
Much of the information critical to a project enters, and continues to be contained within,
the Software Project
Management Planned Information (SPMPI) created and maintained as part of Activity
3.1.6, Plan Project Management. Planning information related to the development
environment enters from many sources including the Integral Process Activities and
external sources such as Contractual Requirements. It is the Plan Project Management
Activity that logically passes necessary information continually to all Activities.
The SLC Information is also passed in this g with Project Environment components
(e.g.> Methodologies, Standards, Tools, Software Library, Defined Metrics, Statement of
Need, Analysis of Risks, and Collection and Analysis Methods). In all, the entire project
environment flows through the Standard in this SPMPI.
Project specific information contained in the SPMPI includes the approved budget, the
system functional Software
Requirements, Resource Data, Contingency Planned Informal ion, Recommendations.
Thus, the SPMPI consists of documents, software, organizational data, personnel, and
information and resources.
In some cases, certain Input and Output Information may not be required for completion
of an Activity. In the Input
Information tables, the information indicated as if or external may not exist at all.
Output Information designated to go to an External destination is always y the Standard
to be produced.
3.4.2 Hidden tasks
There are two important aspects of software development which are not immediately
evident in the list of Activities: testing and quality assurance. Testing is addressed as part
of the Verification and Validation Process, which includes
Activities entitled Plan Testing, Develop Test Requirements, and Execute Tests.
These three Activities comprise the testing function. Software Quality Assurance (SQA)
is contained within two Processes. The
Verification function of SQA is covered by the verification portion of the V&V Process;
the applicable Activities are
Plan V&V and Execute V&V Tasks. The metrics and process improvements
functions of SQA are addressed within the Software Quality Management Process. The
applicable Activities are as follows: Plan Software Quality Management, Define
Metrics, Manage Software Quality, and Identify Quality Improvement Needs.
3.4.2.1 Invoking Integral Processes
During mapping, it is required that Integral Process invoked Activities be mapped onto
the SLCM. In this way, the review tasks of the Verification and Validation Process, the
configuration control tasks of Software Configuration
Management, the documentation tasks of Documentation Development, and others will
be appropriately placed.
Furthermore, some Integral Processes will invoke other Integral Processes.
15 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING
3.4.2.2 Management Processes
The Activities within the three Management Processes are driving the entire project life
cycle. Activities within
Process 3.2, Project Monitoring and Control, and Process 3.3, Software Quality
Management, are active at all times. Even the Process 3.1, Project Initiation,
Activities will be reentered at any time the project is changed.
3.4.2.3 Project changes and maintenance
Changes, including maintenance, will reactivate earlier project Activities-essentially all
Activities affected by the change. At some point, changes and corrections may be
grouped into a new project. This scenario will not only require a new project with its own
SLC to be mapped from a selected SLCM, but could also require some re- mapping of
the current project.
3.5 Information mapping
Information Assignment is the process of identifying Output Information required by the
Standard to Software Life
Cycle required deliverables. The identification of information, the assignment to
documents, and the delegation of responsibility are very important steps, which make it
possible for individuals and groups to set reasonable goals, develop quality indicators,
and measure performance. By adding columns to the Traceability Table (see table 1 of
this document and Annex B of the Standard) one can make these assignments and specify
which project documents hold what information.
All Activities specify a certain amount of Input and Output Information, but do not
specify that the information appear in a particular document form. There is no prohibition
on combining related Input or Output Information into a single document or placing each
piece in separate documents. It is for the Process Architect to determine what physical
manifestation will contain specific Input or Output Information. For ease of project
management and control, it is suggested that similar information be grouped together.
Annex B contains references for several IEEE standards for documents that may be
generated from Activity Output Information.
3.6 Mapping constraints
There are several levels of constraints to be considered during the mapping process. The
first level consists of those which influence selection of the SLCM. These are discussed
in 3.2.1.2 and 3.2.1.3 of this guide. The next level consists of those that influence how the
Standards Activities are mapped into the SLCM. Recognizing these constraints takes a
thorough knowledge of the business, implementing organization, and the SLCM.
These mapping constraints can be considered when doing either generic or project-
specific mappings. When developing a generic SLC for an organization, the Process
Architect should consider constraints such as risk tolerances, common contractual
requirements, and in-house methods, traditions, guidelines, and standards. For example, a
developer of critical medical device software may map several instances of Activity
7.1.8, Execute the
Tests. for unit testing critical software modules, and a separate instance of Activity
3.3.2, Analyze Risks, to conduct hazard analysis.
A Process Architect developing a project-specific SLC may consider specific constraints
such as those related to project resources, risks, and contractual requirements. An
example of this type of constraint may be a resource that is needed by two Activities, but
cannot be shared. A Process Architect could then avoid mapping those two Activities
simultaneously.
16 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-1995
4. Concepts of the Standard used in mapping
During the mapping of the Software Life Cycle Model (SLCM) to the Software Life
Cycle (SLC) for a project, there are a number of concepts inherent in the Standard that
must be used and require some explanation for their application. Descriptions of these
concepts follow.
4.1 Time ordering
One of the basic responsibilities of the Process Architect is mapping, which is essentially
deciding how many instances of each Activity are needed, and time ordering all the
Activities and their instances, thereby creating the SLC. The ordering of project
Activities in time is determined by the chosen SLCM, schedule considerations, and the
availability of Input Information.
Activities may overlap in time, and any Activity may be initiated as soon as any of the
required Input Information is available. An Activity cannot, however, be considered
complete until all of its Input Information is processed and all
Output Information is created.
4.2 Iterations and instances
Some Activities, such as those associated with Processes, are performed over a large part
of the life cycle in an iterative manner. Often, not all of the Activitys Input Information
is available when the Activity is scheduled to begin. Also, it is possible that not all
Output Information is produced during the early iterations. When all required Input
Information and Output Information have occurred and all the specified processing
described by the Standard has taken place, an Instance of the Activity is complete.
When an Activity is conducted in an ikb:.:~;\: 1ii:ini:x. th: owner of the Activity is
responsible for performance of all iterations of that instance of that ACII\ II! 11
::!::I~!plc instances of an Activity are planned, each instance has an assigned owner.
Multiple instances r w j !*.* ~ i ~ * I ~ ~ I ~ b t l 10 ,I single owner.
Figure 3 illustrates how several iterations can comprise a single instance of an Activity.
Activity A in the figure is comprised of three iterations, each of which processes some of
the Input Information and produces some of the Output Information. The Activity is not
complete, however, until the last iteration is complete.
17 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING
_ _ I - - - - - - - - - - - - - - - - -
Activity A
- - - - - - - - - - - --------..-
This instance is
Rest of
Activity A iterations
Activity A Activity A
1 Activity B I E I Activity C
Time Line
Figure 3-Iterations and instances
4.3 Ownership
The Standard requires that an owner be assigned to each Activity or Instance of an
Activity. The owner, with appropriate authority and responsibility, manages the Activity
to completion.
To minimize documentation revisions caused by changes in personnel, the Standard
requires that the owner be identified by organizational position. If an owner lies outside
of the supplying organization (for example, the owner of Execute Tests may be the
customer organization), ownership should be defined. The owner of an Activity is
responsible for ensuring that all Activity Input Information has been provided, that all
processing called for by the
Standard is performed for that Activity, and that all required Output Information is
produced.
4.4 Integral Processes
The Integral Processes contain Activities that are needed in many different forms
throughout the software life cycle, and thus are integral to the whole Standard. In addition
to the Activities that are discretely mapped to the SLCM, as discussed in 3.1, there are
groups of Activities that are initiated, or invoked, as parallel Activities from many of
the Standards Activities. When invoked, these Activities perform a distinct function and
then return to the invoking Activity.
The Output Information may be returned to its originator from the Integral Process as
incomplete or rejected because it fails to meet one or more planned criteria. In this case,
the Activity cannot be considered complete until all criteria of the invoked Activity are
satisfied.
18 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-1995
4.4.1 An example of an Integral Process Invocation
The invocation of an Integral Process is usually near the end of an Activitys description,
and it is critical to understand the wording of the invocation.
The following example is taken from Activity 3.1.6, Plan Project Management, with
notes added:
Prior to distribution3 of the SPMPI,4 the following Processes shall5 be invoked:
a) Verification and Validation (7,1,4)j
b) Software Configuration Management (7.2.5)
c) Documentation Development (7.3.4)
In this example, the SPMPI shall be sent to the Verification and Validation (V&V),
Software Configuration
Management (SCM), and Documentation Development Processes. The verified,
controlled, and documented information is then returned to Activity 3.1.6, Plan Project
Management.
Within the Integral Processes, the Invoked Activities are identifiable by their Input and
Output Information tables.
Every Activity which is the first to be invoked has an entry in its Input Information table
whose Source is Creating Process. Every final Activity (i.e., the one that returns to the
invoking Activity) has an entry in its Output
Information table whos Destination is Creating Process.
The Output Information of the invoked Activity is not listed as Input Information to the
invoking Activity. This is because the primary transfer of information is into and out of
the invoked Activity. The Creating Process continues to control the Information since the
Information content is not changed, coven though its form or medium may be.
Other Information that is returned is presumed to he returned with the Output
Information. For instance, V&V will return an Evaluation Report on the SPMPI.
4.4.2 Invoked Processes invoking to
Nested invocations are required to ensure that all necessary Integral Activities are
completed. Processes to be performed vary with each level of invocation. The multiply
invoke processes are as follows:
V&V: Activity 7.1.4-invokes Documentation Development and SCM for the Evaluation
Reported Information.
Documentation development: Activity 7.3.4-rccomrnends (should) invoking V&V
and SCM.
Training: Activities 7.4.4 and 7.4.5-requirc invocation of V&V, Documentation
development, and recommend SCM.
The invocation of Documentation Development Activities is intended to apply to the
physical document, and not to the information it contains. That is, V&V will check the
style, accuracy, and completeness of the writing, not the technical content. SCM will
physically archive the written document. This may be redundant in some organizations
with the first invocation of SCM, and therefore is not mandatory.
3This is like initiating a parallel task in that it is necessary to complete the required
invoked Activities and return here before this Activity can be considered complete.
4This is the information on which the Invoked Process is to be performed. That is, not all
this Activitys Output Information needs to be documented, controlled, and verified,
just the SPMPI.
51nvocations that are mandatory are indicated with shall; others are recommended
(should), or optional (may). The should and may invocations are considered
based on the needs and size of the project. This number references the Activity within
Verification and Validation to which Output Information is sent.
19 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING
4.5 Management Processes
Management Activities are ongoing. Also, like any Activity, they may begin before all of
the Input Information is available, and may generate only some of the Output Information
at any given time. For example, Software Quality
Management Process has four Activities that may be ongoing throughout the project.
Some Input Information, such as Defined Metrics, may exist prior to, and outside of, the
project. Thus, Activity
3.3.3, Plan Software Quality Management, can start at any time. However, it is
reasonable to expect that new metrics may be defined during the project. Each new
metric defined will probably result in modifications to the Output Information of this
Activity. This introduces a choice of either mapping one long Activity with a single
owner, or mapping the full Activity at specific points in the SLCM with an owner
assigned for each mapping. Either approach is permitted by the Standard; the choice is
that of the Process Architect.
Management concerns addressed here cover the following three distinct areas:
a) All the Activities concerned with providing a project environment, identifying
resources, and starting the project
b) The actual managing of the project
c) The quality managing of the project paralleling the efforts of the first two areas
4.5.1 Advanced planning
Determining what SLCMs are available to a project while planning the project may put
the effort weeks or maybe months behind schedule+ven before it is started. Start the
SLCM selection process prior to using the Standard on a project. As an organization-wide
effort, identify what SLCMs will work in the organizations environment.
Determine what methodologies and tools are available to support each SLCM and which
need to be developed or purchased. Review the Activities and determine if any
organization-specific Activities should be added.
All of the pre-project work makes the project initiation Activities easier to accomplish.
The development of a project plan is made much easier by performing the SLCM
mappings, allocating resources to each activity, and defining the standards, tools, and
methodologies that comprise the project environment. Since the project plan is a living
document, the Activities (still to be performed) should be remapped at the beginning of
every phase, or at major transition points, as defined in the life cycle. This will ensure
that the current plan is validated and updated throughout the life of the software.
4.5.2 Ongoing management
The project plan is used to manage and control the project. One of the major keys in
accomplishing this is to analyze risks to the project and plan for contingency action if the
risks materialize. Project management also involves the continuous reviewing of the
accomplishments against the project plan and the resources available, making
adjustments as needed and keeping the plan up to date.
Two areas often overlooked in project management are the proper retention of project
records and data, and the development and implementation of a problem reporting
system. Project records and SLC metric data can be used to plan future projects more
accurately, especially to determine resource needs and the projected schedule. The
problem reporting system is used to track problems, and their solutions, during the entire
SLC. Metrics from development and operation should feed the development quality
system. This will support continuous improvement.
20 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-1995
4.5.3 Quality management from start to finish
A parallel management activity to the management and control of projects is software
quality management, which manages the quality system. This system is composed of the
following: The organizations quality plan, The software development management
planned information, Each projects software quality, configuration management, and
verification and validation plans, The collection and analysis of organizational standard
and project-specific metrics, Standard scheduled, planned reviews and audits for each
project and associated SLC Processes, Identified quality improvements for future
development projects, The intent of the quality system is to ensure the following:
Quality concerns are addressed throughout the SLC
Metrics are collected and analyzed
The end result of a project is quality products, meeting the functional and end user
requirements
Quality metrics provide the catalyst for continuous improvement
4.6 Risk management
Activity 3.2.3, Analyze Risks, and Activities analyzed and Activities following a un
event that might cause the following:
a) Waste of corporate resources
b) Litigation if product is faulty or delayed
c) Risk to human life or health
d) Schedule or budget problems
e) Loss of corporate reputation
Agency planning, mandate that risks be object managers must therefore consider
The mapping should include any Activities that may be needed if a risk condition occurs.
These Activities should be formally mapped. The SLC must be appropriately customized
to minimize risk and anticipate worst cases.
In addition, the use of the Standard identifies all needed Activities, required Input
Information and Output Information, and time relationships. This reduces the risk of
wasted resources and incomplete information. Having a single point of responsibility
(Owner) for each Activity instance also reduces management risk and provides for
quicker problem resolution.
21 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING
4.7 Maintenance
Software maintenance refers to all the technical and management Activities related to
modifying a software system after it has been placed into operation. IEEE Std 610.12-
1990 provides the definition.
Maintenance may involve any or all of the following:
- The identification and correction of software errors, performance failures, and
implementation problems (corrective maintenance)
Modifications to permit the software system to run in a different operating environment,
or with different types of data (adaptive maintenance)
Modifications to incorporate new requirements, enhance performance, improve cost
effectiveness, or otherwise improve the software system (perfective maintenance) Any
software maintenance effort involves, at a minimum, the technical and management
Activities necessary to perform the following five steps:
a) Understand the existing system
b) Revalidate the updated system
e) Update documentation
Understand the problem or the desired improvement
Modify the system in a specified manner
Steps b) through d) are analogous to the requirement and design, implementation, and
validation phases of software development. Therefore, the Standard includes in the
Maintenance Process an Activity entitled Reapply Software Life Cycle. During operation
of the software system, Correction Problem Reported Information is generated by the
Standards Activity 3.2.7, Implement Problem Reporting Method. This information is
analyzed in the
Maintenance Process to produce Maintenance Recommendations, which then reenter the
SLC at the Concept
Exploration Process to initiate a new, but perhaps compressed, SLC. Additional
Correction Problem Reported
Information may subsequently lead to repeated SLC applications.
It should be noted that the SLC used for maintenance of a software system need not be
the same as the SLC used to develop the system. It is possible to revisit the Process 2,
Software Life Cycle Model, based on Historical Project
Records in Activity 3.2.6, Retain Records, accumulated from the initial development
and maintenance of the software system.
4.8 Retirement
The Activities of the Retirement Process remove an existing system, or parts of it, from
active support or use. This may be accomplished by replacing the existing system with a
new system, installing an upgraded version of the existing system, terminating support of
the system, or completely terminating the system.
Planning for the retirement of a software system begins during Project Initiation. Part of
the requirements specification, or a preliminary retirement plan, should address how the
system will be upgraded, modified with major enhancements, or replaced in the future.
Software configuration management is essential during retirement for tracking multiple
software releases.
Once a retirement plan has been developed, it should be maintained throughout the life
cycle. When the time comes to actually retire the system, everything needed for the
Retirement Process will then be in place.
22 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-1995
4.9 Reuse and the SLC
The Standard supports software reusability, including the following:
a) Identifying existing reusable components
b) Generating potential reusable components
c) Controlling reusable components
Identifying existing reusable components is covered in the Standard by the following
Activities:
- Activity 3.1.5, Establish Project Environment: Analyze reusable component libraries,
looking for components matching the problem at hand. Reusable components can include
specifications, architectures, or software modules. The decision of reuse can influence the
projects implementation strategy.
Activity 4.1.4, Formulate Potential Approaches: Investigate the use of existing
components. The decision to reuse influences the tactics, planning and cost for the
project.
Activity 5.2.3, Perform Architectural Design: Identify existing software modules that
match the logical architecture modules.
Generating potentially reusable components can be ensured by defining reuse standards.
For example, Activity 5.3.4,
Create Source, can have as Input Information coding standards that facilitate further
reuse. Controlling reusable components, and Configuration Management Process. Your
archive, are part of the Software
23 IEEE Std 1074.1-1995
Annex A (informative)
Mapping example
The example of mapping depicted in this annex follows the eight-step approach described
in 3.1.1 through 3.1.8 in this guide. The purpose of this example is to show the mapping
process without constraining the reader to any specific methodologies or tools.
For purposes of illustration, a four-phase waterfall Software Life Cycle Model (SLCM)
has been selected. It is understood that such a SLCM is interactive and iterative in the
real world, and would cause expansion of the mapped
Software Life Cycle (SLC) to reflect multiple instances of Activities.
CHAPTER-10
IEEE STANDARDS
V. IEEE Standard for Software Quality Assurance Plans
1. Overview
1.1 Scope
The purpose of this standard is to provide uniform, minimum acceptable requirements for
preparation and content of
Software Quality Assurance Plans (SQAPs).
In considering adoption of this standard, regulatory bodies should be aware that specific
application of this standard may already be covered by one or more IEEE standards
documents relating to quality assurance, definitions, or other matters. It is not the purpose
of this standard to supersede, revise, or amend existing standards directed to specific
industries or applications.
This standard applies to the development and maintenance of critical software. For non
critical software, or for software already developed, a subset of the requirements of this
standard may be applied.
The existence of this standard should not be construed to prohibit additional content in an
SQAP. An assessment should be made for the specific software item to assure adequacy
of coverage. Where this standard is invoked for an organization or project engaged in
producing several software items, the applicability of the standard should be specified for
each of the software items.
3. Definitions and acronyms
3.1 Definitions
The definitions listed below establish meaning in the context of this standard. Other
definitions can be found in IEEE Std 610.12-1990, 11 or the latest revision thereof. For
the purpose of this standard, the term Software includes Freeware, documentation, data,
and execution control statements (e.g., command files, job control language).
3.1.1 Branch metric:
The result of dividing the total number of modules in which every branch has been
executed at least once by the total number of modules.
3.1.2 Critical software:
Software whose failure would impact safety or cause large Inimical or social losses.
3.1.3 Decision point metric:
The result of dividing the total number of modules in which every decision point has had
1) All valid conditions, and 2) at least one invalid condition, correctly processed, divided
by the total number of modules.
3.1.4 Domain metric:
The result of dividing the total number of modules in which one valid sample and one
invalid sample of every class of input data items (external messages, operator inputs, and
local data) have been correctly processed, by the total number of modules.
3.1.5 Error message metric:
The result of dividing the total number of error messages that have been formally
demonstrated, by the total number of error messages.
3.1.6 Quality assurance:
A planned and systematic pattern of all actions necessary to provide adequate confidence
that the item or product conforms to established technical requirements
3.1.7 Requirements demonstration metric:
The result of dividing the total number of separately-identified requirements in the
software requirements specification (SRS) that have been successfully demonstrated by
the total number of separately-identified requirements in the SRS.
3.2 Acronyms
The following alphabetical contractions appear within the text of this standard:
CDR critical design review
PDR preliminary design review
SCMP software configuration management plan
SCMPR software configuration management plan review
SDD software design description
SQA software quality assurance
SQAP software quality assurance plan
SRR software requirements review
SRS software requirements specification
SVV software verification and validation plan
SVVPR software verification and validation plan review
SVVR software verification and validation report
UDR user documentation review
4. Software Quality Assurance Plan
The Software Quality Assurance Plan shall include the sections listed below to be in
compliance with this standard.
The sections should be ordered in the described sequence. If the sections are not ordered
in the described sequence, then a table shall be provided at the end of the SQAP that
provides a cross-reference from the lowest numbered subsection of this standard to that
portion of the SQAP where that material is provided. If there is no information pertinent
to a section, the following shall appear below the section heading; this section is not
applicable to this plan, together with the appropriate reasons for the exclusion.
a) Purpose;
b) Reference documents;
c) Management;
d) Documentation;
e) Standards, practices, conventions, and metrics;
f) Reviews and audits;
g) Test;
h) Problem reporting and corrective action;
i) Tools, techniques, and methodologies;
j) Code control;
k) Media control;
l) Supplier control;
m) Records collection, maintenance, and retention;
n) Training;
o) Risk management.
Additional sections may be added as required.
Some of the material may appear in other documents. If so, then reference to these
documents should be made in the body of the SQAP. In any case, the contents of each
section of the plan shall be specified either directly or by reference to another document.
The SQAP shall be approved by the chief operating officer of each unit of the
organization having responsibilities defined within this SQAP or their designated
representatives. Details for each section of the SQAP are described in 4.1 through 4.15 of
this standard.
4.1 Purpose (Section 1 of the SQAP)
This section shall delineate the specific purpose and scope of the particular SQAP. It
shall list the name(s) of the software items covered by the SQAP and the intended use of
the software. It shall state the portion of the software life
Cycle covered by the SQAP for each software item specified.
4.2 Reference documents (Section 2 of the SQAP)
This section shall provide a complete list of documents referenced elsewhere in the text
of the SQAP.
Guidance in the use of this standard can be found in IEEE Std 730.1-1995. For an
expansion of the quality and equipment qualification requirements of IEEE Std 603-1998,
to encompass software design, software implementation, and computer systems
validation, see IEEE Std 7-4.3.2-1993.
4.3 Management (Section 3 of the SQAP)
This section shall describe organization, tasks, and responsibilities.
4.3.1 Organization
This paragraph shall depict the organizational structure that influences and controls the
quality of the software. This shall include a description of each major element of the
organization together with the delegated responsibilities.
Organizational dependence or independence of the elements responsible for SQA from
those responsible for software development and use shall be clearly described or
depicted.
4.3.2 Tasks
This paragraph shall describe
a) That portion of the software life cycle covered by the SQAP;
b) The tasks to be performed with special emphasis on software quality assurance
activities; and
c) The relationships between these tasks and the planned major checkpoints.
The sequence of the tasks shall be indicated.
4.3.3 Responsibilities
This paragraph shall identify the specific organizational elements responsible for each
task.
4.4 Documentation (Section 4 of the SQAP)
4.4.1 Purpose
This section shall perform the following functions:
a) Identify the documentation governing the development, verification and validation,
use, and maintenance of the software.
b) State how the documents are to be checked for adequacy. This shall include the criteria
and the identification of the review or audit by which the adequacy of each document
shall be conformed, with reference to Section 6 of the SQAP.
4.4.2 Minimum documentation requirements
To ensure that the implementation of the software satisfies requirements, the
documentation in 4.4.2.1 through 4.4.2.6 is required as a minimum.
4.4.2.1 Software Requirements Specification (SRS)
The SRS shall clearly and precisely describe each of the essential requirements
(functions, performances, design constraints, and attributes) of the software and the
external interfaces. Each requirement shall be defined such that its achievement is
capable of being objectively verified and validated by a prescribed method (e.g.,
inspection, analysis, demonstration, or test).
4.4.2.2 Software Design Description (SDD)
The SDD shall depict how the software will be structured to satisfy the requirements in
the SRS. The SDD shall describe the components and subcomponents of the software
design, including databases and internal interfaces. The
SDD shall be prepared Rest as the Preliminary SDD (also referred to as the top-level
SDD) and shall be subsequently expanded to produce the Detailed SDD.
4.4.2.3 Software Verification and Validation Plan (SVVP)
The SVVP shall identify and describe the methods (e.g., inspection, analysis,
demonstration, or test) to be used to
a) Verify that
1) The requirements in the SRS have been approved by an appropriate authority;
2) The requirements in the SRS are implemented in the design expressed in the SDD; and
3) The design expressed in the SDD is implemented in the code.
b) Validate that the code, when executed, complies with the requirements expressed in
the SRS.
4.4.2.4 Software Verification and Validation Report (SVVR)
The SVVR shall describe the results of the execution of the SVVP.
4.4.2.5 User documentation
User documentation (e.g., manual, guide) shall specify and describe the required data and
control inputs, input sequences, options, program limitations, and other activities or items
necessary for successful execution of the software. All error messages shall be identified
and corrective actions shall be described. A method of describing user- identified errors
or problems to the developer or the owner of the software shall be described. (Embedded
software that has no direct user interaction has no need for user documentation and is
therefore exempted from this requirement.)
4.4.2.6 Software Configuration Management Plan (SCMP)
The SCMP shall document methods to be used for identifying software items, controlling
and implementing changes, and recording and reporting change implementation status.
4.4.3 Other
Other documentation may include the following:
a) Software Development Plan;
b) Standards and Procedures Manual;
c) Software Project Management Plan;
d) Software Maintenance Manual.

4.5 Standards, practices, conventions, and metrics (Section 5 of the SQAP)

4.5.1 Purpose
This section shall
a) Identify the standards, practices, conventions, and metrics to be applied;
b) State how compliance with these items is to be monitored and assured.
4.5.2 Content
The subjects covered shall include the basic technical, design, and programming
activities involved, such as documentation, variable and module naming, programming,
inspection, and testing. As a minimum, the following information shall be provided:
a) Documentation standards;
b) Logic structure standards;
c) Coding standards;
d) Commentary standards;
e) Testing standards and practices;
f) Selected software quality assurance product and process metrics such as
1) Branch metric;
2) Decision point metric;
3) Domain metric;
4) Error message metric;
5) Requirements demonstration metric.
4.6 Reviews and audits (Section 6 of the SQAP)
4.6.1 Purpose
This section shall
a) Define the technical and managerial reviews and audits to be conducted;
b) State how the reviews and audits are to be accomplished;
c) State what further actions are required and how they are to be implemented and
verified.
4.6.2 Minimum requirements
As a minimum, the reviews and audits in 4.6.2.1 through 4.6.2.10 shall be conducted.
4.6.2.1 Software Requirements Review (SRR)
The SRR is held to ensure the adequacy of the requirements stated in the SRS.
4.6.2.2 Preliminary Design Review (PDR)
The PDR (also known as the top-level design review) is held to evaluate the technical
adequacy of the preliminary design (also known as the top-level design) of the software
as depicted in the preliminary software design description.
4.6.2.3 Critical Design Review (CDR)
The CDR (also known as detailed design review) is held to determine the acceptability of
the detailed software designs as depicted in the detailed software design description in
satisfying the requirements of the SRS.
4.6.2.4 Software Verification and Validation Plan Review (SVVPR)
The SVVPR is held to evaluate the adequacy and completeness of the verification and
validation methods defined in the SVVP.
4.6.2.5 Functional audit
This audit is held prior to the software delivery to verify that all requirements specified in
the SRS have been met.
4.6.2.6 Physical audit
This audit is held to verify that the software and its documentation are internally
consistent and are ready for delivery.
4.6.2.7 In-process audits
In-process audits of a sample of the design are held to verify consistency of the design,
including the following:
a) Code versus design documentation;
b) Interface specifications (hardware and software);
c) Design implementations versus functional requirements;
d) Functional requirements versus test descriptions.
4.6.2.8 Managerial reviews
Managerial reviews are held periodically to assess the execution of all of the actions and
the items identified in the SQAP. These reviews shall be held by an organizational
element independent of the unit being reviewed, or by a
Qualified third party. This review may require additional changes in the SQAP itself.
4.6.2.9 Software Configuration Management Plan Review (SCMPR)
The SCMPR is held to evaluate the adequacy and completeness of the configuration
management methods defined in the SCMP.
4.6.2.10 Post-mortem review
This review is held at the conclusion of the project to assess the development activities
implemented on that project and to provide recommendations for appropriate actions.
4.6.3 Other
Other reviews and audits may include the user documentation review (UDR). This review
is held to evaluate the adequacy (e.g., completeness, clarity, correctness, and usability) of
user documentation.
4.7 Test (Section 7 of the SQAP)
This section shall identify all the tests not included in the SVVP for the software covered
by the SQAP and shall state the methods to be used.
4.8 Problem reporting and corrective action (Section 8 of the SQAP)
This section shall
a) Describe the practices and procedures to be followed for reporting, tracking, and
resolving problems identified in both software items and the software development and
maintenance process;
b) State the specific organizational responsibilities concerned with their implementation.
4.9 Tools, techniques, and methodologies (Section 9 of the SQAP)
This section shall identify the special software tools, techniques, and methodologies that
support SQA, state their purposes, and describe their use.
4.10 Code control (Section 10 of the SQAP)
This section shall define the methods and facilities used to maintain, store, secure, and
document controlled versions of the identified software during all phases of the software
life cycle. This may be implemented in conjunction with a computer program library.
This may be provided as a part of the SCMP. If so, an appropriate reference shall be
made thereto.
4.11 Media control (Section 11 of the SQAP)
This section shall state the methods and facilities to be used to
a) Identify the media for each computer product and the documentation required to store
the media, including the copy and restore process; and
b) Protect computer program physical media from unauthorized access or inadvertent
damage or degradation during all phases of the software life cycle.
This may be provided as a part of the SCMP. If so, an appropriate reference shall be
made thereto.
4.12 Supplier control (Section 12 of the SQAP)
This section shall state the provisions for assuring that software provided by suppliers
meets established requirements.
In addition, this section shall state the methods that will be used to assure that the
software supplier receives adequate and complete requirements. For previously
developed software, this section shall state the methods to be used to assure the suitability
of the product for use with the software items covered by the SQAP. For software that is
to be developed, the supplier shall be required to prepare and implement an SQAP in
accordance with this standard. This section shall also state the methods to be employed to
assure that the developers comply with the requirements of this standard.
4.13 Records collection, maintenance, and retention (Section 13 of the SQAP)
This section shall identify the SQA documentation to be retained; shall state the methods
and facilities to be used to assemble, safeguard, and maintain this documentation; and
shall designate the retention period.
4.14 Training (Section 14 of the SQAP)
This section shall identify the training activities necessary to meet the needs of the
SQAP.
4.15 Risk management (Section 15 of the SQAP)
This section shall specify the methods and procedures employed to identify, assess,
monitor, and control areas of risk arising during the portion of the software life cycle
covered by the SQAP.
Annex A
Guidelines for compliance with IEEE/EIA 12207.1-1997
(Informative)
A.1 Overview
The Software Engineering Standards Committee (SESC) of the IEEE Computer Society
has endorsed the policy of adopting international standards. In 1995, the international
standard, ISO/IEC 12207, Information technology
Software life cycle processes, was completed. The standard establishes a common
framework for software life cycle processes, with well-defined terminology, that can be
referenced by the software industry.
In 1995 the SESC evaluated ISO/IEC 12207 and decided that the standard should be
adopted and serve as the basis for life cycle processes within the IEEE Software
Engineering Collection. The IEEE adaptation of ISO/IEC 12207 is
IEEE/EIA 12207.0-1996. It contains ISO/IEC 12207 and the following additions:
improved compliance approach, life cycle process objectives, life cycle data objectives,
and errata.
The implementation of ISO/IEC 12207 within the IEEE also includes the following:
IEEE/EIA 12207.1-1997, IEEE/EIA Guide for Information Technology Software life
cycle processes
Life cycle data;
IEEE/EIA 12207.2-1997, IEEE/EIA Guide for Information Technology Software life
cycle processes
Implementation considerations; and
Additions to 11 SESC standards (i.e., IEEE Stds 730, 828, 829, 830, 1012, 1016, 1058,
1062, 1219, 1233,
1362) to define the correlation between the data produced by existing SESC standards
and the data produced
by the application of IEEE/EIA 12207.1-1997.
NOTE Although IEEE/EIA 12207.1-1997 is a guide; it also contains provisions for
application as a standard with specific compliance requirements. This annex treats
12207.1-1997 as a standard.
A.1.1 Scope and purpose
Both this standard and IEEE/EIA 12207.1-1997 place requirements on an SQAP. The
purpose of this annex is to explain the relationship between the two sets of requirements
so that users producing documents intended to comply with both standards may do so.
A.2 Correlation
This clause explains the relationship between this standard and IEEE/EIA 12207.0-1996
in the following areas: terminology, process, and life cycle data.
A.2.1 Terminology correlation
The basic term for this standard is quality assurance. The definitions for the term from
this standard and IEEE/EIA
12207.0-1996 is presented below:
Quality assurance: A planned and systematic pattern of all actions necessary to provide
adequate confidence that the item or product conforms to established technical
requirements. (IEEE Std 730-1998)
Quality assurance: All the planned and systematic activities implemented within the
quality system, and demonstrated as needed, to provide adequate confidence that an
entity will fulfill requirements for quality. (IEEE/EIA 12207.0 1996) 12 Copyright
1998 IEEE. All Rights Reserved.
IEEE Std 730-1998 IEEE STANDARD FOR
The two definitions are essentially the same, particularly if it is assumed that technical
requirements plus quality expectations are the same as requirements for quality. The
remaining terminology in this standard reflects the assumptions prevalent in the 1980s
about software engineering, but for the most part this does not affect the use or meaning
of terms. There are two exceptions. The First is the use of the term audit in 4.6.2.7 in the
phrase in-process audit; the word audit should be placed with verification the second is
the concept of independence. This standard only requires organizational independence
for managerial reviews whereas IEEE/EIA 12207.0-1996 requires organizational freedom
and authority from persons directly responsible for developing the software product or
executing the process responsible for the product.
A.2.2 Process correlation
This standard places no explicit requirements on process. However, the information
required by its SQAP makes implicit assumptions regarding process, a process that is
more prescriptive than that of IEEE/EIA 12207. This standard assumes a set of meetings,
events, and audits through which a certain set of documents are developed and evaluated.
By contrast, IEEE/EIA 12207.0-1996 requires a certain body of information without
stipulating any particular set of events or documents. Generally, fulfilling the implied
process requirements of this standard would go beyond the requirements of IEEE/EIA
12207.0-1996, but would not violate its requirements.
A.2.3 Life cycle data correlation
The information required in an SQAP by this standard and the information required in an
SQAP by IEEE/EIA
12207.1-1997 is similar. It is reasonable to expect that a single document could comply
with both standards. The main difference is that this standard specifies a particular
format, while IEEE/EIA 12207.1-1997 does not. Details are provided in the clause below.
A.3 Document compliance
This clause provides details bearing on a claim that an SQAP complying with this
standard would also achieve document compliance with the SQAP as prescribed in
IEEE/EIA 12207.1-1997. The requirements for document compliance are summarized in
a single row of Table 1 of IEEE/EIA 12207.1-1997. That row is reproduced in Table A.1
of this standard.
Table A.1Summary of requirements for an SQAP excerpted from Table 1 of
IEEE/EIA 12207.1-1997
The requirements for document compliance are discussed in the following sub clauses:
A.3.1 discusses compliance with the information requirements noted in column 2 of
Table A.1 as prescribed by 6.3.1.3 of IEEE/EIA 12207.0-1996.
A.3.2 discusses compliance with the generic content guideline (the kind of document)
noted in column 3 of
Table A.1 as a plan the generic content guidelines for a plan appear in 5.2 of IEEE/EIA
12207.1-1997.
A.3.3 discusses compliance with the specific requirements for an SQAP noted in
column 4 of Table A.1 as prescribed by 6.20 of IEEE/EIA 12207.1-1997.
A.3.4 discusses compliance with the life cycle data objectives of Annex H of IEEE/EIA
12207.0-1996 as described in 4.2 of IEEE/EIA 12207.1-1997.
Information item IEEE/EIA 12207.0-1996 sub clause Kind IEEE/EIA 12207.1-1997
sub clause
References
Software quality assurance plan
6.3.1.3 Plan 6.20 IEEE Std 730-1998
IEEE Std 730.1-1995
ISO 9000-3: 1997
ISO 9001: 1994
ISO 10005: 1995
A.3.1 Compliance with information requirements of IEEE/EIA 12207.0-1996
The information requirements for an SQAP are those prescribed by 6.3.1.3 of IEEE/EIA
12207.0-1996. In this case, those requirements are substantively identical to those
considered in A.3.3 of this standard.
A.3.2 Compliance with generic content guidelines of IEEE/EIA 12207.1-1997
The generic content guidelines for a plan in IEEE/EIA 12207.1-1997 are prescribed by
5.2 of IEEE/EIA 12207.1-
1997. A complying plan shall achieve the purpose stated in 5.2.1 and include the
information listed in 5.2.2 of IEEE/ EIA 12207.1-1997.
The purpose of a plan is:
IEEE/EIA 12207.1-1997, sub clause 5.2.1: Purpose: Define when, how, and by whom
specific activities are to be performed, including options and alternatives, as required.
An SQAP complying with this standard would achieve the stated purpose.
Any plan complying with 12207.1-1997 shall satisfy the generic content requirements
provided in 5.2.2 of that standard. Table A.2 of this standard lists the generic content
items and, where appropriate, references the clause of this standard that requires the same
information. It may be concluded that the information required by this standard is
sufficient for compliance except as noted in the third column of Table A.2.
A.3.3 Compliance with specific content requirements of IEEE/EIA 12207.1-1997
The specific content requirements for an SQAP in IEEE/EIA 12207.1-1997 are
prescribed by 6.20 of IEEE/EIA
12207.1-1997. A complying SQAP shall achieve the purpose stated in 6.20.1 and include
the information listed in
6.20.3 of IEEE/EIA 12207.1-1997.
The purpose of the SQAP is:
IEEE/EIA 12207.1-1997, sub clause 6.20.1: Purpose: Define the software quality
assurance activities to be performed during the life cycle of the software. Describe the
responsibilities and authorities for accomplishing the planned software quality assurance
activities. Identify the required coordination of software quality assurance activities with
other activities of the project. Identify the tools and the physical and human resources
required for the execution of the plan.
An SQAP complying with this standard and meeting the additional requirements of Table
A.2 and Table A.3 of this standard would achieve the stated purpose.
An SQAP complying with 12207.1-1997 shall satisfy the specific content requirements
provided in 6.20.3 of that standard. Table A.3 of this standard lists the specific content
items and, where appropriate, references the clause of this standard that requires the same
information. It may be concluded that the information required by this standard is
sufficient for compliance except as noted in the third column of Table A.3.
A.3.4 Compliance with life cycle data objectives
In addition to the content requirements, life cycle data shall be managed in accordance
with the objectives provided in
Annex H of IEEE/EIA 12207.0-1996.
A.3.5 Conclusion
The analysis documented in this annex suggests that any SQAP complying with this
standard and the additions specified in Table A.2 and Table A.3 also complies with the
requirements of an SQAP in IEEE/EIA 12207.1-1997. In addition, to comply with
IEEE/EIA 12207.1-1997, an SQAP shall support the life cycle data objectives of Annex
H of IEEE/EIA 12207.0-1996. 14 Copyright 1998 IEEE. All Rights Reserved. IEEE
Std 730-1998 IEEE STANDARD FOR
Table A.2Coverage of generic plan requirements by IEEE Std 730-1998
IEEE/EIA 12207.1-1997 generic content Corresponding clauses of IEEE Std 730-
1998 Additions to requirements of IEEE Std 730-1998
a) Date of issue and status Date of issue and status shall be provided.
b) Scope 4.1 Purposes
c) Issuing organization 4.3.1 Organization Issuing organization shall be identified.
d) References 4.2 Reference documents
e) Approval authority 4. Software Quality Assurance Plan
f) Planned activities and tasks 4.3.2 Tasks
g) Macro references (policies or laws
That gives rise to the need for this plan)
4.2 Referenced documents motivating the SQAP shall be referenced.
h) Micro references (other plans or task descriptions that elaborate details of this plan)
4.4.2.3 Software Verification and
Validation Plan
4.4.2.6 Software Configuration
Management Plan
4.5 Standards, practices, conventions, and metrics
4.8 Problem reporting and corrective action
4.9 Tools, techniques, and methodologies
i) Schedules 4.3.2 Tasks
4.6 Reviews and audits
The sequencing and relationships of tasks shall be related to a master schedule.
j) Estimates Estimates of resources to be expended in quality assurance tasks shall be
provided or referenced.
k) Resources and their allocation 4.3.1 Organization
4.3.3 Responsibilities
4.9 Tools, techniques, and methodologies
l) Responsibilities and authority 4.3.1 Organization
4.3.3 Responsibilities
m) Risks 4.15 Risk management
n) Quality control measures (NOTE This includes quality control of the SQAP itself.)
4.4.1 Purpose, item b)
4.8 Problem reporting and corrective action
o) Cost the costs of SQA activities and resources shall be provided or referenced.
p) Interfaces among parties involved 4.3 Management
q) Environment / infrastructure (including safety needs)
4.5 Standards, practices, conventions, and metrics
4.9 Tools, techniques, and methodologies
Safety needs shall be provided or referenced.
r) Training 4.14 Training
s) Glossary a glossary of terms used in the SQAP shall be provided.
t) Change procedures and history (NOTE This includes the change procedures for the
SQAP itself.)
4.13 Records collection, maintenance, and retention
Change procedures and history for the
SQAP shall be provided or referenced.
Table A.3Coverage of specific SQAP requirements by IEEE Std 730-1998
IEEE/EIA 12207.1-1997
Specific content
Corresponding clauses of
IEEE Std 730-1998
Additions to requirements of
IEEE Std 730-1998
a) Generic plan information (See Table A.2)
b) Quality standards... 4.4.1 Purpose, item b)
4.5 Standards, practices, conventions, and metrics methodologies, procedures, and
tools for performing the quality assurance activities (or their references in the
organizations official documentation)
4.9 Tools, techniques, and methodologies
c) Procedures for contract review and coordination thereof
4.12 Supplier control Procedures for reviewing and managing the main development
contract between the acquirer and supplier should be added to the plan.
d) Procedures for identification, collection, filing, maintenance, and disposition of quality
records
4.10 Code control
4.11 Media control
4.13 Records collection, maintenance, and retention
4.6.2.9 Software Configuration Management Plan Review
e) Resources ... 4.3.1 Organization
4.3.3 Responsibilities
4.9 Tools, techniques, and methodologies schedule(s) ... 4.3.2 Tasks
4.6 Reviews and audits
The sequencing and relationships of tasks shall be related to a master \ schedule. And
responsibilities for conducting the quality assurance activities
4.3.3 Responsibilities
f) Selected activities and tasks from supporting processes such as
Verification, Validation,
4.4.2.3 Software Verification and Validation Plan Joint Review, 4.6 Reviews and
Audits Audit, and ... 4.4.1 Purpose, item b)
4.6.2.7 In-process audits
4.6.2.5 Functional audit
4.6.2.6 Physical audit
... Problem Resolution 4.6.1 Purpose, item c)
4.8 Problem reporting and corrective action
SOFTWARE PRODUCT QUALITY: Theory, Model, and Practice
Existing proposals for software product quality have not been underpinned by the sort of
empirical theory and supporting models that are found in most scientific endeavors. The
present proposal provides a set of axioms and supporting software and quality models
needed to construct a comprehensive model for software product quality. This model has
been developed using a requirements-design-implementation strategy to ensure that it
meets the needs of a number of different interest groups. A significant advantage of the
proposed model is that it allows the problem of software product quality to be broken
down into intellectually manageable chunks. Other important features of the model are
that it has enough structure to characterize software product quality for large and
complex systems and it will support practical specification and verification of quality
requirements.
Keywords
Software product quality models, quality attributes, ISO-9126, quality-carrying
properties, large-scale software projects.
1. Introduction
Proposals for modeling software product quality have had very limited success
We suggest there are several clear reasons for this.
Foremost is the fact that the proposed models have not been underpinned by the sort of
empirical theory and supporting models that are found in most scientific endeavors.
Secondly, these models have neither acknowledged nor properly exploited the fact that
software has a set of behaviors and uses which correspond directly to its high-level
quality attributes. What is interesting is that these behaviors and uses map directly to the
needs of the different interest groups involved with software.
Thirdly, the definitional and model-construction strategies employed have not been
disciplined enough to meet the challenges of the task.
Finally, there are a very large number of tangible properties of software that are known
to positively influence its quality but these properties have never been organized into any
sort of systematic framework that could maximize the impact of their cumulative weight.
Our claim is that when these matters are properly attended to it is possible to construct a
practical model of software product quality. We will employ a goal-directed
requirements-design-implementation strategy to develop a model for software product
quality that will attend to these matters. This approach has been taken quite deliberately
for two reasons: firstly there are a number of different interest groups who have quite
distinct software product quality requirements. Our model will need to properly
accommodate these requirements; secondly, this strategy is one that people involved with
software will find easy to relate to because of its wide application in software
development.
The first task in building a software product quality model is to identify what the
intended applications of the model are and to address the needs of the different interest
groups that will use the model in these different applications. This corresponds to
identifying the user requirements of the model.
The second stage in building a model for software product quality is to identify a suitable
architecture/design for the model. The following diagram encapsulates the high level
architecture of our model.
That is, our obligations are threefold:
- To construct a software product model
- To construct a quality model
- To link the models for software and quality to construct the model for software product
quality.
Once we have constructed a framework that defines and supports our software product
quality model our final obligation is to define a strategy for implementing this model.
The proposals in this paper represent an extension, a refinement, and an attempt to
provide a conceptual framework and empirical theoretical underpinning for earlier
proposals on software product quality
2. Terminology and Framework
Before we can make serious progress with the construction of a model for software
product quality we need to sort out some use of terminology. This step will allow us to
establish what is often called in technical terms a universe of discourse. The advantage of
doing this is that it allows us to set out how we intend to use a variety of words and how
we intend to link these words to various concepts. A lot of problems arise in discussions
about software product quality because there is confusion about how various terms are
used.
Software is composed of both high and low-level components. Through these
components, and through the ways they are composed, software exhibits properties that
characterize and distinguish it from other facts. Sometimes the words: characteristics,
factors and attributes are used as alternatives for what we will refer to here as properties.
We will use these latter terms, but in quite distinct ways. We will distinguish several
different kinds of properties which may be either tangible (concrete) or abstract
(intangible) and either functional or non-functional properties. Tangible properties must
be measurable, assessable, calculable or detectible by either manual or automated means.
Some of the properties of software are desirable. We call these desirable properties,
qualities or quality attributes. Quality or more specifically, a set of quality attributes is the
vehicle through which the different interest groups express their needs of software. A
goal-directed approach to building a quality model for software is effective for
accommodating and balancing the needs of these different interest groups. The set of
desirable properties or quality attributes of software provides an abstract or high-level
specification for what we will call software product quality.
We next make the observation that the quality attributes we associate with software
correspond either to behaviors or uses. A behavior is something that the software itself
exhibits when it executes under the influence of a set of inputs (e.g., reliability and
efficiency are behaviors). From a functional perspective, a behavior of a software system
can be characterized by the set of responses (including outputs and metrics) the system
exhibits through the execution and interaction of sets of its functions in response to one
or more sets of inputs.
A use is something that different interest groups do with or to software (e.g., portability
and maintainability are uses). We may also give uses a functional interpretation. That is,
a use is a user-performed function where the software (or software system) is the input,
e.g.
Output User-performed-function (software)
The output varies depending on the use. For the use maintainability the output may be a
modified version of the input, whereas for the use learn ability the output could be a set
of verifiable statements that reflects the users understanding of the system or a set of
tasks (plus time to learn) that the user knows how to perform using the software system.
A Software Characteristic is an abstract property (determinable) of software that
classifies a set of tangible quality-carrying product properties. It is not a behavior or a
use. Modularity is an example of a software or product characteristic. Software
characteristics may correspond either to a set of functional entities or a set of non-
functional tangible properties. Software characteristics help software to satisfy quality
attributes. For example, tangible machine independent properties of software components
contribute to a software systems portability.
It follows that software characteristics may be used to support the definition of high-level
quality attributes.
3. Requirements of a Software Product Quality Model
To formulate the requirements for a software product quality model three issues must be
addressed: the different interest groups need to be identified; the intended applications of
the model need to be spelled out; and it is necessary to establish the quality needs or
perspectives/views of the different interest groups.
An appropriate starting point for obtaining a set of requirements is to ask the fundamental
question:
Question:
Who has to be satisfied with software?
The response is: clients and sponsors, users and developers/maintainers (auditors might
also be proposed as an important interest group with quite distinct quality needs but we
have chosen not to include them in this exposition). These different interest groups have
different, and sometimes competing/conflicting primary needs of software. For a
particular interest group to be satisfied with software it will need to meet their specific
functional and/or non-functional requirements. Together, these requirements all fall under
the heading of quality requirements.
The next fundamental question on the path to obtaining a set of requirements is to sort out
about the uses of our intended model.
Question:
Why do we want to define, characterize and build a model for software product quality in
the first place?
Being clear at the outset about the use or uses of a definition, a theory, or a model, can
make the job of constructing that definition, model or theory a lot easier. Such an
appraisal gives us a concrete goal to aim for and a set of requirements to satisfy.
We suggest that the primary applications of such a model are:
to use such information to assess and prescribe or specify the quality requirements of
software products,
to understand what is entailed in constructing software with specified levels of quality,
to enhance the behaviors and facilitate the uses of software,
to use such material to train/educate people how to produce quality software,
to provide a framework that can be extended to meet particular domain/application-
specific quality needs,
to have a model that can be understood at a number of levels by the different interest
groups involved with software,
to serve as a vehicle for advancing our knowledge of software product quality
Software Product Quality 6
Software Quality Institute 09/03/98 15:02
In providing a set of requirements for a quality model it is also instructive to revisit
Garvins [6] views on quality. From his studies he concluded that quality is a complex
multifaceted concept that can be described from five perspectives:
transcendental view quality is recognizable but not definable
user view quality means fitness-for-purpose
manufacturing view quality means conformance to specification
product view quality is tied to inherent characteristics of product
value-based quality is dependent on how much customer is willing to pay
Kitchen ham and Pfleeger have recently discussed Garvins approach in the context of
software product quality. We suggest Garvins model is a useful starting point not as a
quality model in its own right but rather as a specification of a set of requirements for
quality models or alternatively as a set criteria for evaluating product quality models. By
this we mean that any proposed model should be rich enough to accommodate Garvins
five perspectives if we regard them as model criteria to be satisfied. Garvins proposal
implies that some interested party holds each of the perspectives. It follows that in
designing both quality models and quality products it is important to try to meet the needs
of the different interest groups. We will revisit these issues in the discussion which
follows. We will also use Garvins criteria to evaluate our proposed model.
4. Design of a Software Product Quality Model
The design for a software product quality model is realized by constructing a quality
model and a software model and then linking these two models to produce a software
product quality model. Construction of these models will now be described.
4.1 Quality Model
Background for what we will discuss on quality models has a long historic basis that
dates back to the Ancient Greek philosophers. Russells doctrine [4] of logical
constructions and what Price [5] calls the Philosophy of Universals, (which is based on
Aristotles theory of universalia in rebus) and the Philosophy of Resemblances provides
some useful insights. What this latter theory tells us about the world is that there exists a
phenomenon called recurrence of characteristics. If this phenomenon did not exist there
could be no conceptual cognition. In other words, if there were no recurrence in the world
we could not acquire concepts like those we need to discuss and characterize software
product quality.
A second important concept advanced by the Philosophy of Resemblances is the
distinction between determinable and determinate characteristics. Characteristics have
different degrees of determinateness. Price claims that these two adjectives are too
fundamental to be defined but that their meaning can be illustrated. For example, the
characteristic of being colored is determinable and the characteristic of being red is a
determinate of it. Being red is again a sub-determinable, and has under it the
determinates, being scarlet, brick-red, etc. Being a mammal is a complex determinable
characteristic. Being a dog, or a being a whale are two of the determinates of this
determinable. Whenever two objects resemble each other with less than the maximum
intensity we can always say that the same determinable characteristic characterizes them
both, though not the same determinate. As we have seen two objects may, for example,
have different shades of red.
Here we need to extend this work on determinable and determinates to include the notion
of incrementally satisfiable determinable. This extension allows us to make claims like:
the more reliability determinates that are satisfied the greater is the reliability of a given
the software system. This whole approach will be used to underpin the quality model
construction process that follows.
We suggest that a constructive strategy can be employed to characterize the behaviors
and uses of software that contribute to its quality. In constructing a model for software
product quality it is appropriate to apply both bottom-up and top-down strategies. We
seek to enumerate concrete properties and classify them as belonging to software
characteristics and, in turn, at the next level up, we seek to enumerate software
characteristics that characterize each behavior and each use this corresponds to bottom-
up construction. We also employ derivation and/or decomposition to characterize or
define abstract properties (e.g. behaviors and uses) in terms of subordinate behaviors,
uses and software characteristics this corresponds to a top-down approach. Both
bottoms-up and top-down construction have important roles to play in building a quality
model. We will start this discussion by considering the two principles that guide
decomposition and derivation.
Principle 1:
A behavior can be decomposed and hence defined in terms of subordinate properties
which may be described either as behaviors or software characteristics.
The following diagram illustrates this notion schematically. Subordinate behaviors may
in turn be hierarchically defined, e.g.
In adopting this principle the challenge we face is where to draw the line between
subordinate defining behaviors and contributing software characteristics (note the
direction of the arrows in the diagram above is intended to differentiate defining from
contributing causal relationships). The quality attribute reliability provides a good case in
point. Abstract properties like fault-tolerance and recoverability are
Behaviors
Determinates of reliability. The issue is, are fault-tolerance and recoverability defining
behaviors of reliability or software characteristics that contribute to reliability. What we
are confronting here is the tension between top-down definitions of quality attributes and
bottom-up characterization (that is, abstract description) or classification of software
properties (both non-functional and functional properties) that contribute to high-level
quality attributes. Whether we regard fault-tolerance as a behavior or a software
characteristic does not really matter. What is important to recognize is that we have two
avenues for arriving at our goal. Some properties, like modularity or correctness, are
clearly software characteristics rather than behaviors or uses. With others like fault-
tolerance, it is not so easy to make the distinction. The underlying intuition we are using
in making such distinctions is that behaviors tend to be system-wide qualities whereas it
is meaningful to associate software characteristics with particular components as well as
with an overall system. We can circumvent this issue using determinable-determinate
decompositions. As an example, in ISO-9126 [ ]the determinable, reliability can be
decomposed into the determinates fault-tolerance, maturity and recoverability (more will
be said about this later).
Schematically we have:
Uses of software can be treated in a similar way as the following principle suggests.
Principle 2:
A use can be decomposed and hence defined in terms of subordinate properties which
may be described either as uses or software characteristics.
The following diagram illustrates this notion schematically. Subordinate uses may in turn
be hierarchically defined, e.g. as an example, usability can be decomposed into the
subordinate uses learn ability and operability.
Reliability: Recoverability Fault-tolerance- Uses
In proceeding to construct a quality model we will employ the following additional
design principles, guidelines and assumptions:
We choose to associate abstract properties, called quality attributes, with software
The quality of software may be characterized by a set of high-level quality attributes.
The quality attributes of software correspond either to a set of domain independent
behaviors of software or a set of domain-independent uses of software.
The quality attributes of a quality model should be sufficient to meet the needs of all
interest groups associated with the software
Each high-level quality attribute of software is characterized by a set of subordinate
properties which are behaviors, uses or software characteristics.
Each software characteristic is determined or contributed to by a set of tangible
properties that we will call quality-carrying properties.
Quality-carrying properties may embody either functionality (e.g. a check to see
whether all inputs are within their expected ranges contributes to the design principle of
modular protection) or non-functional properties (e.g. identifiers should be self-
descriptive).
The diagram below characterizes the architecture of the quality model we are proposing.
Case Study - Usability
To illustrate the processes of definition and characterization we will now explore one
quality attribute (usability) in slightly more depth. Our intent is not to give a
comprehensive software product quality characterization for usability but rather to
illustrate the process. Our starting point is to list (see below) a set of properties that
define/characterize or are manifestations of usability.
In order to arrange these properties into an appropriate hierarchy using the
definition/characterization strategy we have described we first classify the properties as
either behaviors, uses or software characteristics according to our definitions of these
terms (see below). Behaviors and uses are candidates for being the top-level determinates
of usability.
We may also have some behaviors acting as subordinate behaviors of others, etc.
To accommodate this we must systematically ask for each property whether it contributes
to or determines each behavior or use. For example we must ask does customizability
contribute to learn ability, to operability and so on. Software characteristics, in turn
characterize behaviors and uses. Again a similar process is applied. A possible
definitional hierarchy that is an outcome of this whole process is shown below.
Usability
Learn ability - easy to learn how to use
Transparency- easy to understand/ remember how to use functionality
Operability easy and efficient to apply functionality
Responsiveness- performs all functions in a timely fashion
Customizability- can customize interface, palettes, etc to user needs
Foreign-language Provision can change the language of interface
Command-context sensitivity shows commands useable in context
Operational directness provision for most direct command execution
Hot-keyed are short-cut key options for frequently used functions
Consistency commands consistent with environs (e.g. Widows-95)
.
.
Usability
Learn ability - use
Transparency- software characteristic
Operability use
Responsiveness behavior (metric)
Customizability- use
Command-context sensitivity software characteristic
Operational directness software characteristic
Hot-keyed software characteristic
Consistency- software characteristic
.
.
Usability
Learn ability
Operability
Transparency
Command-context sensitivity
Customizability
Responsiveness
Command Execution
Directness
Hot-keyed
Consistency
What we have provided here is a long way short of a comprehensive specification of
usability. Hopefully however, enough detail has been given to illustrate what is entailed
in carrying out such a process. Note that the property Foreign Language
Provision that was in our original list would end up being a determinate of
customizability. It is therefore not shown in the hierarchical specification above.
Case Study Reliability
The characterization of the quality attribute reliability throws up several important points
relating to the design and implementation of quality models. In characterizing any high-
level quality attribute it helps to formulate an underlying functional model or usage
model (depending on whether the attribute is a behavior or a use) and a supporting
metrics model. Such models help to minimize overlap of behaviors and address issues of
completeness. We will now look at a functional and a metrics model for reliability.
Reliability characterizes how a software system behaves in response to four kinds of
faults (a) faults that lead to abnormal conditions that are generated externally and/or that
show up as inputs to the software system which violate its capacity to satisfy its specified
functional behavior (b) faults that result in errors that occur during the course of
execution of a software system that cause it to deviate from its specified functionality and
thereby enter an abnormal state (c) errors that occur in the outputs of a software system
that are caused by faults in the implementation of the functionality (d) faults that lead to
failure of the software system.
A defensible functional model for reliability in this context is to say that at the highest
level there are three non-overlapping classes of functionality that a system must
implement to exhibit reliable behavior: error-detection, error-reporting (through the
functionality subordinate quality attribute visibility), error-resolution. The previous
functionality deals only with situations where the system is able to avoid failure (that is,
the system exhibits the behavior, fault-tolerance). There is also another kind of
functionality needed to recover/restart after failure of the software system
(recoverability). Within each of these types of functionality there may be varying degrees
of sophistication and completeness and alternative strategies for dealing with the
situation.
Suitable metrics which characterize the reliability of a software system are the behaviors
maturity and availability. Maturity may be interpreted as a running average of the
elapsed-time between failures over the life-time of the system while availability is a
running average of the down-time after each failure.
In this functional model fault-tolerance, for example abstracts over a number of other
behaviors and software characteristics such as fault-diagnosis, re-configurability and
survivability (the behavior where a system needs to continue operating when one or more
of its sub-systems have ceased to function). In some applications a behavior
Reliability
Availability- behavior (metric)
Fault-tolerance behavior/software characteristic
Maturity - behavior (metric)
Recoverability behavior like survivability may be such a critical quality requirement
that there is justification for raising it to the same level as reliability even though
technically it is just a very specialized form of reliability.
Below we provide a possible (but not definitive) instantiation of the quality model. It
bears many similarities with ISO-9126 apart from the inclusion of Reusability at the top-
level and the inclusion of additional subordinate properties. From Functionality down to
Maintainability we are talking about a single software/hardware/system environment.
Beyond that we have included quality attributes that reflect considerations for use in
other environments.
Functionality
Correctness
Security
Interoperability
Visibility
Reliability
Availability
Fault- tolerance
Maturity
Recoverability
Efficiency
Processor economy
Resource economy
Communication economy
Order behavior
Throughput
Usability
Learn ability
Operability
Maintainability
Analyzability
Modifiability
Testability
Portability
Machine Independence
System Independence
Replace ability
Install ability
Data commonality
Reusability
Representation Independence
Application Independence
Data Encapsulation
Function Encapsulation
Interface ability
We may now summarize much of what we have established thus far in our goal oriented
approach to constructing a model for software product quality. We start out with the
principal interest groups then look for what are their primary quality requirements.
Settling the quality needs of the different interest groups is at best an informal process.
One possible, although defensible high-level needs specification is: suitability (or fitness-
for-purpose which is characterized by a set of behaviors of the software), usability, and
adaptability (which is characterized by a set of uses of software by different interest
groups). Below we show a mapping onto a modified/extended version of ISO-9126 [7].
The primary interests of clients/sponsors are in the suitability of a software system for its
intended purposes. The behaviors, functionality, reliability and efficiency provide an
accurate high-level characterization of suitability. In contrast users and
developers/maintainers are interested in the usability and adaptability of a software
system which reflect the different uses of the system. The high-level uses, usability,
portability, maintainability and reuse often represent priority quality needs of these
interest groups. Of course, sponsors may also be interested in maintainability, etc. In
some instances, at least, this will be a secondary quality need for this interest group, and
so on
Quality models like this are never absolute or fixed, either in terms of the chosen primary
interest groups or in terms of the set of high-level quality attributes that we settle upon. If
we had chosen to include auditors as a primary interest group then we would have had to
add the high-level quality attribute, verifiability which is a high level use of software. The
point we are trying to make here is that quality needs vary in different contexts. However
the framework that we are proposing is robust and flexible enough to accommodate
variability, change and refinement.
We have now spelled out enough about quality models to be ready to tackle the second
task of constructing a software model.
GOAL-DIRECTED SPQ MODEL DESIGN
Software
Interest
Groups
Software
Clients
Sponsors Users
Maintainers/
Developers
Suitability Usability
Adaptability
Reliability Functionality
Efficiency Operability Learn ability Maintainability
Portability Request-ability
Behaviors . . . Behaviors Uses ... Uses ... Uses ... Uses ... Uses ... Uses
CHAPTER-10
IEEE STANDARDS
4.2 Software Product Model
At the heart of constructing a software product model are two fundamental assumptions:
Software is composed of both simple or atomic components and composite
components.
Software components of various kinds exhibit tangible properties that impact the
quality of software.
The following set of statements assist us in constructing a software product model:
Components include different types of statements which are in turn composed of lower-
level components such as variables, expressions and guards, etc.
Modules are components. It is convenient to treat different kinds of modules as separate
components.
Different kinds of simple and composite data that flows between modules and sub
systems and across interfaces are treated as distinct components.
Software components exhibit concrete properties (including metrics) that characterize
the nature of software, its form, and its structure.
Software exhibits behaviors and is open to uses both these sets of properties are
abstract
We choose to associate abstract properties with software, called software
characteristics, in order to provide high-level descriptions of its nature, its behavior, its
uses, and its support for change, its form and its structure. Examples are: machine-
independence, modularity and correctness. Some software characteristics can be
associated with software components.
Software Product Model
Composite component
Component
Functional
Component
Non-functional
Component
Atomic
Component
Tangible
Properties
Intrinsic and contextual or relational tangible properties possessed by
Software components exhibit concrete properties that contribute to, or determine in
their software characteristics
Software characteristics can be either generic, product-specific, language specific, or
domain-specific
Tangible quality-carrying properties of software can be either generic, product specific,
language-specific or domain-specific, functional or non-functional.
Tangible properties can also be either intrinsic/internal or contextual/relational
We associate abstract properties, called quality attributes, with software to characterize
its desirable behaviours and uses.
Below we will suggest one possible classification scheme for software characteristics.
In the interests of building a comprehensive model for software product quality it is
useful to have a framework into which software characteristics and their defining tangible
properties can be fitted. Such a framework can help us systematize and structure our
knowledge about software. It can also point to areas where there are gaps,
misclassification and other problems in our knowledge and understanding of software
characteristics. Over time we can correct, refine and improve the framework to more
accurately suit our needs.
Fault-Tolerance
Survivability
Recoverability
Access Control
Machine Independence
Operating Systems Independent
Re-configurability
Internationalized
Software
Characteristics
Correctness
System
Documentation
Architectural
Data
Modularity
Structural
Accuracy
Completeness
Consistency
Traceability
Formal specification
Self-descriptive
On-line Help
Commented
User-manual
Life-cycle product documents
Representation Independent
Interoperable
Data commonality
Coupling
Throughput
Cohesion
Function encapsulation
Data encapsulation
Interfaced
Application Independent
Complexity McCabe
Structured
Well-structured
Non-redundant
Localized
Normalized
Parameterized
Documented
4.3 Linkage Model Axioms of Software Product Quality
Now we have models for quality and software the task that remains is to link these two
models to create a model for software product quality. In tackling this task we need to
answer the fundamental question:
Question:
What is it about software that determines its quality?
Our response to this question is embodied in the following set of axioms which form the
building blocks for a linkage model and empirical theory of software product quality.
First Axiom of Software Product Quality:
If we admit that software is composed of components then the choice of those
components, their tangible intrinsic and contextual properties, and the way those
components are composed, determines the quality of software.
This axiom may be represented schematically as shown below.
Example:
At a low-level, variables, types, expressions and loops, etc are examples of components.
At a higher level access control modules, software-hardware interface modules and
communication data are examples of composite components.
Choice of Components
Components Properties
Way components are composed
Software Product Quality
The second axiom stems from an observation linking behaviours, uses and quality
attributes.
Second Axiom of Software Product Quality:
Software exhibits a set of quality attributes and it exhibits certain observable behaviours
and uses that correspond directly to its quality attributes.
Our knowledge of software and experience with its use allows us to instantiate such a
framework.
Example:
One possible instantiation, an augmentation of the ISO-9126 Standard, was shown earlier
and is again shown below.
Third Axiom of Software Product Quality
Tangible quality-carrying properties of software components contribute to one or more
intangible, high-level quality attributes of software.
Example:
Functionality that checks whether a parameter, which is used as a divisor, is non-zero is
an example of a tangible quality-carrying property which contributes to the fault
tolerance and hence the reliability of a given software system.
Fourth Axiom of Software Product Quality
Associated with each tangible quality-carrying property of a component is a verifiable
empirical statement that links the property either to a software characteristic, a behavior
or a use and then to a high-level quality attribute.
Example:
An example of a verifiable empirical statement is: Self-descriptive identifiers contribute
to the analyzability and hence the maintainability of software.
Most software engineers, through experience accept the truth of this statement. We may
however design a number of possible experiments to test its validity. We could, for
example, do this by providing two implementations of a given self-contained module that
performs a well-defined function. One implementation would use accurate, meaningful,
self-descriptive names for all identifiers used in the module; the second would use
identifiers such as x, y, etc, which give no clues as to their purpose.
We could then give two groups with comparable backgrounds the two modules and test
things like how long they took to work out what the module does, what the role of each
variable was, etc.
What is important about this fourth axiom is that it ensures the present proposal for
software product quality is ultimately built on a set of empirical verifiable statements.
It does not go so far as to demand that such statements have already been verified but
there is always the option to do so. Hence there is the opportunity either to validate or to
refute and correct any or all the quality claims that contribute to the model.
As we have already seen the choice of components, component properties and the way
components are composed determines the quality of software. Any such proposal for a
software product quality model will always only ever be an approximation to software
product quality.
The challenge in building a software product quality model is to align the properties
associated with softwares nature (its software characteristics) with the properties that
describe its desirable behaviours, ease-of-use and response to change (its quality
attributes). In creating a linkage model we need to satisfy the following requirements:
We need to satisfy the principle of correspondence for the quality model by mapping
quality properties onto components.
We need to make tangible quality-carrying properties component-based and
accumulative in their affect across a software system
There is not a one-to-one mapping between quality determinable and software
determinable. For example, the software characteristic, modularity can contribute to the
quality attribute maintainability and to say reliability (by providing modular protection)
A challenge is to identify a comprehensive generic set of quality-carrying properties for
each software characteristic and to anchor these to components.
Another challenge is to identify a comprehensive set of quality-carrying properties for
each component. Such properties will contribute to different quality attributes.
We may expect that for some application domains there will be additional domain-
specific quality-carrying properties that have a significant impact on the quality of
software
There is tangible functionality and tangible non-functional properties of software that
contribute to its quality.
5. Software Product Quality Model Implementation
There have been two main approaches to implementing software product quality models
(a) a rule-based approach (b) an approach that tries to define software characteristics then
qualify these definitions with sets of rules and properties.
The first of these approaches involves compiling large numbers of ad hoc suggestions
and rules of thumb. Unfortunately this approach has not proved all that successful.
The problem arises because we are talking about potentially many hundreds, at least, of
disparate properties that may be used to characterize high-level quality attributes.
Usually such compilations are not classified systematically and there is no link between
the rule/property and any corresponding high-level quality attributes.
The second approach at least implied, if not followed, in trying to define software product
quality has been to provide a high level characterization using quality attributes and
software characteristics and then to proceed to identify a rich and accurate set of tangible
quality-carrying properties that help define software characteristics like fault-tolerance,
machine-independence, and so on. There is no doubt that information arranged in this
way is certainly helpful but it does not directly link to components (this issue is addressed
in section 5.3).
Information about quality arranged in either of these ways is not very convenient for
meeting the requirements we have set for a software product quality model. That is, none
of the software interest groups benefit very much from these characterizations of software
product quality. What is needed are better ways of structuring the information about
software product quality. The Axioms of Software Product Quality and the
accompanying models for software, quality, and linkage that we have sketched suggest a
more practical way to proceed. What this entails is to focus on the different types of
components that we find at various levels in software. As our earlier discussion suggests
we may associate various intrinsic and contextual or relational quality-carrying properties
with each type of component.
Our diagram below suggests one method for mapping tangible quality-carrying properties
of software onto various classes of software components that make up a software system.
While these properties map directly to this component framework they have their own
separate classifications relative to the software characteristics that contribute to quality
attributes.
To use an extended version of this framework to implement a model for software product
quality we must systematically work through the characterization of components at the
various levels. We will now visit these different levels.
5.1 Statement Component Level
The lowest level in our software product quality model is made up of the components that
are used to build statements. The grammar associated with a given programming
language tells us precisely what are the different types of statement components (e.g.
guards, expressions) and types of data (e.g. variables, constants, records, etc). We may
associate a set of quality-carrying properties with each type of statement component and
data. We may also link each quality-carrying property to its parent software characteristic
and/or high-level quality attribute. Characterizations for the statement components,
variable and expression are shown below. A more detailed treatment of these
components, including a discussion of their various quality-carrying properties is given
elsewhere.
Expressions are made up of variables, constants and operators. Expressions exhibit
separate properties from their constituent components.
5.2 Statement Level
The statement level in our software product quality model is made up of the statements
that are used to build modules. Each statement is built from elements defined at the
statement component level. Again the grammar associated with a given programming
language tells us precisely what the different types of statement are.
Examples in most languages include statements such as assignments, if-statements, loops,
etc. As at the statement component level, a statement exhibits quite distinct properties
from its constituent components. For example the quality-carrying properties of an
assignment statement (below) are quite distinct from its constituent components the
expression and variables.
It is important to understand how this model works and how defects are attributed to
components. Consider an assignment statement where one of the variables in its
expression has not been assigned. The question arises is this an assignment defect, an
expression defect or a variable defect? The convention applied in this model is that
defects are always attributed to the most deeply nested or lowest level component with
which they are associated. Using this convention such a defect obviously violates a
variable quality-carrying property (i.e. those variables must be assigned before use).
Most of the defects associated with assignment statements are either variable defects or
expression defects. The only problems with an assignment itself are that it must be
effective. That is, it must change the state of the computation and it must be complete
i.e. it must avoid statements like x: = xs which are not properly formed.
Elsewhere [8, 9,14] we have illustrated in detail how this quality model specification may
be done systematically for a range of different statements and types of data that occur in
most conventional imperative programming languages at the intra-module level. Such a
proposal is useful for dealing with a lot of generic quality issues at the
module/object/structured programming level.
5.3 Module Level
At the module level the quality issues associated with components vary greatly depending
on the nature of the application. For example, the quality requirements for a transponder
control module are entirely different from a password authentication module. Therefore,
if we try to apply the same strategy as was applied at the statement component and the
statement levels to deal with the major quality issues associated with modules we end up
with a very large number of properties associated with the single component type
module. The problem is that only a small number of these properties are relevant to any
given application. A practical way to overcome this problem is to first classify modules
into a relatively small number of generic categories. A sample set of generic module
classifications is given below.
We may then associate the relevant quality-carrying properties (usually a small number)
with each generic module type (see the two examples below)
Sample Generic Module Classifications
Software-Hardware Interface Module Computation/calculation Module
Software System Interface Module Software-Database Interface Module
File-Processing Module Control Module
Operator Interface Module Retrieve Module
Search Module Edit Module
Data Structure Construction Data Transformation
Analyze (Decision) Module Select/Choose Module
Initialize Module Data Modification Module
Software-Database Interface Module
Quality-Carrying Properties Software Characteristics
_Quality Attributes
This framework may be qualified /extended by including application-specific modules
within a given generic category. For example, a transponder module belongs to the
generic software-hardware interface module category. Within the generic categories we
try to specify a set of quality-carrying properties that are likely to apply to modules that
fall within that umbrella.
Data calls for global database information shall be processed externally to the calling
unit.
Application Independence Maintainability, Portability
Reusability
Application software shall be independent of the specific details of the underlying
database structure.
Representation Independence
Systems Independence maintainability, portability, reusability
Database management design shall provide a common & controlled way of
adding/retrieving modifying data from global databases. Consistency, Interoperability,
security maintainability, reusability, functionality
Global database items shall not be referenced by more than one name in CSCs.
Consistency, efficiency of storage _maintainability, efficiency, reliability
Modification of databases shall be performed using transactions that are atomic,
consistent, have integrity, and are durable. Fault-tolerance. Consistency reliability,
maintainability the integrity of the databases shall be restored following recovery from
detected error conditions. Fault-tolerance reliability The CSCI will ensure a valid
database. Key CSCI parameters will be monitored by the software to ensure their
validity. Fault-tolerance, visibility reliability, functionality Database access will be
controlled by access authorization and privacy locks. System accessibility, security
functionality
Software-Database Interface Modules
The design of the system will provide protection against unauthorized access or
modification to the database. System accessibility, security functionality
Data calls for global database information shall be free from specific knowledge of the
database management scheme Application independence maintainability, portability, and
reusability
Just as modules can be classified into a small set of generic components so too can
composite data sets (sample data classifications are given below).
As for modules it is possible to associate a set of quality-carrying properties, etc with
each generic composite data entity (see example below for communication data).
Other types of composite data can also be treated similarly.
Communication Data-Quality-Carrying Properties Software Characteristics
Quality Attributes
Sample Generic Data Classifications
Communication Data (messages)
Composite Data
Computation Data
Data structures
Operator Input Data
Security Data
Transaction Data
Concurrently Shared Data
Meta-level Data
Pointer/Addressing Data
Message contains label indicating type of data
Interoperability functionality
Permissible range values for all data in message identified
Fault-tolerance, analyzability reliability, maintainability
Purpose and format of each data item in message identified Analyzability maintainability
Common Technical Glossary for referencing message labels identified Analyzability
maintainability Specified common format (xx) Used for position/data packing & block
transmissions Interoperability analyzability maintainability, functionality Data reps. in
message comply with nominated, contract specified standard (xx)
Interoperability, analyzability maintainability functionality
Each specified data item in message is set Correctness_ functionality
Communication Data
Elsewhere we have provided a comprehensive process for module classification [10].
This whole proposal for module categorization has two advantages. First, modules in a
system can be put into these different high-level and qualified categories and then
tangible properties (including functionality to satisfy the quality requirements) can be
assigned.
Software engineers can use such a model, constructively, and in a practical way. They
first classify the type of module then build in its particular set of tangible properties that
are needed to satisfy its quality requirements. These properties often have functional
components to ensure such things as fault-tolerance and survivability, etc.
It is also easier for auditors and quality personnel that are involved in verification.
They just look at the module classification and check for the small number of specialized
generic quality requirements for the particular module type. If we can get to this mode of
operation then we will be well-placed to engineer in tangible properties that deliver
particular high-level quality attributes. There is also the possibility when dealing with
code, rather than other software products, to automate some of the checking using static
analyzers. We claim that this whole approach to software product quality is more
constructive, intellectually manageable, more effective, and verifiable and more practical
than existing practices.
Assuming, in any implementation of this classification scheme, we limit the different
types of generic modules and generic data to only a small number it is likely that such a
model will only be strong enough to capture a generic set of properties for each module
and data type. For example, we may have a set of generic tangible quality carrying
properties for say, software-hardware interface modules (see above).
However when we are dealing with a specific type of hardware device, for example, a
transponder, or a mass spectrometer, we may expect that there will be an additional set of
domain or application-specific tangible properties that need to be satisfied to meet the
quality requirements of the particular software-hardware interface. Hence there is a need
for the module classification framework to be hierarchical. The same sort of reasoning
applies for data and architectures. Elsewhere we have set up descriptions for other types
of modules and data. Each of these different types of module and data can be specified in
a similar way to the examples above. We are currently carrying out this exercise as a
basis for building up a comprehensive model for software product quality. A very good
starting set of quality-carrying properties can be found in the appendix of reference [2]
5.4 Defining Software Characteristics
What we have presented thus far is a framework that allows us to specify sets of tangible
quality-carrying properties that are chosen to ensure that a range of high-level quality
requirements are satisfied for chosen sets of statement, module and data components. As
a quality model this is good as far as it goes. Unfortunately it does not go quite far
enough. We find those clients, software engineers and others often express at least some
of their quality requirements by identifying certain software characteristics that need to
be satisfied by the software and hence by its modules, data and other components.
For example, we are interested in being able to answer the question what tangible
properties does a module need for it to be fault-tolerant, interoperable, reusable, etc.
That is, we want to talk about fault-tolerant modules, interoperable modules and so on.
Then we want to be able to answer the question, what tangible quality-carrying properties
does a module (or other component) need to possess for it to be fault tolerant.
This requirement may be above and beyond what is needed for a module to satisfy the
quality requirements of a software-database module, etc and so on. We can handle this
requirement using a software characteristic-quality carrying property component
framework. An example is given below for fault tolerance.
Fault-tolerance
Quality-Carrying Component Type
Properties
By introducing this framework what we are doing in effect is providing a means for
incrementally defining software characteristics like fault-tolerance by identifying a set of
tangible determinates of that determinable and linking them to the relevant components.
This process needs to be done systematically for each of the software characteristics in
our model. A useful selection of such determinates can be found in Deutsch and Willis
[2]. Our tasks when specifying the quality requirements of a particular classified module
is then to consult the properties associated with the relevant software characteristics and
select those tangible properties that need to be included in the module-type being
specified. The information included in this arrangement of quality-carrying properties is
the same as that used in specifying component properties the only difference is the
perspective and concentration.
Permissible range values for all data in message identified Communication Data
Documented allowable range of values for each input from device Software-hardware
Interface Module Periodic check for operational status of input device Software-hardware
Interface Module Parameters that are divisors are checked for non-zero status Calculation
Module Fault tolerance
6. Evaluation and Comparison with Other Models
Work by Kitchenham [1] has sought to use a systematic approach to evaluate, compare,
rationalize and refine earlier software product quality model proposals.
Noting Kitchenham and Pfleegers criticisms, we have sought to build on and refine
earlier proposals using a constructive, systematic approach.
In evaluating and comparing the different models for software product quality we will
use Garvins criteria] together with the following questions as criteria.
What guiding principles were used to choose the set of high-level quality attributes
What criteria are used to choose and define software characteristics/defining behaviours
and uses
What architecture and implementation strategy is used for the model
Can the model be validated.
6.1 Evaluation against Garvins Criteria
Earlier we made the suggestion that Garvins five perspectives could be used as criteria
for evaluating a software product quality model. We will now argue that the model we
have proposed accommodates all of Garvins criteria.
Transcendental Criterion: Let us start with the transcendental view of quality. This is
accommodated because there is always scope to add additional quality-carrying
properties to more accurately characterize a particular software characteristic.
Similarly, it is also possible to add more determinates to more accurately define a given
quality attribute. That is, the model has an open framework that will allow it to evolve
and strengthen as our understanding of software product quality grows. In addition the
model supports correction and refinement and the incorporation of domain-specific
knowledge.
Users Criterion: A second perspective of Garvins is that quality software should meet
the users view or fitness-for-purpose. Our response here is that the present model
certainly does this. In fact it goes further than Garvin by accommodating the needs of a
number of different interest groups (clients, sponsors, users, maintainers, verifiers, etc) in
a direct way.
Manufacturing Criterion: We would argue that our model is also rich enough to meet the
needs of the manufacturing view which stipulates that quality means conformance to a
specification. The important thing here is to be able to specify that quality requirements
to what ever degree of specificity are appropriate. With the present model it is possible to
specify quality requirements in terms of high-level quality attributes, or to take the
specification down to the software characteristics level. And, if that is not enough, the
specification can be taken right down to the listing of quality-carrying properties which
imply higher level software characteristics and quality attributes.
Product Criterion: The product view of quality focuses on the internal properties of
software components. These internal properties correspond to the quality-carrying
properties in the present model.
Value-based Criterion: The framework and model components that satisfy the previous
four criteria provide a rich but open-ended description and model for software product
quality. If the customer is willing to pay then this model can be exploited and if necessary
expanded to achieve the desired level of quality. For example, NASA were willing to pay
$1000 per line (20 100 times the average cost) to ensure the on-board software for the
Space Shuttle met its extremely demanding reliability and other quality requirements.
What is important to recognize here is that the processes, people and tools used to
specify, construct, verify, test and quality assure software may change dramatically if
there are stringent quality requirements and the customer is willing to pay to ensure that
they are met?
6.2 Selection of High Level Quality Attributes
The original Bauhaus principles of good design provide a useful starting point for
selecting high-level quality attributes. Fitness-for-purpose is the Bauhaus principle that is
most relevant for software. It demands or implies that software should exhibit behaviours
and be amenable to uses that meet the needs of the different interest groups involved with
software. Identifying the different interest groups and their particular needs has played an
important part in influencing our selection of a set of high-level quality attributes.
Suitability, usability and adaptability are the highest level quality attributes that probably
best capture the notion of fitness-for-purpose in the software context. There is always
significant change pressures associated with software: the need to change functionality,
the need to adapt to different hardware and software systems environments. In addition
software must be easy to use and exhibit suitable functionality, reliability and
performance. We have sketched these ideas earlier in diagram form.
The different quality models have advocated somewhere between six and twenty quality
attributes at the highest level. Millers well-known experimental result concerning human
short-term memory (people can remember seven plus or minus two items in a given
category) has been an important guiding principle in choosing the high-level quality
attributes. Like most of the other quality models we have concentrated on quality
attributes that pertain to software designs and implementations but not requirements or
other software products (elsewhere we have dealt with requirements]). The other
important principle we have used to select quality attributes has been to ask the question
is a given candidate attribute a behavior or a use according to our definitions of these
two terms?. Models like
McCalls violate these selection criteria. McCalls model has eleven high-level quality
attributes. It also includes properties like correctness which is clearly a product property
(software characteristic) rather than a quality attribute. The international standard, ISO-
9126 [7] conforms better to these selection criteria.
6.3 Principles for Definition
The definitions we have used for quality attributes, software characteristics, and their
defining terms are all essentially based on causal relations. For example fault tolerance
causes or contributes to or is a manifestation of the behavior, reliability.
Similarly, application independence causes or facilitates the use, reusability; machine
independence contributes to the use, portability, and so on. Definitions based on causal
relations are widely used in many disciplines and are advocated in the classic work on the
theory of definition. In formulating definitions we have employed both top-down and
bottom-up strategies. Subordinate behaviours and uses and contributing software
characteristics are employed. Our approach to defining software characteristics (or
subordinate behaviours) like fault-tolerance is to say that such terms are best
characterized by the accumulated set of tangible product properties that contribute to
fault-tolerance. Most of the other models are silent on the underlying strategies that they
have employed to construct definitions for quality attributes, and so on.
The incentive to satisfy Millers requirement has forced us to treat behaviours like
survivability, and others which appear as top-level quality attributes in some models as
subordinate properties this has hence influenced the definition construction process.
Take the case of survivability. It is easy to reason that survivability is a specialized kind
of reliability the ability to operate when anomalous conditions apply (i.e., when part of
the overall system is not functioning). Similar sorts of arguments can be used for other
behaviours and uses.
6.4 Architecture and Implementation Strategy
Most of the Software Product Quality models that have been proposed have used either
conventional top-down hierarchies (e.g. ISO-9126) or bi-directional hierarchies
(McCalls model) for characterizing quality. As a general rule, bi-directional hierarchies,
because of their complexity, should be avoided. The fact that top-down hierarchies exist
which express essentially the same information suggests that bidirectional models are
unnecessary.
The architectures of most models only go as far as providing architecture for quality.
They neglect to include a model for software or any sort of prescription for how quality
attributes can be mapped on to software or how tangible software properties can be
mapped to quality attributes. As a result, there is a gulf between high-level quality
attributes and the myriad of tangible software properties that influence the quality of
software. This lack of structure hampers our efforts to make software product quality
intellectually manageable, implement-able and applicable.
Our architectural proposals for software product quality have been designed to overcome
what we see as deficiencies in earlier models.
With regard to an implementation strategy most existing models are either relatively
weak or silent. ISO-9126 advocates the use of quality indicators but leaves it at that.
In contrast the present model provides considerable implementation detail.
6.5 Scope for Model Validation
For a model to be validated it must possess a set of verifiable statements. The statement
form we have chosen which involves a tangible property that is in turn linked to a
software characteristic or quality attribute is open to empirical verification by use of
appropriately designed experiments. Other software product quality models do not
contain an extensive set of verifiable statements that involve tangible product properties.
We claim this feature is an absolute essential of any comprehensive model of software
product quality.
Acknowledgements
I would like to thank Ray Offen and my colleagues at the SQI for helpful comments on
this work.
Conclusion
A framework that may be used to characterize software product quality has been
presented. The framework has been developed in a goal-directed way in order to meet the
needs of the different interest groups associated with software. The most significant
advantages of the approach we have taken are that it allows the problem of software
product quality to be broken down into intellectually manageable components. A
component-based implementation approach enables the information to be organized in a
way that makes it easy to understand, test, correct, refine, extend and apply. Another
important advantage of the model is that it has enough structure to deal with software
product quality for large and complex projects.
Safety Software Quality Assurance
PURPOSE
Federal Technical Capability Manual commits the Department to continuously strive for
technical excellence. The Technical Qualification Program, along with the supporting
Technical Qualification Standards, complements the personnel processes that support the
Department's drive for technical excellence. In support of this goal, the competency
requirements defined in the Technical Qualification Standards should be aligned with and
integrated into the recruitment and staffing processes for technical positions. The
Technical Qualification Standards should form the primary basis for developing vacancy
announcements, qualification requirements, crediting plans, interviewing questions, and
other criteria associated with the recruitment, selection, and internal placement of
technical personnel. Office of
Personnel Management minimum qualifications standards will be greatly enhanced by
application of appropriate materials from the technical Functional Area Qualification
Standards. The Technical Qualification Standards are not intended to replace the OPM
Qualifications Standards nor other Departmental personnel standards, rules, plans, or
processes. The primary purpose of the Technical Qualification Program is to ensure that
employees have the requisite technical competency to support the mission of the
Department. The Technical
Qualification Program forms the basis for the development and assignment of DOE
personnel responsible for ensuring the safe operation of defense nuclear facilities.
APPLICABILITY
The Safety Software Quality Assurance Functional Area Qualification Standard
establishes common functional area competency requirements for Department of Energy
personnel who provide assistance, direction, guidance, oversight, or evaluation of safety
software that includes, but is not limited to safety software used for consequence analysis
for potential accidents and design basis events, design for structures, systems and
components, instrumentation and controls (I&C), and also other types of software, such
as databases used for safety management functions. For ease of transportability of
qualifications between DOE elements,
Program and Field offices are expected to use this technical Functional Area
Qualification Standard without modification or additions. Needed additional
office/site/facility specific technical competencies should be handled separately.
Satisfactory and documented attainment of the competency requirements contained in
this technical Functional Area Qualification
Standard ensures that personnel possess the requisite competence to fulfill their
functional area duties and responsibilities. Office/Facility-Specific Qualification
Standards supplement this technical Functional Area Qualification Standard and establish
unique operational competency requirements at the Headquarters or Field element, site,
or facility level.
IMPLEMENTATION
This technical Functional Area Qualification Standard identifies the minimum technical
competency requirements for Department of Energy personnel. Although there are other
competency requirements associated with the positions held by DOE personnel, this
Functional Area Qualification Standard is limited to identifying the specific technical
competencies. The competency statements define the expected knowledge and/or skill
that an individual must meet. Each of the competency statements is further explained by a
listing of supporting knowledge and/or skill statements.
The competencies identify a familiarity level, a working level, or an expert level of
knowledge; or they require the individual to demonstrate the ability to perform a task or
activity. These levels are defined as follows:
Familiarity level is defined as basic knowledge of or exposure to the subject or process
adequate to discuss the subject or process with individuals of greater knowledge.
Working level is defined as the knowledge required monitoring and assessing
operations/activities, to apply standards of acceptable performance, and to reference
appropriate materials and/or expert advice as required to ensure the safety of
Departmental activities.
Expert level is defined as a comprehensive, intensive knowledge of the subject or
process sufficient to provide advice in the absence of procedural guidance.
Demonstrate the ability is defined as the actual performance of a task or activity in
accordance with policy, procedures, guidelines, and/or accepted industry or Department
practices. Headquarters and Field elements shall establish a program and process to
ensure that DOE personnel possess the competencies required of their position. That
includes the competencies identified in this technical Functional Area Qualification
Standard. Documentation of the completion of the requirements of the Standard shall be
included in the employee's training and qualification record.
Equivalencies should be used sparingly with the utmost rigor and scrutiny to maintain the
spirit and intent of the TQP. Equivalencies may be granted for individual competencies
based upon objective evidence of previous education, training, certification, or
experience. Objective evidence includes a combination of transcripts, certifications, and,
in some cases, a knowledge sampling through a written and/or oral examination.
Equivalencies shall be granted in accordance with the Technical Qualification Program
Plan of the office qualifying the individual.
The supporting knowledge and/or skill statements, while not requirements, should be
considered before granting equivalency for a competency.
Training shall be provided to employees in the Technical Qualification Program who do
not meet the competencies contained in the technical Functional Area Qualification
Standard. Training may include, but is not limited to, formal classroom and computer
based courses, self-study, mentoring, on-the-job training, and special assignments.
Departmental training will be based upon appropriate supporting knowledge and/or skill
statements similar to the ones listed for each of the competency statements. Headquarters
and Field elements should use the supporting knowledge and/or skill statements as a basis
for evaluating the content of any training used to provide individuals with the requisite
knowledge and/or skill required to meet the technical Functional Area Qualification
Standard competency statements.
EVALUATION REQUIREMENTS
Attainment of the competencies listed in this technical Functional Area Qualification
Standard should be documented by a qualifying official, immediate supervisor, or the
team leader of personnel in accordance with the Technical Qualification Program Plan of
the office qualifying the individual.
CONTINUING EDUCATION, TRAINING, AND PROFICIENCY
DOE personnel shall participate in continuing education and training as necessary to
improve their performance and proficiency and ensure that they stay up-to-date on
changing technology and new requirements. This may include courses and/or training
provided by:
Department of Energy
Other government agencies
Outside vendors
Educational institutions
Beyond formal classroom or computer-based courses, continuing training may include
Self Study
Attendance at symposia, seminars, exhibitions
Special assignments
On-the-job experience
A description of suggested learning proficiency activities and the requirements for the
continuing education and training program for Safety Software Quality Assurance
personnel are included in Appendix A of this document.
DUTIES AND RESPONSIBILITIES
Safety Software Quality Assurance personnel implement the appropriate level of
management effort and assume responsibility, accountability, and oversight for continued
management process compliance within their respective program areas. Specifically they
are to:
Review and evaluate safety software plans and related processes to verify compliance
with applicable regulations, standards, and DOE Orders.
Verify that safety software plans and processes are developed based on hazard and risk
assessments.
Verify that safety software is developed, procured, verified, validated, used, and
maintained consistent with nuclear safety and safeguards and security requirements.
Verify that appropriate software quality assurance requirements are addressed in
procurement documents.
Assess safety software quality assurance programs, document results, and monitor
resulting actions.
Review and evaluate training and qualification programs for individuals who develop,
use, or maintain safety software, as well as design, maintain, and implement SQA
programs.
Provide technical support with respect to safety software for activities such as accident
and occurrence investigations.
Serve as an organizations technical point-of-contact for safety software.
BACKGROUND AND EXPERIENCE
The preferred education and experience for Safety Software Quality Assurance personnel
is defined in this section. The U. S. Office of Personnel Management's (OPM)
Qualification
Standards Handbook establishes minimum education, training, experience, or other
relevant requirements applicable to a particular occupational series/grade level, as well as
alternatives to meeting specified requirements. The preferred education and experience
for Safety Software
Quality Assurance personnel are:
Education Baccalaureate degree in engineering, science, or a related discipline; or
meet the alternative requirements specified for engineers or scientists in the OPM
Qualifications Standards Handbook. Baccalaureate degrees in other disciplines may also
be appropriate based on the duties to be performed and considering the experience gained
in performing related software development, maintenance, management, and quality
assurance activities.
Experience Industry, military, federal, state, or directly related background that has
provided specialized experience in software development, maintenance, management,
and quality assurance activities. Specialized experience may be demonstrated through
possession of the competencies outlined in this standard. In addition to this education and
experience, certifications from other professional societies may serve as the basis for
equivalency of competencies in portions of this standard.
REQUIRED TECHNICAL COMPETENCIES
The competencies contained in this Standard are in addition to and distinct from those
competencies contained in the General Technical Base Qualification Standard. All Safety
Software Quality Assurance personnel must satisfy the competency requirements of the
General Technical Base Qualification Standard prior to or in parallel with the
competency requirements contained in this Standard. Each of the competency statements
defines the level of expected knowledge that an individual must posses to meet the intent
of this Standard. The supporting knowledge, skills, and abilities statements further
describe the intent of the competency statements.
Note: This section refers to NUREG/CR-6263, High Integrity Software for Nuclear
Power Plants, in several of the competency statements and supporting knowledge, skills,
and abilities. This NUREG was prepared for the Nuclear Regulatory Commission to aid
the NRC in developing regulatory guidance for the commercial nuclear industry. It is
used in this standard because it provides important insights on the software life cycle that
are not available in industry standards. However, NUREG/CR-6263 is not a DOE
Standard and should not be used as such. Copies of this NUREG are available at no
charge to government agencies (but not government contractors). Send requests for
copies from a government e-mail address to distribution@nrc.gov.
Note: When regulations or U.S. Department of Energy directives or other industry
standards are referenced in the Qualification Standard, the most current version should be
used.
Safety Software and System Relationship
1. Safety Software Quality Assurance personnel shall demonstrate a working level
knowledge of the types of safety system software and safety design and analysis
software, including custom software and commercial off-the-shelf software (COTS). This
includes instrumentation and control software and firmware (e.g.
human-machine interface software and programmable logic controller software), and
computer calculation and database program software used in the design and accident
analyses of nuclear facilities. Supporting Knowledge, Skills, and Abilities
a. Explain the characteristics, application, and limitations of instrumentation and control
software and firmware (e.g., human-machine interface software, and programmable logic
controller software), safety analysis and design software, and database program software
used in the design, accident analyses, operation, and maintenance of nuclear facilities.
This should include both custom and COTS safety software.
b. Given examples of safety and non-safety software, determine the controls that were
applied to the safety software to distinguish it from non-safety software.
c. Describe the process for identifying safety software at a facility, based on the safety
function as described in the facility Documented Safety Analysis.
2. Safety Software Quality Assurance personnel shall demonstrate a working level
knowledge of the functional interfaces between safety system software components and
the system-level design. Supporting Knowledge, Skills, and Abilities
a. Identify how system-level requirements are established and then assigned to hardware,
software, and human components of a digital instrumentation and control system.
b. Identify the typical requirements that define functional interfaces between safety
system software components and the system-level design, as described in standards such
as ANSI/IEEE 830, IEEE Guide to Software Requirements Specifications and IEEE 7-
4.3.2, Standard Criteria for Digital Computers in Safety Systems of Nuclear Power
Generating Stations.
c. Identify the specific records that must be maintained and the requirements for
maintaining these records to document the development of safety system software.
d. Review a development project for safety system software. Explain how the functional
interfaces between components and the system level design were established and
controlled.
3. Safety Software Quality Assurance personnel shall demonstrate a working level
knowledge of the relationships between the problems being addressed by safety analysis
and design codes, the design requirements for the codes, and the components of the
codes. Supporting Knowledge, Skills, and Abilities
a. Identify how functional requirements and applicability of safety analysis and design
computer codes are defined, documented, and controlled relative to modeling and data
assumptions, design constraints, sizing and timing conditions, and input/output
parameters.
b. Review a development project for safety analysis or design software. Explain how the
problem being addressed by the software was translated into functional requirements,
how the requirements were established and controlled, and how the code was reconciled
with the original problem.
Software Engineering, Development, and Maintenance
4. Safety Software Quality Assurance personnel shall demonstrate a working level
knowledge of the safety software life cycle processes described in IEEE 1074, IEEE
Standard for Developing Software Life Cycle Processes.
Supporting Knowledge, Skills, and Abilities
a. Discuss the software life cycle processes such as the waterfall, modified waterfall, and
spiral models.
b. Describe each phase of a typical software life cycle model such as the one described in
IEEE 1074, IEEE Standard for Developing Software Life Cycle Processes. Explain the
roles of quality assurance and configuration management in each phase.
c. Identify the types of audits and products associated with each life cycle process.
5. Safety Software Quality Assurance personnel shall demonstrate a working level
knowledge of the safety software requirements specification concepts such as those
described in ANSI/IEEE 830, IEEE Guide to Software Requirements Specifications and
Section 3 of NUREG/CR-6263, High Integrity Software for Nuclear Power Plants.
Supporting Knowledge, Skills, and Abilities
a. Explain how software requirements specifications (SRS) are developed and used.
Include in your explanation the essential role of SRS in the overall DOE-STD-1172-2003
argument that software is safe.
b. Define and discuss the following SRS attributes as they relate to safety software
quality:
Completeness
Un-ambiguity
Consistency
Verifiability
Modifiability
Traceability
Readability
c. Describe the methods used to ensure the requirements specifications attributes are met.
d. Describe and give specific examples of:
Functional requirements
Performance requirements
Design constraints
Attributes
External interfaces
Input/output requirements
Requirements Traceability Matrix
6. Safety Software Quality Assurance personnel shall demonstrate a familiarity level
knowledge of the safety software design concepts as described in ANSI/IEEE
1016, IEEE Recommended Practice for Software Design Descriptions and Section
4 of NUREG/CR-6263, High Integrity Software for Nuclear Power Plants. Supporting
Knowledge, Skills, and Abilities
a. Discuss the following concepts as they relate to safety software quality:
Modular design
External interface
Interfaces between both safety and non-safety components
Interface integrity
Data integrity, flow control
Exception and error handling
7. Safety Software Quality Assurance personnel shall demonstrate a familiarity level
knowledge of the safety software coding practices that ensure that software requirements
specifications and design requirements are reflected in the source code.
Supporting Knowledge, Skills, and Abilities
a. Discuss the following concepts as they relate to safety software coding:
Development environment
Target environments and reusable components
Data structure
Logic structure
Embedded comments
b. Discuss the following documents and describe how each supports safety software
coding:
Design Specifications
Program Specifications
Programming Standards
System Design Document
Programmers Manual
Users Manual
8. Safety Software Quality Assurance personnel shall demonstrate a working level
knowledge of the software verification and validation processes that ensure that the
requirements specification, design, and coding of software adequately fulfill all intended
safety functions. These processes are described in standards such as ANSI/IEEE 829,
IEEE Standard for Software Test Documentation, and ANSI/IEEE
1008, IEEE Standard for Software Testing, ANSI/IEEE 1012, IEEE Standard for
Software Verification and Validation Plans, and Sections 6 8 of NUREG/CR-6263,
High Integrity Software for Nuclear Power Plants.
Supporting Knowledge, Skills, and Abilities
a. Describe the following processes and documents as they relate to safety software
quality:
Verification of requirements
Verification of design
Verification of source code
Unit testing
Integration and system testing
Verification and validation plan
Verification and validation reports
Verification and validation of tools
Distinction between verification and validation activities
Independent verification and validation
b. Describe methods for reviewing a verification and validation program.
c. Explain the differences in the verification and validation processes between custom
and COTS safety software.
d. Explain the differences in the verification and validation processes between safety
system software and firmware vs. safety analysis and design software.
e. Describe the controls used to assure that calculations performed using spreadsheets and
other calculation programs are accurate. Identify the records that should be maintained to
document the calculation process.
f. Conduct or review an assessment of the verification and validation processes applied to
a software development project and/or to a program in the operation and maintenance life
cycle phase. Describe the strengths and weaknesses you identify.
9. Safety Software Quality Assurance personnel shall demonstrate a working level
knowledge of software safety analysis as described in documents such as IEEE
1228, IEEE Standard for Software Safety Plans and Section 9 of NUREG/CR-6263, High
Integrity Software for Nuclear Power Plants.
Supporting Knowledge, Skills, and Abilities
a. Discuss the purpose and content of the following and relate the importance of each to
safety software quality:
Software safety plan
Safety requirements analysis
Software safety design analysis
Software safety code analysis
Software safety test analysis
Software safety change analysis
b. Describe the process for incorporating the software safety analysis into the facility
Documented Safety Analysis (DSA).
10. Safety Software Quality Assurance personnel shall demonstrate a working level
knowledge of activities that ensure that safety software is properly maintained and
continues to operate as intended as described in such documents as IEEE
1219, IEEE Standard for Software Maintenance and Section 10 of NUREG/CR-6263,
High Integrity Software for Nuclear Power Plants.
Supporting Knowledge, Skills, and Abilities
a. Discuss the following concepts as they relate to safety software quality:
Software maintainability
Maintenance planning
Performance monitoring
b. Conduct or review an assessment of software maintenance on a project or program to a
standard such as IEEE 1219, IEEE Standard for Software Maintenance.
11. Safety Software Quality Assurance personnel shall demonstrate a working level
knowledge of software configuration management processes that ensure the integrity of
executable code during the entire life cycle of safety software as described in documents
such as ANSI/IEEE 828, Software Configuration
Management Plans, ANSI/IEEE 1042, Guide to Software Configuration
Management, and Section 11 of NUREG/CR-6263, High Integrity Software for Nuclear
Power Plants.
Supporting Knowledge, Skills, and Abilities
a. Discuss the following concepts as they relate to safety software quality and explain
how each is applied:
Software configuration management plan
Configuration identification
Configuration change control
Configuration status accounting
Configuration audits and reviews
External interface control
Subcontractor and vendor control
Automated support for configuration management
b. Perform an assessment of a contractors software configuration management plan to
verify compliance with applicable software requirements.
Software Management and Quality Assurance
12. Safety Software Quality Assurance personnel shall demonstrate a working level
knowledge of the elements of a successful software quality assurance program.
Supporting Knowledge, Skills, and Abilities
a. Discuss the purpose, scope and content of the following types of software management
plans as they relate to safety software quality:
Software Project Management Plan
Software Development Plan
Software Safety Plan
Software Quality Assurance Plan
Software Test Plan
Software Verification and Validation Plan
Software Configuration Management Plan
Software Integration Plan
Software Maintenance Plan
Software Installation Plan
Software Operations Plan
Software Training Plan
b. Identify and describe safety software procurement methods, including supplier
evaluation and source inspection processes.
c. Prepare or review a real or example quality assurance plan for a software development
project. Identify the project strengths and weaknesses.
d. Describe the elements of an acceptable software quality assurance program for the
development, use, and maintenance of safety software that meets the criteria in:
10 CFR 830, Nuclear Safety Management
DOE Order 414.1A, Quality Assurance
DOE Order 200.1, Information Management Program and applicable industry
standards, including, but not limited to:
ASME NQA-1, Quality Assurance Program Requirements for Nuclear
Facilities
ANSI/IEEE 730.1, IEEE Standard for Software Quality Assurance Plans.
Add ANSI/ANS-10.4-1987; R1998: Guidelines for the Verification and
Validation of Scientific and Engineering Computer Programs for the
Nuclear Industry
ISO 9001 Quality Management Systems Requirements
SEI Capability Maturity Model
e. Perform an assessment of safety software quality, including procurement activities,
using guidance such as IEEE 1028, IEEE Standard for Software Reviews and DOE G
414.1-1, Management and Independent Assessments.
APPENDIX A
CONTINUING EDUCATION, TRAINING, AND PROFICIENCY
PROGRAM
The following list represents suggested continuing education, training, and other
opportunities that are available for DOE personnel after completion of the competency
requirements in this technical Functional Area Qualification Standard. It is extremely
important that personnel involved with this program maintain their proficiency through
continuing education, training, reading, or other activities such as workshops, seminars,
and conferences. The list of suggested activities was developed by the Subject Matter
Experts involved in the development of the Functional Area Qualification Standard and is
not all-inclusive.
LIST OF CONTINUING EDUCATION, TRAINING, AND OTHER ACTIVITIES
Safety Software Quality Assurance personnel shall participate in an Office/Facility-
specific continuing training and qualification program that includes the following
elements:
1. Continuing technical education and/or training covering topics directly related to the
safety software quality assurance area as determined appropriate by management. This
may include courses/training provided by Department of Energy, other government
agencies, outside vendors, or local educational institutions. Continuing training topics
should also address identified weaknesses in the knowledge or skills of the individual
personnel.
2. Active performance of the duties of a Safety Software Quality Assurance specialist at a
Department of Energy facility for a minimum of 160 hours per year.
3. Attendance at seminars, symposia, or technical meetings related to the development,
use, and maintenance of safety software.
4. Self-study of new regulations, requirements, or advances related to the development,
use, and maintenance of safety software.
5. Documenting continuing professional development activities in Individual
Development Plans.S
CHAPTER-12
TRANSACTIONAL ANALYSIS (TA)
12.1 Introduction:
Individuals interact and communicate with each other not only to exchange
information but also to reinforce their feelings about themselves and each other.
It is at this Feeling level of communication that they make transactions with
each other when they communicate.
Such transactions on the job are very important. On the one hand, transactions
can make people comfortable and free them to work productively. On the other
hand, they can make people uncomfortable and tie-up their energy in emotional
conflict that renders them almost incapable of working. Systematic study and
analysis of transactions improves ones understanding of interpersonal
behaviour.
TA offers a theory of personality and interpersonal communication. It is a useful
tool for helping people to understand and improve their interactions with others,
both at work and in their private lives.
The object of TA is to provide better understanding of how people relate to each
other so that they may develop better communication and improved human
relationships.
Transactional analysis grew out of psychoanalysis and group therapy and was a
means of treating individuals who were unable to form relationships with others.
Today, TA has received great popularity and a wide appeal because it is based
on a well-developed psychoanalytical theoretical base and it uses very simple,
understandable, everyday terminology. Everyone can readily relate to the
concepts and practice of TA.
Very often, because people have developed certain behaviour patterns over
many years, their reactions can be automatic and seemingly inevitable. If the
boss reprimands an individual, the response is given in a predictable manner. If
one of the staff members makes some mistake, the manager will likewise usually
have a standard response. TA shows that such automatic reactions are not
necessary and that people have a great deal of freedom of choice in how any
transaction develops. In parti cular, TA emphasizes how important the opening
statement in an transaction is for determining the outcome of the interaction.
Proper understanding of TA enables an individual to use an ego state which is
appropriate to a situation and to help those with whom he interacts to move into
ego states which will complement his own and lead to constructive transactions.
He can thus prevent himself becoming hooked into unproductive transactions
and games, and thus avoid feelings of bewilderment, anxiety, or hurt. Above all,
he can improve his effectiveness in interpersonal situations.
TA involves analysis of ego-states, analysis of transactions, life-positions and
life-script analysis, stroking, time-structuring and games analysis.
12.1 Background of TA:
Any discussion on TA necessarily starts with the name of Dr. Eric Beme, the
pioneer of the concept. He started the TA movement with his book Games
People Play. Another book Im okYoure ok by Thomas Harris further
popularized TA. Other books by James and Jongeward, and Jongeward and
Wagner attempt to indicate how TA can be used in organizations.
It is interesting to know how the TA concept got originated. This credit goes to
Wilder Penfield, a neurosurgeon. In the year 1951, Wilder Penfield from McGill
University in Montreal made a thought-provoking discovery when he was
experimenting on the brain of a middle aged patient. As his electrode touched a
particular spot in the brain (the memory cortex) the patient said that he was
literally re-living his fifth birthday party there were the boys and girls, wearing
party dresses, there was the piano music drifting into his cars and the smell of all
the delicious party dishes came strongly to his nostrils. Following up this
experience with data from a large number of patients, Penfield gradually
concluded that all our experiences in which feelings are associated with events
get inextricably locked in our memory. Similarly, human brain with all its 12 billion
cells acts like a high fidelity tape-recorder. The recorded experiences and
feelings associated with them are available for replay as and when required and
provide much of the data to determine the nature of transactions.
After this, some behavioural scientists got busy trying to find out the effect of this
fact on our later behaviour. During the development of TA, Berne observed that
one can see people changing before ones eyes. There may be changes in
gestures, movements, facial expressions, posture, communication pattern and
apparent changes in manner, appearance, words and tone of voice. Soon it was
discovered that there are three ego states in the structure of our personality. It
ideal state the structure of human personality is shown as follows:
[DIAGRAM]
12.1 Analysis of Ego-States:
Paul Ferden coined the term ego-state. Ego-state is a psychological state of
mind. It reflects ones way of thinking, feeling and behaving at any given time.
Ego-state is defined as a consistent mode of feeling and experience directly
related to a corresponding consistent mode of behaviour.
Every individual operates from three psychological states of being called as
Parent, Adult and Child ego-states. These states of being are not roles but
psychological realities. Berne says that, PAC are not concepts like ego,
superego and id, but phenomenological realities. The state is produced by the
playback of recorded data of events in the past, involving real people, real times,
real places, real decisions, and real feelings.
These three ego-states are roughly equivalent to the Freudian concepts of id
(Child), ego (Adult), and superego (Parent) in psychoanalytical theory. Id is the
core of the unconscious. It is constantly struggling for gratification and pleasure.
Aggressive impulses of id are destructive and include the urges to fight, dominate
and generally destroy. Ego is conscious which represents logic and reality. Ego
keeps the id in check through intellect and reason and it interprets reality of
external environment. Superego is the conscience. It provides norms that
enable the ego to determine what is right and what is wrong. These three-id-ego-
and-superego-warring factors within human personality, stimulate, monitor and
control behaviour. These three basic concepts in Freuds psychoanalytical theory
are simplified further in TA through the concept of the threePACego-states.
TA believes that a healthy personality is able to move from one ego-state to
another. Through proper understanding of the Parent, Adult and Child, one can
understand and predict the behaviour of the individual. Better insight and
awareness of personalities develops with the knowledge of ego-states.
(i) Parent Ego-state:
The Parent ego-state reflects the taught concept of life. It incorporates the
attitudes and behaviours of all emotionally significant people who serve as parent
figure when an individual was a child. The values and behaviours of these people
are recorded in the mind of the individual and these become the basic values of
the personality.
Parent ego-state is a result of the messages (conditioning) people receive from
their parents, older sisters and brothers, school teachers, and other authority
figures during their early childhood. These messages are like little cassette tapes
n peoples heads. They are in place, stored up, and ready to go when right button
is pushed. After the message is given the tape is rewound and ready to go again.
For instance, if children are not eating properly and start playing with food, a very
common parent message to eat everything and to clean-up the plate is given
through parent tapes. Children are taught that its good to clear-up the plate and
bad to leave food on the plate.
Thus, parental recordings say such things as its right, its wrong, its good,
its bad, you should, you shouldnt you must you must not, you cant,
you ought to, etc. The Parent ego-state is the evaluative part of ones
personality and it evokes value-laden behaviour. It sets limits, disciplines, judges
and criticizes. It gives advice and guidance, protects and nutures, establishes
standards and rules of behaviour.
[DIAGRAM]
Structurally, there are two sub-compartments of the Parent ego-state: NO and
CP i.e. Nurturing Parent and Critical Parent. The NP is that part of a person that
is understanding and caring about other people. The behaviour is loving and
warm. It protects and nurtures. It gives advice and guidance. It is encouraging
and supporting. While behaviour coming from NP may set limits on and provide
direction for peoples behaviour, it will not put these people down and make them
feel NOT OK as individuals.
The CP makes people feel that they, not just their behaviour, are NOT OK. Thus,
CP behaviour attacks people' personalities as also their behaviours. When
people are in their Critical Parent ego-state, they are very evaluative and
judgemental. They are always ready to respond with a should or ought to
almost anything people tell them. These people are very dogmatic and
controlling. Their watchword is Abide by the Rules. Indeed, the half-mark of
their character revolves around the sanctity of rules and laws.
Whereform does every individual learn to control and nurture? From his own
parents or in their absence the other parental figures of course. Their controlling
and nurturing behaviour gets internalized during early childhood. Gradually it
becomes part of his personality the values, attitudes, styles and manners of
behaviour which constitute the initial behaviour. Individuals must examine the
extent to which these values, attitude and styles carri3ed over from the parental
teachings are appropriate in a given context.
Accordingly, every individual should update his Parent ego-state by retaining
some and rejecting some other values. If individuals do not update their parent,
they may be carrying some junk in it which consists of things like prejudices and
this certainly affects the capacity for making probability judgements on the basis
of reality. Updating the parent is possible when one uses his Adult ego-state.
(II) Adult Ego-State:
Adult ego-state reflects thought concept of life. This is the mini -computer in us
that makes probability judgements and presents facts to others. There is no
emotion in Adult. A professor lecturing to the class, a scientist presenting his data
at a seminar, a manager taking his decision about production schedule on the
basis of production figures, machine efficiency, human and material resources,
are all operating from Adult ego-state at least ideally expected to operate from it.
Adult ego-state is based upon reasoning, seeking and providing information, and
problem-solving. Individual interacting with Adult ego-state views people as
equal, worthy and responsible human beings. It is based on rationality. Adult is
characterized by logical thinking and rational decision making. Individuals
operating from the Adult ego-state take the emotional content of their Child ego-
state and the value-laden content of their Parent ego-state and check them out in
the reality of the external world.
[DIAGRAM]
Adult evokes behaviour that would be described simply as logical, reasonable,
rational, unemotional, factual, and calculating. It tries to upgrade decisions by
seeking facts, processing data, estimating probabilities, and holding factual
discussions. Individuals behaving from their Adult are examining alternatives,
probabilities and values prior to engaging in behaviour. Adult behaviour
generates mutual respect. Adult ego-state can be identified by verbal and
physical signs which include thoughtful concentration and factual discussion.
Adult ego-state can update the other two ego-states and monitor them, if it is
emancipated. The Adult ego-state starts developing from the age of about 18
months. The process of Adult formation goes through ones own experience, and
continuously updating parental injunctions by verifying. Sometimes parents do
not practice what they preach and show inconsistency in their action. For
instance, parents teach their children never to tell lies but they may at the same
time ask their children to respond the phone call saying, Tell them Im not at
home. The childrens Adult observes this discrepancy and determines that the
parental teaching is NOT OK as far as telling lies are concerned.
The Adult updates the Parent data to determine what is valid and what is not.
Though certain values which are formed in the childhood are rarely erased, an
individual at the later stage of life may block his Child and Parent ego-states and
use his Adult ego-state only based on his experience. As an individual updates
his Parent, similarly he also updates Child data to determine which feelings
should be expressed. Thus he controls and keeps emotional expressions
appropriate.
[DIAGRAM]
Thus, the Adult ego state is that part of an individual which is reality oriented
and problem-centered. It attempts to take lifes experience as data and rationally
deal with them. The projective of the maturing individual in TA terms is to
emancipate the Adult which means to free oneself both from the Childs feelings
of helplessness and dependency (Im NOT OK) and the Parents edicts which are
all pervasive from leisure to work.
[DIAGRAM]
Just like Adult Emancipation, TA advises people to place their Adult in the
Executive by being receptive to information, developing alternatives, estimating
probabilities before making the most appropriate decision while responding to a
given situation. Adult gathers data from the outside world as well from the inside:
how the Child feels and what the Child wants, what the Parent says and what the
stored memories of past experiences have to say. Thus, looking at facts, Adult
ego-state makes decisions what fits, what is most useful?
TA puts high value on keeping Adult in the Executive. When Adult is placed in
the Executive, the individual learns to receive more and more stimulus through
his Adult. Executive stops, listens to himself and thinks before acting. He
evaluates before action and takes full responsibility for his thoughts, feelings and
behaviour.
(iii) Child Ego-State:
Child ego-state reflects the felt concept of life. It is the recording of internal
events, the responses of the individual to what he sees and hears and feels.
Child ego-state is the centre of all ones emotions, feelings, and creativity. It is
the source of ones energy, curiosity and intuition.
It is site of ones early experiences including ones preferred way to get
attention from authority figures. It is the most important ego-state in terms of its
actual control over ones life.
Characteristics of Child ego-state include conformity, depression, dependence,
anxiety, fear, love, and hate. Physical and verbal clues that the individual is
acting in the Child ego-state are silent compliance, attention seeking, temper-
tantrums, giggling, and coyness. The Child ego-state is characterized by non-
logical and immediate actions which result in immediate satisfactions. Child ego-
state reflects early childhood conditions and experiences perceived by individuals
in their early years of life say upto the age of five years in the process o growing
up. The Child is inept, clumsy, without understanding and ability to construct
meanings. It takes life as it comes in stride. Child ego-state contains the early
recordings of imagination, spontancity and excitement. It includes feelings of joy
and love as well as feelings of frustration, inadequacy and helplessness.
[DIAGRAM]
Structurally, there are two sub-compartments of Child ego-state:
NC and AC i.e. Natural Child and Adapted Child.
NC: Natural Child is the free child or the uninhibited, joyful and spontaneous part
in ones personality. It represents the way one is when one is born-natural,
loving, carefree, dependent, and trustingwith all ones capabilities for leading a
joyful and meaningful existence. This part of ones personality knows no rules
and consequently operates without regard for others and is unconcerned about
their reactions. The NC is affectionate, impulsive, fearful, self-centered, and
aggressive and may emerge in many unpleasant roles. Cracking a joke or
enjoying music, telling a story or being creative in any way, feeling curious, or
anxious, or sad, or mad, or glad etc. are functions of this ego-state. NC exhibits
more positive feelings like joy, surprise, sympathy, trust, love, hope, kindness.
Adapted child shows less positive feelings like shame, sorrow, chagrin, guild,
anxiety, fear, anger.
AC: Adapted Child is fashioned to Parental demands. Fully conforming to
parental wishes and desires. The further two sub compartments in AC are CC
and RC. Compliant Child is complying with parental expectations. From an early
age, the individual makes adaptations to help him to get along with and get
attention from authority figures, for instance, saying thank you, sorry at
appropriate times, not making personal comments about others in public.
Some individuals learn when they are young that the best way to get along is
always to say yes and never to apply their better judgement, experience, or
knowledge. Do exactly what you are told type of treatment thus gives rise to
Yes, sir type of subordinates.
Some individuals learn when they are young that a good way to get attention is to
procrastinate. If he gets attention, even though negative, the same behaviour
continues.
AC when overly inhibited, often becomes the troubled part of personality.
RC i.e. Rebellious Child is characterized by negativism and rebellion.
Some individuals learn when they are young that they only get attention when
they are naughty. Such individuals carry over this behaviour to their
organizations and constantly fight and rebel against bosses and organizations.
RC experiences anger, fear, and frustration.
Another functional aspect of the Child ego-state is the Little Professor which is
the intuitive part of ones personality that senses things about other people in a
flash. It gives very brilliant and non-logical insights for problem-solving.
[DIAGRAM]
12.1 Diagnosis of Ego-States:
In order to understand what ego-state an individual is in, there are different ways
to identify the ego-states and they include: basic concern, thoughts-words-
phrases, feelings, special attributes, attitudes, and behaviours. Also it is very
important to take note of tone of voice, gestures, postures and facial expressions
in diagnosing ego-states.
(I) Basic Concern:
NP: To be right
CP: To be on the target
Adult: To be recognized as a good decision maker and a competent person.
Child: To be liked.
(II) Thoughts/Words/Phrases:
NP: Do Your Best, Work Hard, Everything will be OK, Splendid, Take Care, Dont
Worry, Keep it up, Well Done, Go Ahead, Take it Easy, Relax, God Bless You.
CP: Do/Dont, Good/Bad, Should/Shouldnt, Always/Never, Right/Wrong, Ought,
Must, I Know Best, Dont Ask Questions, Because I said So, Thats Ridiculous,
Thats Disgraceful.
Adult: Who? What? Why? When? Where? Which? How? Can We Find Out?
What Are The Options? Lets Look At It Again! Correct! Practical!
NC: I wish, I Want, I Feel, I Can, Great, Oh God, Hi, Fantastic, Indeed, I
Wonder, I hope, ouch.
AC: Let Me, May I, Help Me, Love Me, Dont Leave Me, Please, Thank You, Ill
try Hard, Protect Me, Is It Alright If I ? Why Cant I Ever ? Sorry.
RC: No, Never, I Wont, I Cant
(III) Feelings:
NP: Protective, Loving, Encouraging
CP: Self-righteous, Intolerant, Demanding
Adult: Feelings are transferred from the Child to the Adult via Emancipated Adult.
These feelings are reality-based, direct and authentic
NC: Fun-loving, Affectionate, Insecure, Curious
CC: Insecure, Dependent, Fearful, and Self-Conscious
RC: Anger, Fear, Frustration
(IV) Special Attributes:
Parent: Store house of standards of social control and emotional norms, lists of
should and should nots, Does and Do not's Conscience.
Adult: Data processor in the here and now.
Child: Vastly more willing to receive that give: Wants immediate results,
guarantees and certaintees, instant gratification of all needs and desires.
(V) Attitude:
NP: Caring, Permissive, Supportive, Understanding, Responding, Helping,
Concerned, Forgiving, Reassuring, Blessing, Smothering, Looking for Waifs and
Strags, Protective
CP: Moralistic, Judgmental, AUTHORITARIAN< Adamant, Opinionated,
Protective,
Adult: Non-judgmental, Interested, Open-minded, Confident, Analytical,
Unemotional, and Detached.
NC: Curious, Energetic, Spontaneous, Fun-loving, Unconcerned, Changeable,
and Short-sighted, For Me, For Today
CC: Compliant, Defiant, Passive, Delaying, Complaining, Ashamed, Respectful.
RC: Negative, Demanding, Selfish, Rebellious
(VI) Behaviour/Gestures:
NP: Smiling, Benevolent, Outstretched Arms, Pat on the Back, Consoling Touch,
Concerned Look.
CP: Pointed Finger, Scowling Face, Stern staring, Frowning, Furrowed Brow,
Finger-wagging, pounding on Table, Set Jaw, Cross Arms
Adult: Playful, Touching, Watchful, Includes Mimicry, Laughter, Pleading, Tears,
Demonstration of Feelings, Constantly Changing Behaviour, Uninhibited
AC: Compliant, Wringing Habit, Pouting, Cowering, Biting Lip and Biting Nails,
Down-cast Eyes, Slumpered and Dejected Posture, Vigorous Head-Nodding
Embarrassed Gestures, Innocent, Self-Protective
RC: Temper-tantrums, Attacks, Sulking, Pouting, Spiteful, Selfish, Manipulative,
Final, Defiant, Placating, Whining.
(VII) Tone of Voice:
NP: Loving, Sympathetic, Warm, Soft, Encouraging, Confronting, Caring, Worried
CP: Raised, Demanding, Sneering, Angry, Critical, Disgusted, Condescending
Adult: Clear, Calm, Enquiring, Even, Neutral, Unemotional
NC: Loud, Fast, Expressive, Direct, Private, Excited, Enthusiastic
CC: Mumbling, Hopeful, Whining, Complaining, Pleading,
RC: Sharp, Defiant, Taunting, Placating, Measured, Argumentative.
Egoraph:
Some individuals use one ego-state more than the others. An ego-graph of an
individual showing the percentage of his time spent in particular ego-states while
at work may be as follows:
Ref. Fig. 7.13
While at home it may be more like:
Ref. Fig. 7.14
All the three ego-states are vital to effective living and none is better than the
other. No one ego-state is either good or bad. Behaviour from each ego-state
can be positive or negative in the sense of having healthy, helpful and effective
outcomes for relationships at work or the opposite depending on the situation.
The important point to realize is that in communicating with others, each ego-
state brings different results and has important implications for work and
relationships.
[DIAGRAM]
TA enables people to better understand their own ego-states and those of others
and thus to interact and relate with each other in a meaningful way. TA makes
people aware of attaining access to behaviours from all the three ego-states so
that they have maximum choices in dealing with others.
A healthy balanced personality listens to the P-A-C of self and pays full attention
to the three different voices inside oneself.
12.5 Internal Dialogue:
In any individual, the ego-states do not operate independently of each other, and
frequently interact to give an internal dialogue. For instance, while balancing the
work-home interface, ones own CP may take to task ones own child and give a
lot of trouble. Internal dialogue can absorb a great deal of energy. Others cannot
spot this behaviour of Influencing Parent. They can only notice the resultant
depressed attitude. If the dialogue continues on negative line, it may affect work
performance severely.
[DIAGRAM]
Many times after talking too much in individual blames himself as to why didnt he
keep his mouth shut. When he is all alone, the punishing voice of regret often
plays like a broken record if only, if only, if only If only he could speak
up, if only he could take back some words, if only he could erase the
conversation. Thus, the internal dialogue inevitably creates bad feelings. TA
essentially emphasizes to take the internal dialogue on positive lines. It teaches
people that though they cannot stop the bad feelings from coming, they can keep
them from staying.
TA believes in the strength of positive internal dialogue.
12.6 Functional Problems:
Personality structure of all people is ideally alike as they all have PAC ego-
states. The contents of Parent, Adult and Child ego states are of course unique
to each individual as the experiences recorded are unique to each. Just like
contents, individuals also differ in the working arrangement, or the functioning of
PAC.
There are different functional problems when normal healthy growth of
personality has not taken place. These functional problems can be described as
follows:
(i) Contamination:
In ideal situation, the PAC circles are shown as separate, just touching each
other. In the phenomenon of contamination, the circles overlap as shown in the
following figures:
[DIAGRAM]
+++
CHAPTER-13
Inter Personal Behaviour &
Influencing Relationships
13.1. Introduction:
Dyadic relations, that are the two-person relationships, represent in many ways
the smallest form of a group. Trust, openness, acceptance, are all possible
dimensions of an individuals personal and interpersonal relationships. There are
several general observations regarding interpersonal behaviour.
(1) Communications: Both verbal as well as nonverbal communications is an
essential part of the interpersonal relationship. Interpersonal communication
is the process by which contact is established between min and min when two
individuals interact with each other. The quality of encounter and relationship
that occurs between two individuals through such active interaction is very
important. It determines the extent to which growth and development are
enabled. Mutual trust, understanding, and consideration grow out of positive
interactions. Interpersonal communication communicates three things: Who is
I control, who likes whom, and how strong are the feelings.
(2) Role of parents: Individuals usually have a tendency to interact with others in
the same ways that they have observed their parents interact with people.
Just as the twig is bent the trees inclined.
(3) Role of Needs: There is general agreement that individuals have various
needs. One of these needs is the need for satisfactory relationship with
others. People need people.
(4) Self-concept and self-Identity: An individuals self-concept includes the I and
Me aspects that reflect his perception about himself and how he thinks
others perceive him. Self-identity leads to sense of self-worth and self-
esteem.
(5) Basis of attraction: Individuals are attracted to those who satisfy their needs,
who provide them with a net pay-off in a reward cost exchange, and who are
like them or agree with them.
(6) Basic dimensions: Dominance-Submission and Acceptance-Rejection are
two basic dimensions in interpersonal relationships.
(7) Role of rewards: There is general agreement that behaviour that is rewarded
will be repeated.
(8) Norms and rules: Norms and rules provide regularities to an interpersonal
relationship. They reduce uncertainty and help to satisfy individuals need for
predictability in their relationships.
(9) Reciprocity: There is some evidence that an individual tends to treat others
the way they treat him.
(10) Social intelligence: A high ability to detect the cues that indicate what it is
that another individual feels or expects will contribute to satisfying
interpersonal relationships. *
Every individual differs in his ability to create, develop and stabilize interpersonal
relationships. Most of the individuals continuously undergo the process of
learning to acquire necessary skills for developing enduring interpersonal
relationships. Building effective interpersonal relationships largely depends on
interpersonal liking or attraction.
13.2. Approaches Explaining Interpersonal Attraction:
It is interesting to understand why an individual gets attracted to some people
and not to others. The answer lies in the common observation that an individual
is attracted to those who reinforce him in some way.
The reinforce that an individual receives from others can take the form of either
(I) Satisfying his needs, or (ii) providing him with a net gain in an exchange
relationship. Each of these two reinforces constitutes the basis of an approach
for explaining interpersonal attraction. The two approaches that follow are
accordingly known as: a needs approach, and an exchange approach.
13.2.1. A needs approach:
As Maslow points out, an individual will be attracted to another individual if he
sees that person as a means of satisfying his different level needs: physiological,
safety-security, social, esteem and self-actualization. Sometimes individuals feel
deprived or deficient. The individuals perceived deficiency can be reduced by
the other individual in an interpersonal relationship. For instance, individuals who
are deficient in safety needs or social needs expect appropriate reinforces from
other individuals with whom they interact so as to satisfy the unfulfilled needs.
Apart from deficiency satisfying, Maslow also refers to growth satisfying
relationships to explain interpersonal attraction. For instance, an individual gets
attracted to the other individual for what that individual is, and not for what he
can give (like food, clothing, shelter etc.) by being with that person the
individual partially satisfies this self-actualization needs.
There is yet another concept of complementary needs satisfaction to explain
interpersonal attraction. It emphasizes those individuals who differ in needs
structure are attracted to each other. For instance, an individual who is dominant
may seek to form interpersonal relationship with someone who is submissive. In
these relationships, both individuals feel that the interaction is mutually
rewarding.
13.2.2. AN exchange approach:
An exchange approach to interpersonal attraction emphasizes that individuals
are attracted to one another because of the rewards and costs exchanged in the
transaction.
Most influential analysis of relationships is found in the exchange approach. It
essentially argues that individuals are concerned with the outcomes (rewards
and costs) they receive in a relationship. A reward can be anything the individual
finds reinforcing. It may include love, money, status, information, goods and
services. A cost is a negative consequence that occurs in a relationship like
conflict, disapproval, punishment, criticism, anxiety, frustration, etc.
Fair exchange is very crucial aspect of
* Swensen, Clifford, H. Jr., Introduction to Interpersonal Relations, Glenview, Ill:
Scott, Foresman and Co., 1977. chapter 14.
Interpersonal relationship when every individual is concerned whether the
relationship is fair. No one likes to feel exploited by others, nor does he like to
take advantage of others. An individual prefers to share and share alike in a
relationship. If individuals perceive that costs are greater than rewards, they feel
unhappy, restless, and distressed.
Obviously, the essence of the exchange approach lies in the outcomes, or profit.
Individuals can enhance their ability for profitable exchange by giving the other
people behaviour that is more valuable to them than it is costly to him; similarly,
getting from them behaviour that is more valuable to him than it is costly to them.
Exchange approach includes in addition to rewards-costs-outcomes, the concept
of comparison level which plays a significant role in interpersonal relationship.
The comparison level is a kind of standard against which an individual evaluates
a relationship. There are two types of comparison levels. The General
Comparison Level (GCL) refers to average profit from all of an individuals
relationship. If profit from an interpersonal relationship falls below the general
comparison level, the individual will be dissatisfied with the relationship and vice
versa.
The Alternatives Comparison Level (ACL) refers to the profit an individual could
receive from other available interpersonal relationships. When profit from an
interpersonal relationship falls below the alternatives comparison level, the
individual may drop the relationship and turn to the alternative and vice versa.
It is important to note that the comparison levels of people do differ, since
individuals have different perceptions of the extent to which they have control
over their own fate. An individual, who perceives high degree of control, is
usually aware of potential rewards than the costs. As a result, he has relatively
high comparison level. On the other hand, an individual who perceives low
degree of control is ore concerned with costs than rewards. Consequently, he
has a relatively low comparison level. High and low comparison level determines
the course of interpersonal relationship.
As an example can be considered the following:
Individual X and Y are subordinates of manager Z. both X as well as Y are
dissatisfied with their relationship with manager Z because the outcomes (O)
from their relationship are below the general comparison level (GCL). That is, O
< GCL.
Individual X perceives that present outcomes are better than present alternatives.
That is, O > ACL (Alternatives Comparison Level = ACL). Therefore, even though
dissatisfied, X will continue the relationship with manager Z.
On the contrary, individual Y may perceive that alternatives are better than
present outcomes. That is, ACL > O. As a result, he may discontinue the
dissatisfying relationship with manager Z.
In this case, although the actual alternatives available to both may be the same,
their ACLs may differ. Individual X may emphasize the costs of those alternatives
whereas individual Y may emphasize the rewards.
13.3. Basic Principles of Inter Personal Attraction:
The most powerful four determinants of interpersonal liking are: personal
qualities of the other individual, similarity, familiarity and proximity.
13.3.1. Personal Qualities:
Usually, highly likable personality characteristics include trains like sincerity,
honesty, loyalty, trustworthiness, dependability and reliability. Highly unlikable
traits include mean mindedness, rudeness, selfishness, hostility, greediness,
unkindness, dishonesty, insincerity and narrow-mindedness.*
Social psychologists believe that the key components of liking are affection and
respect. Affection stems from the way another person treats an individual, and is
experienced as emotional warmth and closeness. Respect is based on
admiration for an individual desirable characteristics and competence.
Interpersonal liking is largely influenced by the factor competence. Nature of
relationship, its quality and quantity, gets affected by high or low competence-
especially the ability to be an interesting rather than boring conversationalist.
Physical attractiveness and personal appearance also play a significant role in
interpersonal liking.
13.3.2. Similarity:
Usually an individual likes other people who are similar to him in attitudes,
values, interests, backgrounds and personality. There is indeed a great truth in
the old adage that birds of a feather flock together.
Explaining the similarity effect in interpersonal attraction, the behavioural
scientists advance many points. First, similarity is usually rewarding. People
similar to the individual tend to agree with his ideas and bolster his confidence in
the rightness of his views.
Second explanation lies in the theory of cognitive dissonance which states that
people strive to maintain harmony or consistency among their attitudes to
organize their likes and dislikes in a balanced, consistent way. Thus, an
individual maximizes cognitive consistency by liking those who support his views.
Another explanation is that an individual deliberately selects someone who is
similar to himself in social desirability and attractiveness.
13.3.3. Familiarity:
Familiarity is an important factor in interpersonal attraction. In many situations,
simply being exposed to certain people may increase an individuals liking for
those people. Repeated exposure improves an individuals recognition of others.
13.3.4. Proximity:
Proximity relates to physical closeness and togetherness. Proximity usually
increases familiarity. Individuals who are physically close are more available than
those who are distant. The ready availability of people close by also affects the
balance of rewards and costs of interacting as the social exchange theorists
propose.
These four factors are indeed highly influential in determining interpersonal
attraction.
In addition, role of emotions also should be considered with reinforce to
interpersonal attraction.
13.3.5. Role of Emotions:
Research indicates that positive feelings increase interpersonal attraction while
negative feelings decrease it. Positive or negative emotions not only influence
interpersonal behaviour but also interpersonal evaluations. An individuals
judgements and behaviour is affected by his own feelings as well as by the
emotional states of others.
Affect is crucial to interpersonal attraction
* Anderson Norman, Likableness Rating of 55 Personality-Trait Words, Journal
of Personality and Social Psychology, No. 9, pp. 272-279.
Because an individual likes those who arouse positive emotions and dislike those
who arouse negative emotions.
13.4. Enduring Interpersonal Working Relationships:
It takes time to form enduring interpersonal working relationships. Usually
development of a working relationship occurs in the following sequence:
(i) First, Forming Impressions
(ii) Then, Developing Mutual Expectations,
(iii) Next, Honoring Psychological Contracts, and
(iv) Finally, Developing Trust and Influence.
In order to acquire the ability to create and sustain enduring interpersonal
working relationships, one has to consciously practice certain skills. Such ability
is not inborn; one has to learn it through efforts. In order to acquire Interpersonal
success Skills, what one needs is some guidance and practice.
13.5. Interpersonal Success Skills:
The following formula has been designed in such a manner that every letter of
the term Inter Personal Success skills provides some crucial factor for building
these skills.
I Introspection, Intellectual ability
B Nuisance reducing ability, Nobility
T Tactfulness, Trustworthiness
E Empathy, Enlightened attitude
R Resilience, Reflecting back
P Perseverance, Providing feedback
E Expressing ideas, feelings, thoughts
R Resourcefulness, Respectability
S Sympathy, Sincerity
O Open-mindedness, Optimism
N Negotiating ability, nurturing ability
A Authenticity, Adaptability, Assertiveness
L Listening ability, Leadership ability
S Self-confidence
U Understanding
C Consideration, Commitment
C Commonsense, Cooperation
E Earnestness, Enthusiasm
S Smartness
S Spontaneity
S Sense of proportion
K Knowledge
I Integrity
L Loyalty
L Liveliness
S Sense of humor
INTER-PERSONAL SUCCESS SKILLS - - (Formula Designed by Dr (Mrs.)
Anjali Ghanekar.)
13.13. Developing Interpersonal Relationships:
Interpersonal relationships develop in an organization as a consequence of
spending large time in the company of others throughout the working life.
Individuals in the organizational setting usually have many relationships of
differing duration and intensity including various terminated relationships. Man of
their relationships fails to progress satisfactorily and leave behind only faded
memories.
There are various factors which determine the course of development of any
relationship. Interpersonal liking or attraction, intensity of feelings, trust and
confidence, reliability and predictability, interdependence, intimacy, and
involvement are very important variables to name just a few that affect the
progress of relationship development. In addition to these, there are many other
factors which play a si gnificant role in the complex interactions that take place as
the relationship progresses.
A relationship is said to exist when two people are interdependent that is, when
each person influences the other. A close relationship is one when there is
frequent interaction involving many different kinds of interaction and strong
mutual influence *
Mutual influence is the most significant aspect of interpersonal relationship. Even
in most superficial interaction, individuals cannot help influencing each other
however-slightly. In fact, interpersonal influence is inherent in every relationship.
Even the mere presence of others influences an individual though there is no
interaction. Obviously, actual interaction further enhances the process of
influencing. Conformity and compliance are the most common processes of
influencing others to behave in acceptable manner. Individuals are capable of
influencing others by issuing direct requests and commands as well.
13.13.1. Compliance:
To Ask-Sometimes-Is to Receive.
Compliance involves direct efforts by individuals to change the behaviour of
others. Many techniques can be used to increase the likelihood that target
persons will in fact say yes.
Ingratiation involves efforts by requests to increase their attractiveness to target
persons. It involves a wide range of specific tactics such as flattery, the
expression of agreement with the target persons, and self-deprecation and self-
disclosure.
Other tactics for gaining compliance involve multiple requests. One such
procedure is the foot-in-the-door technique. Here, requesters begin with a small
initial request and then, when it is accepted, shift to a larger one. Recent
evidence suggests that this technique is successful because agreeing with an
initial request leads individuals to perceive themselves as being helpful. They
then comply with follow-up requests in order to be consistent with this changed
self-image.
A related technique involves opposite procedures: Those seeking compliance
begin with a large request and then, when it is refused, back down to a smaller
one. This tactic, known as the door-in-the-face technique, works because target
persons feel obliged to reciprocate the requesters concession with one of their
own. While both the foot-in-the-door and the door-in-the-face techniques can be
successful in increasing compliance, the foot-in-the-door seems applicable to a
somewhat wide range of situations.
An additional technique for gaining compliance involves Sweetening the deal
offering individuals something extra before they decide to accept or reject a
request. This strategy is known as the Thats Not All (TNA) technique and in
some situations is quite effective.
13.13.2. Obedience:
The most direct form of exerting influence is Obedience. Direct orders from
one person to another. Research findings indicate that many people will obey
commands from an authority
* Sears, David, O., L.A. Peplau, J.L. Freedman and S.E. Taylor, Social
Psychology, Prentice-Hall International Inc., 13
th
Ed., 1988. p. 284.
Figure even when such persons have little power to enforce their orders.
These tendencies towards obedience stem from several causes. For instance,
authority figures gradually escalate the scope of their orders. They wear uniforms
or have other visible signs of their power.
Obedience can be reduced through various procedures. These include reminding
individuals that they, not the authority figure, will be responsible for harmful
outcomes. Another one is exposing the targets of obedience to disobedient
models. Yet, one more is inducing such targets to question the motives or
legitimacy of those in authority *
13.7. Influence Patterns:
According to Kelman** there are three processes by which people can be
influenced: compliance, identification, and internalization, or some combination of
these.
Compliance occurs when people are influenced to do something against their will
because they have been coerced into doing it. People may obey because the
costs or consequences of not obeying may be too high. Especially when people
conform to group norms through compliance, they do so because they feel that it
is important to be seen to hold group norms, either because they fear or dislike
group disapproval. However, the fact that people comply, that is, agree outwardly
with the groups, does not mean that they necessarily believe in their norms and
values. It is only when they comply through private acceptance of the groups
norms and values that they fully internalize them and really believe in the group.
Identification occurs when people do things that the leader wants them to do
because they like him and want to put forth the effort to accomplish the things
that the leader would like them to do. This usually happens when the leader is
attractive, or acts as a role model, or has some qualities that are valued and
admired by others.
Internalization occurs when followers are convinced that acting in particular ways
as directed by the leader, is in their own best interests.
Influence is considered to be the process of affecting the potential behaviour of
others. It involves the ability to alter other people in general ways, such as by
changing their satisfaction and performance.
13.8. Distinctions between Influence, Power and Authority:
Quite often the three terms influence, power, and authority are considered to be
synonymous. However, there are subtle differences.
Influence is usually conceived of as being broader in scope than power. It is
more closely associated with leadership than power is, but both obviously are
involved in the leadership process.
Power can be defined*** as the ability to get an individual or group to do
something to get the person or group to change in some way. It is the face or
ability to make desired things happen in organizations.
* Baron, Robert, A and Donn Byrne, Social Psychology, Understanding Human
Interaction, 13
th
Ed., Prentice-Hall of India, 1993. pp. 328-3413.
** Kelman, H.C. Compliance, Identification and Internalization: Three Processes
of Attitude Change, Journal of Conflict Resolution, March, 1958, pp. 51-130.
*** Luthans, op. cit., p. 427.
Authority, or the right to command, is bestowed by the organization on certain
individuals because of the position they hold and the responsibilities they are
entrusted with in the system. Authority legitimizes power and it itself is a source
of power. Power need not be legitimate.
Thus, authority is different from power because of its legitimacy and acceptance,
and influence is broader than power.
Influence, as we have seen, is the process of affecting potential behaviour,
power is the capacity to exert influence, and authority is the right to command
because o the position held by the individual in the system.
13.9. Influencing Behaviours:
Managers job essentially involves the integration of individual efforts towards
organizational objectives. This aspect of managerial role involves influencing the
behaviour of individuals and groups. The influence system*, as part of the
psychosocial system, provides a frame work within which the managers
leadership takes place.
Influence: Influence denotes any changes in behaviour of a person or group
due to anticipation of the responses of others. **
In any influence system, people take up the role of influencer and influence.
Behaviour changes are caused as a result of relationships among people.
These relationships may involve interaction which is direct (face-to-face) or
indirect (through the medium of ideas).
When influence is considered as responsible for bringing about change in
behaviour, one has to focus attention on influence as al-inclusive concept. One
has to study both overt and covert behaviours and the various modes by which
behavioural change is induced in individuals and groups.
Accordingly, Katz and Kahn *** point out, Influence includes virtually any
interpersonal transaction which has psychological or behavioural effects. Control
includes those influence attempts which are successful, that is which have the
affects intended by the influencing agent. Power is the potential for influence
characteristically backed by the means to coerce compliance. Finally, authority is
legitimate power; it is power which accrues to a person by virtue of his role, his
position in an organized social structure.
13.10. Different Ways of Influencing Behaviour:
There are various manner in which bahviour can be influenced directly or
indirectly. A spectrum of ways to influence behaviour is shown in the following
figure. Several distinct
* Kast, Fremont, E. and James E. Rosenweig, Organization and Management
4
th
Ed., McGraw Hill, 1985.
** Gould Julius and William L. Kolb (eds), A Dictionary of the Social Sciences,
The Free Press of Glencoe, New York, 19134, p. 332.
*** Katz Daniel and Robert L. Kahn, the Social Psychology of Organizations,
John Wiley and Sons. Inc., New York, 191313, p. 220.
Emulation Suggestion Persuasion Coercion
Striving to equal Placing or bring- Prevailing on a Forcing constraint
or excell ing an idea, pro- person by advice,
positi on, plan be- urging, reason, or
fore a persons inducements to do
mind for consider- some-thing (rather
ation or possible than force)
action
Imitating with
Compulsion
effort to equal or
surpass
Approaching or Physical pressure
attaining equality or compression.
Subtle Indirect POWER Evident Direct
Fig. 13.1 : A spectrum of means for influencing behaviour
(Source: Kast Fremont E. and James E. Rosenzweig Organization
and Management, 4
th
Ed., McGraw-Hill 1985, p. 3131.)
means are identified emulation, suggestion, persuasion, and coercion
ranging from indirect and invisible approaches to very evident, direct, and forceful
methods.
13.10.1. Emulation:
Emulation requires no direct contract between individuals; yet it is a powerful
influence on behaviour. Public figures like filmy hero-heroines or famous athletes
are usually aware of the extent to which people imitate their behaviour. Kast and
Rosenzweig* mention that some professional athletes have refused lucrative
contracts to endorse cigarettes because of an image they wish to portray to
teenagers. Public media like television, films, newspapers and biographical
books provide tremendous exposure for ideas and life-styles. People often pick
out certain behaviour patterns that appeal to them and strive to adopt them.
In influencing people, emulation is a much more subtle phenomenon than is
indicated by the above reference to celebrities. In the organizational settings,
members are aware of the behavioural patterns of co-workers and various senior
bosses. Certain individuals whose behavioural patterns are appealing, become
the models, and their behavioural patterns are adopted by others who hope to
attain similar success. Others play certain roles in organizations. Many
behaviour patterns are perpetuated in organizations primarily on the basis of
emulation with neither formal position descriptions nor direct interaction in the
form of persuasion or suggestion being necessary.
* Katz and Rosenzweig, op. cit., p. 3131.
13.10.2. Suggestion:
Suggestion involves direct and conscious interaction between individuals or
between an individual and a group. It is an explicit attempt to influence behaviour
by presenting an idea or advocating a particular course of action. Typically, this
mode is used when several alternative behaviour patterns for individuals or
groups are acceptable and the influencer is merely suggesting a preferred
pattern.
If this tolerance for different behaviour in a particular role were not present, the
influence would use some other mode, such as persuasion, or even coercion.
13.10.3. Persuasion:
Persuasion implies urging and the use of some inducement in order to evoke the
desired response. It involves more pressure than a mere suggestion but falls
short of the type of force implied by the term coercion. Applied behaviour
analysis (a means of behaviour modification stemming from Skinnerian operant
conditioning) can be viewed as a form of persuasion. Positive reinforcement for
desired (from the point of view of the influencer, or shaper) behaviour tends to
induce the influence to continue that behaviour. Reward systems that may
include only recognition and praise have proved successful in modifying
individual behaviour by reduced absenteeism, for example, - in a number of
organizational settings. *
13.10.4. Coercion:
Coercion involves forcible constraint, including use of physical pressure. We will
have to do some arm-twisting is a typical phrase that figuratively describes a
method of persuasion based on physical pressure. Literally, a hammerlock could
coerce an individual into a particular bit of behaviour. A person wielding a gun,
knife, or other similar weapon could also forcibly evoke specific behaviour from
another individual or a group, as with a typical skyjacking episode. *
Many forms of coercion, other than physical force are evident. In organizations,
salaries and/or promotions can be used to constrain or influence behaviour. In
many cases the threat of dismissed (actual or implied) is also a powerful
influencer.
Thus, influence system involves a spectrum of ways to affect behaviour
emulation, suggestion, persuasion, and coercion. The concept of an influence
system stresses the multidirectional nature of influence processes laterally and
diagonally as well as up and down the organizational hierarchy.
13.11. Forms of Interpersonal Behaviour:
based on T.F. Leary **, the following figure explains eight-fold classification of
forms of interpersonal behaviour (within the circle) together with corresponding
forms of behaviour (outside the sectors) likely to be evoked by each.
Learys classification of interpersonal behaviour reflects two kinds of relationship:
(i) Power (dominance-submission), and
(ii) Affiliation (hostility-affection)
Different combinations of these two basic forms of relationship are portrayed as
different sectors of a circle as shown in the Fig. 13.2.
* Kast and Rosenzweig, op. cit., p. 3132
** Leary T.F., Interpersonal Diagnosis of Personality: A Functional Theory and
Methodology of Personality, Ronald Press, New York, 1957. In New Comb.,
T.B., Turner R.H., and converse, P., Social Psychology, Hou Holt and Winston,
19134.
[DIAGRAM]
In this figure, dominating and submissive behaviours appear on the opposite
sides of the circle: dominating on the upper half (sectors 1, 2, 7 and 8), and
submissive on the lower half sectors (3, 4, 5 and 13). Affection and hostility
appear as opposites, on the right half (1, 2, 3 and 4) and left half (5, 13, 7 and 8)
of the circle respectively.
Such forms of behaviour, as classified, provide bases for attraction or aversion
(repulsion) and are potentially rewarding or punishing to self and others. The
phrases outside each sector indicate the nature of attitudes and behaviour that
tends to be evoked on the part of the other person by each kind of behaviour.
The forms of reward and punishment are suggested by the corresponding sets of
initiating and responding behaviours. (Inside and outside the circle respectively).
It is important to note the significant implications of Learys classification.
It is significant that sector 1 which includes manage, direct, lead, advise, teach
is set on the borderline after which the initiating behaviours relating to affection
begin (2 to 4) and those of hostility end (5 to 8) is understandable as this sector
incorporates behaviours which are necessarily based on a combination of
behaviours of both affection and hostility evoking somewhat mixed feelings and
responses on the part of the others. For instance, an effective manager or a
leader not only has to render help, support and sympathy as in sector 2 (which
will invite acceptable and trust in his subordinates or followers) but also attack,
punish, be unkind in taking any controlling or corrective action as in sector 7,
which will only invite hostility and resistance from others. Such hostility and
resistance may not express themselves outwardly, but an antagonistic feeling
and a hostile attitude is bound to generate in others.
Thus, if one considers interpersonal relationship based on friendship, sympathy
and affection as positive (+) relationship and that based on hostility (5 to 8) as a
negative (-) relationship, then the effective manager has to and does develop a
neutral () relationship, possibly slightly leaning towards positive, by skillfully
blending behaviours in various sectors. Ultimately he has to obtain respect and
compliance.
Every interpersonal relationship has a history and the classification helps in
explaining the initiating and responding behaviour pattern which has
ultimately resulted in that relationship.
Once a relationship is formed negative, positive, or neutral any late
behaviour is interpreted and responded to on the basis of that. For instance, if
the existing relationship is of hostility, then any behaviour of affection will be
suspected and will be indifferently responded with.
Every interpersonal relationship is based on mutual and reciprocal initiating
and responding behaviour pattern. It takes two individuals to build it. Both are
equally responsible. If relationship is of hostility or submission one can not
claim that the other is responsible for it. He is equally responsible for his
actions or inactions which must have contributed to the development of the
relationship.
Inter-personal relationship of any type can be developed through consciously
planned use of behaviour indicated in various sectors of the classification
chart in the figure.
The classification also implies that there always exists an appropriate
initiating behaviour to obtain a desired response from other persons. When
initial behaviour fails, one usually does not try and explore other behaviours.
However, if he tries differently, he may obtain the desired response. For
instance, the superior may be responding to his subordinates with
punishment or rejection as he thinks from the way the subordinate
approaches him that the subordinate is argumentative, that is, rebellious
(sector 13). On the other hand, if the subordinate approaches him with
behaviour in sector 4 by seeking help and advice, he may as well give help
and advice.
Finally, once a mutually desirable relationship is developed it obviously
requires sustained mutual effort and care (reinforcement) to maintain it. It
cannot be taken for granted to be there without any further effort at all times in
future.
13.12. FIRO-B:
The basic nature of human beings is social and it gives rise to certain
interpersonal needs. The basic styles of individual behaviour by which people
establish relation with others can be studied by FIRO B (Fundamental
Interpersonal Relationship Orientation Behaviour).
Schutzs FIRO-B is a group administered questionnaire containing 54 items
reflecting a persons fundamental interpersonal relations orient ation and
behaviour. Although each individual has different intensities of need and different
mechanisms for handling them, people have three basic interpersonal needs in
common:
(1) Need for Inclusion
(2) Need for Control
(3) Need for Affection
13.12.1. The need for inclusion:
It is the need to be with people. More specifically, it is the need to maintain
satisfactory relation between the self and other people with respect to interaction
or belongingness.
Some people like to be with other people all the time; they want to belong to
organizations, to interact, to mingle. Other people seek much less contact; they
prefer to be alone, to interact minimally, to stay out of groups, to maintain
privacy. If a continuum were to be drawn between these two extremes, every
person could be placed at a point at which he feels most comfortable. Thus, to a
certain degree each individual is trying to belong to a group, but he is also trying
to maintain a certain amount of privacy. From the other point of view he wishes to
some degree to have people initiate interaction towards him through invitations
and the like, and also wishes to some degree that people would leave him alone.
Thus, need for inclusion has two distinct dimensions: expressed and wanted.
Expressed need for inclusion is the extent to which one can take initiative with
people. Extent to which one could be in work area or social gathering.
Wanted need for inclusion is the extent to which others include the individual in
their group or areas of activities.
13.12.2. The Need for Control:
It is the need to influence situation and people. More specifically, it is the need to
maintain a satisfactory relation between one self and other people with regard to
power and influence. Every individual has a need to control him situation to some
degree, so that his environment can be predictable for him. This need for control
varies from those who want to control the entire environment, including all the
people around them, to those who want to control no one in any situation, no
matter how appropriate controlling them would be.
Here again, everyone varies as to the degree to which he wants to control others.
In addition, everyone varies with respect to the degree to which he wants to be
controlled by other people, from those who want to be completely controlled and
are dependent on others for making decisions for them to those who want to be
controlled under no conditions.
Thus, need for control has two distinct dimensions: Expressed and Wanted.
The expressed need for control is the extent to which one can influence or guide
or take decision.
The wanted need for control is the extent to which one wants others to take him
in decision, influence, or guide.
13.12.3. The need for affection:
It is the need to have feeling of warmth and love. More specifically, it is the need
to maintain a satisfactory relation between the self and other people with regard
to love and affection. In the business setting, this need is seldom made overt. It
takes the form of friendship.
The need for affection also has two distinct dimensions: expressed and
wanted.
The expressed need for affection is the extent to which one shows warmth when
he meets people.
The wanted need for affection is the extent to which one wants others to show
love and warmth for him.
Thus, there are six needs for permanent and temporary interpersonal relations:
The score on these needs can be obtained with the help of FIRO-B
questionnaire.
13.13. Conclusion:
Interpersonal behaviour and Interpersonal relations constitute an interesting but
complex area in organizational behaviour. In order to understand ones
interpersonal pre-dispositions and tendencies, the extremely useful concept is
the concept of transactional analysis (TA). This important concept is considered
in the next chapter.
[DIAGRAM]
Case: (1)
Tackling Un-co-operative Behaviour
For the last six months Paragon Plastics was facing certain people problems.
The basic problem was not that people couldnt do, but whole trouble was that
people just wont do their tasks, How to make its people contribute their best
was a major issue in the company. It was a general prevailing feeling that
interpersonal relations in that organization left a lot to be desired. Team-spirit
was almost non-existent when Ajit Wacha, immediately after completing his
management education, joined here last month as Asst. Production Manager.
Ajit soon realized that there was a dearth of positive sentiments among his peers
and subordinates. During his induction period itself, Ajit had to tackle the problem
of un-cooperative employees. He observed that the employees would take his
instructions literally, hoping to fail and then be able to blame him for not clearly
telling them what to do.
Last Monday, Ajit god wild at Narendra, the operator, who exhibited behaviour
which Ajit did, not like that is sluggishness and various time wasting activities like
hanging around the canteen. As soon as Ajit told him not to waste time like this,
he substituted it with another time wasting activity that is talking to his friend.
You only told me not to hang around the canteen! was his reply.
Ajit knew very well that Narendra had clearly understood what Ajit meant, and he
was deliberately challenging Ajits managerial skill!
(1) When confronted with this situation, how will you react?
(2) What measures will you suggest to get rid of the un-cooperative and
undesired behaviour in Paragon Plastics?
(3) How should Ajit go about improving the interpersonal relationships in the
organization?
(4) Which relevant concepts, theories can you relate with the case material?
Case: (1)
Role of Emotion and Sentiments in Interpersonal Relations
Sreenivasan started working at Sai Finance and Leasing Ltd. as an executive in
1992. The Company is well-established into leasing and hire purchase of
automobiles. The nature of his job involved close interaction with customers and
finalizing contracts with brokers. The schemes were competitive compared to
other finance companies. The Schemes were designed, at the head office and
regional office was advised to operate at a rate of 2% to 4% above the bottom
line. In case of customers defaulting payment of installment of the loan taken, the
asset that is the vehicle was repossessed and sold off.
Mr. Narang was his very first customer for the scheme who had bought a Maruti
van under the hire purchase scheme. Mr. Narang owned a small industrial unit
which he started just one year ago and needed the van for his business.
Immediately after paying his second installment, Mr. Narang suffered from a
severe heart attack and had to incur heavy expenses during his hospitalization.
Subsequently, he started missing his installments.
Sai Finance and Leasing Co. usually gives six months time of notices and
workings before repossessing the vehicle. Just before the sixth month, Mr.
Narang came to Sreenivasan and narrating his plight requested for another six
months time for repaying all the twelve installments. Since this customer was still
undergoing medical expenses and his business was temporarily closed, he had
to make this personal request. Further, Mr. Narang was badly in need of the van
for his travel so as to reorganize his business since he was not physically fit to
travel by any other means.
Sreenivasan was moved by looking at his state and decided to consider his
request favorably and to help him. He asked Mr. Narang to pay just one
installment so that the Company will give him another six months time. After that,
whenever the regional office enquired about Mr. Narang, every time Sreenivasan
some how tried to manage the situation without sending him notice or
repossessing the vehicle.
As promised, Mr. Narang soon reorganized his business and cleared off all his
debts to the company. Feeling overwhelmed, he could fetch new clients and
gave good business to the company in recognition of the help he could receive
from Sreenivasan during the critical period in his life. Mr. Narang was indeed
visibly touched with Sreenivasans favour. He uttered his heart felt words: You
have been such a wonderful person, one rarely meets people like you and
Sreenivasan felt highly rewarded. Tears rolled in the eyes of both, goodwill was
generated, and both became good friends for a life-time.
Exercise
1. Discuss some general observations regarding interpersonal behaviour.
2. Why an individual is attracted to some people and not to others? Describe the
approaches explaining interpersonal attraction.
3. What the basic principles of interpersonal attraction?
4. How can one go about developing successful interpersonal relationships?
5. Discuss the different ways and process of influencing behaviour?
6. What are the different forms of interpersonal behaviour as per Learys
classification? Discuss the implications of initiating and responding
behaviours.
7. Write shorts notes on:
(i) Power, Influence and Authority
(ii) Tactics for gaining compliance
(iii) Interpersonal Attraction
(iv) Spectrum of Means for Influencing Behaviour
(v) Interpersonal success skills
(vi) FIRO-B
+++
CHAPTER-14
Small Group Behaviour
14.1. Introduction:
Small groups have existed since the time of the first human family. However, only
recently people have started to study scientifically the process by which small
groups work. Small groups constitute the critical building blocks in organizations
and societies. They are an essential mechanism of socialization and a primary
source of social order. In fact, the human group is a formidable force and a
pervasive phenomenon in modern organizations. When managers understand
human groups and the dynamics of group behaviour, they will be bale to utilize
groups to the mutual advantage of the group members and the organization.
14.2. Evaluation of Groups and the States of Group
Development:
Groups tend to evolve over a moderately long period of time and are dynamic in
that they probably never achieve a completely stable structure; the organization
is always changing, however slowly, as are the relations among members of a
group. From the mid-sixties, it is believed that groups pass through a standard
sequence of five stages *. These five stages are: Forming, Storming, Norming,
Performing and Adjourning.
(i) Forming: The first stage, forming, is characterized by a great deal of
uncertainty about the groups purpose, structure and leadership. In this
stage group members learn about each other and orient themselves to the
situation. Members are testing the waters to determine what types of
behaviour are acceptable. This stage is complete when members have
begun to think of themselves as part of a group.
(ii) Storming: The storming stage is one of intra-group conflict. Members
accept the existence of the group, but there is resistance to the constraints
that the group imposes on individuality. Further, there is conflict over who
will control the group. When this stage is complete, there will be a
relatively clear hierarchy of leadership within the group.
(iii) Norming: The third stage, norming, is one in which close relationships
develop and the group demonstrates cohesiveness and strong sense of
group identity. This stage is complete when the group structure solidifies
and the group has assimilated a common set of expectations of what
defines correct member behaviour.
* Tuckman B. W., Developmental Sequence in small Groups Psychological
Bulletin, June 1965, pp. 3144-99; B.W. Tuckman and M.C. Jenson, Stages of
Small Group Development Revisied, Group and Organizational Studies,
December 1977, pp. 419 27; and M.F. Maples, Group Development:
Extending Tuckmans Theory, Journal for Specialists in Group Work, Fall,
191414, pp. 17-23.
(iv) Performing: The fourth stage is performing. The structure at this point is
fully functional and accepted. The group finally settles down to complete
its assigned tasks during this stage. Group energy has moved from getting
to know and understand each other to performing the task at hand. Roles
usually become flexible in that group members are willing to take on
responsibilities not specifically assigned to them to complete the work.
Thus, the group structure is not very supportive of task performance.
For permanent work groups, performing is the last stage in their
development. However, for temporary committees, task forces, teams and
similar groups that have a limited task to perform, there is an adjourning
stage.
(v) Adjourning: In this last stage, the group prepares for its disbandment. High
task performance is no longer the groups top priority. Instead, attention is
directed towards wrapping up activities. Responses of group members
vary in this stage. Some are upbeat, basking in the groups
accomplishments. Others may be depressed over the loss of friendships
gained during the work groups life.*
This model of group evolution is helpful in that it provides an initial
conceptualization by which one can understand group behaviour or grasp its
essence. In the real world, however, groups are much more messy than this
conceptualization depicts. They frequently are at different stages of development
simultaneously, or they skip stages and then return to them at a later period of
group development. For example, it is quite common for an organization to
appoint a task force to solve a crisis it faces, and its members may initially stonn
at each other rather than form. Like wise, a group can revert back to a previous
stage. Therefore, even the strongest proponents of this model do not assume
that all groups follow its five stage process precisely or that stage four is always
the most preferable.
14.3. Defining and Classifying Groups:
A group is defined as a social unit consisting of two or more interdependent,
interactive people striving for common goals.
Groups have three characteristics: Interaction, Dependence and Satisfaction.
14.3.1. What is a Group?
According to Schein, a group consists of Any number of people who
(i) interact with each other,
(ii) are psychologically aware of one another, and
(iii) Perceive themselves to be a group.
14.3.2. Why Do Individuals Join a Group?
Individuals join groups for various reasons, the most important of which are:
(i) to improve their effectiveness in a task
(ii) for security
(iii) to facilitate learning through social comparison
(iv) to exert greater influence over their environment
(v) Because they believe that group membership will be useful to them in the
achievement of some goal in the future.
Groups are formed for very practical economic, security and social reasons. As
shown by Hawthorne Experiment,* Affiliation motive plays a major role in group
formation.
14.4. Small Group and Group Behaviour:
In the words of Bales**: A small group is defined as any number of persons
engaged in interaction with one another in a simple face-to-face meeting or
series of such meetings, in which each member relieves more impression or
perception of each other member distinct enough so that he can, either at the
time or in later questioning, give some reaction to each of the others as an
individual.
Thus this definition implies that the person must get the existence of each
member of the group as well as the existence of the group itself.
According to Mills***: To put it simply, they (groups) are units composed of two
or more persons who come into contact for a purpose and who consider the
contact meaningful.
This definition implies that the group should have some purpose or goal for its
behaviour.
In the words of Mitchell****, the common elements of these definitions (small
groups) suggest that the small group is composed of a restricted number of
people usually fewer than ten who enjoy personal interaction over a long span of
time.
Characteristics of small groups are:
(1) The size of group is as small as two members, but limited to ten or so, to
facilitate better interaction
(2) Small groups have common mutually agreed goals.
(3) They have a common socio-cultural background
(4) Each member performs a well-defined task.
(5) One of the group members may be the leader who co-ordinates the activities
of the group.
(6) The group engages in interaction with one another in a simple face-to-face
meeting.
(7) Each member receives some impression or perception of each of he other
member.
(8) The groups are formed for some meaningful purpose.
14.5. Theories of Group Formation:
There are various ***** classic theories of group formation or why people affiliate
with one another.
14.5.1. Propinquity theory:
The most basic theory explaining affiliation is propinquity. This interesting word
means simply that individuals affiliate with one another because of spatial or
geographical proximity. This theory would predict that students sitting next to one
another in class, for instance, are more likely to form into a group than students
sitting at opposite ends of the room. In an organization, employees who work in
the same area of the plant or office, or managers with offices close to one
another would more probably form into groups than those who are not physically
located together.
There is some research evidence to support the propinquity theory, and on the
surface it has a great deal of merit for explaining group formation. The drawback
is that it is not analytical and does not begin to explain some of the complexities
of group formation. Some theoretical and practical reasons need to be explored.
14.5.2. Hamans* I-A-S Theory:
A more comprehensive theory of group formation than mere propinquity comes
from the theory based on I-A-S i.e. Interactions-Activities-Sentiments. These
three elements are directly related to one another.
The more activities individuals share, the more numerous will be their
interactions and the stronger will be their sentiments (how much the other
individuals are liked or disliked). The more interactions among individuals, the
more will be their shared activities and sentiments; and the more sentiments
individuals have for one another, the more will be their shared activities and
interactions. Thus, all these three elements influence and get influenced by each
other. This theory lends a great deal to the understanding of group formation and
process. The major element is interaction. Individuals in a group interact with
one another, not in just the physical propinquity sense, but also to accomplish
many group goals such as co-operations and problem solving.
14.5.3. Balance Theory:
The balance theory of group formation proposed by Theodore Newcomb** states
that
[DIAGRAM]
Individuals are attracted to one another on the basis of similar attitudes towards
commonly relevant objects and goals.
This figure shows that Individual X will interact and form a relationship/group with
Individual Y because of common attitudes and values (Z). Once this relationship
is formed, the participants strive to maintain a symmetrical balance between the
attraction and the common attitudes. If an imbalance occurs, an attempt is made
to restore the balance. If the balance cannot be restored, the relationship
dissolves.
Both propinquity and interaction play a role in Balance theory.
14.5.4. Exchange Theory:
In recent times, the Exchange Theory* of group formation proposed by Thibaut
and Kelley is receiving greater emphasis. This theory is based upon reward-cost
outcomes of interaction. A minimum positive level (rewards greater than costs) of
an outcome must exist in order for attraction or affiliation to take place. Rewards
from interaction gratify needs while costs incur anxiety, frustration,
embarrassment, or fatigue.
Propinquity, Interaction and common attitudes all have roles in exchange theory.
In the Exchange Theory, one can view interpersonal acts commodities to be
exchanged. Such commodities would include information, expertise, status, and
love as well as money. Thus, in individual X invites individual Y to dinner, Y may
attempt to repay Xs effort and expense by conferring status on X. this might take
the form of thanking X or remarking about the excellent food, perhaps asking for
the recipe in order to show how pleased he was with the dinner. Eventually,
however, Y may need to reciprocate in some manner-perhaps by asking X to
dinner.
The exchange theory emphasizes that the existence of an unbalanced exchange
may cause a strain in interpersonal relations.
14.6. Types of Groups:
There are numerous types of groups including small and large groups, primary
and secondary groups, coalitions, membership and reference groups, in-and out-
groups, and formal and informal groups. Each type has different characteristics
and different effects on its members.
Often the terms Small group and Primary group are used interchangeably
Technically, there is a difference A small group has to meet only the criterion of
small size, that is, the group must be small enough for face-to-face interaction
and communication to occur. In addition to being small, a primary group must
have a feeling of comradeship, loyalty, and a common sense of values among its
members. Thus, all primary groups are small groups, but not all small groups are
primary groups.
Charles H. Colley was the first to define and analyze a primary group as
characterized by intimate, face-to-face association and cooperation, for instance,
family group and peer group. Later on, during Hawthorne studies, work groups
also were found to have primary group qualities.
In additi on to primary groups, coalitions are very relevant to organizations. There
are also secondary groups which are large and face-to-face interaction may not
be possible. There are membership groups to which the individual actually
belongs. Reference groups are those to which an individual would like to belong,
thus the individual identifies with the reference groups. In-groups are those who
have or share the dominant values, and out-groups are those on the outside
looking in. al these types of groups have relevance to the study of organizational
behaviour, but the formal and informal types of groups are more directly
applicable. Formal groups are defined by the organizations structure, with
designated work assignments establishing tasks. Informal groups are neither
formally structured nor organizationally determined; they appear in the work
environment in response to the need for social contact.
14.7. Sub-classification:
It is possible to sub-classify groups as command, task, interest or friendship
groups*.
A command group (also known as functional group) is defined by the
organization chart. It is composed of the sub-ordinates who report directly to a
given manager. In other words, command groups have a combination of the
chain of command and the span of control that identifies superior-sub-ordinate
relationships.
Task groups (also known as Project groups) are organizationally determined and
they represent those working together to complete a job task. However, a task
groups boundaries are not limited to its immediate hierarchical superior. It can
cross command relationships. It is important to note that al command groups are
also task groups, but because task groups can cut across the organization, the
reverse need not be true.
The task group or the proj ect groups purpose is to attain its objective within
predetermined time, cost and quality limits, after which the group is disbanded
and everyone goes back to his regular department. These groups are employed
in designing new products and solving particularly complex problems. Whatever
the objective, however, a project group draws personnel from many different
areas of expertise and combines their talents so as to attain the project goals.
People who may or may not be aligned into common command or task groups
may affiliate to attain a specific objective with which each is concerned. This is an
interest group. Employees who hand together to have their vacation schedule
altered, to support a peer who has been fired, or to seek increased fringe
benefits represent the formation of a united body to further their common
interest.**
Friendship groups represent those brought together because they share one or
more common characteristics. Social alliances which frequently extend outside
the work situation can be based on common beliefs, concerns and activities.
Friendship relations may help in attaining job-related objectives.
It is important to note that command and task groups are dictated by the formal
organization, where as interest and friendship groups are informal alliances.
14.14. Formal and Informal Groups/Organizations:
A formal organization is a group of people working together co-operatively under
authority toward goals that mutually benefit the participants and the organization.
It is a system of well defined jobs, each bearing a definite measure of authority,
responsibility and accountability.
However, the official structure is only a part of the story. There emerges another
structure consisting of informal relationships. Gray and Starlic*** define informal
organization as patterns of behaviour and influence stemming from human
interaction within a formal structure. The interactions among participants arise
spontaneously and are not prescribed by formal structure, nor can they be
completely controlled by formal authority.
The concept of informal relationships with formal organizations has two facts:
Macro and Micro. First, the macro facet relates to the broader, informal
relationships which embrace the entire structure. This facet is called informal
organization. Second, the micro facet relates to the individual behaviour within
the limits of smaller, well defined groups. This facet is called group dynamics or
small group behaviour. *
Gray and Stark ** provide a comprehensive analysis of the similarities and
dissimilarities between formal and informal organizations. As they aptly indicate,
formal and informal organizations can be compared on eight dimensions:
structure, position terminology, goals, influence, control mechanisms,
communication, charting and mixed characteristics.
(a) Structure: The origin of informal organizations is spontaneous, whereas
formal organizations are planned through conscious efforts to accomplish
predetermined goals. Formal organizations are designed to be rational
informal organizations are more the outcome of emotional rather than logical
thought process. Formal organizations are more stable whereas informal
organizations are dynamic.
(b) Position terminology: In the formal organizations, different jobs provide a
basis for determining the relationships between them and individuals holding
particular positions. On the other hand, roles determine the relationship
between the individuals and the informal organization with which they are
associated.
(c) Goals: The major goal of informal organization is the satisfaction of its
members, whereas formal organization purports to achieve profitability and
service to the society. Every manager should strive hard to provide
meaningful goals to organizational participants so that there is no conflict
between individual (informal) and organizational (formal) goals.
(d) Influence process: In the formal organizations, positions conferred on
individuals are the centers of power and influence. Authority is equated with
influence. In contrast, influence in the informal organizations is attached to the
persons. The individuals with the most influence are the person who is most
able to satisfy the needs of the group. The influence flows form the persons in
bottom to top; whereas in the formal organizations, it is directed from top to
bottom positions.
(e) Control mechanisms: In the formal organization, control is exercised through
rules, policies, procedures and allied measures and varies from minimum (i.e.
matrix) to maximum (i.e. bureaucratic form of structure). On the other hand,
informal organizations exert control through standards of behaviour (i.e.
norms) and provision of sanctions for deviations from them.
(f) Communication: In the informal organization communication is marked by fast
speed but low accuracy; whereas in formal organization it has slow speed but
high accuracy. Formal organization depends on formal, official channels of
communication to seal the ideas of management to the organization
members. These officially blessed instruments are employed scrupulously to
convey the feelings of management to workers. Communication, thus, is
largely a one-way traffic. The informal organizations design their own channel
of communication, popularly known as grapevine, for both organizational
and social communication purposes. Grapevine tends to outstrip formal
channels on speed.
(g) Charting: The formal organizations are charted through organization chart,
while informal organizations are plotted through sociogram.
(h) Mixed characteristics: The formal organization includes while informal
organization involves only accepted ones. In the latter, interpersonal
relations arise spontaneously, whereas in the former, they are prescribed by
job descriptions. While the informal organizations are marked by emergence
of leadership through member agreement, the formal organizations assign it
structurally. In the former, interaction is based upon personal characteristics,
social background and status, whereas its bases are functional duties or
positions in the latter. Lastly, in informal organization, cohesiveness forms a
basis of attachment of members to them. In formal organizations, members
are attached to them through loyalty.
Thus, while both formal and informal organizations have structures, position
terminology, goals and allied general characteristics, they differ from each other
in specific details.
14.9. Formal versus Informal Organizations
Informal Organization Formal Organization
I Structure
(a) Origin Spontaneous Voluntary Planned-deliberate
(b) Rationale Emotional Rational
(c) CharacteristicsDynamic-unstable Stable
II Position Terminology Role Job
III Goals Member-satisfaction Profitability or service to society
IV Influence
(a) Base Personality Position
(b) Type Power Authority
(c) Flow Bottom-up Top-down
V Control Mechanism Physical or Threat of firing
Social sanction (norms) or demotion
VI Communication
(a) Channels Grapevine Formal channels
(b) Networks poorly defined cut Well-defined follow
Across regular channels formal lines
VII Charting Sociogram Organizational chart
Informal Organization Formal Organization
VIII Miscellaneous
(a) Individuals included only those acceptable All individuals in work
groups
(b) Inter-personal relations Arise spontaneously Prescribed by job
description
Personal impersonal
(c) Leadership Role Result of membership Assigned by organization
(d) Basis for Interaction Personal characteristics Functional duties or
Status position
(e) Basis for attachment Cohesiveness Loyalty
(f) Control on behaviour Non-management Management-controlled
Controlled
Feelings, status, prestige Organizational rewards
and
Sanctions to members punishments.
14.10. Group Dynamics:
Kurt Lewin popularized the term Group Dynamics during 1930s. The social
processes by which people interact face-to-face in small groups are called group
dynamics. The word dynamics comes from the Greek word meaning force.
Therefore, Group Dynamics refers to the study of forces operating within a
group.
There are different connotations attached to the term group dynamics. One view
is that group dynamics describes how a group should be organized and
conducted. Here, democratic leadership, member participation and overall co-
operation are stressed. Another view of group dynamics suggests that it consists
of a set of techniques. Here, role-laying, brainstorming, buzz groups, leaderless
groups, group therapy, sensitivity training, team building, transactional analysis,
and the Johari Window are equated with group dynamics. However, the
universally accepted view of group dynamics is closest to Lewins* original
conception. Here, group dynamics are viewed from the perspective of the internal
nature of groups, how they form, their structure and processes, and how they
function and affect individual members, other groups and the organization.
In understanding the concept of group dynamics, a modern comprehensive
definition of a group will be useful. It is as follows: A group is a collection of
individuals in which there is,
(i) Interaction among members,
(ii) Perception of group membership,
(iii) Shared norms and values, and
(iv) Fate interdependence (what happens to one group member affects other
group members and what happens to the group as a whole affects the
individual members). **
14.11. Implications from Classic Research on
Group Dynamics:
Starting with Hawthorne studies, there has been an abundance of significant
research on groups that has implications for organizational behaviour and
management. besides the Hawthorne studies, the widely known classic studies
that relate group dynamics to human performance in an organizational setting
include the Lippitt and White leadership studies; the Coch and French study on
overcoming resistance to change; Van Zelsts study of two groups of carpenters
and brick layers; * Trist and Bamforths study of British coal mining**, and William
F. Whytes research on the restaurant industry***. In addition, there are
numerous research studies on group dynamics which indirectly contribute to the
better understanding of organizational behaviour.
The following table**** summarizes the research findings on the functions that
groups can serve for both the organization as a whole and the individual
organizational participant.
The Impact of Groups on The Impact of Groups on
Organizational Effectiveness Individual Effectiveness
1. Accomplishing tasks that could not be 1. Aiding in learning about the organiza-
done by employees themselves tion and its environment.
2. Bringing a number of skills and talents to 2. Aiding in learning about oneself
bear on complex difficult task.
3. Providing a vehicle for decision-making 3. Providing help in gaining new skills
that permits multiple and conflicting
views to be aired and considered
4. Providing an efficient means for orga- 4. Obtaining valued rewards that are not
nizational control of employee behaviour accessible by oneself
5. Facilitating changes in organizational 5. Satisfying important personal needs,
policies or procedures especially needs for social acceptance
and affiliation
6. Increasing organizational stability by
transmitting shared beliefs and values
to new employees
In addition to the somewhat general conclusions show above, there are a
number of studies in social psychology which seem to have particular relevant to
organizational behaviour. The work of social psychologist Stanley Schachter
seems especially important for the application of group dynamics research to
human resources management.
14.12. The Schachter Study:
Stanley Schachter and his associates tested the effect that group cohesiveness
and induction (or influence) had on productivity under highly controlled
conditions. Women college students were used as subjects. Cohesiveness was
defined as the average resultant force acting on members to remain in a group.
The researchers assumed that by making the group appear attractive or not
attractive, the subjects would correspondingly feel high or low cohesiveness.
About half the subjects were told by the experiment that they would be members
of an extremely congenial group and that there is every reason to expect that
the other members of the group will like you and you will like them. The other
half of the subjects were told by the experimenter that because of scheduling
difficulties, it was impossible to assemble a congenial group and that there is no
particular reason to think that you will like them or that they will care for you. In
this experiment, through manipulation of cohesiveness and induction, the
following experimental groups were created:
(1) High cohesive, positive induction (HiCo, + Ind)
(2) Low cohesive, positive induction (LiCo, + Ind)
(3) High cohesive, negative induction (HiCo, - Ind)
(4) Low cohesive, negative induction (LoCo, - Ind)
All the subjects were told that their task was to make cardboard checkerboards. It
was to be a three-person, assembly line operation consisting of cutting out
pieces of cardboard, mounting and pasting them on heavier stock, and paining
them through a stencil. For control purposes, all subjects were made cutters, but
they thought they would pass on the cut boards to the other two members of their
group (the paster and painter) in another room.
The subjects were informed that they could write notes to, and would receive
notes from, their pasters and painters. Of course, the experimenter intercepted
all the notes from the subjects and gave them prewritten notes. These notes
were used to test the impact of positive and negative induction.
In the first sixteen minutes of the experiment, each subject received five notes
from her non-existent paster and painter that made no attempt to influence
productivity. In the remaining sixteen minutes of the experiment, half the subjects
who believed they were members of high cohesive group and half the subjects
who thought they were members of low cohesive groups received six positive
notes. These notes urged increased production, for example, Times running
out, lets really make spurt Paster. The other half of the high and low cohesive
subjects received negative notes urging them to slow down production. For
instance, Lets try to set a record lets be the slowest subjects they ever had
Painter.
In this experiment, the independent variables were cohesiveness and induction,
and the dependent variable was productivity. The following figure 14.3
summarizes the results.
14.13. Implications of the Schachter Study:
The results of Schachters study contain some very increasing implications for
the study of organizational behaviour. The pitchfork productivity curves in the
figure 14.3, imply that
[DIAGRAM]
Highly cohesive groups have very powerful dynamics, both positive and negative,
for human resources management. On the other hand, the low cohesive groups
are not so powerful. However, of even more importance to human resources
management is the variable of induction. Performance depends largely on how
the high or low cohesive group is induced.
At least for illustrative purposes, leadership may be substituted for induction. If
this is done, the key variable for the subjects performance in the Schachter
experiment becomes leadership. A highly cohesive group that is given positive
leadership will have the highest possible productivity. On the other hand, a highly
cohesive group that is given poor leadership will have the lowest possible
productivity. A highly cohesive group is analogous to a time bomb in the hands of
management. The direction, in which the highly cohesive group goes, breaking
production records or severely restricting output, depends on how it is led. The
low cohesive group is much safer in the hands of management. Leadership will
not have a serious negative or positive impact on this group. However, the
implication is that if management wishes to maximize productivity, it must build a
cohesive group and give it proper leadership.*
14.14. Structural Dimensions of Groups of Components
Of Group Structure:
Within any types of groups in an organization, some type of structure for group
activity develops over a period of time. The structure shapes the behaviour of
members and makes it possible to explain and predict a large portion of
individual behaviour within the group as well as the performance of the group
itself. The structural dimensions or components of group structure include the
following:
(1) Group Norms
(2) Roles
(3) Status
(4) Group size
(5) Group leadership
(6) Group composition
(7) Group cohesiveness.
14.14.1. Group norms:
All the groups have their own established norms that are acceptable standards of
behaviour that are shared by the groups members. Norms tell members what
they ought and ought not to do under certain circumstances. Norms are
standards or rules of behaviour that are established by group members to
maintain consistency in behaviour. If each individual in the group were permitted
to act, interact, and perform his function as he saw fit, the result would be
increased frustration, anxiety, stress, and conflict and decreased morale and
group performance.* Norms differ among groups, communities, and societies,
but they all have them.
According to Hackman, ** norms have the following characteristics:
(1) Norms summarize and simplify group influence process
(2) Norms apply only to behaviour, and not to private thoughts and feelings
(3) Norms are generally developed only for behaviours which are viewed as
important by most group members
(4) Norms usually develop gradually, but the process can be shortened if
members so desire.
(5) Not all norms apply to everyone. High status members often enjoy more
freedom to deviate from the norms than do other members.
A work groups norms are like an individuals fingerprints each is unique. Yet
there are still some common classes of norms that appear in most work groups.
For instance, the most widespread norms deal with performance related
processes and tell the members how hard they should work, how to get the job
done, and output level and communication channels. There are also appearance
related norms that tell the members about appropriate dress, formal dress codes,
when to look busy, etc. Another class of norms concerns informal social
arrangements and they regulate social interactions within the group. With whom
group members eat lunch, friendships on and off the job, social games, and the
like are influenced by these norms. A final category of norms relates to allocation
of resources. These norms can originate in the group or in the organization and
cover things like pay, assignment of difficult jobs, and allocation of new tools and
equipment. These resource allocation norms can have a direct impact on
employee satisfaction and an indirect effect on group performance. ***
It is interesting to know how norms develop. Norms typically develop gradually as
group members learn what behaviours are necessary for the group to function
effectively. Norms mostly develop in one or more of the following four ways: (I)
Explicit statements made by a group member or leader, (ii) Critical events in the
groups history, (iii) Primacy, (iv) Carry over behaviours from past situations.
Norms are thus learnt by members through observation, and through
reinforcement.
Conformity refers to adjusting ones behaviour to align with the norms of the
group. There are four norms conformity factors:
(i) Personality factors: Research in personality suggests that more intelligent
individuals are less likely to conform to the group norms than are less
intelligent individuals; a more authoritarian individual is less likely to
conform to group norms.
(ii) Situational factors: Situational factors are such variables as group size,
communication patterns, structure of group, and the social context of
group interaction.
(iii) Stimulus factors: Stimulus factors are faced by individuals each day. The
more ambiguous the stimulus, the greater will be the conformity to the
group norms.
(iv) Inter-group relationships: This refers to the relationships among members
of the group. It includes such variables as the kind and extent of group
pressure exerted, the success the group has in achieving goals, and the
degree to which a member identifies with the group.
Groups impose conformity pressures on their members. Members desire to be
one of the group and avoid being visibly different. When an individuals opinion
differs significantly from that of others in the group, he is likely to feel extensive
pressure to align his opinions with that of the others. The impact that group
presents for conformity can have on an individual members judgement and
attitudes was demonstrated by Asch.*
Litterer ** suggests four steps for enforcement of group norms:
(i) Education: Creating a desire in group members to remain in the group by
educating them that how the groups stands contribute to the achievement
of goals. This can be done by increasing active participation of each
member towards the groups work.
(ii) Surveillance: Following the group norms is essential to the survival of the
group. Hence it is essential to detect deviance from the group norms and
correct it in time.
(iii) Warning: Each member is warned of removal from group if he does not
conform to group standards.
(iv) Sanctions: Sanctions are imposed as a last resort for enforcing discipline.
14.14.2. Roles:
Role means a set of expected behaviour patterns attributed to someone
occupying a given position in a social unit. The content of a given role is
prescribed by the prevailing norms. Probably role can best be defined as a
position that has expectations evolving from established norms.
Role perception refers to an individuals view of how he or she is supposed to act
in a given situation.
Role expectations are defined as how others believe a person should act in a
given situation. Psychological contract means an unwritten agreement that sets
out what management expects from the employee, and vice versa. Role
expectations implied in psychological contract are recognized as a powerful
determiner of behaviour in organizations.
Mitchell* specifies four important characteristics of roles:
(1) Roles are impersonal. It is not the individual but the position that determines
the expectations.
(2) An organizational role is that set of expected behaviours vis--vis particular
position and particular job.
(3) It is difficult to mention the exact terms of roles, since it is the most complex
response patterns of human being.
(4) Roles are learning quickly and that result in major changes in behaviour.
Managers must know the sources of roles and the existence of multiple roles in
groups. There are a number of sources in organizations that form an employees
role, whether the employee is a manager or a subordinate. These sources are
organizational (e.g. job description), group (e.g. group norms) or individual (e.g.
expectations) based (on values and altitudes). Most people perform multiple
roles during a typical day.
There are three kinds of role relationships or role activities: (a) Expected role, (b)
Perceived role and (c) The Enacted role.
Role problems are of two kinds: (1) Role ambiguity and (2) Role conflict.
Role ambiguity is the result of lack of clarity in the individuals duties, authority
and responsibility. It can be caused by a member of factors:
(i) Due to lack of clear job description for a position.
(ii) Individuals task becomes more complex coupled with lack of training,
experience and clear job responsibilities, result in confusion, conflict and
poor performance.
(iii) Due to certain individual characteristics classified as self-confident
perceive less role ambiguity.
Role conflict occurs when multiple roles and directions from one or more
individual create uncertainty in the mind of the worker. Two types of role conflict
can exist:** (1) Intra-role conflict, created by many directives sent simultaneously
to someone occupying one role, making it impossible for the individual to satisfy
all directives at the same time; and (2) Inter-role conflict created by many
simultaneous roles presenting conflicting expectations.
The type of position and level in the organization occupied by the individual
influence the development of both intra-role and inter-role conflict.
Continuing high levels of role ambiguity and role conflict can result in decreased
group performance.
The response of group members to these role problems can be two fold:
(i) The individual can maintain the status quo and attempt to live with the
situation.
(ii) The individual may attempt to modify demands or establish clearly defined
expectations criteria for evaluation of performance.
14.14.3. Status System:
Status is defined as a social ranking within a group and is assigned to an
individual on the basis of position in the group or individual characteristics. Status
can be a function of the title of individual, wage or salary level, work schedule,
mobility to interact with others within or outside the group or seniority. *
All kinds of organizations have mainly two status structures; known as the formal
system and informal system. The formal system of status is closely related to
chain of command, which is called hierarchical structure of organization. In
informal status structure values and norms of the group determine the status of
particular member. A person is given status because of some personal
characteristics such as age, skill, sex, or education. The oldest nurse in a group
may enjoy higher status because of her age, tenure, and expertise on the job.
Status develops in a group because particular individual possesses or
contributes values to the organization that are highly regarded by the members.
** Research studies have revealed that individual can easily identify status
values in groups. Ones dress, titles, etc. even convey status.
The existence of status system in organizations can have both positive and
negative consequences for the manager, because status system can clarify the
relationships between group members by providing for clear definitions of
authority and responsibility. However, an over emphasis on status tends to
reduce both the interaction between group members and the frequency of
communications.
Status systems can have a direct influence on group performance through status
congruence which is agreement among group members on the status of
individual group members. When there is full agreement on member status, the
major activity of the group is directed toward goal accomplishment. However,
when there is disagreement on status within the group (status incongruence),
some group activity is directed from goal accomplishment. However, where there
is disagreement on status within the group (status incongruence), some group
activity is diverted from goal accomplishment and toward resolving this conflict.
14.14.4. Group Size:
The size of a group can have profound implications on how the group behaves
internally and with regard to other groups. In a smaller group face to face
interaction is quite easy and uncomplicated.
Smaller groups are found to be faster at completing tasks than the larger one.
However, if the group is engaged in problem-solving, large groups are good for
gaining diverse input. Groups of approximately seven members are found to be
more effective for taking action. The research on group size indicates that groups
with an odd number of members tend to be preferable to those with an even
member, and groups made up of five to seven members do a pretty good job of
exercising the best elements of both small and large groups.***
One of the most important findings related to the size of a group is known as
Social lolling. Social lolling is the tendency of group members to do less than
they are capable of individually, resulting in an inverse relationship between
group size and individual performance. Social lolling may be caused due to a
belief that others in the group are not pulling their own weight. Another cause
may be the dispersion of responsibility.
14.14.5. Group leadership:
Almost every work group has a formal leader who can exercise4 legitimately
sanctioned power. The formal leader who is appointed by the management
exercises the power and authority defined to him within the organizational
framework. He can exert formal influence on the activities of the group. The
leader is responsible for the direction and goal accomplishment of the group and
can reward or punish individual members when they do not comply with the
directions, orders or rules of the group. Because the organization supports the
leaders influence, he has the power to make the group members comply with
directives.
In informal group, leaders generally are individuals who are respected by other
group members and who have acquired special status. The informal group leader
generally:
(1) Aids the group in directing its activities toward goal accomplishment.
(2) Embodies the values of the group.
(3) Acts for the group in presenting their view point. When interacting with
management or other groups.
(4) Facilitates the activities of the group by initiating group actions and assisting
in resolving group conflict.
The informal group leadership role can and often changes from one person to
another, depending on the particular situation. Informal leaders tend to emerge
gradually as group members interact. They emerge from within the group
according to the nature of the situation at hand.
Studies that have examined the effects of leader traits on group performance
have generally provided inconclusive results. In terms of achieving high group
satisfaction, participative leadership is found to be more effective than an
autocratic style. But participation doesnt necessarily lead to higher performance.
In some situations, the group guided by a directive, autocratic leader may
outperform its participative counterpart.
14.14.6. Group composition:
Group composition refers to the relationships among the personal characteristics
of group members and the consequences of these relationships for group
activities. Group composition essentially includes the aspect of group
compatibility. Group compatibility is the degree to which members of the group
are at ease to which members of the group are at ease with one another. If the
members of the group are compatible, some members will satisfy the needs of
other members and vice versa. Individuals who like direction, for instance, would
be reasonably satisfied in a group in which some strong leaders provide it. In
general, as compatibility rises, so does group effectiveness in attaining goals.
Research indicates that when a group is heterogeneous (composed of dissimilar
individuals) in terms of personalities, opinions, abilities, skills and perspectives,
there is an increased probability that the group will possess the needed
characteristics to complete its tasks effectively.*
Group demography is an offshoot of the composition issue. This is the degree to
which members of a group share a common demographic attribute, such as age,
sex, race, educational level, or length of service in the organization, and the
impact of this attribute on turnover. Individuals who hold a common attribute are
called as cohorts** Research tends to support the view that where there are
large gaps between cohorts, turnover is higher. The research on group
demography indicates that group members who are different from the majority-
because of age, sex, race, education
Level or length of service in the organization is more likely to quit.
14.14.7. Group cohesiveness:
Cohesiveness refers to the closeness among group members. Some groups
seem to have a certain atmosphere of intimacy or common attitudes, behaviour
and performance that is lacking in other groups. Group cohesiveness is generally
regarded as characteristic of the group in which the factors acting on the group
members to remain and participate in the group are greater than those acting on
members to leave It.* the characteristics are as follows:
(1) Cohesiveness is an important indicator of the degree of influence of the group
as a whole. The greater the cohesiveness, the greater the groups influence
on members.
(2) Highly cohesive groups are usually characterized by good feeling among
members and an absence of tension, hostility and major conflicts.
(3) Highly cohesive groups are potentially better performers than non-cohesive
groups.
Factors determining the degree of cohesiveness **.
(1)Factors that can increase cohesiveness:
(a) Agreement on group goals: If the group agrees on the purpose and direction
of its activities, this will facilitate goal accomplishment.
(b) Frequency of interaction: When the group members can interact frequently
with each other, the closeness increases and that will increase cohesiveness.
(c) Personal attractiveness: If mutual trust and support already exist,
cohesiveness is increased when members are attracted to one another.
Personal attraction helps group members to overcome obstacles to goal
performance.
(d) Inter group competition: Competition with other groups, within and outside the
organization, brings group members closer together for attaining common
goals.
(e) Favorable evaluation: If a group has performed well some recognition for its
outstanding performance will elevate the group members to feel proud about
being members of the group. Such awards help to develop cohesiveness and
also to enhance performance.
(2) Factors that decrease cohesiveness:
(a) Disagreement on goals: Disagreement on goals brings conflict and infighting,
thus decreasing cohesiveness.
(b) Group size: when the size of the group increases, the frequency of
interactions between members decreases. This will decrease the probability
that cohesiveness will develop.
(c) Unpleasant experiences with the group: when there is lack of trust and
confidence between members of a group, interaction may become an
unpleasant experience, resulting in a lack of closeness in the group.
(d) Intra-group competition: Although inter-group competition brings groups
together, intra-group competition causes conflict, infighting. When managers
show favoritism, such situation arises.
(e) Domination: When one or more group members dominate the group because
of some personality traits, cohesiveness cannot develop.
14.15 Group Processes:
The internal operations of groups from another interesting component of group
behaviour. There are various processes that go on within a work group-the
communication patterns used by members for information exchanges, group
decision processes, leader behaviour, power dynamics, conflict interactions, and
collaborative efforts etc. understanding internal operations of groups is essential
to the study of work group behaviour. To facilitate such understanding, one has
to explore concepts as:
(i) Group functions and activities,
(ii) Group decision making,
(iii) Group cohesion and solidarity,
(iv) Group norms and standards of behaviour,
(v) Group leadership
(vi) Group members roles.
14.15.1. Group functions and activities:
The basic function of a group is to accomplish its objectives. However, in addition
to the overall and sometimes expressly stated objectives of groups, each
member of the group has his own objectives that are satisfying his own personal
needs. As a result, any group has a multiplicity of objectives: explicit, implicit,
recognized and discussed, only recognized, or not even recognized.
As a result of these different objectives, three different activities take place within
a group: group-task activities, group-building activities, and self-serving activities.
Group-task activities include activities such as initiating, clarifying, co-
coordinating and orient-
In the group to its goals; giving and seeking information, establishing contact with
the outside world, etc. These types of activities help the group in attaining its
primary goals and objectives.
Group-building activities allow the group to build and maintain itself by helping to
satisfy members needs and fostering trust and cooperation among group
members. Harmonizing, encouraging, using humor etc. indicate attempts to build
better relationships within the group so that the group can maintain itself.
Self-serving activities are those which a member of a group carries out from his
unique needs, values and goals. For example, attention-getting, dominating,
aggression, and withdrawal. Although such activities may satisfy the individuals
particular needs, they contribute little to the overall success of the group in
attaining its formal or primary objectives. When an individual engages in self-
serving activities, he may be more interested in serving his own interests than in
performing either group-task or group-building and group-maintenance roles.
14.15.2. Group decision making:
Group decision making is an activity that has an underlying belief in the old
adage two heads are better than one. Most decisions in organizations are made
in a group context.
Decision making is the process whereby a final choice is made among the
different alternative courses of action that are available for solving complex
problems. Group members with heterogeneous characteristics come together,
understand the problems in a better way and hence develop creative alternatives
leading to effective group decision making. When the issues to be decided are
complex, and require varied skills, knowledge base, expertise and experience for
generating the required solutions, group decision-making is very useful.
Advantages of group decision-making: Individual decisions and group decisions
each have their own set of strengths. Neither is ideal for all situations. Major
advantages of group decision-making include the following:
(i) More complete information and knowledge: by aggregating the
resources of several individuals, a greater sum of knowledge and
information is brought to the decision.
(ii) Increased diversity of views: The heterogeneity opens up opportunity
for more approaches and alternatives to be considered.
(iii) Increased acceptance of a solution: Participating in decision-making
increases an individuals acceptance of final choice.
(iv) Increased understanding of reasons: Individuals can increase their
understanding of the reasons underlying a decision when members
who can explain that are involved in group decision-making.
(v) Increased legitimacy: The group decision-making process is consistent
with democratic ideals since individual consult with each other before
making a decision. Therefore, it may be perceived as being more
legitimate than decisions made by a single person in an autocratic or
arbitrary manner.
Disadvantages of Group Decision-making: The major drawbacks of group
decision-making include the following:
(i) Pressures to conform: Members of the decision-making group may feel
pressure to accept the decision supported by the majority.
(ii) Domination by the few: Group discussion can be dominated by one or
a few members. If this dominant coalition is composed of low and
medium-ability members, the groups overall effectiveness will suffer.
(iii) Time-consuming: Groups tend to use more time in arriving at a
decision than an individual would use. This can limit managements
ability to act quickly and decisively when necessary.
(iv) Ambiguous responsibility: Group members share responsibility, but
who is actually accountable for the final outcome? In an individual
decision, it is clear who is responsible. In a group decision, the
responsibility of any single member is watered down.
(v) Delaying progress: The group may not be able to reach a decision,
thus delaying progress and leading to ill-will among its members.
(vi) Tentative solutions: When members of a group reach agreement on a
tentative solution, they frequently refuse to look for a better approach.
Thus group decision-making have many plus and minus points which can be
briefly outlined as shown in the following table 14.1:
Group think and Group shift: These two by-products of group decision-making
have received considerable attention of researchers in OB. These two
phenomena have the potential to affect the groups ability to appraise alternatives
objectively and arrive at quality decision solutions.
Group think phenomena are related to norms. In groups think phenomena, the
norm for consensus overrides the realistic appraisal of alternative courses of
action. The pressures for conformity defer the group from critically appraising
usual, minority, or unpopular views. Group think is a disease* that attacks many
Table 14.1: Group Decision: Merit and Demerits.
Merits Demerits
Breadth and depth of information input Pressures to conform
Diversity of views Domination by few
Acceptance of solution Time consuming
Enhanced understanding of reasons behind a decision Ambiguous
responsibility
Legitimacy of process Tentative solutions
Groups and can dramatically hinder their performance.
Group shift phenomenon indicates that in discussing a given set of alternatives
and arriving at a solution, group members tend to exaggerate the initial positions
that they hold. In some situations caution dominates, and there is a conservative
shift. More often, however, the evidence indicates that groups tend toward a risky
shift. The group shift can be viewed as actually a special case of group think. The
decision of the group reflects the dominant decision-making norms that develop
during the groups discussion. Whether the shift in the groups decision is
towards greater caution or more risk depends on the dominant pre-discussion
norm.
Tendency towards risky shift is of greater occurrence in group decision-making.
Research findings show that when groups engage in decision-making, they are
willing to take greater risks than when the same members make decision
individually. High risk taking behaviour in groups probably results from diffused
responsibility. Group decision frees any single member from accountability for
the groups final choice. Greater risk can be taken because even if the decision
fails, no one member can be held wholly responsible. Obviously, managers turn
over the complex and knotty problems to groups. In managerial work, group
decision-making is a way of life.
Irvin Janis * describes group decisions as most dangerous, a phenomenon the
calls groupthink. According to him groupthink is a failure to arrive at an effective
decision because of pressures within the group to achieve consensus. Janis
mentions that pressures for consensus particularly among high level decision
groups can lead to the following major symptoms:
(i) Invulnerability: Group members develop the illusion of invulnerability which
leads them to ignore the expected dangers, thus they take dangerous risks.
Irvin Janis, Victims of Group Think, Boston, 1972, Hougton Mifflin.
(ii) Rationale: Group members extreme rationalizations to explain danger
signals or opinion contrary to the consensus of the group.
(iii) Morality: Group decision makers may ignore the ethical or moral
consequences of their acts.
(iv) Stereotypes: Group think leads group members to think in stereotyped
terms of other people and groups. Opposing leaders or groups can be
cast as evil types never to be trusted.
(v) Pressure: Members under the influence of group-think place several
pressures on the members to the consensus, which has now become
a norm.
(vi) Self-Censorship: Members, who fear that a decision is wrong, or that a
better alternative decision might be tried, hold their own counsel and
do not share their doubts or questions with other members.
(vii) Unanimity: Self-censorship leads to the illusion of unanimity of opinion
within the group. The illusion of unanimity leads the members to be
complacent in their decision and fail to examine the consequences of
the decision.
(viii) Mind guards: Members take on self-appointed roles as protectors of
the leadership and key people in the group. These mind guards make
sure that key group members are protected from information that might
shake the groups confidence.
Group Decision-making Techniques: To minimize the disadvantages, one should
separate group sessions into two distinct stages: idea generation during which
alternatives are listed and not criticized; and idea evaluation
Most group decision making techniques attempt to facilitate or enhance the
creativity of group members while simultaneously minimizing the problems
associated with groups. Van Gundy** offers an excellent review of the
techniques. The major group decision making techniques include the following:
(i) Brainstorming: Perhaps the most well-known group decision-making
techniques are brainstorming, which was originally proposed during the
1930s by Alex Osborn.
Brainstorming is an idea-generation process that specifically encourages any and
all alternatives, while withholding any criticism of those alternatives.
In a typical brainstorming session, six to twelve individuals are selected to
participate in it. The number is kept purposefully small to ensure that all group
members will participate fully. Only individuals possessing some familiarity with
the problem become member of the group. Ideally, they should be approximately
equal in status to guarantee that they will not be inhibited during the free
wheeling meetings. Also, it is preferable that the individuals have diverse
backgrounds because heterogeneity increases the potential for eliciting creative
ideas.
Immediately before the brainstorming session, the individuals attend an
orientation session to familiarize them with the principles of brainstorming. There
principles include the following : (I) criticism and evaluation of ideas are ruled out
during the brainstorming session to ensure that individuals will express their
ideas openly and fully without feeling intimidated; (ii) free wheeling and the free
association of ideas, even of the wildest sort, are en-
Courage; (iii) the group is encouraged to generate as many ideas as it can
possibly generate; and (iv) group members are encouraged to combine and
improve ideas.
The idea-generating brainstorming session typically lasts thirty minutes and
rarely exceeds forty-five minutes. The leader allows only one individual to talk at
any given time to avoid confusion and chaos. An evaluation group of five
individuals then examines all of the ideas and selects those they consider to be
the best ones. This evaluation group then presents a list of the selected ideas to
the original brainstorming group and asks its members to submit any additional
ideas. The evaluation group subsequently presents the final ideas to the
individuals who ultimately are responsible for implementing them.
Apart from this classical brainstorming as delineated by Osborn, there are
several variations such as having all individuals express their ideas in a
structured, round-robin fashion. Whatever the variation, brainstorming
emphasizes the principles described above and definitely includes the use of two
phases, idea generation and idea evaluation.
(ii) Nominal group technique (NGT): The nominal group technique is
specifically designed to protect group decisions from group think
problems. NGT restricts discussion or interpersonal communication during
the decision making process; hence the term nominal. Group members
are physically present, as in a traditional committee meeting, but members
operate independently. Specifically, a problem is presented and then the
following steps take place :
(i) Members meet as a group but, before any discussion takes place,
each member independently writes down his or her ideas on the
problem.
(ii) This silent period is followed by each member presenting one idea to
the group. Each member takes his or her turn, going around the table,
presenting a single idea until all ideas have been presented and
recorded typically on a flip chart or chalkboard. No discussion takes
place until all ideas have been recorded.
(iii) The group now discusses the ideas for clarity and evaluates them.
(iv) Each group member silently and independently rank-orders the ideas.
The final decision is determined by the idea with the highest aggregate
ranking.
The chief advantage of the NGT is that it permits the group to meet formally but
does not restrict independent thinking, as does the interaction group.*
(iii) Delphi decision making technique: It is similar to the nominal group
technique except that it does not require the physical presence of group
members. In fact, the Delphi technique never allows the groups members
to meet face-to-face. The gathering of opinion takes place through mailed
questionnaire or some other form of communication. All communication
typically is in writing. Members are selected because they are experts or
have relevant information to share. They are asked to share their
assessment of a problem of predict a future state of affairs. Explanations
of their conclusions also can be shared. Replies are gathered from all
participants, summarized, and fed back to the members for their review.
Then they are asked to make another decision based on the new
information. The process may be repeated several times until the
responses converge satisfactorily.
The anonymous input tends to eliminate the counter productive effects that
status, intimidation, emotion, face-saving and argumentation can have in
traditional interacting group decision-making procedures.
Success of the Delphi process depends on adequate time, participant expertise,
communication skill, and the motivation of members to immerse them in the task.
The major merits of the process are lack of a need to bring geographically
separated members together and the surprising accuracy of decisions in many
situations.
0
Another advantage is that the costs of bringing the executives
together at a central location is avoided.
However, the method is extremely time-consuming; it is frequently not applicable
where a speedy decision is necessary. Additionally, the method may not develop
the rich array of alternatives that the interacting or NGT does. Ideas that might
surface from the heat of face-to-face interaction may never arise.
All these different group decision making techniques can be used successfully in
various situations. The use of specific technique should depend upon the goals
one is attempting to achieve.
14.15.3. Group Cohesion:
As we have already seen, the term cohesion simply means solidarity. The
more cohesive the group, the more likely it is to have common values, attitudes,
and standards of behaviour. The degree of a work groups cohesiveness affects
the degree to which that group is helpful or harmful to the organization as a total
system.
Cohesiveness is the attractiveness of the group to its members the degree to
which members desire to stay in the group. Cohesiveness is an outcome of the
way group members have interacted. A group can be highly cohesive only if it
has been successful in accomplishing its group-building and group-task activities,
and minimizing the self-serving activities of its members.
In addition, there are other factors which affect group solidarity. Generally, these
factors include the following:
Status: The greater the status of a group, the greater its cohesion.
Size: The size of a group affects its cohesion. If a group is too small, just
consisting of two or three people, there may not be enough skill within the
group to perform the group building and task activities. Conversely, if the
group is too large, communications within the group may be break down. As a
groups size expands interaction with all members become more difficult, ad
does the ability to maintain a common goal. Frequently, larger groups tend to
form smaller sub-groups.
Time spent together: The amount of time that people spend together
influences cohesiveness. As people spend more time together, they become
friendlier and develop common interests.
Gender of members: Women in general are less competitive and more
cooperative with people they see as friends, colleagues, or team-Mets than
men are, and this results in greater group bonding.
Homogeneity or Heterogeneity factor of the group: If the groups members
have widely different values or status the may find it difficult to become a
cohesive unit.
Groups composed of 3 persons have a tendency to break up into a two-some,
with one member left outside or an isolate
Fig. 14.4: Sub-grouping tendency.
A group composed of individuals of similar personalities, intellectual levels,
abilities, experience, and view-points would not have the variety of assets
available for activities such as group problem solving, as would a group in which
the individuals differ in these regards. However, again if the differences among
members in these characteristics are too extreme, it could be difficult for group
members to work together.
Isolation: The more a group is isolated from other groups, the more it tends to be
cohesive. Similarly, members of an isolated group are more likely to share
common values and standards of behaviour. Thus, a small group isolated from
the rest of the organization may become highly cohesive and demand a great
deal of conformity from its members.
External threats: Reacting to outside pressures is one of the fastest ways a group
can develop strong solidarity. Many examples illustrate the kind of cooperative
phenomenon that can develop within a group when it is attacked from outside.
Success: Generally, the more successful the group is, the more likely it is to
become highly cohesive. Conversely, if the group fails to achieve a particular
goal, its solidarity may, but not always, decrease. If a group has a history of
success, it builds an esprit de corps that attracts and unites members.
Importance of Group cohesion and solidarity:
Cohesiveness has a direct bearing on a groups behaviour. The more cohesive
the group, the greater the likelihood that its members will have similar attitudes,
values and behavioural patterns.
The fact that a group is highly cohesive also increases the chance that members
can influence other members to change their behaviour. The more cohesive a
group is, the greater the number of members who conform to its norms. Thus
group cohesiveness and conformity to norms are mutually reinforcing factors.
Research findings tend to support the assumption that members of highly
cohesive groups communicate better, are more co-opera-
There, are more responsive to group influence, they tend to achieve accepted
goals more efficiently and to have higher satisfaction.
Cohesiveness can also be a hazard. There can be various consequences and
dangers of work teams becoming victims of their own group norms. Under the
pressures of functioning and conforming, they are largely unaware of this
outcome.
14.15.4. Group norms and standards of behaviour:
Over a period time, a group tends to develop a life, history, and culture of its own.
Concurrently, the group members tend to either develop roughly the same
attitudes and values or leave the group. This similarity in attitudes and values is
called a norm or standard, against which the appropriateness of the members
behaviour is judged.
As Davis points out, some norms apply only to overt, perceived behaviour; some
are formed that is written, and others are informal, that is they emerge from the
interaction of group members.
Norms also influence an individuals decision whether or not to join a particular
group. Teen-agers tend to associate with other teen-agers. The tendency to
associate with, pay attention to, and listen to other group members further
enhances the commonality of group attitudes and norms.
The existence of group norms exerts a pressure on group members to conform
to these norms. Members whose attitudes and values differ widely from group
norms must decide whether to try to change these values; learn to accept them,
or to drop out of the group. However, as Davis points out, overt deviation from
established norms is generally met with sanctions by the group. It is important to
note that unwritten norms may be just as important and powerful as formal,
written ones.
14.15.5. Group leadership:
The term leader usually connotes someone with formal authority, the boss of a
formal take group. However, a leader is anyone who takes on group-task, group
building, or self-serving roles. Therefore, a group may have over time, many
different leaders, some more effective than the others. Leadership in terms of
power and influence is distributed at various times in the life-time of a group.
14.15.6. Group members roles:
Task and maintenance activities form an integral part of the group processes and
serve the twin purposes of successful task performance and effective group
maintenance, thus contributing to group effectiveness.*
Task roles: In effective groups, at least six task roles are undertaken by group
members as they work towards the group totals. There are the roles of idea
initiator, information seeker, information provider, problem clarifier,
summarize, and consensus taker.
Maintenance roles: Maintenance activities take care of the scoio-emotional
aspect of member relationship. At least five maintenance roles deserve
attention: harmonizer, gate-keeper, supporter, compromiser, and standards
monitor.
Self-oriented roles : This six major self-oriented roles that some members are
likely to engage in are : aggressors, blockers, recognition-seekers,
dominators,
Avoids and interest pleaders.
By discouraging self-oriented role bahaviours in the group, and by the group
members actively performing the task and maintenance roles, the group will be
able to simultaneously achieve high levels of task performance, member
satisfaction, morale, and commitment to the group.
14.16. An Effective Group:
The nature of the group determines the character and development of its
members. The values of the group, the stability of these values, and group
atmosphere, and the nature of conformity demanded by the group determine
whether a group is likely to have a positive or negative impact upon the growth
and behaviour of its numbers.
Loyalty to a group produces pressures to work in conformity. The groups have
the capacity to behave in ways other than the behaviour of their member. Nature
of a group can vary from one in which there is hostility among the members to
one in which the attitudes are warm and friendly. An effective group is always
conceived as being part of a larger organization.
Characteristics of an effective group are as follows:
(a) The members are skilled in all the various leadership and membership roles
and functions required for interaction between leaders and members and
among the members.
(b) The group has been in existence sufficiently long to have developed a well
established, relaxed working relationship among all its members.
(c) The members of the group are cohesive and are loyal to group including the
leader.
(d) The members and leaders have a high degree of confidence and trust in each
other.
(e) The values and goals of the group are integrated with the individual goals and
values.
14.17. Team Work and Team Development:
14.17.1. The importance of team work:
These days organizations emphasize the ability to work effectively in a team as
a major criterion in their job descriptions and advertisements. This is because
people are increasingly being required to work together, to co-operate and pool
expertise in order to achieve objectives.
14.17.2. What is a team? :
Pauline Barrett* says, to define the team it may be helpful first to say that a team
is not:
a collection of individuals who happen to have the same work place;
a collection of individuals who happen to have the same director or line
manager; or
A collection of individuals who do the same job in the same department.
It is a group which shares, and says that it shares, a common purpose and
recognizes that it needs the efforts of every one of its members to achieve this. A
team is a team when it sees itself as a team, is going in the
Team direction, and has worked out its own team ways.
Characteristics of effective teams: An effective team has:
(i) Clear objectives which have been agreed
(ii) Members who are committed to these and contribute fully to achieving
them
(iii) A good mix of people who can contribute relevant ideas and skills
(iv) A supportive atmosphere where people can give and take criticism
which is constructive and say what they really think
(v) A leader who can keep their attention on the task, direct well but keep
a harmonious working atmosphere.
(vi) A commitment to hard work but the ability to enjoy this
(vii) An ability to listen to each member and to communicate.
(viii) Respect for each member
(ix) A high success rate
(x) Members committed to the task and the group as a whole
The term effective in this context means achieving the groups goals.
Successful teams usually operate in the following manner:
More planning, relating individual activities to the total objective.
Less defensiveness in meetings or group discussions.
Greater involvement in project of individuals who had previously been
consulted at too late a stage.
Paying more attention to looking at short and long-term objectives in
meetings.
Allowing greater reliance upon each other, sharing a common view of
objectives
Achieving more in productivity, and in the confidence of outsiders.
Adaptability to changing circumstances and pressures*.
It is important to remember that in an effective team individualism of members is
honored yet it functions as a unit. Each member is encouraged to contribute his
knowledge, skill, and expertise to the overall effort. There is minimum of conflict,
jealousy, cheating, personal aggrandizement etc. . all that obstruct progress.
Group and its goals take precedence over the prominence of any member.
Effective team also brings out latent talents and abilities of each member. There
is an atmosphere of continued growth and development.
Member characteristics in an effective team:
Sharing the same values, priorities and objectives
Caring about the task, the team and the individuals within it
An ability to listen and be open-minded
An ability to use disagreement to develop better ideas
An ability to resolve conflict rather than avoid it
An ability to give and receive frank, constructive criticism and retain mutual
respect.
An ability to use a range of skills and knowledge relevant to the task
An ability to play different Roles.
In the absence of these member characteristics, important ideas are over ridden
or ignored with consequent resentment, withdrawal of effort and lack of
commitment.
Fig. 14.5: Team building efforts
Development of positive individual roles:
Within teams every individual will adopt a role, positive or negative, which reflects
his or her personality as well as his or her attitude towards the group, the task,
and towards other group members.
Some specialist group roles are:
(i) Initiator
(ii) Information/opinion seeker
(iii) Information/opinion giver
(iv) Observer/commentator
(v) Evaluator/monitor
(vi) Communicator
(vii) Encourager/Harmonizer
These types of role behaviours are all helpful to a team in achieving its
objectives; any member may undertake one or more of these roles at different
times. Collectively these roles help the tasks to be undertaken while the group
works as a co-operative and happy unit.
However, there is another set of roles which may have opposite effect. It is
necessary to recognize these negative roles and develop coping strategies within
a group if these are to be prevented from upsetting the work of the group.
The negative group roles are:
(i) Attacker
(ii) Blocker or Rejector
(iii) Detractor
(iv) Help-seeker.
While dealing with negative roles one should not assume that negative behaviour
within a group is totally the fault of the individual exhibiting it. Groups often
alienate individual group members unwittingly and are then surprised when the
individual exhibits negative behaviour. For instance, a withdrawn member may
have been attacked by the group earlier; a blocking member may have had his
ideas rejected without due consideration by the group. Sometimes the behaviour
dates back to experiences in previous groups. Hence it is useful to attempt to
establish the cause for the behaviour and deal with it rather than reacting to its
manifestations.
How to build effective team?
Team-building is essentially an art, a science, and a skill.* the art of team-
building is to have an armory of understanding about people, singly and in
groups. It is concerned with talking through needs, differences and individual
contributions. In the team builders art is the ability to see the team as a whole,
and to release the energies of the members towards the solution of joint
problems and away from the petty differences which can inhabit the work place.
The science of team building is the collection of the facts, and this is where the
scientific approach can make its contribution. Building a team will entail the
investigation not only of what has happened and what it is perceived will happen,
but also of how people behave, and how they feel about what is happening. The
scientific approach of listening intently, collecting facts and testing assumptions is
the key to the enabling skills of the team builder.
The skill of the team builder is that of the juggler.* the juggler knows that that act
is, knows the price of failure and against that balances the excitement of the risk
and the likelihood of success. Practice and confidence in assessing situations
and making interventions are the real skills for juggling and team building.
Barrett Pauline, op. cit., p. 262.
In order to line up effective team, the tea builder should essentially determine:
What needs to be done
What kinds of skills are required
Which people work best together
What general guidelines to provide that will help them to function together?
The effective team-builder should also do some soul-searching:
What have I done to earn their loyalty?
What am I doing to enhance co-operation?
What can I do for providing the climate that promotes team-spirit and team-
integration?
Do I show trust and confidence in my subordinates both tangibly and
intangibly?
Team-building is now-a-days a major concern for most organizations. For
effective team-building, the team-builder had to remember that effectiveness
should never be measured merely in terms of completing a task or reaching a
decision. A team must also review its own strengths and weaknesses and be
aware of the Exercise processes by which it operates.
OBSERVING THE GROUP IN ACTION
(i) This exercise is designed to help students to increase their understanding
of group behaviour. A small group of five or seven students selected by
the instructor should be asked to sit in a semi circular fashion on the dais
or in front of the class so that everyone can observe and hear clearly. The
following short cases, or any other short problems, one at a time should
be read about and then in the following three minutes, all the group
members should get down important points for discussion. Rest of the
class should also think silently about the problem before the group
discussion starts. About 15 to 20 minutes should be allowed for actual
group discussion by the five-seven members who are expected to come
out with concrete answers. The remaining class should remain quiet and
not interrupt the group. Their role is of silent observer. At the end, each
class member should be ready with his rotes and should try to answer all
of the following questions :
How for every number contributed to the discussion?
How were they encouraged to do so?
Who was reluctant to participate and why?
Who tried to monopolize the discussion? How was this problem dealt with?
What was done to bring the silent members in the discussion?
Who emerged as a leader in the group?
Was there any sub grouping tendency? If yes, identify the subgroups. How
and why were they formed?
Was there easy consensus among all the participants? If not, where were the
hurdles in reaching consensus?
(ii) Yet another way is: the instructor can divide the class into small groups.
One group will sit outside of a circle in which another group is placed. The
inside group discusses the case and the outside group plays the role of
silent observer all the while analyzing all the given questions. If time
permits, the outside group becomes the inside group, another case is
analyzed, and a discussion involving both groups and focused on the
given questions then takes place.
GUIDELINES FOR CASE-DISCUSSON
There can hardly be any controversy over the usefulness of the Case-Study
method. This method is found to be very effective in enabling the students of
management to cultivate a vital managerial skill the ability to grasp and
comprehend the issues involved in a business situation, and to analyze it
precisely and methodologically to bring out a feasible solution from a large range
of alternatives. Class room discussion of Case-Studies renders the students
with an exposure to distinctive situations from which general concepts and
techniques for interpersonal skills can be mastered. This certainly well-equips
them with their tool-kit of management techniques, so that they can deal with
people oriented problems with ease and confidence.
(I) Analytical Case :
In this type of case-discussion, we come across a condition in which the action
has been completed and the problem situation has been Solved. While handling
such type of cases, the students should concentrate on learning the decision-
making methods employed by the manager with reference to the problem
situation at hand by thoroughly studying this decision-making process. Students
can then derive their own conclusions as to how the situation was dealt with. No
decision-making is required of the students in the analytical cases; what is
required most is their evaluation.
(II) Issue Case :
In this type of case discussion, we come across a condition in which the problem
situation has been unsolved. While handling such type of cases the students
own decision making capacity plays a crucial role. Here they are required to
analyze the situation, determine the nature of the problem and arrive at a solution
through appropriate decision. Again, students are required to derive some
conclusions about both the problem situation and the decision-making process
on the basis of ideas which contributed point for the decision.
Prior to tackling any of these two types of cases, it is advisable that the students
should read the case carefully at least twice to ensure that they become familiar
with the facts and that they can easily grasp the implications of the issues that
are involved in the case.
In analyzing the case, students should follow systematic procedure of
exploration. Basically they should try to know the facts which suggest the
existence of a problem and then they should try to understand the nature of the
problem. As per their own perception, the students should focus on the causes
and symptoms of the primary problem. They must learn what the key issues are
and why are they important. They should also make it clear as to who must deal
with the problem and with what aim in mind the problem must be tackled.
Next, the students should locate possible courses of action and evaluate the
advantages and drawbacks of each. For this purpose, they must utilize their
theoretical knowledge and try to apply different behavioural models appropriate
for the situation at hand. In the light of all this background, students must come
up with the best solution for the problem situation. They have to be fully aware of
the likely effects and be able to anticipate positive as well as negative outcomes
of this solution. Thus, thinking systematically in case analysis is extremely
important.
In addition to the above two types of cases, sometimes we come across a third
type of case known as Illustrative Case.
(III) Illustrative Case :
The basic purpose and function of the illustrative case is to explain or review
certain concepts and provide useful information. In this
Book, the case Self-images is an example of the illustrative type of case where
the concept of the Basic Life Positions is clarified through case examples.
In the case study discussions, it is very interesting to note how equally valid
deductions are made from the same facts when we consider the case with an
open mind. If the participants in the case discussion follow logical analysis and
careful arguments, most feasible solutions do come out to the fore front.
Thorough and profound learning of this process undoubtedly enables the
students to improve their own skills not only in doing case-studies but also in
handling managerial situations effectively and efficiently in the realistic
organizational settings.
SHORT CASES FOR DISCUSSION
CASE (I)
You are the Quality Control Team of a private sector company manufacturing
pharmaceuticals with a turnover of Rs. 20 croores. You realize that Rs. 2 crore
worth saline glucose bottles produced by you and dispatched to distributors,
retain outlets and hospitals all over the country is infected by some fungus
unobservable to naked eye but harmful to human life. Your Managing Director
offers you all, promotions and other incentives to ignore it.
Please comment by discussing the problem in detail.
After the group has completed its discussion, the instructor can lead a class
discussion focused on the question mentioned in the beginning.
CASE (II)
Hari being the only earning member of a family of six had lot of responsibility. In
the Company, he was known as the most obedient and honest worker.
However, he was once caught in a minor pilferage. He had lifted two or three
small pieces of a broken mirror and two or three scrap tins from the company and
was caught by the security. He admitted the mistake but management decided to
hold enquiry and issue the charge sheet. He was told to report the next day. The
same day he committed suicide on the railway track under the passing train.
-Please discuss.
CASE (III)
A guest in a hotel discovered that his camera was missing from his room. He
reported the incident to the manager, where upon he was given Rs. 500/- credit
for the value of the camera. The manager then investigated the situation. He
concluded that only ten bell boys had access to the camera and announced a
Rs. 50/- deduction from their salary if the thief did not confess.
A week later, other guests in the hotel complained regularly about shoddy service
being provided.
-Please discuss.
CASE (IV)
(iv) Ranjit was a new supervisor in a large manufacturing organization. He
supervised the machine shop which employed 25 workers. A group of 14 senior
workers used to gamble regularly during lunch time.
One day, Ranjit came across the eight workers and found them gambling. He
rebuked them and told them to stop playing. The workers refused and said that
what they did during lunch time was none of his (Ranjits) business!
-Please discuss.
CASE (V)
Shailesh is a supervisor of the motor fleet (10 vehicles) of a renowned company.
The fleet is used to stock up wholesales in the town. The Union has just signed a
wage agreement for the next two years. All the drivers are SSC passed. The
Accounts department requires the drivers to filt in their duty slips. The drivers are
reluctant to do this. Shailesh threatened them and criticized their behaviour
without getting desired result. Shailesh is looking for a better way to motivate the
drivers.
- Can you suggest a better approach?
CASE (VI)
Sabyasachi Dasgupta is an Engineer in a large design engineering office. He
comes from a rural background and his family is in the low-income group with
stern rules. In order to earn his college degree, he had to work hard and pave his
own way trough college.
Sabyasachi is an intelligent and capable person. His main drawback is that he
doesnt want to take risks. He hesitates to make decisions for himself and often
brings petty and routine problems to his boss or other engineers for a decision.
Whenever he does design a job, he brings it in rough draft to his boss for
approval before he finalizes it.
Since Sabyasach is needed a capable person, his boss wants to motivate him to
be more self-reliant in his work. This will result in improving his performance and
enhancing his self-confidence. However, the boss is not sure how to go about
motivating this fellow to become self-reliant.
- Can you suggest the right approach?
CASE (VII)
You are all members of the team of HRD department of a large reputed
Company. You have received an application in response to your advertisement in
the newspaper from the present Chief Ministers son. He seems to be well
qualified and capable of the job. Unfortunately a few junior officers from other
department who know the Chief Ministers son have heard of the application and
hence can make the probable choice look like nepotism.
- Please comment and thoroughly discuss the implications of your decision,
whatever it may be.
CASE (VIII)
Sanket sharma was being groomed for promotion. He had been a supervisor for
more than six years and his immediate boss was happy with his performance
throughout that period. Sanket was genuinely interested in management
education and by attending the evening classes; he qualified himself in some
diploma course in management studies. The personnel manager of his
organization took a note of his achievement, arranged for him to work closely
with one of the middle managers on the maintenance service side of the
business with immediate effect.
As Sanket has expected from his studies in Behavioural Science, the approach
and style of this manager towards staff did not coincide with his own ideas.
Although he thought the treatment and the way of dealing was indeed insensitive,
it seemed to work very well. Everyone seemed to respect Mr. Joshi and the
department worked smoothly.
After the six weeks training period was over, the personnel manager interviewed
Sanket who was very well prepared for the occasion. However, one of the
questions that came up caught Sanket unawares.
Personnel Manager: Did you know that Mr. Joshi was disliked by most of his staff
and he knows it?
Sanket: Really? I must admit I didnt realize that. I thought he was little bit harsh
on them but they didnt react openly towards him!
Instead of Sanket, Mr. Joshi got the promotion order!
Please discuss. Analyze the thoughts, feelings and actions of the persons
involved in the above situation.
CASE (IX)
Abhay recently promoted to run the entire section since her performance so far is
exceptionally superior. She takes keen interest in her job and pays particular
attention to the quality and substance of whatever task she undertakes.
However, Mr. Murthy, the General Manager, found Abhay very reluctant to
accept this promotion as she is not much confident about getting whole-hearted
co-operation of her colleagues. Especially Sonali; her competitor is most
uncooperative and openly aggressive due to feelings of envy and jealousy.
Sonalis close clique has formed a strong sub-group that opposes Abhay in every
possible manner. Mr. Murthy wants to be successful in handling this case of
Competence without confidence. How should he go about it? How to deal with
Sonalis resentment?
CASE (X)
Neeraj knows that Mrs. Anita Desai has applied for a vacant Section Managers
job. If she got it, both of them would be on equal grades. Neeraj has watched the
way Anita creped her way up the ladder. Neeraj does not like her. There is
nothing specific which he can point out, but he doesnt trust her. She works
devotedly, there is nothing to be complained about her performance, her team
members also appear to be satisfied and they all work well for her.
Neeraj largely attributes her success to the ingratiation which she wins for herself
from senior people. He feels that before he knows it, she could become his boss
and that would be terrible for him to tolerate. Neeraj feels restless and wants to
go and speak to Mr. Chowdhary, the General Manager, about Anita before she
gets the job offer. However, he knows that Mr. Chowdhary has very positive
opinion about her as a conscientious, intelligent, and ambitions lady. Neeraj is
ambivalent and confused over the possible adverse effect of his ill-speaking
about Anita, but he is damn sure that he couldnt stand it if she becomes his
boss.
- Please discuss. How Mr. Chowdhary can solve the dilemma faced by Neeraj.
CASE (XI)
Hemant was temporarily promoted to the position of Production Manager and he
anticipated that it would become a permanent situation. However he was
severely disappointed when this did not occur. In fact, recently while having an
informal chat with his boss Mr. Pai, he was convinced that Mr. Pai has Hemant in
his mind for promotion and the forth coming vacancy for Production Manager
could be Hemants when it arose. Mr. Pai said that he was pleased with
Hemants performance.
However, when the vacancy actually arose, it was filled from the main branch of
the organization with someone more experienced than Hemant. Though it was
not officially announced, the news leaked out and Hemant became pretty upset
about the appointment. Feeling aggrieved, he wanted to take his complaint to Mr.
Pai.
- Please discuss how Mr. Pai can alleviate Hemants hard feelings?
CASE (XII)
Self-discipline Scheme : A company employing 2200 workers and 350 officers, is
having a turnover of Rs. 150 crores and profit of Rs. 1 crore per annum. The
company has
One recognized union, which is not affiliated to any political party. The
employees participation in the management is very well. The company has good
industrial relations. There are many shop-floor committees and they all receive
very good participation from employees. Most of the decisions in these
committees are taken and implemented generally through employees
participation scheme.
Although companys target for production and marketing are achieved, there is
much scope for improving productivity. There are certain hurdles for improving
productivity such as absenteeism, late coming, refusal of work, going outside the
factory premises on duty, in the factory premises and not roaming to follow
strictly tea and lunch timing. To improve overall productivity and to overcome all
above hurdles, Management has decided to form a committee having
representatives from union and management. This committee is supposed to
discuss the problem, analyze it, and find the solution to overcome the problem
and implement self-discipline scheme in the factory.
The groups will consist of almost equal number of representatives from
management side and the union side. One of the group members will act as
leader and will present the case to the whole class.
Exercise
1. How will you define a group? Why do individuals join groups? Briefly discuss
the theoretical explanations for group formation
2. What are the basic types of groups in organizations? Which type of group do
you think is most significant? Why?
3. Differentiate between formal and informal groups in the organization.
4. What is a small group? Discuss the stages of group development.
5. Discuss the nature of group dynamics which prevail in informal organization
and its impact on the effectiveness of the organizations as a whole.
6. What is group dynamics? What impact do groups have on organizational and
individual effectiveness?
7. Describe Schachter study and state its implications for the study of OB?
8. What are the structural dimensions of groups or components of group
structure? Describe them briefly
9. Discuss briefly the advantages, disadvantages and techniques of group
decision making.
10. What is group think? Is the concept applicable to the family unit as well as to
organizations? Explain.
11. What are some of the major symptoms of group think? Can you give an
example from your experience where this may have happened?
12. What is group cohesion? What is its importance? What are the factors that
affect group cohesiveness?
13. What is an effective team? What are member characteristics in an effective
team?
14. How to develop an effective team? Give some essentials of effective team
building.
15. Write short notes on :
(i) Positive and Negative group roles
(ii) Delphi decision making technique
(iii) Nominal group technique
(iv) Group shift
(v) Stages of group development
(vi) Formal versus informal groups
(vii) Schachter experiment
(viii) Group cohesion
(ix) Group norms or standards of behaviour
(x) Task maintenance and self-oriented group roles
(xi) Effective teams
(xii) Group dynamics.
Quiz
I state whether true or false and justify your stand briefly.
1. The origin of formal organization is spontaneous where as informal
organizations are planned and deliberate.
2. Groups pass through a standard sequence of six stages : forming, storming,
norming, performing, adjourning and mouming
3. Command and task groups are dictated by the formal organization whereas
interest and friendship groups are informal alliances
4. Formal groups have cohesiveness as basis for attachment whereas informal
groups have loyalty as the basis.
5. Any group has a multiplicity of objectives: explicit, implicit, recognized and
discussed, only recognized, or not even recognized.
II Match the following:
Homans Group dynamics
New comb Exchange theory
Kurt Lewin Balance theory
Thibaut and Kelly I-A-S theory
Schacter Risky shift
Group thinks Checker board study
Compromiser Self-oriented role
Initiator Maintenance role
Avoider Task role
Attacker/blocker Positive role
Harmonizer Negative role
+++
CHAPTER-15

Management of Stress
Causes, Consequences and Coping Strategies
15.1. Introduction:
Although the phenomenon of stress is existing since ancient times, conscious
attempts to study the concept systematically have begun in the later half of the
twentieth century. In seventeenth century, stress denoted hardship, straits,
adversity or affliction. During the eighteenth and nineteenth centuries, it meant
force, pressure, strain or strong effort. It came in social sciences from
engineering and physics. In physics, it denoted the internal force generated
within a solid body in response to the action of an external force which distorted
the body. While the external force was called load, the resulting distortion was
termed strain. Social and biological sciences have found it necessary and useful
to investigate the effects of stress and psychological tensions on the physical and
mental well being of people.
Concern about the impact of stress on people has its roots in the pioneering work
or Dr. Hans Sclye, the recognized father of stress.
In 1951, he wrote his first article on stress and since then there have been more
than a million scientific publications related to stress.
15.2 What is Stress? :
Stress is a common experience of people when any demands are placed on
them by their work or personal environment. This is of course an inevitable part
of life. In fact, without such demands people would become rather static, dull and
unproductive. A certain amount of stress is desirable to give us the required
stimulation and motivation for our continued personal growth. Mild stress proves
useful in overcoming periods of frustration and dull routine. However, too much
stress affects our health and behaviour adversely. Over time we may be
weakened also affects our vitality, our life expectancy, our relationships, our
perception, our emotional stability, our openness to others, our ability to listen
and empathize, our physical stamina, our tendency to error and our proneness to
accidents.
15.3 Definition of Stress:
Dictionary defines stress as pressure, condition causing hardship, disquiet.
Stress is mentally or emotionally disruptive or disquietening influence. It is an
unpleasant state of affairs and irritating or annoying condition of mind. It includes
anything that makes us tense, angry, frustrated, or miserable. Thus, stress is
usually thought of an negative terms. It is thought to be caused by something
bad. This is known as distresses. Yet, as Sclyc has pointed out, there is also a
positive, pleasant aspect of stress caused by good things. This is known as
custress. (Prefix cu means good in Greek). Its Sanskrit equivalent is Sukha
or Anand. It is invigorating, stumulating and desirable. Dis-
Tress is negative stress; its Sanskrit equivalent is Dukkha or Klesha. It drains
our energy.
Hans Sclye defined stress as: the nonspecific response of the body to any
demands made upon it.
Bcchr and Newman defined job-stress as a condition arising from the interaction
of people and their jobs and characterized by changes within people that force
them to deviate from their normal functioning.
Fred Luthans defied stress as an adaptive response to an external situation that
results in physical, psychological, and/or behavioural deviations for
organizational participants.
Doctors relate stress to disorder or breakdown of coping mechanism.
15.4. Nature of Stress:
We have already seen the dual nature of stress: Positive and Negative. However,
whenever people are talking about stress, they mean distress. Stress is additive
in nature it builds up. Each new and persistent stressor adds to an individuals
stress level. Thus, various life-events and life-Strains make people increasingly
vulnerable for further stress.
Our degree of vulnerability is constantly changing. Our constitution, family
background, upbringing, education, previous experiences, present
circumstances, future expectations, mental attitude, ingrained beliefs, nutritional
state, physical fitness, age, number of life events requiring adaptation,
personality make-up, health habits and biological factors all have a bearing on
whether we will be successful in with standing stressors or whether we succumb
to them. Ages and stages of life, biological factors and unhealthy life-styles and
our attitudes and beliefs make us most vulnerable to stressful situations.
In general, the balance resulting from the interaction for four components
external demands, internal needs and values, personal coping resources and
external resources or support determines whether a particular situation will be
stressful or not.
Day to day problems, work related pressures, financial loss, conflict of interests
between home and work-place, a sudden income-tax notice, noise from
neighbors house, unrealistic expectations of others. All these and many more
situations cause irritation and lead to stress. No matter what the situation is,
when the demand we perceive exceeds the resources we think we have, the
body and mind are aroused and all systems are geared up either to fight the
challenge (often successfully) or to flee from the situation to avoid harm. Our
reaction to a worrying situation is known as the fight or flight syndrome when
the body quickly prepares itself for physical action.
Initially stress was studies in terms of Sclyes general adaption syndrome. Since
this beginning, which concentrated mainly on the physiological dimensions of
stress, attention has also shifted to the psychological and behavioural
dimensions. Stress is more than a simple cause-effect reaction. The inner
dimensions of this process-our perceptions, expectations, beliefs and needs
are also a central element in the equation.
15.5. Mechanism of Stress:
Stress is the bodys automatic response to real or imagines dangers and
challenges. When under pressure, our bodies release a harmone called
adrenaline which, combines with other harmones, allows us to face up to
worrying situations. Blood circulates quickly round the body carrying the
maximum amount of oxygen to muscles. Blood sugar rises, making extra energy
available so we are ready for action. This is known as Fight or Flight reaction.
The Fight or Flight Response.
Fig. 15.1 (a): The Fight or Flight Response
The Relaxation Response.
Fig. 15.1 (b): The Relaxation Response
The heart rate increase, blood pressure rises, breathing quickens, the senses go
on full alert. Body prepares us to run for life or fight to the death.
Hans Sclye presented General Adaptation Syndrome (GAS) theory to explain the
mechanism of stress. The GAS has three stages: alarm, resistance and
exhaustion. The initial alarm reaction indicates that something is wrong some
where with the system. If stressor continues, GAS moves into the resistance
phase in which bio-chemical defenses are mobilized to offset the effects of the
stressors. It is a stage of maximum adaptation when the individual restores the
equilibrium. Finally, if the stressor persists over a long period of time or defense
mechanism falters, the adaptive mechanisms may become drained, and
exhaustion sets in. Result can be illness or even death.
15.6. Classification of Stress:
Stress can be classified according to different criteria:
(1) According to Effect :
Eustress or Positive stress
Distress or Negative stress
Neustress or Indifference to stress
(2) According to Avoidability :
Avoidable stress e.g. expectations of self and family
Non-avoidable stress e.g. death
(3) According to Intensity :
Life-threatening stress e.g. accident
Non-life threatening stress e.g. interview
(4) According to Levels :
Extrinsic stress at the organizational level
Intrinsic stress at the individual level
(5) According to Emergence i.e. source of stress
Adjustment stress
Adaptability stress
Confusion stress
Conviction stress
Ego stress
Situational stress
Frustration stress.
15.7. Sources of Stress: Stressors
Stressors are the casative factors of stress. Broadly, there are three kinds of
stressors: Physical, Social and Psychological.
Physical stressors are external factors including chemicals, pollutants, drugs,
poisonous environment, radiation, excessive cold-heat temperature, noise,
vibration, humidity etc.
Social stressors are extremely induced and result from the interaction of the
individual with his environment. For instance attending parties, giving speech,
expressing anger. Family stressors include interaction with family members,
disharmony between parents or other family members, death of a family
member. Many social stressors are unavoidable and traumatic. They include
occurrences such as the death of a loved one, loss or a job, retirement,
change in residence, new financial responsibilities without prior consent.
Pleasant events such as engagement announcements, marriage ceremonies,
birth of a child, financial windfalls can also be social stressors. The unforeseen
social stressors are most difficult to cope with even for most stable individuals.
Psychological stressors are often the most
Damaging ones because of their recurrent nature. These may be brought on by
physical or social stressors or they may be self-induced. The psychological
stressors are intense emotions and include the negative ones like frustration,
guilt, worry, anger, resentment, hate, disgust, jealousy, sadness, fear, anxiety,
self-pity, inferiority feelings, feeling of futility and feeling of not being appreciated.
These emotions and feelings drain us of energy, exhaust us and make us
susceptible to illness. The more one harbours these feelings and emotions, the
greater and more cumulative is the resultant distress. Some particularly severe
and repetitive psychological stressors are frustration, anxiety and inferiority
feelings.
Another crucial psychological stressor is the internal dialogue or self-talk.
Most of our stress is due to silent conversations we have with ourselves. Our
critical inner voice has a tendency to put ourselves down and name us as
stupid, idiot, incompetent or hopeless. Negative self talk undermines our
sense of self worth. When self-esteem is low, vulnerability becomes high.
Chronic negative thinking is linked to poor health.
Feeling of hopelessness leads to helpless behaviour and even chronic
depression. On the contrary people who are optimistic and more positive may
protect their bodies and minds from harm and may help themselves to live
longer.
15.8. Sources of Stress at Work: Job-Stress:
Judi Marshall and Cary Cooper have conducted in-depth research on Executive
Stress. Their results reveal that middle managers show more psychological and
physical stress symptoms than senior managers as a result of time pressure,
having a responsible job, problems with managing people, lack of autonomy and
concern about career problems.
Cooper and Marshall have identified six sources of stress for managers at work:
(i) Factors intrinsic to the job: These factors usually include working
conditions, work overload and work under load both qualitative as well as
quantitative, long hours, excessive travel, too many decisions, deadlines
and time pressures.
(ii) Role in the organization: sources of stress in organizational role include
role ambiguity, role-conflict, responsibility for people and things and other
stressors. Role ambiguity involves lack of clarity about goals, expectations
of peers and about the nature, scope and responsibilities of the job. Role
conflict arises where the individual is exposed to conflicting demands and
conflicting expectations or required to do things which he does not want to
do. Responsibility for people is more stress generating than responsibility
for things. (i.e. equipment, plans, materials etc.) Other role stressors
include lack of participation in decision-making, lack of managerial support
and need for maintaining and improving standards of performance.
(iii) Relationships at work: Interpersonal relationships with colleagues,
superiors and subordinates form a major source of stress. Poor
interactions generate poor human relations as a result of which people
experience low trust, low co-operation, low supportiveness and low
interest in listening to others. Lack of adequate social support and lack of
group cohesion generate job stress too often.
(iv) Career development: Feeling of getting stagnated in ones career is highly
frustrating and stressful. Again, if there is under or over promotion, status
incongruity results. Another factor is lack of job security, fear of
redundancy or early retirement. Lack of proper career planning and career
development can be a source of considerable uncertainty and stress.
(v) Organizational structure and climate: This source of stress includes
factors like line-staff conflicts, little opportunity for advancement, high
degree of specialization and centralization.
Similarly, there is lack of participation in decision making, lack of mutual
trust, lack of belongingness, lack of effective consultation, absence of
helping relations and co-operation. Poor organizational climate is linked to
poor communications which result from inability as well as unwillingness to
communicate. Factors like inadequate information, inaccurate assessment
of performance and poor feedback are also included in this category.
(vi) Extra-organizational sources of stress: These sources of stress include
varying factors like social change, technological change, family problems,
life-strains, financial difficulties, relocation, residential conditions, and
conflict in work-home interface and life crises.
It can be seen that most stressors revolve around self-expectations and other
human relationships. Large amount of stress in organizations comes from the
inability or unwillingness to maintain healthy interpersonal relations and
communications But Boss is generally considered to be a great source of stress
as he is unpredictable, as he erodes self esteem of subordinates, as he grabs
the credit for work done by others, as he makes unwarranted or unjust criticism
and ridicules or disparages subordinates. Bad boss usually creates win/lose
situations and the boss must win necessarily. Those who lose feel down trodden
and the atmosphere becomes distrusting and hostile.
Job stress has become an important topic for study of organizational behaviour
since it adversely affects the physical and mental health of employees and their
contribution to the efficiency and effectiveness of organizations. There is now
enough knowledge and understanding of stress and work adjustment to indicate
that much of the stress experienced by todays employees is unnecessary and
can be managed.
* Stress Response: For successful stress management we should be aware
about sources of stress in our lives and our physical and psychological
responses to them. Some people develop stress and tension at the very thought
of appearing for an interview where as for others it is a result of continuous
pressures, conflicts, and frustrations.
People respond to stress in different ways. They use different adaptive resources
and develop their own coping methods. Some individuals are more capable of
coping with stressors than others. Some individuals are more prone to stress
those others. They are unable to cope with stress-causing situations. How we
respond to stressors is determined by our characters by our perception of What
is and What should be, by our personality, motivation, problem-solving
capacity and ability for self-introspection. An individuals make-up and overall
physical and mental health are of great significance in how he will react to a
particular stressor in his environment. Various environmental factors interact with
individual make-up, for instance, disease, diet, drugs, occupation, family and
social situation, location, physical and mental fitness, emotional stability and the
ability to relax. All these determine the individuals response to particular
stressors.
Executive Stress:
Dr. Thomas Holmes and Dr. Richard Rahes research shows that most of the
stress a typical corporate executive experiences is not directly job-related. It is
coming from the family and home. These researchers have given numerical
stress rating to 43 situations or problems related to both bad news and good
news in the life-events. Their well-known SRRS-social Readinstment Rating
scale-can be presented as follows to suit Indian life events.
Psychologists regard 300 points on SRRS as a breaking point for the average
person
SOCIAL RE-ADJUSTMENT RATING SCALE
(SRRS)
LIFE EVENT MEAN VALUE
Death of spouse 100
Serious problems in marital relationships 73
Death of close family member 70
Serious illness of close family member 68
Prolonged illness in the family 65
Personal injury or illness (temporary) 53
Getting married 50
Redundancy/underemployment/Losing job 47
Reconciliations with family members 45
Retirement 45
Pregnancy of someone in your care 40
Concerns about not having children 40
New addition to close family group 39
Business readjustment 39
Major new financial responsibility 38
Change in financial state 38
Death of a close friend/loved one 37
Change to a different type of work 36
Owing a new home 35
Mortgage above Rs. 10,000 35
Loan upto 5,000 30
Change in responsibilities at work 29
Son or daughter leaving home 29
Difficulties with in-laws 29
Outstanding personal achievement 28
Spouse beginning or stopping work 26
Children starting or finishing education 26
Change in living conditions 25
Revision of personal habits 24
Poor relations with work superior 23
Change in work hours or conditions 20
Change of residence/moving to a new community 20
Change in childrens schools/colleges 20
Change in leisure activities 19
Change in circle of friends 18
Change in sleeping habits 17
Change in eating habits 16
Constant travel 16
Vacation; Holidays 13
Diwali or other festivals 12
Minor violations of Law 15
Arguments with others 10
15.9. Traits and Attitudes:
Specific traits and attitudes of people can influence their reactions to stressors
and their susceptibility to stress induced diseases. Strong positive attitudes and
optimism enable people to cope better with stressors. On the contrary, negative
outlook, low self-esteem, poor attitudes and pessimism can lead to distress and
disease.
15.10. Personality Type and Stress:
Research findings indicate clearly that personality traits such as authoritarianism,
rigidity, extroversion, supportiveness, spontaneity, emotionality, tolerance for
ambiguity, locus of control, anxiety, and the need for achievement are particularly
relevant to individual stress.
Personality is considered to be specific behavioural patterns of an individual
which reflect thoughts, attitudes and emotions as he adapts to his life-situations.
It is presumed that people of a particular personality type tend to react in certain
patterned ways to particular stressors.
The first recorded attempt at categorizing individuals into personality types was
by the ancient Greek physician Hippocrates (400 B.C.) who classified people into
four temperaments. Choleric individuals were irritable and should react with
anger. Melancholic individuals were depressed and would tend to give up when
faced with stressful situation. Sanguine individuals were optimistic and should
react well with positive outlook. Phlegmatic individuals were calm and list less
and would have an ineffectual response or might try to avoid or evade the
situation.
The first modern attempt at personality typing was by Carl Jung who categorized
people into two types: Extroverts and Introverts. Introverts are most happy
when they are by themselves, doing their own things. They do not pursue social
activity and often feel uncomfortable in it. Extroverts give their life meaning from
interaction with people and can feel at a loss when by themselves. Introverts tend
to react to stressors by withdrawing into themselves and seething internally.
Extroverts tend to lose themselves among others and blow off steam as a
stress release mechanism. More recently, psychologists tend to believe that
people are ambiverts.
William Sheldon tried to correlate physique type with temperament. In his
classification, endomorphic individual is over weight, tends to be relaxed and
sociable and should react well to stressors. Mesomorphic individual is strong
and muscular. He is inclined to be energetic, aggressive and courageous. He has
a tendency to grab the bull by the horns and as a result should react well to
stressors. Ectomorphic individual has a long thin body and is supposed to have
a large brain and a sensitive nervous system. He is considered to be restrained
and fearful. As such, he would tend to manage stress poorly.
Julian Rotter categorized people as either internals or externals on the basis
of locus of control. Internals believe that they have control over their environment
and what happens to them. Their self-confidence ensures that they react well to
most stressors. On the contrary, externals believe that whatever happens to
them is the result of luck, fate, or superior beings. Thus, they would react poorly
to stressors.
Recent attention of researchers has centered on Type A personality which shows
highly stress-prone behaviour. Friedman and Rosenman popularized the use of
Type A and opposing Type B personalities in the study of stress; and these two
personality types are based on relatively stable characteristics.
15.15. Profiles of Type A and Type B Personalities:
Type A Profile Type B Profile
Is always motiving Is not concerned about time
Walks rapidly Is patient
Eats rapidly Doesnt brag
Talks rapidly Plays for fun, not to win
Is impatient Relaxes without guilt
Does two things at once Has no pressing deadlines
Cant cope with leisure time Is mild-mannered
Is obsessed with numbers Is never in a hurry.
Measures success by quantity Is co-operative
Is aggressive Is co-operative
Is competitive
Constantly feels under time-pressure
Is highly ambitious
15.12. Type A Type B SelfTest:
To determine your Type A or Type B profile, circle the number of the continuums
(the verbal descriptions represent end points) that best represents your
behaviour for each dimension.
Am casual about appointments 1 2 3 4 5 6 7 8 Am never late
Am not competitive 1 2 3 4 5 6 7 8 Am very competitive
Never feel rushed, even under 1 2 3 4 5 6 7 8 always feel rushed pressure
Take things one at a time 1 2 3 4 5 6 7 8 Try to do many things at once; think
about what I am going to do next.
Do things slowly 1 2 3 4 5 6 7 8 Do things fast (eating, walking,
talking, etc.)
Express feelings 1 2 3 4 5 6 7 8 Sit on feelings
Have many interests 1 2 3 4 5 6 7 8 Have few interests outside work
Total your score: .. Multiply it by 3: ..
The interpretation of your score is as follows:
Number of Points Type of Personality
Less than 90 B
90 to 99 B*
100 to 105 A
-
106 to 159 A
120 or more A
+
Source: Adapted from R.W. Bortner, A Short Rating Scale as a Potential
Measure of Pattern A Behaviour, Journal of Chronic Diseases, Vol. 22, 1966, pp
87-91.
Type B personality is described as passive, restrained, not overly ambitious and
not prone to develop stress related diseases such as coronary ortery disease. On
the other hand, Type A individual is seen as a competitive achiever who is
constantly striving. He has a feeling of time- urgency, hostility and
aggressiveness. He is a compulsive, hard-driving individual who often sets
deadlines and quotas. He is impatient with delay; he suppresses fatigue and tries
to control his environment. He is prone to develop high blood pressure and
cardiac diseases. Not only that but also the worst outcome of stressheart attack.
Research studies have shown that individuals suffering from coronary heart
disease are emotionally unstable and introverted. High level of anxiety and
neurotic tendency is found to be a significant precursor to fatal coronary
diseases.
Beyond the classification of Type A and Type B personalities according to heart
attack potentiality, people have also been classified according to whether or not
they are prone to develop certain other stress-related diseases such as migraine,
ulceri, depression, arthritis etc.
Weiner described ulcer-type personality as prim, tidy, mild-mannered,
conscientious individual who reacts poorly, suppresses anger and is prone to
ulcers.
Le Shan described Cancer-type personality as low-geared, depressed individual
having a history of feeling of isolation from parents since childhood; and he
suppresses emotions, reacts poorly and is prone to cancer.
Moos and Soloman described Rheumatoid Arthritis personality as perfectionist,
punctual, tidy and orderly individual who reacts poorly, is easily frustrated, is self-
sacrificing and is prone to rheumatoid arthritis.
Pelletier described Migraine Head-ache type personality as obsessional
perfectionist individual who is hypersensitive to stressors and over-reacts to
them; having repressed hostility and a great amount of bottled-up resentment
and he is prone to migraine headache.
Sword described Depression-prone personality as hard-working, conscientious,
inwardly tormented individual who reacts poorly and is prone to depression.
Thus, personality characteristics are found to be associated with stress
generated diseases. Similarly chronic feelings and attitudes are also believed to
be associated with certain stress-related diseases. For instance,
Feels neglected - Asthma
Wants to escape - Backache
Sticks to unliked situations - Constipation
Feels continually frustrated - Eczema, skin rash
Feels threatened - Hypertension
Feels responsible for some wrong doing - Nausea and vomitting
Feels inwardly tormented - Depression
Psychologists describe three more personality types related with stress-
generating behaviour:
Paranoid Personality: This individual has feelings of persecution and
victimization; he interprets actions of people as deliberately demeaning or
threatening
Explosive Personality: This individual acts as active promoter of hate; is
ruthless.
Obsessional Personality: This individual is very methodical, meticulous, over-
critical, extremely religious, very honest, inflexible, ruthless, over-demanding,
punctilious, forever fault-finding and an orderly person.
Hardy Personality is yet another concept. Just as people show extremely
stress-prone behaviour, there are people who are extremely resilient. Kollasa
described Hardy personality concept. This is found in people who are likely to be
resistant to stress due to their having a disposition composed of the 3Cs:
commitment, control and challenge.
A hardy personality:
Finds a sense of purpose and meaningfulness in their work, family and social
institutions.
Believes that he can control or influence the course of events
Is able to incorporate unexpected events into an ongoing life-plan and is
generally flexible enough to be deal with whatever comes along.
Views challenges as normal and as an opportunity for personal growth rather
than as a threat to security
Is resourceful and knows where to go for help.
Has an open mind.
15.13. Consequence and Manifestations of Stress:
Stress is not automatically bad for individual employees or their organizational
performance. A certain amount of stress gives us zest for life and releases our
creativity for better ways of performing tasks. However, if people experience
stress to frequently or too intensely, they lose or diminish their coping ability and
the affect of stress is felt through various physiological, psychological and
behavioural consequences.
As a normal stress response, people experience such familiar feelings as
pounding in the chest, or heightened sense of alertness and muscular tension.
Most of the times the stress response also creates less noticeable but more
subtle physiological and harmonal changes in the body. As a result, different
individuals develop their own unique repertoire of stress symptoms.
[DIAGRAM]
15.13.1. Physiological Symptoms:
Physical state gets affected; physical ailments.
Digestive problems e.g. loss of appetite, indigestion, acidity, aausea,
vomiting, diarrhea, constipation, stomach upset
Sleeping trouble, insomnia, eye-strains, sour eyes
Erratic breathing, Sweaty palms, dry mouth, cold fingers, shaky hands
Muscular problems, muscle pain Twitching Muscles, pain in neck, back, tense
arms or shoulders muscle strain. Vague aches and pains.
Headaches, migraines, dizziness
Frequency of urination
Cardio-vascular troubles, heart rate elevation, hypertension, heart disease,
high levels of cholesterol throbbing heart. Breathlessness
Severe symptoms including ulcer, heart attacks, arthritis and even cancer.
Susceptibility to allergies.
Allergic cold, Tremors, Palpitation, Skin rashes and irritations
Fatigue, weakness
Rapid gain or loss of weight
15.13.2. Psychological Symptoms (affective and cognitive):
Mental health gets affected
Chronic anxiety/Restlessness
Anger or angry outbursts
Depression/Gloom
Apprehensiveness
Nervousness/Uncertainty about whom to trust
Irritability/Explosion-Shouting-High-Pitch voice
Tension/Frustration
Boredom/Lack of enthusiasm
Fear/Irrational dread of future events
Gut-level feelings of unexplainable Dissatisfaction/Fussiness
Emotionally worried, fatigued, exhausted
Feelings of failure/Insecurity
Inability to cope
Feelings of isolation/withdrawal/Alienation
Emptiness/Futility/Hopelessness/Meaninglessness
Self-pity/Crying/Panic attacks
Easily discouraged/Oversensitive to criticism
Self-doubt/Lowered self-esteem
Humor/Fun diminished/Loss of sense of humor
Senses dulled
Inner confusion about duties or roles
Inabilities to organize self
Impatience/Impulsiveness
Sharp swings in mood
Feelings of martyrdom/Feelings of persecution
Loss of interest in living/Demotivation
Problems in communication
Feeling unwanted, unloved, uncared for Tendency to misjudge people
Inability to concentrate, Easily distracted mind
Problems in making decisions/Making mistakes
Feelings of guilt
Tendency to lose perspective/Memory lapses
Tunnel vision
15.13.3. Behavioural Symptoms:
Less care in appearance. Neglected looks or hygiene
Forgetfulness
Clumsiness/Tardiness
Accident-proneness
Procrastination/Difficulty in decision-making
Declined job performance
Resentment of supervision
Increased job dissatisfaction
Increased absence/Turnover
Taking more time off the work/longer lunches
Increased periods of inactivity whilst at work
Workaholism/Low job involvement
Over eating/Undereating
Increased intake of alcohol, drugs, coffeine, and nicotine.
Relational problems/Lack of concern for organization
Refusal to talk/discuss
Lack of trust/Withdrawing from supportive relationships.
Fewer contact with friends/Social isolation
Keeping others in arms length
Defensive behaviour/Obsessive compulsive behaviour
Increasing criticism/Cynicism
Resentment/Hostility
Jealousy/Envy
Intolerance/Lack of forgiving
Nail-biting
Hair pulling
Lip-smacking
Finger tapping
Knee-jaggling
Nagging/Non-stop talking
In addition to outward manifestations of stress, the affect proves very harmful
when internal thought and emotional processes start getting distorted and the
impact spreads to the persons whole being. User such circumstance, there
occur basic changes in the way people experience their own emotional world.
Anxiety and feelings of panic predominate. They feel helpless and overwhelmed.
The remain indifferent and cannot accept praise or compliments. Gradually, their
thinking gets disorganized and
Schematic Model of Stress Reaction
Demand on Person

Perceived as Threat
(Usually unconscious)

Body Responds
(Flight-Fight Reaction)

Physiological Imbalance

Unwanted Effects
(Thinking, Behaviour,
Health and Emotions)
Distorted and it causes them to lose their sense of control. Quite often, they lose
self-confidence without them being aware of it.
Burnout results from the stress of prolonged nature. There are three components
of burnout: Emotional exhaustion, Depersonalization that is closing off of
sensitivity toward others and Low Personal accomplishment the feeling that
ones actions and efforts are wasted and worthless. There is dissatisfaction with
professional achievement.
Another consequence of stress is premature aging. Thus, stress manifestations
can be observed at different levels right from falling hair to failing heart.
15.14. Abnormal Reactions to Stress:
When severe stress continues in intensity and frequency, individuals show
disorders in personality. With persistent stress the individual feels that the very
essence of his personality is threatened. His intense reaction is emotion one and
this involves the whole body into two types of disorders:
NEUROTIC AND PSYCHOTIC.
Neurotic disorders are persistent, disabling behaviours, thoughts or emotions.
Unconscious conflicts and associated anxiety are prominent features of neurotic
disorders. Neurotic disorders include eating disorders, drug (abuse) disorders
and symptom disorders like mood disorders, anxiety disorders, amnesia,
neurasthenia, hypochondria etc.
Psychotic disorders are considered to be an extreme reaction to stress.
Individuals reaction to prolonged anxiety and stress is sometimes too severe that
he breaks with reality and develo0ps hallucinations, delusions, and distorted
emotional tone. There are extreme disturbances in perceptual, affective and
cognitive functioning. There are three types of psycholic disorders: Schizophrenia
(split personality), Paranoia and Mania.
15.15. How to Overcome Stress?
Major remedies used to alleviate and overcome stress are simple and straight
forward. Usually, the self-help methods are used successfully. Only in psycho-
neurotic disorders individuals cannot restore normal balance without specialist
psychiatric treatment. In day to day life people make adaptation to stress and
learn to adjust themselves to their environmental situations. As they grow and
mature they learn new ways of predicting and controlling most aspects of their
everyday life. Adaptation is a continuous process and strategies for adaptation
differ from one individual to other. Although studies show that the ability to cope
is largely inborn, it is also a question of training, environment, and practice.
15.16. Coping Strategies for Stress:
Generally, there are two major types of deliberate coping strategies for dealing
with stress. Individual coping strategies and Organizational coping strategies.
Sometimes, strategies are dividing into three broad types: Direct Coping,
Defensive Coping and Dysfunctional Coping.
Dysfunctional coping strategies involve maladaptive stress coping behaviours as
a result of which individuals might become alcoholics, overweight, chain
smokers, sufferers of caffeinism and drug addicts. They also run the risk of
becoming accident prone. Individuals exhibit coronary disease-prone behaviour
pattern like for instance aggression, hostility, self-induced competition,
impatience. Tendency toward divorce and business break-ups also increases.
Another ineffective way to cope with stress is the suicidal tendency.
Defensive coping strategies involve mental or physical escape from the stressful
situation. They are almost always automatic mental process that goes to work
even before we are aware of stress. The unconscious utilization of defense
mechanisms is a common reaction to stress that is shared by normal and
disturbed people. The ego defense mechanisms are useful in preserving self-
esteem, averting personality disorganization or restoring some sort of
equilibrium. Some of the more common and important defense mechanisms are
Denial, Projection, Repression, Repression, Regression, Rationalization, Direct
aggression, Displacement, Withdrawal, Compromise, Fantasy or day-dreaming,
Emotional insulation, Intellectualization, Identification, and Devaluation or Sour
grapes mechanism. We should develop awareness about our own preferred way
of using defense mechanisms. It helps in understanding our own attitudes that
reflect influences of past associations and experiences. We develop the
attitudes, and then they develop us.
Direct coping essentially involves self-awareness in order to avoid the harmful
and far-reaching consequences of distress. Direct Action responses or activities
in direct coping are intended to improve environmental accommodation or to
change it. Direct coping essentially deals with how to change the stress response
from distress to custress by going to the root of the problem. Through self-
introspection, individual leans to identify problem, determine solution by
considering available alternatives and chooses to act. There are two ways of
using direct coping. One is Mental which involves creating positive attitudes and
the second is Physical which involves regular and regulated physical exercise.
Direct coping strategies are more successful and effective in dealing with stress-
diagnosis and stress-management.
15.17. Individual Level Techniques for Coping with Stress:
Stress is the product of dynamic interaction of individual with environment and is
triggered by his perception of threat or challenge. At the individual level, the
individual himself should take responsibility for his physical and mental wellness,
should actually take cha4rge and manage his stress with the support of the
organization.
Some specific techniques that individuals can use for coping with stress include
the following:
Physical Exercise: Regular and regulated physical exercise like walking,
jogging, swimming, riding bicycle, playing outdoor games etc. is highly useful in
combating stress directly as well as indirectly through its side effects such as
relaxation, enhanced self-esteem and diversion. Physical fitness helps the body
to cope better with stress, whereas relaxation techniques are useful for the mind.
Relaxation: Relaxation is useful in eliminating the immediately stressful
situation or managing a prolonged stressful situation more effectively. Relaxation
can help the bodys immune mechanism to improve, with measurably increased
level of white blood cells in the blood stream. The relaxation response helps to
elevate circulating levels of endorphine making pain tolerance much greater.
Everyday practice of 15-20 minutes relaxation enhances our physiological power
to counteract our bodys negative inappropriate responses to stress.
Bio-feedback is a specific relaxation technique. By the use of a direct signal
from a machine, the individual is informed of his level of relaxation; then with
practice he can eventually learn to reach this level without the use of the
machine.
Mediation is mental relaxation technique which has proved to be of immense
value to relieve stress and re-energize the body. In Transcendental mediation,
the person slowly repeats a phrase or word or concentrates on a mental picture
in a quiet location. The Christian prayer, Jewish meditation, Japanese Zen,
Chinese Tao, Muslim Sufism, and the Yoga and Meditation of Hinduism and
Buddhism all result in tranquility, peace of mind, lowering in pulse and heart rate
which can induce a more objective thinking process. Meditation is a state where
the mind experiences intense joy, peace or serenity. It is a state of the greatest
silence or an experience of bliss. There are practical advantages of meditation.
We can function more efficiently. We feel closer to ourselves and are better able
to relate to others. We become more integrated and our personality structure is
strengthened. We achieve more clarity in selfexpression and goal achievement.
Behavioural self-control: This technique involves individuals controlling the
situation instead of letting the situation control them. Individuals develop greater
control over day to day affairs. They can manage their own behaviour to reduce
stress and also can avoid people and situations that they know will put them
under stress. Emil Coue was famous for his amazing cures through the method
of auto suggestion. Remember the phrase every day in every way I am getting
better and better. He believed that imagination was the key to selfcure.
* Cognitive therapy: Techniques such as Meichenbaums cognitive behaviour
modification have been successfully used as an individual strategy for reducing
stress. Under cognitive coping strategy, what happens to an individual is not
considered as important as how he chooses to look at it. How a person perceives
a situation and what he feels is given more importance than a stressor.
Maintaining inner stability is also a question of how we choose to see things.
Two men looked out from prison bars. One saw mud, the other saw stars. (Ref.
Fig. 15.3)
Networking: Social Psychology research has clearly indicated that people need
and will benefit from social support. Networking entails forming close
associations with trusted, empathetic colleagues who are good listeners and
confidence builders. These peers are available when needed and provide
support to get the person through stressful situations. Networks show
relationship between social support and stress reduction. Attempts are made to
ascertain how a switch from maladaptive behaviour to adaptive pattern can be
accomplished, who should be involved and what actions are appropriate.
Self awareness, self introspection and self-reinforcement techniques.
Communication techniques
Letting-Go techniques
Self-Help techniques (Keeping of a pet considerably helps)
Role-play techniques
Muscle control techniques
Weight control techniques
Will power consciously and consistently applied is the key to over come
stress.
Work hard on developing these skills and you will be successful. The only place
where success comes before work is in dictionary! So have an ambition to
succeed with sincere efforts.
15.18. Organizational Level Techniques for
Coping with Stress:
Stress can affect any one a worker or a manager, young or old. And almost any
job condition can create stress depending upon an employees perception.
Stress can lead to erratic behaviour and a lowering of performance and turnover.
Therefore, it is very important that
[DIAGRAM]
Organization makes tangible efforts to prevent or reduce job stress for individual
employees.
Management can design organizational coping strategies by focusing attention
on each specific job stressor. In addition, more generalized strategies can
include the following:
Emotional climate control: providing a climate of esteem and regard to
employees and by allowing them to participate in all decision-making
involving change in their work environment.
Provision of supportive organizational climate.
Elimination of work overload and under load
Reduce conflict and clarify organizational goals
Redefinition of employee roles
Enriching job designs by improving job-task-contents
Planning and developing career paths
Provision of assistance and counseling to stress employees.
Participation, Organization Development and Training to improve morale and
job satisfaction and interpersonal competence of employees.
Effective communication flow in the organization to improve performance and
quality of work life.
Programmes for prevention of job-stress in areas like organizational structure
and climate, job design, personnel selection, placement and training.
Thus, a number of strategies to prevent and alleviate stress can be used
successfully at both individual as well as organizational level. Management of
stress is a joint responsibility of the organization and the individual. Both must
take steps to diagnose, reduce and prevent stress induced problems.
15.19. Effective Stress Management:
Stress is a fact of life and individuals react to stress in different ways. the very
fact that some individuals deal with stressors in a positive way indicates that a
proper understanding of the phenomenon and its effects is very important.
Taking appropriate action to optimize, reduce or prevent stress may be beneficial
both for the organization as well as the individual.
Effective stress management can be done at the organizational and individual
level in many different ways. Stress management can be divided into two
phases, the first is coping with stress and the second is counteracting the stress
response with the help of relaxation response. For coping with stress there are
five major methods: avoidance, evasion, diversion, preparation and custress
response. In avoidance method the particular stressors are never met. In
evasion, the stressors are evaded or side-stepped so as to postpone stress
reactions. In diversion, ones mind is distracted from potential stressors.
Diversions can take many forms such as developing a rewarding hobby like
drawing, painting, music, photography, gardening, reading, writing etc., regularly
going to movies, dramas, hotels; shopping; sports both indoor and outdoor
games; going on trips and vacations, or visiting places of religious importance. In
Preparation method, the individual prepares himself mentally, nutritionally and
physically. In the last method of Eustress Response, the individual tries to
change response from distress to eustress with the help of positive and optimistic
mental attitude and regular and regulated physical exercise.
The second phase of effective stress management is counteracting stress
response. For this the individual tries to elicit relaxation response simply by
having a restful sleep or taking a nap an individual feels relaxed and is able to
counter act stress-response. There are various techniques to elicit relaxation
response. Hess first described relaxation response in a cat. He electrically
stimulated a specific area of the hypothalamus and elicited what he called a
protective mechanism against overstress which promotes restorative processes.
Walter R. Hess Functional Organization of the Diencephalon (New York Grune
and Stratton, 1975) p. 40
Like the fight or flight response, the relaxation response is also present in man.
Until recently, the relaxation response has been elicited primarily by meditational
techniques including self-hypnosis, meditation, biofeedback, yoga and Breathing
exercises. All these techniques bring out the physiological change in our bodies
when we alter the state of consciousness through non-drug means. Proper use
of massage, heat and cold are refreshing and relaxing for counteracting the
stress response on physical side, when used with physical exercise.
Beyond all these measures, the individual has to develop a stress management
philosophy to serve him as a guide. The cornerstone to this philosophy is the
custress mental approach. Earning ones neighbors love and respect is a major
aspect of the custress mental approach. Another key component is a positive
attitude with optimistic outlook. Developing a sense of humor is an excellent
means of effective stress management.
Some tried and tested skills for effective stress management essentially
emphasize on proper management of time. Inability to do this results in lack of
priorities, failure to delegate, inefficiency and incompetence in task performance.
Learning to be assertive is equally important. Assertive behaviour has four
characteristics: ability to say No; ability to make requests and ask favours; ability
to express positive and negative feelings; and ability to generate, continue and
terminate discussion.
Another most crucial factor for is to learn to understand our emotions.
Understanding the anatomy of our anger and learning to control it is extremely
essential. For managing our anger effectively the classic advice of counting
numbers to ten has survived for centuries. When angry all our energy is spent in
being tense and anxious. Therefore it is vital to relax and compose ourselves.
The bodys adaptive energy is like an inherited fortune. If we go on spending it
without making any deposit, we will squander it away. If we want it to last longer,
we must learn to use it wisely.
Recognizing inevitable and learning to accept them is yet another way to
effective stress management. The individual should learn to come to terms with
unpleasant realities since they are there to say. Accepting them once and for all
lessens their stressful impact. Life is not always fair and we have to learn to look
for silver linings in every black cloud.
Learning a variety of new skills and applying them regularly in day-to-day life
helps a lot in managing stress effectively. It is important to remember two points:
Treat Stress as Your Friend not Foe; and Anticipate Stress and Be Prepared.
Effective Stress Management makes use of this advice.
Effective stress management heavily relies on positive optimistic approach to
look at stress. This approach believes that stress contains a hidden opportunity
which opens us a doorway into our inner worlds. We can begin to see more
clearly how our well-being comes to be at the mercy of the way we think and the
way we see things. As we discover more about these inner dynamics, we can
learn how to exercise choice in our responses, thus becoming masters of our
mindsets. This enables us to maintain a healthier state of body and mind.
Managing our stress effectively can also lead to a fuller appreciation of inner
natures, and our hidden strengths so that we can free our own resources and
respond to change more flexibly.
ILLUSTRATIVE CASE: SITUATIONAL STRESS
An inter-collegiate debating competition was arranged in the University campus
and the response was overwhelming since more than twenty five colleges were
participating in the programme. Opening speech was very well received and then
came Dilip on the dias. He stood before the audience and faced them very
confidently but within a fraction of second his legs started trembling. He could not
utter a single word, his mouth was dry, his palms were sweating, and hands were
shaking. The entire audience including the panel of judges sitting on the dias
observed his nervous condition. There was pin-drop silence in the audience and
everyone was anxiously awaiting to hear his voice.
Somehow Dilip gathered courage and caught hold of the mike. Resting his shaky
palm on the mouth-piece, he started speaking. AT the outset he admitted the fact
that he was extremely nervous an d literally trembling. But let me explain why,
said Dilip You see, the topic for this compation is whether love marriages better
than arranged marriages. And I want to defend the stand that arranged
marriages are better than love marriages. However, as I see in the audience,
there are so many beautiful girls sitting here and looking at me that I am afraid I
may fall in love with one of them and then how can I stick to my proposition that
arranged marriage is better than love marriage?
With this opening remark when he started his speech, he conquered the entire
audience who gave him a big hand with spontaneous claps.
Thus, situational stress is just a transitional, temporary phase in life. It does not
create any long-term harmful impact. With the gift of intelligence and sense of
human one can easily over come the passing phase of situational stress.
Reference Books
1. Cooper, C.L. and J. Marshall, Understanding Executive Stress, London, the
MacMillan Press Ltd., 1978
2. Dwivedi, R.S., Human Relations and Organizational Behaviour, Delhi,
Oxford and IBII Publishing Co. Pvt. Ltd., 1989
3. Friedman, M. and Ray II. Rosenman, Type A Behaviour and Your Heart,
New York : Knopf, 1974
4. Luthans, Fred, Organizational Behaviour, New York, McGraw Hill Book
Company, 1985
5. Morse, D.R. and M.L. Furst, Stress for Success: a Holistic Approach to
Stress and its Management, New York, Van Nostrand Reinhold Co., 1979.
6. Selye, H., The Stress of Life, New York, McGraw Hill Book Co., 1976
7. Selye, H. Stress Without Distress, New York : J. B. Lippincot Co., 1974.
Exercise
1. What is stress? It is always bad for the individual? Explain the nature,
mechanism and classification of stress.
2. Discuss the various causes and consequences of stress.
3. Explain the relationship between personality and stress.
4. What are the different coping strategies for job stress at both the individual
and the organizational level?
5. Summarize and evaluate various techniques for preventing and more
effectively managing stress?
6. Write short notes on :
(i) Mechanism of stress
(ii) Classification of stress
(iii) Sources of stress
(iv) Consequences of stress
(v) Job stress
(vi) Defensive coping
(vii) Direct coping.
Quiz
I Say True or False, Justify your stand briefly:
1. Eustress means unpleasant stress and Distres-means pleasant stress
2. Type A personality is highly quality conscious, cooperative and not prone to
hypertension.
3. Personality characteristics of individuals are significant in making them high
or low tolerants of stress.
4. Dysfunctional coping involves maladaptive behaviours like drug addition,
alcoholism, and suicidal tendency.
5. Effective stress management heavily relies on positive, optimistic attitude to
look at stress.
II. Match the following
Hans Selye Type A and Type B Personality
Rosenman and Friedman Introverts and Extroverts
Carl Jung General Adaptation Syndrome
Neurotic disorder Fight Flight Response
Stress Mechanism Eating Disorders
Psychotic Disorder Relaxation Response
Hess Schizophrenia
Weiner Rheumatoid Arthntis Personality
Le Shan Ulcer Personality
Moos and Soloman Cancer Personality
+++
CHAPTER-16
Why Study Technical and
Professional Communication
Why should engineers, scientists, and other technical professionals study
technical writing or speaking? Their primary training and interests lie in technical
areas; most science and engineering students successfully pursue their technical
subjects without extra writing courses; and practicing engineers and scientists in
government and industry work on technical projects. It might seem, then, that
writing and communication are superfluous to a technical education.
In fact, this is not the case. Scientists and engineers may be technically brilliant
and creative, but unless they can convince coworkers, clients, and supervisors of
their worth, their technical skills will be unnoticed, unappreciated, and unused. In
a word, if technical people cannot communicate to others whey they are doing
and why it is important, it is they and their excellent technical skills that will be
superfluous. From this perspective, communication skills are not just handy; they
are critical tools for success, even survival, in real world environments.
Every technical person stands to gain from improving his or her communication
skills. Most scientists and engineers work in organizational settings where
teamwork is essential. Good teamwork is impossible without good
communication. And those scientists and engineers who work independently has
to communicate with clients, sponsors, or other interested parties. For many
technical professionals, the ultimate product of their work is a written document.
If that document is badly written, it reflects badly not only on the individual
involved but on the entire organization. Organizations know this, of course, and
sometimes base hiring and promotion decisions on writing ability. To maximize
your chances for landing a good job and doing well at it, you should work on your
communication skillseven if you think theyre already pretty good.
Communication will become even more important as you progress through your
career; the better you are at it, the more likely you are to be promoted.
16.1.1.1 THE IMPORTANCE OF GOOD COMMUNICATION SKILLS
The importance of good communication skills has been emphasized in survey
after survey. For instance, the American Society for Engineering Education
conducted a survey
1
to determine which academic subjects are most needed for
engineering careers in industry. Responses were received from 4057 engineers,
all having at least several years of on-the-job experience behind them. The
results, given in Table 1-1, show that communication skills rank above any other
type of skill, capturing five of the nine most needed categories. These include
technical writing (2), public speaking (4), working with individuals (6), working
with groups (7), and talking with people (9). In contrast, technical skills rank
toward the bottom of the list. Of course, for any individual a particular technical
subject might rank higher than it does for the group; but for the group as a whole,
the more general people-oriented skills are the ones that are seen as having
across-the-board importance.
In more focused surveys, 245 distinguished engineers
2
and 837 experienced
businesspeople
3
were asked, How important is the writing that you do? Their
responses, as can be seen in Table 1-2, indicated that for most of them, writing
was very important to their work.
Similar findings emerge from other surveys. For example, when 595 engineering
alumni of the University of California, Berkeley, were asked if writing skills had
aided their advancement, 73% answered yes. And almost all (95%) said that they
would consider writing ability in making hiring or promotion decisions.
4
Writing is not the only communication skill thats important to success on the job.
Oral communication skillsconversing, interviewing, listening, giving oral
presentations, etc.are equally important. In the Berkeley survey, for example,
60% of the respondents said that speaking skills had aided their career
advancement. In other survey, 305 engineering technologists were asked, How
important to your job is the ability to speak clearly and effectively? Almost all the
respondents (97%) answered either very important or important.
5
The need for good communication skills in industry is nicely articulated by Russel
R. Raney, former Chief Engineer at International Harvester. Raney points out
that most industries are composed of internal units that include (at least) a
marketing unit, a manufacturing unit, an engineering or design unit, and a
management unit. These units or internal organizations.
Table 1-1 SUBJECTS MOST NEEDED FOR ENGINEERING CAREERS IN
INDUSTRY
Rank Subject
1 Management practices
2 Technical writing
3 Probability and statistics
4 Public speaking
5 Creating thinking
6 Working with individuals
7 Working with groups
8 Speed reading
9 Talking with people
10 Business practices (marketing, finance, economics)
11 Survey of computer uses
12 Heat transfer
13 Instrumentation and measurements
14 Data processing
15 Systems programming
16 Economics
17 Ordinary differential equations
18 Logic
19 Economic analysis
20 Applications programming
21 Psychology
22 Reliability
23 Vector analysis
24 Electronic systems engineering (circuit design)
25 Laplace transforms
26 Solid-state physics
27 Electromechanical energy transformation
28 Matrix algebra
29 Computer systems engineering
30 Operations research
31 Law practice (patents, contracts)
32 Information and control systems
33 Numerical analysis
34 Physics of fluids
35 Thermodynamics
36 Electromagnetic
37 Human engineering
38 Materials engineering
SOURCE: Middendorf, Reference 1 1980, American Society for Engineering
Education.
Table 1-2 RESPONSES OF DISTINGUISHED ENGINEERS AND
EXPERIENCED BUSINESSPEOPLE
(To the question How important is the writing that you do in your present
position?
Distinguished Experienced
Engineers Businesspeople
Critically important 45% 30%
Very important 51% 44%
Somewhat important 4% 23%
Minimally important 0% 3%
SOURCES: Davis, Reference 2, 1977, American Society for Engineering
Education. Storms, Reference 3, 1983, The ABCA Bulletin.
Are quite similar to factions in a political party in that, while they all strive toward
the same end, they do not necessarily agree among themselves as to the means
to be employed in achieving that end. So it is to be expected that the normal
operation of the business will be marked by a certain amount of internal conflict
as each organization seeks to promote its own particular interest.
6
This natural conflict, the many details and changes to be managed, and the
incredible complexity of a large organization all combine to create a demand for
communication skills unforeseen by most science and engineering students:
In school you can attain your goal of a degree on your own individual efforts with
practically no dependence on anyone else. On the other hand, it should be
evident from the fore-going description of industrial operation that you will be able
to accomplish very little by yourself in an organization. . . .
[This] means that for the results of your efforts to be incorporated in any end
result you must present them effectively in competition with many conflicting
considerations. It will, therefore, inevitably be a part of your responsibility to
transmit understandably and persuasively the results of your work to other
people, usually both verbally and in writing. Since success in engineering school
does not depend much on communication abilities, you may not have developed
your skills and may mistakenly resent the absolute dependence you will have on
them for accomplishment in an organization.
7
The Social and Ethical Aspects
We live in a world that is increasingly diversified and interactive. There is more
commerce among more people than ever before, and it is cutting across
geographical, occupational, cultural, and linguistic boundaries everywhere.
Computer programmers talk to business managers, pediatricians confer with
psychologists, molecular biologists exchange ideas with chemists, patent lawyers
meet with mechanical engineers. Even though much international communication
today is carried out in one language, English, there are still many possibilities for
miscommunication. The English of any one occupation is often quite different
from that of another, and the English of each country is somewhat different, too.
In such a diverse world, it is important to recognize, as Gregory Clark has
pointed out, that technical communication is not a simple process of conveying
information but rather is a process of social interaction. Instead of a commodity
to be transported, [technical] information is an understanding to be shared with
particular people for particular purposes. . . . In this view, ethical technical
communication mediates conflicts between the incomplete understandings of
those who have information and those who need it, helping people develop the
shared knowledge that will meet their common needs.
8
Legal Considerations
Failure to appreciate the ethical dimensions of technical communication can have
serious human and legal consequences. In the last few years alone, the news
media have reported on numerous accidents in the home and in the workplace
resulting from poor technical communication. One need only think of the nuclear
meltdown at Chernobyl, the scare at Three Mile Island, the Bhopal chemical plant
disaster, and the tragedy of the Challenger space shuttle. Many people lost their
lives and many more were injured. Yet follow-up investigations showed that
these accidents could have been averted by better technical communication. In
some of these cases, companies have had to face litigation as well. Indeed,
product liability laws are getting tougher in many countries. If consumers
misunderstand assembly instructions or operating manuals and injure
themselves, they are more likely today than ever before to file lawsuits against
manufacturers, and win. The best way for a company to protect itself against
such lawsuits, obviously, is to have the product documentation written in such a
way that the consumer is extremely unlikely to misunderstand it.
16.1 THE FREQUENCY OF TECHNICAL AND PROFESSIONAL
COMMUNICATION
The actual amount of time spent on communication tasks varies from job to job,
of course, but the overall average for engineers, scientists, and other technical
professionals is quite consistent across the board. Daviss 245 distinguished
engineers spent 24.4% of their time writing. Spretnaks 595 engineers and
managers from Berkeley spent 25.3% of theirs, and Storms 837 businesspeople
spent 24.9% of theirs. If we add in the time spent on other communication
activities, the total rises dramatically. For example, Spretnak found that her
Berkeley alumni spent 23% of their time reading other peoples writing, 11%
supervising other peoples writing, and another 7% giving oral presentations. In
addition, they presumably spent considerable time attending meetings and
conversing. A veteran industrial consultant, Ed Gilbert, has estimated that in
most organizations one can expect to spend more and more time communicating
as one rises in rank (see Table 1-3).
9
Table 1-3 TYPICAL COMMUNICATION TIME WITHIN ORGANIZATIONS
Portion of Total Work
Time Spent on Communication, %
Verbal Informal Formal
Hierarchy Medial Writing Writing
Chief executive 65 10 2
Division manager 60 15 2
Department manager 45 20 5
Section head 40 20 5
Project head 30 20 10
Engineer or scientist 25 15 10
Junior engineer 20 10 10
Technician 15 10 2
SOURCE: Gilbert, Reference 9.
Obviously, if you can make such time-consuming activities more efficient, both
you and your company will be well served. One easy way to improve efficiency is
to develop effective strategies for analyzing communication tasks and audiences
as well as strategies for producing reports and oral presentations. This text, and
any technical or professional communication course based on it, should help you
develop such strategies.
16.1 THE COLLOBORATIVE NATURE OF TECHNICAL AND
PROFESSIONAL COMMUNICATION
Scientific, technical, and managerial professionals frequently collaborate with
other people, especially in activities which are larger or important or inherently
interdisciplinary. The collaboration may involve many individuals at
geographically separated sites and routinely involves planning, writing, meeting,
negotiating, designing, and decision making.
The extent of this collaboration is illustrated in a survey of 125 authors of
National Science Foundation proposals from a variety of disciplines in the
sciences, engineering, and social sciences.
10
The number of proposals with
collaborative activity is relatively high in the planning stage (42%) and reviewing
stage (67%) and surprisingly high in the actual writing stage (30%). Considering
the certain process as a whole, the amount of collaboration is quite high. As
shown in Table 1-4, 70% of the proposals involved collaboration at some state in
their creation, and 26% involved collaborators who were geographically
dispersedthat is, not in the same building. About half the dispersed
collaborators were off campus, and most of these were out of state or country.
Table 1-4 COLLABORATION IN PROPOSAL CREATION TEAMS
(Totals for planning, writing, and reviewing)
30% 1 person
31% 2 persons
15% 3-4 persons
24% more than 4 persons
26% of readers/writers/planners are geographically dispersed. Of these
48% were on campus, in separate buildings
52% were off campus, and of these
20% were out of state, in the USA
24% were outside the USA
SOURCE: Olsen, Reference 10, 1989, Baywood Publishing Co., Inc., p. 100.
Collaboration can be important even if theres only one writer. In a series of case
studies at seven large American companies, Rachel Spilka studied technical
professionals who were in charge of major writing projects.
11
Five of these
projects resulted in successful, well-written documents; the other two did not.
What distinguished the successful cases, according to Spilka, was that the writer
interacted with his or her target readers into the communication process at an
early stage; the writer was able to create a collaborative environment in which
the readers themselves were able to suggest ideas, provide feedback, and
otherwise guide the development of the writing. Thus, when the finished
document finally appeared, the readers were primed to approve it. In the two
unsuccessful cases, by contrast, the writers did none of these things.
16.1 THE COMPUTERIZATION OF TECHNICAL AND
PROFESSIONAL COMMUNICATION
It is widely recognized that many scientists, engineers, professional technical
communicators, and other professionals have some access to computer
equipment. However, access to computing power is increasing at dramatic rates,
as illustrated by the National Science Foundation study of collaboration cited
above. In 1986, 58% of the prominent scientific and technical professionals in the
study had ready access to personal computers and only 15% had access to high-
powered workstations (significantly more powerful computers). However, by 1987
(just one year later) all the scientists had access to at least one personal
computer (many had access to more) and 51% had access to high-powered
workstations.
12
The technology for workstations now allows the production of
very complex documents with easily embedded and editable pictures, graphs,
spreadsheets (computerized budget programs), mathematical expressions,
charts, graphs, and automatically numbered footnotes and bib-
Table 1-5 DISTRIBUTION OF SPECIFIC MEDIA TYPES IN NATIONAL
SCIENCE FOUNDATION PROPOSALS
78% had a bibliography (average length = 56 items)
49% had endnotes and/or footnotes
42% had endnotes
10% had footnotes
51% had no endnotes for footnotes
(Note: most text-processing programs used did not support
footnotes, end-notes, or bibliographies)
43% had math
38% had figures (line drawings, cross-sections, etc.)
34% had tables
26% had graphs
9% had photos
7% had other media types (detailed artists illustrations, questionnaires,
depictions of computer screens, maps, ads, boat schedules, etc.)
SOURCE: Olsen, Reference 10, 1989, Baywood Publishing Co., Inc., p. 104.
Biographies. This rapidly increasing access to workstations and high-powered
personal computers is already changing the look of technical documents.
For instance, the capabilities of the 1986 systems were usually poor for anything
but prose text (words), and as a result, the documents produced on them were
largely prose text: one-third of the documents used only text, one-third used text
plus one other medium photograph, line drawing, mathematics, chart or graph,
etc.), and one-third used 2-5 additional media types. This limited use of media
types other than text, outlined in more detail in Table 1-5, may well reflect the
last-minute handwork required to paste these media types into the document. If
writers have access to a computer system that makes it very easy to include
nonprose elements, those elements should appear more frequently and carry
more of the important information of a text. This conclusion is supported by
anecdotal evidence and the responses of the authors using such systems in
1987.
16.1 THE INTERNATIONAL NATURE OF
TECHNICAL COMMUNICATION
We are moving more and more toward a single glob al economy, an economy
based on a flow of information as much as it is on material products. We have
indeed entered the information age. Since much of this information is technical
in nature, it is no surprise that technical communication itself has become highly
internationalized. There are now more than 40,000 science journals worldwide,
publishing more than one million articles a year. And only about half are in
English. The United States has more than 350,000 foreign students, and other
countries have many thousands more; most of them are studying technical
subjects. Multinational corporations are commonplace, and all of them depend on
technical communication.
If you are a technical professional or planning to become one, you should
prepare yourself for work in this increasingly internationalized world. You should
seek out opportunities for studying foreign cultures and languages. You should
learn how to deal with people who may not share your cultural norms.
16.1 THE SPECIFIC SKILLS NEEDED
So far, we have argued that scientific and technical writing is important, time-
consuming, and often collaborative, is computerized and becoming more so, will
be relying even more on nonprose elements, and has important international
analogues and legal implications. Let us now consider what communication skills
are needed to support the needs of technical professionals in the near future.
What are the specific communication skills most needed by technical
professionals? In terms of particular types of communication, the most common
written forms are memos, letters, and short reports, followed by step-by-step
procedures and proposals to clients. The most common oral forms are one-to-
one talks, telephone calls, and small group of committee meetings. Frequency,
however, is not necessarily the best measure of importance. Even infrequent
forms of communication can be extremely important. For example, at one
research laboratory we know of, each staff scientist is required to give a 10-
minute oral presentation to upper management once a year summarizing the
work he or she has done during that year. It may be an infrequent form of
communication, but you can imagine how important it is to these scientists! (In
fact, some of them practice it for weeks ahead of time).
Typically, technical professionals need to master many different types of
communication, both oral and written. This variety can be seen in Table 1-6,
which gives the results of a survey conducted by Peter Schiff of more than 800
engineers with 5-10 years on the job.
13
On a scale of 1 to 7, with 7 being most
important, these practicing engineers rated almost four-fifths of the 30 items
listed as important.
Furthermore, technical professionals often command a variety of com-posing
processes. For example, in a 1981 survey of 160 technical professionals and
managers, Lester Faigley and Thomas Miller
14
found that 73.5% occasionally
engaged in team-writing, 26% regularly dictated letters or reports, and 25.5%
used word processors. It seems likely that the percentage of those using word
processors would be even higher today.
As for the basic language skills needed for good technical communication, both
the Davis and Storms surveys, cited earlier, found that writing clearly, clearly
stating ones purposes to readers, knowing how to organize a communication,
and writing concisely were the top choices of experienced
Table 1-6 TYPES OF COMMUNICATION RANKED BY IMPORTANCE TO
ENGINEERING PRACTICE
Rank Types of Communication Mean* Std. Dev.
1 One-to-one talks with technically sophisticated personnel 5.9391 1.3109
2 Writing using graphs, charts, and/or other illustrative aids 5.3995 1.7141
3 Project proposals (written) 5.3324 1.8167
4 Participation in a small group of committee made up only
Technically sophisticated members (oral) 5.2694 1.7733
5 Instructions for completing a technical process 5.2444 1.8332
6 One-to-one talks with nontechnical personnel 5.0718 1.9065
7 Project progress reports (written) 5.0609 1.6301
8 Project proposal presentations (oral) 5.0587 1.9787
9 Writing technical information for technical audiences 4.9157 1.9396
10 Oral presentations using graphs, charts, and/or other aids 4.9139 1.9623
11 Technical description of a piece of hardware (written) 4.8687 1.8793
12 Memoranda 4.8169 1.7175
13 Short reports (less than 10 pages typewritten, double-spaced) 4.7967 1.8507
14 Writing technical information for nontechnical audiences 4.7458 2.1377
15 Project feasibility studies (written) 4.7124 1.9305
16 Project progress report presentations (oral) 4.6667 1.9277
17 Participation in a small group or committee including
nontechnical members (oral) 4.6639 1.9608
18 Business letters 4.6257 1.8856
19 Telephone reports 4.5838 1.9682
20 Project feasibility study presentations (oral) 4.4258 2.0780
21 Form completion 4.2842 1.8847
22 Formal speeches to technically sophisticated audiences 4.0452 2.2108
23 Writing in collaboration with one or more colleagues 4.0313 2.0175
24 Laboratory reports (written) 4.0184 2.1800
25 Long reports (10 or more pages typewritten, double-spaced) 3.8249 2.2120
26 Formal speeches nontechnical audiences 3.5869 2.2020
27 Writing requiring library research 3.2062 2.0723
28 Abstracts/summaries of others writing (written) 2.8864 1.9910
29 Articles submitted to professional journals 2.8704 2.1499
30 Reports submitted to professional societies 2.7224 2.0827
*Rating scale: 1 = least important: 7 = most important
Skills 25 through 30 were ranked below average to unimportant.
SOURCE: Schiff, Reference 13, 1980, American Society for Engineering
Education.
Table 1-7 COMPLAINTS ABOUT TECHNICAL WRITING
FROM 182 SENIOR OFFICIALS IN SCIENCE AND INDUSTRY
Complaint Number
Responding
Generally foggy language 182
Inadequate general vocabulary 173
Failure to connect information to point at issue 169
Wordiness 164
Lack of stressing important points 163
All sorts of illogical reasoning 163
Too much engineering gobbledygook 160
Poor overall organization 153
No clear overview 143
No clear continuity 142
Very little concept of writing for anyone
but fellow specialists 136
Poor grammar 133
General lack of flexibility to suit circumstances 127
Deliberate obscurity 92
Poor punctuation 81
No sense of proper tone for circumstances 72
Poor adaptation of form to purpose 64
Almost meaningless introduction 54
SOURCE: Macintosh, Reference 15.
engineers and businesspeople. These same findings are mirrored in a survey by
Fred MacIntosh,
15
who asked 182 senior scientists, government agency heads,
corporate executives, and other senior officials in science and industry to list their
complaints about the technical writing they saw. The results are given in Table 1-
7.
16.1 THE COMPLEXITY OF TECHNICAL AND PROFESSIONAL
COMMUNICATION
Why do technical professionals often communicate so badly? One reason is poor
training. In trying to keep up with rapid advances in technical knowledge,
technical schools are often forced to make sacrifices and sometimes it is the
teaching of communication skills that gets shortchangeddespite repeated
complaints from industry. Not surprisingly, this neglect of communication skills
creates a series of problems. Technical students are trained to follow certain
standardized procedures in their work, to use correct technical language, to try to
be as objective as possiblein short, to let the facts speak or themselves. This,
of course, is as it should be. But communication is different. Technical students
need to understand that, when they go to work in the real world, they will
sometimes have to speak a different language, especially if they want to be
understood by non specialists. They will sometimes have to avoid following the
standards narrative style of lab reports and scientific papers. They will sometimes
have to cut down on their use of technical terminology (or at least explain what it
means). They will sometimes have to inject their personal opinion into their
writing or speaking, emphasize important points, and make arguments and
recommendations. If communicators do not understand how to do these things,
they will communicate badly.
But the main reasons people communicate badly, we think, have to do with the
sheer cognitive complexity of technical communication and the physical
complexity of the process by which it occurs. What makes technical
communication cognitively complex? In the technical, scientific, and business
worlds, the most attention-consuming activities usually address some kind of
problem. Indeed, if you are an engineer, scientist, or other technical professional,
you probably see yourself primarily as a problem solver. Problems come in
different sizes and shapes: some are narrowly technical and can often be solved
by a single person; others are organization-wide and can only be solved, if at
all, by reaching some kind of consensus among many people. Typically, it is this
latter kind of problem that requires the most skilled communication. The proposal
you are trying to get funded, the project thats falling behind schedule, a
personnel evaluationthese are the kinds of things that are essentially
communication problems, not purely technical ones. These things are also
problems which require a sophisticated level of intellectual activitysophisticated
thinking, analysis, evaluation, and design skillsto deal with the content of your
problem and the audience needs driving your communication. If you are writing
about unfamiliar content, you have the added complexity of mastering difficult
new content.
What Is a Problem?
A problem is some kind of incongruity, a discrepancy between what we expect or
want to find and what we actually do find. It is a conflict between what should be
and what is. Problems are not inherent in nature; they are a product of our
expectations and desires. As the philosopher of science Stephen Toulmin has
said, The problems of science have never been determined by the nature of the
world alone, but have arisen always from the fact that, in the field concerned, our
ideas about the world are at variance either with Nature or with one another.
16
Technical communication can be seen as a way of mediating such incongruities.
As shown in Figure 1-1, the technical communicator is usually faced with some
kind of organizational problem, a discrepancy between the desired state of affairs
and the actual state of affairs.
17
The desired state of affairs is determined by
certain goals, constraints, and criteria, which are
[DIAGRAM]
Themselves determined by various primary and secondary audiences. The
actual state of affairs may also be a product of constraints and criteria, but if so,
they would only be constraints and criteria from an earlier time, not the same
ones that the current audiences have established. To resolve the organizational
problem, the technical communicator conducts a technical investigation and
arrives at certain conclusions and recommendations, all the while keeping in
mind the various goals, constraints, and criteria determined by the desired and
actual states of affairs. The technical communicators conclusions and
recommendations are presented to a primary audience of decision makers, who
n turn are responsive to various secondary audiences (those who are affected by
the primary audiences decision). The primary audiences decisions should
produce attitude changes or problem-solving actions which serve to reduce or
eliminate the original incongruity.
We wish to emphasize two features of this way of looking at problems. First,
most technical problems are embedded in some kind of organizational context
and are therefore socially-conditioned. They are created by the wants and needs
of communities of people. Likewise, they are most effectively resolved when the
technical investigator keeps those wants and needs in mind. This means that
communication with ones audiences is a major part of the problem-solving
process. If you are a technical professional and you want to produce the best
solutions to the problems you are working on, you must maintain good
communication with your audiences throughout the lifetime of a project.
Second, most technical problems are dynamic. They can change even as people
are working on them. Indeed, they may chance precisely because people are
working on them. In a problem-solving environment where good communication
is taking place, there is likely to be a continuous process of attitude changes
and/or problem-solving actions which change the nature of the problem. Figure
1-1 depicts not so much a linear process as a recursive one. Notice the feedback
loops. The attitude changes and problem-solving actions represented by these
loops do not have to be one-time events. There can beindeed, there should be
frequent interaction between technical investigators and their audiences. For
example, investigators can make sure they are pursuing viable solutions by using
progress reports, conferences, phone calls, preliminary drafts, etc. to stay in
touch with their audiences.
Types of Problems
There are many different kinds of problems. As Walter Reitman and Herbert
Simon
18,19
have pointed out, some problems are well defined, others are ill
defined, and many are somewhere in between. A well-defined problem has a
small and relatively simple problem space in which to work out the problem. It
usually has a single correct solution. Technical calculations, even those that
require a computer, are usually well-defined problems. An ill-defined problem, on
the other hand, has a much larger and more complex problem space in which
many different kinds of variables can play a role. It typically does not have a
single correct solution. For example, if you were put in charge of a work group
and told to improve its performance, you would have an ill-defined problem on
your hands. There would be many different ways you could go about finding a
solution, and there would be many possible improvements.
In school, most of the problems you deal with are well-defined ones. But in the
real world, many of the most important problems you have to confront are ill-
defined ones. And often these are precisely the problems that require good
communication skills. If you are asked simply to do some mathematical
calculations and report on them in a memo, you are probably dealing with a well-
defined problem. You will probably have no more trouble writing the memo than
you will doing the calculations. But if you are asked to write a report about the
feasibility of buying some new equipment, you will be facing an ill -defined
problem and will probably have to put a lot of thought and effort into writing that
report.
Intellectual Skills in Problem Solving and Communication
It is tempting to think of communication as a simple matter of conveying
information: Person A knows something that Person B doesnt, so all A needs to
do is pass that information on to Blike pouring information into one end of a pipe
and having it come out the other end, unchanged. But although this conception
applies nicely to electronic data flow and other forms of nonhuman information
processing, it does not work at all for human communication. Human
communication is simply not that simple. Human beings are always interpreting
information, and when they do, they draw on their personal experience to try to
gain better understanding. To the extent that people vary in their experienceand
of course everyone has a unique background of individual experience in this
worldthey will naturally vary in how they interpret new information.
For example, lets say youre a staff physician in a hospital and have written a
memo asking the director to install computer terminals with Grateful Med
interfaces on every floor so that doctors can get information directly from
international, online databases. Although the hospital library has such a terminal,
you believe that putting one on every floor is an idea whose time has come. For
one thing, it would spare you all those time-consuming trips to the library youve
been taking. The director, however, may remember a time when the introduction
of a new recordkeeping system at another hospital led to major changes in the
overall operation of the hospital. Thus, she may interpret your idea differently,
seeing your memo as a first step toward general decentralization. And the
librarian, who has been treated by certain doctors with condescension, may
interpret this memo as yet another sign of disrespect: instead of working with him
to access information, now they want to go around me. The different personal
backgrounds of these people will lead to different interpretations of the same
information. So it is likely that your memo will not be well received.
Situations like these are commonplace in professional life. They illustrate the
point that good communication often requires socially negotiated problem
solving. If you acknowledge the fact that other people have a different body of
experience and perhaps a different perspective than you do, there are two ways
in which you can benefit from negotiating a solution to problems. First, you can
use their experience to generate possible solutions that might not have occurred
to you otherwise. Second, the solution you end up with is more likely to be
acceptable to everyone involved, and therefore more likely to be effective.
Project Management Skills
It should be clear from the preceding discussion that you need intellectual skills
to handle the content of the communication and the needs of the audience.
However, you need another set of skillsproject management skillsrelated to the
physical process by which you produce a communication product. Project
management skills include being able to estimate the time and money and
resources it will take to complete a project or one of its parts, being able to meet
the deadlines set for a stage in the production process, and being able to deal
effectively with coworkers with different backgrounds. The importance of these
skills becomes evident when you see the production process as it is presented in
Figure 1-2. This view stresses the complexity of the production process,
especially for projects with multiple authors, illustrators, editors, and production
specialists.
20
However, even simple projects have many of the stages
represented in Figure 1-2, and each stage involves a deadline which must be
met for the project to continue successfully. In many contexts, timing is almost
everything. If you miss a deadine, you disrupt the tight coordination of many
peoples schedules and cause the communication product to be late. This in turn
may cause the late release or failure of a technical product, or a poor decision by
managers missing vital information. Thus, even if you have very highly developed
skills in identifying and communicating about problems, your skills will be only
minimally useful or even useless in an organizational context if you cannot
combine them with project management skills and meet deadlines.
Conclusion
In sum, technical communication is very complex. The problems it attempts to
resolve are typically ill-defined ones that sometimes change character even as
you are working on them. It requires sophisticated techniques of cognitive and
social problem solving. It requires a good command of both technical and non
technical language and a sense of how to tailor language to the needs and
capabilities of specific audiences. It requires a familiarity with many different
genres of communication. As if this werent enough, technical communication
must also frequently consider the ethical dimensions of a problem.
When something is as complex as this, learning it is not easy. We hope this book
will help.
[DIAGRAM]
Figure 12-2 SAMPLE REPORT FOR ANALYSIS
Date: June 6, 1989
To: Meg A. Lith, Manager
Research Division
Scoria Mining Company
Menhir, MI 48003
From: Michael A. Newton, Research Assistant
Phoenix Memorial Laboratory
47-28 Technology Mall
Atlanta, GA 30081
Subject: Sediment Sample Analysis: Report of Investigation
Foreword: On 14 May you requested an analysis of two sediment samples: TG-
1 and TG-2. You were especially concerned about the amount of cobalt in each.
In response to your request, we have performed a neutron activation analysis on
each of the samples to determine the major constituent elements in each. This
letter concerns the results of the analysis.
Details: The final analysis is based upon the collected results of two separate
procedures: one for short-lived isotopes and one for long-lived isotopes. Although
sample preparation and gamma ray spectra analysis for both of the procedures
are identical, the process of irradiation is different. the process of analysis is
detailed below.
1. Preparation: Sample preparation was performed by obtaining two 1-gram
samples from each of the sediments. These samples were then sealed into
individual quartz tubes for ease in handling and irradiation.
2. Irradiation: One sample tube from TG-1 and one from TG-2 underwent short
half-life activation. The other sample tube from TG-1 and TG-2 underwent
long half-life activation.
2.1Activation of Short-Lived Isotopes: Sample activation was performed by
exposing the sample tube to a neutron flux for a period of 10 seconds. The
sample was allowed to sit for a period of 30 seconds to ensure that it had
decayed to a safe handling level. The sample was then available for
analysis.
2.2Activation of Long-Lived Isotopes: Sample activation was performed by
exposing the sample tube to a neutron flux for a period of 10 hours. The
sample was allowed to sit for a period of 5 minutes to ensure that it had
decayed to a safe handling level. The sample was then available for
analysis.
3. Analysis: Sample analysis was performed by individually measuring each
tube for gamma ray emission. The measurement was performed with a Ge
(Li) detector in conjunction with a multi channel analyzer that was controlled
by a PDP-8 computer. The resultant gamma ray differential pulse height
spectrum was analyzed to determine the following:
3.1The elements present in the sample by referring to the photo peaks
present on the spectra.
3.2The concentration of each element present in the sample by referring to
the magnitude of the gamma ray emission rate relative to a know samples
emission rate. (The concentration of each element in the known sample
had been previously determined.)
Sample composition was then determined by combining the results of the short-
and long-lived isotope analysis. Those results were reduced to include only the
six major elements of each sediment sample.
Results: The final results of the analysis are shown below for the six major
elements in each of the samples. These measurements represent the relative
concentration of the elements to within 0.01 part per million.
TG-1 TG-2
Na-23 31,600 ppm 30,200 ppm
Mn-56 763 ppm 260 ppm
Fe-59 18,800 ppm 46,100 pp[m
Co-60 4.40 ppm 15.40 ppm
Sc-46 3.63 ppm 12.30 ppm
Pa-233 25.60 ppm 6.98 ppm
Note: ppm denotes concentration in parts per million.
If any questions arise as to the analysis of the samples, please feel free to
contact me.
EXERCISE 12-1
A Write a Summary for the report shown in Figure 12-2. When you have
finished, be sure to check your Summary for the important results,
conclusions, implications, and recommendations.
B Compare your written Summary with those written by a small group of
your classmates> if you do not all have the same information in your
Summaries, try to justify your choices to one another and then to produce
a Consensus Summary from the group.
EXERCISE 12-2
If you have recently written any other reports, go back now and check their
Summaries for
Appropriateness and completeness. Since Summaries are so important, you
should practice
Writing and rewriting them whenever you have the opportunity.
[CHART]
12.2 STRUCTURING PROOFS AND TECHNICAL DISCUSSIONS:
ORGANIZING DETAILS\
FOR SPECIALIST OR INTERESTED READERS
As just discussed, a report has a short Foreword and Summary which set up a
problem and gives a proposed solution and cost in general terms for a manager
or non specialist reader. They are followed by a Details or Discussion section
which provides details to support the proposed solution. These are details which
the manager could read or skip depending upon a need to know, but which a
specialist would find essential in evaluating the argument. These essential details
are followed by Appendixes which provide other supporting details: either (1)
nonessential details, details which support the arguments in the Details section
but which are not so central to the argument that they need to be there, or (2)
such lengthy sections of details that they would disrupt the line of argument in the
Details section if they were presented there. This structure is summarized in
Figure 12-3.
Thus, the overall report structure moves from generalizations or claims (the
Foreword and Summary) to support (the Details).
Generalizations (claims)
Details (support)
The section of the report giving details is written for experts, readers with the
technical background and interest to follow the details and fine points of the
technical argument. This section is usually called the Discussion in a long report
and the Details or Discussion in a short report. Such a section is illustrated in the
Details section of Figure 12-1.
As does the structure of the overall report, the structure of the Discussion and its
individual paragraphs moves from generalizations and claims to support and
details. For example, examine the first main section after the Summary in Figure
12-1: Performance Superiority of Aerated Lagoons. This section begins with a
heading and then a first paragraph that states the claim being made: Aerated
lagoons have superior performance to activated sludge processes or anaerobic
lagoons because aerated lagoons show better BOD reduction and higher organic
loading potential. Notice that the main claim (aerated lagoons have superior
performance) is visible from the heading alone.
The main claim is then supported by the subsections which follow, with each
subsection proceeding from claims (or sub claims) to support. In each case, the
sub claim appears in the subsection headingSuperior BOD Reduction by
Aerated Lagoon and Superior Organic Loading Potential of Aerated Lagoons
and again in the first sentence of the section. This structure is summarized in
Figure 12-4 on the previous page.
EXERCISE 12-3
Rewrite the report in Figure 12-2 to strengthen the movement in the Details
Sections from generalizations or claims to data and support. Dont forget to
consider the headings.
REFERENCES
1 Richard W. Dodge has prepared an extended list of questions managers
want answered for various types of projects. The list appeared in What to
Report, Westinghouse Engineer 22(4-5):108-111 (1962) and was based
on information provided by James W. Souther, What Management Wants
in the Technical Report, Journal of Engineering Education 52(8):498-503
(1962).
ADDITIONAL READING
J. C. Mathes and Dwight Stevenson, Designing Technical Reports (Indianapolis:
Bobbs-Merrill, 1976).
Henry Mintzberg, The Managers Job: Folklore and Fact, Harvard Business
Review, July-August 1975, pp. 49-61; The Nature of Managerial Work (New
York: Harper & Row, 1973)

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