CHAPTER-1COMMUNICATION

TOPICSConcept 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 Degreestudents, with a view to well equip them for successful future careerdevelopment. They should be able to identify the conditions to become effectivecommunicators as Engineers and Managers. This requires certain basiclanguage skills and deep study of the course and methods of communication.Both written and oral communication skills of certain standard are required to bedeveloped so as to achieve professional success.

INTRODUCTION

Nearly seventy per cent of our working time is used for communication inone form or the other i.e. for either reading or writing or speaking or listening. Nogroup can exist without communication. In the process of communication, weconvey our ideas, thoughts or feelings. Take an example of any imaginary groupin which there is a member who speaks only English. The others in the group donot know English language. In that case, the thoughts and feelings of the personspeaking only English will neither be properly understood nor grasped by theother members of group. Communication of any kind must include bothtransference and understanding of the various aspects of the meanings of thewords and sentences spoken or written. A perfect communication is that throughwhich thoughts or ideas are transmitted in such a way that certain mental pictureis created in the mind of the receiver and the said picture synchronizes with theone in the mind of the conveyor or speaker.

Effective communication is an essential factor to influence others, toexpress feelings and emotions and to provide, receive and exchange information.The integrity of the formal structure of an organization is kept intact by thechannels of communication laid down by that organization. It is the most vitalprocess that keeps the wheels of an organization moving smoothly.

The study of the subject of communication helps students to become awareof the importance of the process of communication in daytoday business orprofessions. It equips then with skills both in oral and written communication andcreates in them an intellectuals interest in the field of business and engineering.It also provides the theoretical background with discussions of practical situationsin day to day life and improves students’ ability to acquire effective skill in oraland written communication. Business and society would be better served if

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proper attention is given to improve on the job communication and to build cordialworkersmanagement relations.

NATURE OF COMMUNICATION

What is communication?

The word communication is of Latin origin. In Latin ‘Communist’ meanscommon. 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 andother means help individuals to communicate thoughts to other people and tothemselves. Communication is a transfer or transmission of some informationand understanding from one person to another. Any effort to produce meaning isa form of communication. It is the sum of all things a person does when he wantsto create understanding in the mind of others. Communication in fact is anunending process in the world of human beings, animals and plants. It goes oncontinuously all the time. It is an inseparable part of life itself. The need ofcommunication is as basic as, or perhaps even more important than, the hungerfor food and thirst for water.

Definition of Communication

Attempts have been made to define communication. A few of these definitionsare given below:

1. Communication is the process by which information is transmittedbetween individuals and /or organization s so that an understandingresponse results.

Peter Little

2. “Communication is an exchange of facts, ideas, opinions, or emotions bytwo or more persons.”

W.H. Newman

3. “Communication is the process of passing information and understandingfrom one person to another. It is essentially a bridge of meaning betweenpeople. By using this bridge of meaning, a person can safely cross theriver of misunderstanding that separates all people.”

Keith Davis

4. “Communication is the sum of al things that one person does when hewants to create an understanding in the mind of others. It is a bridge ofmeaning. It involves a systematic and continuous process of telling,listening and understanding.”

Louis A. Allen

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5. “Communication is the process of meaningful interaction among humanbeings. More specially, it is the process by which meanings are perceivedand understandings are reached among human beings."

Dr. Mc Farland

6. “Communication is the process of involving the transmission and accuratereplication of ideas reinforced by feedback purporting to stimulate actionsto accomplish organizational goals.”

Scott and Sprigel

7. “Communication is the transmission and reception of ideas, feelings andattitudes both verbally and nonverbally eliciting a response. It is dynamicconcept underlying all kind of living systems.”

Norman B. Sighand

8. “Communication is an exchange of facts ideas, opinions or emotions bytwo or more persons.”

William Newman and Charles Summer9. “Communication is a continuing and thinking process dealing with the

transmission and interchange with understanding of ideas, facts, andcourse of action.”

George R. Terry

10. “Communication is a process of transmitting ideas or thoughts from oneperson to another person for the purpose of creating understanding in thethinking of the person receiving the communication.”

Brown C.A.

11. “Communication is the from of interaction which takes place throughsymbols. may be gestural, pictural, plastic, verbal or any other whichoperate as stimuli to behaviour which would not be evoked by the symbolitself in the absence of special conditions of the person who responds.’

Lundberg

Information is an important word in the first definition. Communicationconsists in transmitting information. But this definition does not indicate theobjects about which information is to be transmitted. This is exactly what is beingdone in the second definition. Communication transmits information not onlyabout tangible facts and ideas and opinions but also about emotions and frameof communicator’s mind. In some cases, facial expressions also play animportant part in the process of communication. After going through thesedefinitions, one can come to the conclusion that in any communication thefollowing 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.

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3. The transmitter must be assured of the exact replication of hid ideasthrough feedback. Feedback envisages the receiver’s response whichis communicated by him back to the transmitter. Communication isthus, 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 includeemotions. In brief, it can be stated that the process of communication involvesexchange of facts, ideas, opinions or emotions between two or more personswhere feedback is an essential factor. The main purpose of communication is toinform 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; and4. 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 beperformed without effective communication.

2. In case of large organizations, upto date, effective and efficient networkof communication system must.

3. Effective communication promotes the spirit of understanding andcooperation between management and employees.

4. It is important in case of negotiations and keeping contacts withdistributors, retailers and individual customer.

5. Possessing appropriate communication skill is one of the importantqualifications both at the time of appointment and or promotion.

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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 anorganization. Communication failures are more frequent thancommunication successes in our life.

2. Communication between human beings is clearly an essential elementof all activities at al the levels.

3. Several authors have treated management as a function or process andhave 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 organizationalposition on vital economic, political and social issues.

5. It keeps management informed about attitudes, trends and reactionsamong employees and public.

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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 indecisionmaking. It increases motivation by clarifying the employers what is to bedone and how well they can do it. The communication within the group is afundamental mechanism for the members to express their feelings. It providesemotional expression to their feelings for the fulfillment of social needs. Incommunication the interaction between a group and organization performs on ormore of the above functions.

TYPES OF COMMUNICATION

Much of the time of the executives is spent in communication in the form ofreading, writing, listening and speaking. The higher the position, the greater isthe proportion of time spent in communication. Efficiency of any organizationdepends on regularity of flow of messages of all kinds. If the flow of message isnot carefully organized into a well arranged network, there is every likelihood ofremaining communication gaps. Every organization has a hierarchical line ofauthority along which runs a communication channel used for transmitting allwritten and oral messages. The following treediagram can give a broad ideaabout the types of communication.

(Diagram)

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WrittenCommunication

VerbalCommunicationOn the basis of the

method of expression

UpwardCommunication

DownwardCommunication

On the basis ofthe Direction

On the basis of theorganizational structure Informal

Communication

FormalCommunicationCommunication

Types ofCommunications

HorizontalCommunication

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ORAL COMMUNICATION

Oral communication is one of the most important types of communication. Inthis type, there is nothing in writing. The examples of verbal communicationare numerous. Oral orders, face to face discussions, telephonic talk, lectures,interviews, counseling, public speeches, audiovisual aids, movies etc. fall in thisgroup. Quite often, more than one medium is required to be employed to makethe communication effective. Face to face communication, often combine oralform with the visual. They encompass gestures and facial expressions. Oralcommunication can be carried out buy air vibrations when it is face to face orover the microphone, loud speaker, telephones and radio.

WRITTEN COMMUNICATION

Written communication is always in black and white. It includes the use oflanguage. Written communication can be transmitted by mail, telegraphs, telex,fax, noticeboards, newspapers, magazines, bulletins, pamphlets and such otherforms.

FORMAL COMMUNICATION

Formal communications are mostly in black and white. Formalcommunication derives support from the formal organizational structure. It isgenerally associated with a particular position of the communicator. When thegeneral manager instructs his subordinates by virtue of his position, it can betaken as a formal communication.

INFORMAL COMMUNICATION

This type of communication is free from all sorts of formalities. It is based oninformal relationship between the parties. It is generally termed as “thegrapevine” communication; Informal communication may be conveyed even by asimple glance, gesture, nod, smile or sometimes mere silence.

UPWARD COMMUNICATION

If the communication flows from the subordinate to their superior it is calledan ‘upward communication’. Such communication includes employee’s reactions,suggestions or their grievances etc. This type of communication is considered tobe a main source of motivation for an employer.

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DOWNWARD COMMUNICATION

Downward communication flows from the uppermost level of managementtowards 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 forhuman beings but also for animals and plants. Communication is the namewe give to the countless ways of keeping is relationship with whatever we areconcerned in our day to day life. It means, communication is natural to all livingcreatures. It can be established even between human and nonhuman beings incase they live together. Pet animals for example, also communicate with theirhuman companions. Methods of communication may however, differ fromindividual to individual, groups to groups or community to community. A civilizedgroup cans posse’s better communication ability. It is central to everything thatwe perform in our day to day life. In order to achieve goals effectively, it isnecessary to adopt the process of effective communication. An organization canhe held together only if there is proper communication among its members. Eachperson has different goals and they may be achieved through cooperative,coordinate efforts which needs proper communication. Hence, withoutcommunication no organization can properly function. It is a tool which canexercise influence on others. Communication motivates them to establish andkeep the relations with them. It means that there can be no society withoutcommunication.For transferring the thoughts and ideas certain means and methods are requiredto 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 passedon from one individual to another individual from one organization to anotherorganization and so forth. An individual, who wished to pass on certaininformation, puts his thoughts either into words or other symbols which can beunderstood by the persons to whom he wants to communicate. The process ofcommunication begins with an emergence of thought or idea in one’s mind. Mereemergence of thought or idea does not start the process of communication. Theindividual concerned must intend to communicate it to somebody. This intentionto convey idea orthoughts begins the process of communication. In a broad sense, thecommunication process takes place in the following general form

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The Sender: A person who intends to convey or communicate his thoughtsor ideas is called as a sender. He has to translate this message in such alanguage which is known or understood by the Receiver. The effect of hismessage not only depends on the language he uses but also upon his status andreputation. Status relates to authority, knowledge and prestige while reputationrelates to the kind of person he is known to be i.e. whether he is cooperative ornoncooperative (hostile). For example, a message from a popular boss who isliked will be appreciated or believed by the subordinates much more than the onereceives from a boss who is not in subordinates very good esteem.

Encoding: The method which initiates the message is called encoding athought. The sender puts his thoughts in certain form of logical and codedmessage. It may be either oral or written communication. It can be stated in aspecific form may be in letter, telegram, verbal talk, (gestures) or some otherform of expression. As the sender intends to know the effect of his message, heconsiders various factors such as the receiver’s knowledge about the subjectmatter, his working conditions, his job responsibilities and other backgroundinformation. There are four aspects which are important for encoding themessage.

1. The sender’s 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 sender’s 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 theencoding source. When one speaks, writes or paints a picture is considered as amessage. Gestures, movements of arms facial expressions etc. are also takenas messages. It is affected by the code or a group of symbols used to transfermeaning. The meaning of what is to be communicated itself and the decision thatthe 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 certainmedia. It may be a face to face message, a conversation or a written or typedmatter or simply some sort of gestures. The channel bridges the gap between thesources and the receiver. In case of face to face communication, a talk over thetelephone or a broadcast radio or telecast on Television, reception almostsynchronizes with the dispatch of the message. In other forms of communication,it depends upon the efficiency of the medium used. There may be some timeinterval between dispatch and actual reception of the message. A letter may takefew days to reach the destination while a telegram may reach within a few hours,and an Email in a few seconds.

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The Receiver: Just as the sender has his own frame of references, so doesthe 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 alsodepends on the type of message sent, the channel employed, the manner of hisreception and the situation under which it is received. The frame of the mind ofthe Receiver also carries equal importance in the process of interpretation ordecoding of the message as that of the sender in encoding.

Decoding of message: The work of interpretation is concerned withreceiver of the message. He accepts the message and tries to find out its exactmeaning by analyzing the sender, his intent his role, knowledge, experience andauthority. Receiver of the message tries to translate the symbols, ideas into aform that can be understood by him. The process of translation and interpretationof the signals is called decoding. The process of decoding requires that thereceiver must possess skill in reading or listening and must also be able to applyreason. Receiver’s attitude and cultural background can distort the message. Incase, the encoding is efficient and the receiver is conversant with those codesand symbols, his perception can be good. There can be a fairly accuratereproduction of the message. When the message is properly decoded by thereceiver, he may immediately respond to it. This response exists in his mind inthe form of ideas or emotions.

Feedback : Feed back is the turn of message or responses from thereceiver to sender of the message. It determines whether understanding isachieved or not. When the message reaches the state of decoding, the processof understanding starts. The sender expects that the receiver shows someresponse or reaction so that he can take some action or reply or behave in aparticular way as a result of the responses he receives. The sender of themessage 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 usefulfor undertaking or modifying future communication.

(Diagram)

In the process of face to face communication, there is an immediate andcontinuous feedback. The facial expressions of the listener can tell the speaker,whether the message is understood, accepted, rejected, liked or not liked by thereceiver. The speaker can further modify his message according to the situationneeds and understanding of the listener, so as to make it more acceptable to thelistener. It is possible for the speaker to ask certain questions to find out whetherthe message is fully understood or not by the listener. In certain cases, listener

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can also ask questions for better understanding and clarification of the messagehe receives.

IMPORTANCE OF COMMUNICATION

The system of feedback in face to face contact in oral communication helpsthe listener to influence the speaker. The positive response by way of noddingthe head, clapping, smiling etc. helps in this process. The negative responselike yawning and looking unattended or bored etc. makes the speaker to changehis speech and make it suitable to the listener’s level of understanding and hisexpectations. In case of meetings and large gatherings, the audience can becontrolled by the speaker through the perception of feedback on the spot. In caseof written communication, feedback is quite slow. Here, the sender may not havethe advantage of observing facial expressions or immediate reactions or readingthe communication. There is no immediate chance to modify or even to findout whether or not the message is perfectly understood. The feedback becomesavailable only after receipt of a reply from the receiver. This process takescertain time and may, therefore, cause delay in understanding. In some cases, itis quite difficult to get feedback about reader’s emotions or reactions whichcannot 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, thespeaker himself may miss the exact idea of his speech or writings. Feedback inthis respect is more important. Special efforts in the form of field work, or surveyetc. need to be made to understand public opinion or result of the speech frommass audience. This feedback helps the sender to modify future programmesand communication. The exact reaction of the receiver to our message gives usimportant information regarding the effectiveness of communication. For thisreason, it is necessary to arrange for the feedback. Many a times, aperson is blamed for not performing the given job exactly according to thespecifications supplied or instructions given. One has to find out in the verybeginning, whether the given instruction is exact, properly understood andsufficient for carrying the assigned job. This is possible to know only if a perfectfeedback system is available at our disposal. In such case, the receiver canimmediately check up on his understanding of the message. One of the methodsof acquiring the feedback is to ask the receiver summaries what he understoodby the message given. This method of summarizing can be tactfully appliedwith a sense of cooperation. The receiver should not feel that his understandingis being suspected. A good summary can be produced in the process ofanswering questions. It is always useful to find out what the receiver hasunderstood by asking only key questions. Yet another method is to encourageand invite questions from the receiver. This method may not be effective allthe times as the receiver of the message might not have grasped the messageto the extent to either ask questions he may not have understood.

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It is not possible for the superiors to get the correct feedback fromsubordinate’s reaction to the communication, as they usually know what theirboss 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 getfeedback on emotional grounds. Thus, the sender’s status becomes a barrierin the process of feedback. It is important for persons in senior positions to bereceptive to feedback. Communication can be greatly improved by arranging asystematic use of the process of feedback. Enough opportunities are given to thereceiver to freely express what they feel so that feedback can be true and proper.

The important requirement for successfully getting feedback is the art ofbeing a patient listener. An impatient superior cannot get sufficient feedback fromhis subordinates. He must be sufficiently silent and alert when others speak.He must be skilful in drawing out feedback by asking questions but only atappropriate moments. He must also be alert to observe nonverbal feedbackwhich is often given unconsciously and indicates emotional reactions.

The other side of this process is the receiver who also should give fullcooperation and checkup his own understanding by offering a summary of themessage or by asking clarifications and stating his own views and feelings withresponse to the communication.

COMMUNICATION PROCESS

Communication is natural to all living creatures. It can be established evenbetween human and nonhuman beings if they live together. It is central toeverything that we do in our daily life. All our activities fall in the area of eithersuccess or failure, depending upon our ability to make the communicationeffective. All organizations are held together because of communication. It is atool with which we exercise influence on others. Without communication there isno interaction between two persons, or groups, or communities, or people.Process of communication can be defined as “Transferring of thoughts or ideasform one person (or group of persons) to another person so that it can beunderstood and acted upon.” It has always certain purpose. In order to transferan idea, which one gets in one’s mind and to make the communication effectiveone has to use certain words, symbols, pictures or sounds that stand for thoseideas. The symbols one uses must be such that the receiver understandsthem. Peter little has defined communication as “the process by whichinformation is passed between individuals or organizations by means ofpreviously agreed symbols.”

(Diagram)

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Communication is a dynamic process. Mere looking at something means toanalyze 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 dynamicinteraction both affecting and being affected by many variables. It is a basicsocial 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 singleprocess but a part of the set or processes. It uses various means like oral,written, verbal, nonverbal etc. The means of communication are determined bymany factors such as personal, social, political, economic, cultural etc. Businessorganizations use mass communication media to establish and maintaincontacts with various people within and outside the organization. It can be donewith the help of various means.

In case of subordinates, communication is established through intercom,memo, orders, face to face communication etc. Business communication isconcerned with the study of communication between individuals and groupscreated in the process of administration of an organization. One has to bealert, careful and cautious about what people say and how it affects, all theconcerned people. In certain cases, gestures and other nonverbal signalsconvey meaningful messages. The success of any communication, eitherpersonal or corporate, lies not in sending and receiving it, but in its appropriateunderstanding by the receiver. Business communication is thus a process oflinking superiors and subordinates in various sections of the organization and allthose outsiders associated with the organization in one way of the other.Communication in this sense is the dynamic interactive process of relatingpeople 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.)

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5. Noise

6. Feedback

The sender of a message has to put his ideas in proper language or symbolsso 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 calledas decoding the message.

3. When the encoded message is the same the decoded one, thecommunication is considered to have been effectively taken place.

4. When the message is not effectively communicated or it ismiscommunicated it can be referred as ‘Noise’. The noise can enterthe 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 anyorganization to develop an appropriately suitable and efficient network ofcommunication. For this purpose, the following basic principles of communicationmust be considered.

(Diagram)

1. Principle of clarity: Whenever an idea is to be communicated, oneshould give attention towards its clarity and precision. The idea should not beeither confusing or vague. It should be easily understandable by people at alllevels of organization. No communication is said to be complete and effective

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unless it is understood by the receiver in the same sense with which the senderconveys it.

2. Principle of consistency: Whenever a person wishes to communicatecertain message he must be consistent in his expression. It should be consistentwith overall objectives, policies, statement and his action; otherwise the receivermay not be faithful in his acceptance of the message and its execution. Thecommunicator must always try to make his subordinates into confidence andencourage them to follow his plans of action.

3. Principle of completeness and adequacy: Whatever to becommunicated should be adequate and complete in all respects. Insufficient orinadequate statements of communication may create misunderstandings in themid of the receiver resulting in delays. Consequently, original plans may not besuccessfully executed in action. The adequacy of the information also dependsupon the power of understanding of the receiver of the message.

4. Principle of information: In the beginning the sender of the messagemust 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 andunderstanding. The communicator as well as receiver should sincerelyparticipate in the process of communication. There should be a perfectunderstanding between both the parties, i.e. receiver as well as sender of thecommunication.

5. Principle of channel or media adaptation: There should beappropriate channel of communication. The choice of any communicationchannel depends upon the content or matter of the message to be conveyed.For example, whenever the messages are lengthy, writing channel is suitableas it suits the simple purpose; In general, simple messages are conveyedthrough oral communication.

6. Principle of appropriate time element: The sender of the messagemust take into consideration the element of time factor while conveying themessage. Unsuitable time of communication may result in failure of achieving theexpected results. The system of communication should be continuous. Honestefforts on the part of receiver and sender are essential to make thecommunication successful.

7. Principle of Integration: In any organization, it is necessary to preparean integrated system of communication so that the enterprise can achieve itsgoals. Members of management groups must give due importance to keep intactthe communication frame and arteries. As it is a means to an end, it should befree from any personal prejudices. It should not be offensive in its

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content but should convey the sense of adopting definitely cooperative principleof give and take.

8. Principle of flexibility: Any organization no matter how big or small it isshould have a perfect system of communication. It should be flexible so as to suitthe changing requirements of the organization. It should also be able to quicklyand aptly adjust to the new working techniques as well as newcommunication systems or methods without much resistance or difficulties.

9. Principle of informality: Management of any organization should seethat the communication at all levels is maintained by supporting formalcommunication with informal contacts. The communication becomes mosteffective when managers utilize the informal organization to supplement thecommunication channels to the formal organization.

10. Principle of feedback: Communication is not a substitute for goodmanagement but it requires good management to operate it effectively andefficiently. Communication is a two way process which provides enoughopportunity for constructive criticism from the receiver of the message leadingto the emergency of creative ideas. The communicator must create suchatmosphere in the organization that while conveying certain messages or ordersthey must depict a correct picture of message and get proper response from thereceiver. The organization must create such feelings in the minds of itssubordinates that they feel free to contribute to the work of the organization.When the communicators respond with proper feedback system, it may lead tothe speedy progress of the organization. Hence, it is very important that themanagement should adopt and encourage such system of communication thatthere prevails free and frank atmosphere in the company leading to constantflow of information in all directions.

BARRIERS OF COMMUNICATION

(Diagram)

Communication is a complex interactive process, involving assumptionsand unspoken agreement between persons. There are frequent errors andmisunderstandings in the process of communication. Due to faultycommunication, a large number of managerial problems arise. Poorlytransmitted messages may lead to understanding and frictions which mayhave an adverse effect on the morale of subordinates. There are variousobstacles or difficulties that come in the way of communication. Theyare termed as the Barriers of Communication. They may be physical,mechanical, psychological, cultural or linguistic in nature.

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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 senderof 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 theform of another conversation going on within the hearing distance, loudmusic, traffic noise etc.

2. Environmental stress: In this case the factors like humidity, poorventilation, strong glare etc. may disturb the smooth communication.

3. Subjective stress: Sleeplessness, ill health, mood variation etc. disturblistening and interpreting.

4. Ignorance about the Medium: The use of medium with which theReceiver is not familiar, may become a barrier in understanding. Forexample, inability to read maps, graphs, charts etc.

Messages sender’s limitations:

Following are the sender’s limitations:

1. The sender of the message may not be able to put his message in aproper 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 listener’s ears.

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4. The sender may be lacking in the art of composition of sentences. Hemay, therefore, confuse the receiver.

5. His choice of words and their arrangement may not be appropriate andeasy 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 Receiver’s Limitations:

Following are the message receiver’s limitations:

1. The receiver may be inattentive.

2. The level of intelligence of receiver to understand and memories themessage may be inadequate.

3. Listener’s background and store of information may not be enough.

4. Confusion may be caused abstract due to theoretical communication.

5. The listener’s level of understanding may not be sufficient to grasp themessage.

III. Psychological Barriers:

The frame of human mind through which one looks towards others differsfrom individual to individual. The feelings like fear, desire, hope, likes anddislikes, views, opinions are the attitudes formed because of social environment,education, family background, and training and personnel experiences. Certainpersons act in certain particular way. It is difficult to predict one’s reactionbecause 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 thepicture he has of himself. It is this image which makes the person alwaysdefend his point of view. We retain in our mind only that informationwhich is pleasant, or liked by us or supports our ego, while weconveniently forget the information which is unpleasant, not to one’sliking or humiliating.

2. Assumption: There are certain assumptions which become barriers incommunication. The speaker feels that he need no elaborate or explain

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certain points. This becomes a barrier in communication. In certaincases, for example, an Engineer takes it for granted that workersunderstand various technical terms he uses. It ma y be a wrongassumption.

3. Redundant phrases: Many times, we use phrases like “It is wellknown” or “It goes without saying”. These and such others may bewrongly presumed statements.

4. Generalization: Some people have attitude of ‘illness’ that is thetendency of generalization. For example, someone may make astatement that ‘Businessmen lack manners.’ It is nothing butprejudice against a particular group.

5. Prejudgment: Sometimes, we interpret messages in terms of our ownframe of references. In that case, our judgment acts as a barrier inaccepting the facts.

6. Snap reactions: A listener or reader quickly or prematurely responds tothe message may be because one is hottempered. Such reactions arecalled as ‘snap reactions’. They may prove to be barriers incommunication.

7. Tendency to Evaluate: The main barrier in case of interpersonalcommunication is our natural tendency to judge, to evaluate, anddisapprove the statements of others.

8. Group identification: Opinions are formed due to the influence of thevarious 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 groupis more important, therefore not willing to accept any communicationcontrary to the interests of his group.

9. Self Image: A selfimage is created over years and it is difficult toaccept any idea which goes against it. Suppose someone feels himselfto be efficient in performing his job and becomes an officer. As an officerhe is required to control his subordinates and get work done rather thandoing 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 knowseverything about running a business. He is not easily ready to acceptthe contention that his subordinates can also be having useful ideas tocontribute in the success of business. Several times, their useful ideasmay go unheard merely because of the distance in their social status.

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It may be a difficult barrier which both may be unable to overcome. Suchbarrier can be overcome only by adopting an “open door policy.”

11. Closed Mind: Intellectual background, narrow interest, failure inunderstanding human nature, may become barriers to receivecommunication with sympathy. Example is to receive complaints andgrievances in the organization. Counseling can help to overcome thisdifficulty.

12. Poor communication skill: Inefficiency in writing and speakingprevents the speaker in encoding his ideas properly and to attractlisteners 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 infacing audience may become a major barrier in communication.

13. State of health: State of health can also become a barrier incommunication. A person with illhealth gets his ability to communicatereduced due to lack of energy and many, therefore, refuse tocommunicate. Reciprocally, receiver may not properly respond.

IV. Semantic Barriers:

The important means of communication is language and it must be usedproperly. Words having different shades of meaning and pronunciations shouldbe used very carefully. For example, a word “Record” can be used as a verb aswell as a noun with a difference in stress but without any difference either inpronouncing or in spelling. The words like ‘site, cite, sight’ can causemisunderstanding in speaking. In certain cases, technical terms may not beunderstood particularly those who are not associated with that field. All suchfactors are covered under the term semantic barriers.

V. Cultural Barriers:

Any language is the expression of the thoughts, feelings and experiences interms of cultural environmental. The same language when used in differentcultures, take different color and conveys different meaning. Sometimes, wemodify our language according to the person with whom we are speaking. Thereis a difference in the use of language for discussions, formal talks informal talksetc. 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.

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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 precision2. Semantic distortion3. Premature evaluation4. Inattention5. Failure in communication6. Fear or resistance to change7. Distrust of communication.

System of overcoming the barriers in communication:

1. Proper information to the employees2. Proper listening3. Developing interpersonal relations4. Communication through action and deeds5. Use of proper language6. Use of the grapevine (informal communication)7. Feedback of information.

Following are the barriers in the way of effective communication and they areto be torn down or improved upon.

1. Vagueness in communication is a major barrier in the way if effectivecommunication

2. Empty words, phrases, careless omissions, lack of coherence, repetition,failure to clarify implications, poor instruction are the main charactersof 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 bothways, i.e. to transmit superiors’ directive to subordinates andsubordinates’ feelings, thoughts and reactions to superiors. At times, itis not enough to pass on the communication word. It must be either putinto 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 generallybecomes decreasingly accurate. In case of oral communication, 30

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percent of the information is lost in each transmission. In case of largeorganization, it is not possible to rely upon oral communication form onlevel to another level. Even written communication followed byinterpretations is sometimes subjected to loss of some meaning intransmission.

6. Inattention: Sometimes carelessness in reading printed matters likenotices, bulletins and minutes of meetings is a common feature in manyorganizations.

7. Nonlistening seems to be one of the important drawbacks of humanbehavior.

8. Overlooking unqualified assumptions and noncommunication of criticalinformation becomes a barrier in the way of the effective communication.

Insufficient Time for Adjustment: Some announcements have a vitalbearing on the working conditions of subordinates. For example, the declarationsabout the changes in shift, place, order etc, are very important for them. Thesubordinates require time to think and understand the full meaning of themessage. It is not appropriate to force changes on the workers before they adjustwith such changes. This aspect is very important form efficiency point of view.

Distrust of communicator: Sometimes superiors do change messages thatfollow original communications. They may be the result of illogical decision. Thisleads to delay in taking actions by the subordinates with enthusiasm.

Premature evaluation: Those who wish to communicate must be listened inan unprejudiced fashion before any response is generated. Otherwise, itbecomes a barrier.

Fear: mangers must accept that they have to depend on their subordinatesfor information. There is no guide yet developed, that would communicateupward. Fearing the consequences of the discloser, subordinates sometimesmislead the superiors. This may become an important barrier in the way ofcommunication.

Failure to Communicate: Sometimes laziness in transmitting messagebecomes a main barrier in effective communication. One cannot communicateeverything that is obviously necessary.

Effective communication is a process of meaningful interaction betweenhuman beings. It is fundamental for achieving successful cooperation andcoordination in the organization.

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CHAPTER-2

METHODS OF COMMUNICATION

(VERBAL AND NONVERBAL)

Nonverbal communication: Skill in oral communication is importantequipment for life. In face to face interaction, a person does not communicatethrough words alone. The person’s whole personality, his general bearing, facialexpression, gestures etc. are involved in the process. A properly dressed manwith a pleasant expression will be able to establish contact with others with betterease. Once a person secures attention of the audience, more that half of thebattle 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 realizesthe 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 rapportwith an audience. A good speaker first looks at the audience and takes apause before beginning his speech. It helps him to make good impression onthe audiences. In case the speaker gives break and put his ideas into small unitsrather than in a lengthy narration, it allows listeners some intervening time tograsp those ideas. Once this is dome, the speaker can proceed to explain nextpoints or ideas. While speaking also it is necessary to maintain eye contact withthe audience. If the listeners feel that the speaker is ignoring them, reciprocallythey are also likely to ignore the speaker and what he says. Through eyecontact, the speaker gets signals whether the channel of communication is openand 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 casesomeone wants to become an effective speaker, good voice is a must. A goodvoice is no doubt a natural gift; but one can very well make effort’s to improve thequality of one’s own voice with a skilful training and practice. Proper attention tothis aspect would lead to acquire confidence and power.

1. Variations in the pitch and tempo of the voice are essential to transmitthe message effectively.

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2. Fast delivery of speech indicates lack of confidence, and betrays theobjects of the speech and the image of the speaker. The speed ofdelivery must be such that audience can keep pace and understand thematter properly. One should no go beyond the speed of 125 to 150words per minute. One has to bring the speed of speaking within thisrange by making proper practice.

3. Pronunciation of the words used must be proper with due stresseswherever required.

4. Speak loudly enough so that everyone including even the last man in theaudience is able to listen the speech clearly.

5. Do not use repeatedly the words like “You see”. “I mean,” “Do youunderstand,” “Is it clear” etc.

6. If using a microphone keep mouth eight to ten inches away from themicrophone to ensure proper transmission of the voice to theaudience.

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 theaudience;

11. While cutting a ‘joke’ relates it in such a way that it should appear to be apart of the speech and that the audience should receive it almostunprepared;

12. Do not get disturbed if a listener smiles or whispers to neighbor;13 Concentrate on ideas.14

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Presentation plan

The art of speaking is the fruit of constant efforts. There is no definite formulato be adopted to become an effective speaker. Enough planning andpreparation is essential for successful presentation. Preparation is the best habitfor overcoming nervousness.

1. as far as possible the speaker should not read out a written speech wordto 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 speakingand not mere repetition.

6. Even while reading the speech, one has to lift the head occasionally andobserve the audience.

7. The speaker must draw adequate notes and points and arrange them ina proper order before actually starting the speech. It should bear properheadings 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. Messagesconveyed by nonverbal methods are simple and limited. However, somemethods such as maps, charts and graphs are skillfully developed for conveyinginformation and presenting data. Sometimes, words are also used incombination 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:

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1. Nonverbal methods have instant effect because of quick perception bythe 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 relysolely upon colors for communication.

15. Colors have psychological effect in motivation and state of mind ofemployees 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 forpeace and purity.

17. In case of graphs, charts, maps, colors give additional dimension to theinformation to be communicated.

18. Colors are also used to identify teams, regiments and countries etc. Anational flag of a country for examples is called ‘color’.

19. Pictorial representation is the best form for mass communication in caseof advertisements and photographic reproductions.

20. Pictorial symbols are quickly understood and easily remembered andhence they are more useful to the eyes movements and wheresemiilliterate or illiterate population is more.

21. Graphs and charts of different kinds are nothing but pictorialpresentation of statistical information, where special skill and techniqueis applied. Through them an overall situation can be understood at aglance.

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22. Nonverbal communication is more effective in representing figures thantables. 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 representsomething, e.g. (+) or () or other Mathematical signs.

25. Where instantaneous decisions are required for conveying informationwords cannot become as quick as signs. Signals become an importantmethod.

26. Many times, visual signs and signals are used for communication if thepeople are not within the hearing distance of each other. Such signsare made with hands, lights and color or any other which is large enoughto be easily seen or visible.

27. One part of nonverbal communication falls in the area of auditorysymbols. Auditory symbols are those which are perceived by the earsi.e. sound. Tribal use drumbeats to convey the messages to distantplaces in forest. Its modern form is sirens which are used in times ofemergency situations like fire, accidents, war etc.

28. Secrets tunes sounds, etc. are used for conveying secret messages bysecret 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 hisPhysical characteristics, his body movements, his facial expressions etc.Nonverbal c communication is no substitute for verbal communication. Itmerely supplements and reinforces what we say. There are occasions whennonverbal clues may belie verbal communication. For example, a tiny, shabbilydressed person may create a poor impression but he may later prove to be aninteresting person.

There is a language beyond verbal, linguistic and visual which is anexpressive and is loaded with denotative and connotative meanings. It has cometo 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)NonverbalLanguage Proxemies (perception of physical space)

Olfaction or body odour

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Skin sensitivity (touch and temperature)

Dress (Cosmetics and grooming)

Body language : Body language is a comprehensive term used for the methodof communication through the different parts of the body other than thetongue. It includes all sorts of body movement’s gestures, facial expressions,postures, mining, touch etc. depending upon the physical space between thecommunicators. Silence as a body communication also plays an important rolein certain exchanges. Body language, by and large, is unintentional and truthfulthan verbal messages. It is easy to deceive a person by expression. A personmay smile and yet be a villain.

Gestures: In certain cases, gestures are used extensively when a person doesnot know the local language. Deaf and dumb persons mainly depend upongestures for their sing language. In certain discussions, gestures of a personconvey much more than what he speaks e.g. Enthusiasm, attitudes,emotions, etc. A gestures like shaking hand display friendship and warmth. Othersuch examples are holding of hand, patting on a shoulder etc.

Facial expressions: Facial expressions are mostly emotional and exhibitsattitude. A smile expresses friendliness and affection. Rising of eyebrow conveyssurprise while furrowed forehead expresses worries and anxiety. Various parts ofthe human body, particularly eyes are used for communicating information. Eyesare the most significant organs which communicate subtle message.Really speaking, eyes by themselves do not show emotion; but when theyassociate with the other parts of the face; they are windows to the soul.Squinting, winking, staring and gazing express a world of meaning. Looking atthe eyes face and other verbal signals during conservation perform certainimportant 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 defensivefunctions. The way in which we sit or stand, walk in or walk out tells a lot aboutour emotions and attitudes. But nobody movement itself has any exact meaning.Just as spoken words assisted by gestures, posture is taken together with otherverbal and nonverbal clues. For example, lowering of head indicates the endof the statement or the raising of the head indicates the end of the question. Alarge 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 thatsomething is happening. This aspect of body language is known as“Proxemics”.

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Dress and Appearance: The kind of dress we use and the way in which wegroom ourselves show our status and attitudes. Most of us are influenced byhow others look and the clothes they wear. Physical attractiveness plays animportant role in our assessment of the people. We consider attractivepeople to be more successful, more intelligent, and more competent than thosewho do not look or appear attractive. Person’s physical appearance and dressconveys a great deal of information about him. Our judgment or evaluation ofpeople is very much influenced by physical appearance. It exercises a definiteimpact on the communication process.

Silence: “Speech is silver, but silence is golden.’ It means silence speaks louderthan the words. It is a nonverbal language par excellence. It establishes therelationship between communicators and their attitudes towards each other.Movements of silence show that the parties are either confused or do not knowhow to continue further conversation. In case of public speaking when thespeaker punctuates his remarks with periods of silence, it may mean that theyare used for stressing the importance of his message. In some cases, silence isgeneralized. For example, when worker fails to complete his assigned job andthe 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 haveused nonverbal and visual signs for making him understand. He might haveused pictures, images, paintings etc. Preliterate man might have expressedhimself visually. The discover of alphabets led to a form of writing. Abstractsymbols replaced visual representation of objects. Following are the importantvisual 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, warningsare used. It can be effectively used only in combination with other media. Thediagrammatic representation combines the written with the visual. Pie charts andpictograms also combine the two, because there is always a written indication ofwhat is shown in them. Such forms are very useful in the presentation ofstatistical data.

Merits of Visual Communication

1. To overcome the language difficulty; charts, graphs etc. can be effectivelyused for visual communication because they are easily grasped andunderstood by the viewers.

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2. To make the people remember the matter for a longer period; pictures andgraphs are the good examples.

3. To make comparisons easy.

4. To make the publicity work more effective, charts and graphs areintroduced. 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 beunderstood by comparing it with word languages by all those who are educatedand attend school or college, learn to read, write and speak it with some degreeof proficiency. Language is a highly developed system of communication. Butany single word in any language is not enough to describe the size, shape andits relation with physical object. Engineering being an applied science, thecommunication of physical facts must necessarily be complete and accurate orelse it may bring disastrous results. Qualities relationship can be expressedmathematically. However, for designing machines and structures, graphicrepresentation is necessary. Major engineering drawings are made in line withdifferent views arranges in a logical system of projection. This is the language ofgraphics which can be defined as the graphic representation of physicalobjects and their relationship. Engineers have to study the language ofengineering graphics so that they can write it clearly for those familiar with it andcan read it readily when written by others. It is essential for an engineer tomaster these specific modes of communication.

Modes of Communication

Verbal language Mathematics Graphics

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Graphics is a device in which visual symbolism is applied for the descriptionand representation of objects and concepts. Skill in each type of languageenables an engineer to describe technical concepts accurately. Most of theformal education is devoted to the development of languages andmathematics. Graphics is the most important languages with which engineerscommunicate.

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 onpaper. 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 graspquickly. Such information would be much easier to comprehend if it appears inthe form of a graph or chart. One of the most valuable functions of a computer isthat it can produce charts, graphs, and other visual aids accurately, quickly andeasily. When statistical information is fed into a computer, a good graphicsprogramme can automatically turn it into an appropriate visual aid. Not only thereport containing visual aids easier to read but they also look more professionaland appealing. Many pages of prose appeal are difficult to read, even thought thesubjectmatter is fairly simple. A few well placed charts and graphs can make areport appear more helpful to arouse reader’s curiosity and interest. Mostcomputer graphics programme can reproduce visual aids in color, makingthen even more attractive and appealing.

Computer graphics are quite helpful to designers, engineers and researchscientists as they plan new products and test new theories. Now the use forcomputer graphics, both in and out of the office, is being discovered all thetime. Computer can be used to produce maps, drawings, blue prints, network foradvertising and almost anything.

Pictograms: Pictograms represent figures by pictures. The best form is that inwhich the value of a figure is shown by the size or number of figures shown. Thisform is an effective way of representing information to general public.

Tables: Tables are useful for presenting statistical at a glance:

Example:

(Diagram)

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Maps: Map represents on paper the earth’s surface or a part thereof showingcountries, rivers, mountains, oceans, roads etc. take for example, a Map of Indiaor a Map of Maharashtra State.

Signs and Signals: Nowadays, signs and signals are widely used to conveymessages, warnings, requests etc. They possess certain universalcharacteristics, conveying the same meaning all over the world. Thefundamental difference between a sign and signal is, while signs are alwaysstatic, signals are dynamic. For example, Mathematical signs (+ or) are staticwhile the traffic signs etc. are dynamic. A sign is, therefore, like a still photographor picture, whereas a signal is like a movie.

Posters: Posters are used for displaying advertisements. They are mostlydisplayed at strategic points so that they can easily catch the public attention.Posters, nowadays, have become more effective for catching or attractingpublic appeal. A well designed poster has a great visual public appeal. Postermessage can be visualized in a sample form and reaches all people irrespectiveof 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 torecord discussions, instructions and for legal arguments.

A chart shows the organization of something by representing its subdivisionsor the sequences of steps in that process. There are three main types ofcharts (1) organizational charts, (2) flow charts and (3) block charts.

Organizational chartThis 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 ofequal ranks or status are aligned horizontally.

(Diagram)

Written communication

Nowadays, communication is possible through a variety of media. Thewritten form of communication includes letters, circulars, telegrams, memos,

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minutes, questionnaires, manuals etc. Everything that is transmitted in the writtenform falls in the category of written communication.

Written communication has certain merits and demerits.

Merits1. 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 publicaddresses. 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 timelyaction 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.

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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 receiverare 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 isinformal

2. Oral communication cannot serveas anEvidence because no record canbe kept.

3. It can be delivered quickly. Hencethere isNo wastage of time.

4. It can be misunderstood in certaincases.

5. The language of oralcommunication can be changed.

1. It is formal in nature.2. Being permanent in nature, it

can be preserved and canbecome evidence.

3. It is time consuming and slow innature.

4. There are less chances ofmisunderstanding.

5. Written communication is rigidand cannot be changed.

6. It cannot be rescrutinized. Exactreview 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 evenafter an apse of time. One canreview whenever required.

7. More accuracy is possiblewhile preparing the statement.

8. It carries importance.9. Written communication depends

on the use of symbols andrequires precise selection ofsymbols otherwise it mayLead to misunderstanding.

Media: Channels of Communication

Nowaday’s electronics has brought a revolution in the informationtechnology. There are many media which can easily pass on our message. Eachone has its own merits and demerits in a given situation. Selecting suitable

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medium of communication depends upon the nature and urgency of sendingthe messages.

Written communicationMedia & Modes ofCommunication

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 facemicrophone, loudspeaker, telephone, radio cinema, T.V. etc.

Postal service: This is a government owned network service which usuallyuses rail, road and air passages to link people within and outside the country.Various types of services are valuable from the postal departments; forexample, mail, registered mail etc. It also includes Quick Mail Services likeexpress delivery, speed post, etc.

Telegraph: In most of the countries it is government owned network. It works bytransmitting different letters of the alphabets. It can be sent by express, ordinaryway or replypaid telegrams. It gives the impression of urgency and is usedwhen urgent action is expected.

Telex: It is an electronic device in which the message at the sender’s end isexactly typed at the receiver’s end. A machine is fitted with a roll of paper andmessages can be transmitted continuously. The main advantage of this machineis 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 tomoment information is required to be transferred; for example in the newspaperoffice, share markets etc.

Telephone: It is the most useful medium of transmitting information for oralcommunication. It allows two or more persons to exchange their views eventhough they are not at the same place. Intercom and STD facilities nowadaysare available in all major cities of the world. It is an instrument which can beused for instant communication. In certain advance countries, conferencefacility is also available. Cordless and wireless telephones enable people tocontact even while they are in transit. It transmits not only the words which weexpress but more significant part is that it also transmits the tone, the pitch ofvoice of the speaker. Telephone communication is the most personal one. Incertain cases, it is cheaper than written communication. In this case, immediate

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feedback is available and by this way lot of valuable time can be saved.Telephonic communication does not, however, provide a record of what istransacted and, therefore, the chances of misinterpretation are high. The receiverin telephonic talk gets a chance to listen and interpret it. It is however, possible toknow the right frame of mind in conversation on phone. In several cases, there isa possibility of breakdowns in communication channels which are more frequentparticularly in rainy seasons. Disturbances also occur due to crossconversation 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 lifeline.

Telegrams: (Cable grams, and fax). In this case the use of language or printedform must be precise and accurate. Unnecessary words and descriptions areavoided to make it quite brief. The word ‘STOP” is used to avoid confusion. Allthese are managed by Telecommunication Department and they are chargedaccording to the number of words used in the message of telegram or cablegrams. Fax messages are charged according to the transmission time it covers.Telex and Fax facilities are now available throughout the country and outside thecountry as well. In this case, the receiving operator’s presence is not required.Telex messages can be received at any time of the day and it can be collectedlater on. Hence it is most convenient for the organizations to send actualinformation where immediate feedback is expected. The main advantage ofTelex and Fax are their quickness and accuracy. Fax is a machine whichproduces a photo copy of a document on the receiver’s machine when thedocument is inserted at the sender’s end. It reproduces as it is the entiredocument 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 thepublic by radio communication. It permits only a one way mass mediacommunication.

Television (T.V.): Nowadays it has become a medium of masscommunication. It has got the advantage of audio as well as video facilities. Ithas got greater impact on people that that of radio communication. It, howeverallows only one way communication.

Film: This has become the most powerful medium of communication thesedays. 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 thereading public and also by the organization for inviting tenders, recruitments,notices etc. It keeps the public in touch with various activities of day to daylife.

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Posters and bill boards: These are used to convey simple ideas. They conveyshort 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 publicpassing by. They are used for mass publicity and mass communication.

Notice boards: These are used in various organizations where internalcommunication is important. Notice board is required to be properly located sothat the concerned people can observe it conveniently. The notices displayedshould be simple and properly worded so that the matter is grasped quickly andeasily.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 exactdestination. Although the cost of providing such service is bit high people prefer itas this service is quick and sure in delivering letters and parcels.

Hand delivery: In certain cases business organization make their ownarrangements to deliver their letters and articles, through their own employees. Itensures prompt delivery. Even though cost may be little high, it is used when thesure and quick delivery with a proof or acknowledgement for the sake of record isrequired.

Photographic: Photographic mode of communication is used to recognize theperson and to verify his identify. It is visual presentation which is often moreeffective in representing information.

Message: Forms and Content

Language is the expression of thoughts in the context of their environment. Thesame language if used in different cultures may make difference. For example,English language used in India and that in Britain carry different color andmeaning. We in India use sometimes English language and sometimesconnotation. Pronunciation also changes, as it comes under the influence oflocal languages. Each language independently shapes the reasoning of itsspeaker. Many times we change our language according to the person we aretalking with. There are different situations when we are required to modify ourlanguage. For example, businessman’s language is the central element of hisenvironment. The success of his business much depends on the way and natureof written and spoken words he uses.

In any language, words are used as symbols. They represent certain meaningattached to them. These symbols are understood differently by the sender andthe receiver ending this process in interpretation. Meanings of words not onlyexist in words themselves but also in the minds of people who use them and theway they are pronounced.

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In sending messages, words and letters are the most common factors. Wewrite a letter because this is the most important mean of keeping oneself in touchwith those who are separated by distance. In the days before the emergence oftelecommunication, letter was the only method used for sending messages.Even though other means of sending messages are now available, letter is stillthe most commonly used and important method of conveying messages. It helpsto maintain personal relations, serves as record and as a means of keeping otherparties informed. The speed of modern media has definitely changed and made itimpact in our day to day life. Media like Telex, Fax, Email have surely made adifference.

Modern form of writing messages has become easy to understand and ithelps to cultivate and maintain personal relations. Progressive companiesbelieve in getting favorable responses if they write in a personal and informalmanner rather than by using old fashioned business jargon. A large amount ofprinted and nonprinted matter that reaches the business people, executives,managers is simple, informal and sincere in style as it receives greaterresponses. Following are the useful and important hints for preparing form andcontent 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. LettersFace to Face orders, telephone talk etc. 2. Reports

3. Memo

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4. Notes5. Drafts6. Notice7. Resolutions8. 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

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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

Oral1. Modes

Written

Formal2. Structure

Informal

Upward3. Direction

Downward

Components of Communication

1. Communication is natural to all living creatures2. Civilized persons can posse’s 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.

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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 meaning7. 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. Sender’s 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 nonverbalcommunication.

12. In case of visual communication, Charts, Graphs, Pictograms, Tables,Slides, Film Strips play important part.

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13. Charts, Graphs and similar other methods are more effective in educationsystem.

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 speaker’s 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.

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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 engineeringcareer.

2. Define communication and state the importance of communication for thedevelopment of engineering career.

3. What is communication? What are the different meanings that can beascribed 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.

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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?

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CHAPTER-3

REPORT WRITING

3.1 INTRODUCTION

With the rapid development in industry and technology there has been a greaterpressure on technical professionals to improve their communication skills. Reportwriting is a major from of communication in the professional world.

Report writing is a part of an engineer’s job. It is calculated that, an engineerspends about 75 percent of his time writing reports. These reports are the endproducts of their work and therefore are criteria for promotion in the job. A poorlydrafted report not only reflects poorly on the writer of the report, but may affecthis career. Survey after survey has emphasized the importance of good writingskills for technical people. When the American Society for Engineering Educationconducted a survey to determine which academic subjects are most essential forsuccessful engineering careers in industry, they found that technical writingranked second among the 38 subjects most needed for engineering careers inindustry. This survey was conducted based on the responses received fromengineers who had several years of experience.

A famous corporation in the USA writes about the importance of the writtenreport in one of the technical report manual:

It (a report) us often his (an engineer’s) only tangible product. It presents hisinvestigation, his testing and experimentation. If his efforts are to count in thejudgement of his superiors, he must describe clearly what he has done. He mustshow the significance of his work. And often the engineer’s written report is hisonly contact with the management.

For the smooth running of an industry or a business organisation, the skills ofreport writing are as essential as good equipment and quality raw materials. Themanagement of an organisation uses the written reports to perform two crucialfunctions planning and control. The reports guide the executive in taking theright 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. Theyare his critical tools for success. His technical skills will be unnoticed,unappreciated and unused if he cannot effectively communicate his technicalskills to others.

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Report writing improves the power of discrimination, judgement, planning andcommunication in an individual. Among many qualities that an engineer shouldpossess, 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 thefacts and details are clear, the writer should not make generalizations based onit. Sometimes, due to the differences in individual perceptions of facts andcircumstance, accuracy may not be achieved. To ensure accuracy, it is expectedof the writer to follow the given guidelines.

1) The facts or data should be described in concrete terms instead of vagueexpressions. It’s better to say the company has incurred a loss of Rs.1Crore in the year 199697 rather than the company has incurred terribleloss.

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 thereader regardless of whether they are important or not. This helps thereader to gain a clearer perspective of the different details and will helpthem in their understanding of the report.

v) All the report writer’s claims should be supported with substantial evidence.A statement like in my opinion, it is advisable to start the textile industry atPune will prove ineffective unless it is backed with enough evidence.

vi) Accuracy can be assured if the report writer follows effective methods ofresearch, correct experimentation and proper observation.

vii) The use of poetic terms, figures of speech and vague expressions will robaccuracy of matter.

3.2.2. SelfSufficiency

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A good report should be selfsufficient. The report should clear all the doubtsand queries that arise in the reader’s mind. The reader should not have to referto other books or journals to verify the matter. The report writer must anticipatenumerous questions from the reader and draft the report covering all theinformation the reader needs to know. The introduction of the report must stateclearly the nature of the problem addressed the conditions of study and the dateand time when the research was conducted. The report should also mention theplaces visited, people interviewed, the journals referred, the expressionsconducted, the procedure followed etc.

3.2.3 Objectivity

Unlike literacy writings which ought to be subjective, technical reports should beobjective.

A report is not an expression of one’s personal feelings. It is written not becauseone likes to write a report but because the conditions demand it. Therefore, thereport writer should maintain a purely impersonal attitude through out the report.The report should contain only scientific and technical details. Emotionalstatements and imaginative ideas should be avoided. The conclusions drawn andrecommendations suggested should be based on reason. Prejudices and biasesshould be checked from influencing one’s writing. The choice of words and formof sentences will to some extent influence the quality of objectivity, idioms,phrases and descriptive words should never be used in a technical report. Theuse of passive voice helps in conveying objectively better than sentences inactive voice, A report should be made weighty by the facts and arguments itpresents and not by sheer use of words. The subjective and the objectivedescriptions of a building are given below:

The newly constructed building looks magnificent. Nowhere have we seen abuilding of such beauty. All the people who have seen it have admired thesplendor of the architectural design.

The newly constructed building is of 25 floors. It is built using Jaipur Marbles andgranites which has lens the sheen to its walls. The architectural design was likedby most people.

3.2.4 Effective Style

A good report should be written in an effective technical style. The features ofeffective technical style are clearness, simplicity, directness, conciseness andreadability.

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, complexand abstract words. The wrong choice of a word may lead to ambiguity.

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Technical terms should be instead of vague or literary terms. The reportwriter 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 toread a report written in simple style to easily understand the matter. The reportwriter should use short sentences instead of long complicated sentences. Acomplex sentence with a clause can be made simple by substituting an infinitiveor a gerund. Simplicity can also be maintained by being brief. Given below are afew 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 bedepended on. (Unedited).The present stock control system is not dependable. (Edited)]

Directness: The reader of the report would prefer to read information givendirectly since it saves his time. The report writer should use his discretion anddecide the form of sentences. The structure of sentence influences thedirectness of expression. Directness will be lost when sentences begin withvague subjects like “It is ..........” or “These are ..........” For example, the followingsentences lack directions:

“There are complaints from people in the neighborhood that air pollution resultsfrom 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 chemicalspollute the air they breathe.”

Directness can also be achieved when the more important facts precede the lessimportant facts.

Conciseness: The report should not be unduly long. It is possible to write aconcise report containing all the details if proper attention is given to the choiceof words. Verbosity or the use of too many words when few are sufficient is amajor setback to conciseness. Some of the commonly used wordy phrases whichmust be avoided are‘In the final analyses ‘finally’

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‘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 ofgrammar, right spellings and proper punctuation will make the report readable.The report should be neatly written in legible handwriting or properly typedwithout any typographical mistakes.

3.2.5. Correct Mechanics

It is not enough if the report is factually correct. The correctness of the form isalso equally important. By mechanics we mean the rules and regulations laiddown for correctness of form. Since the technical report conveys scientific ortechnical matter, the report writer can use mathematical or scientific equations tocommunicate lengthy information in few words. When these equations are usedthey should be set apart from the text. The chemical symbols and numeralsshould not be used at the beginning of a sentence. Abbreviations of standardisedterms can be used freely in the report.

3.2.6 Interest

The written report should arouse the interest of the reader. Arousing the interestof the reader is a difficult job. To do this the report writer must first understand hisaudience very well. He should know their educational qualification, their financialcondition, their position within the organisation etc. He should also find out theirinterests and needs, by catering to their interests the report writer can do anexcellent job. The reader will find the report interesting only if it proves beneficialTo 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 closeassociation between the report writer and his reader, when the topic of the reportis 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 ofa business letter. It must have all the elements and qualities of a business letter.

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The style of the report is expected to be positive and personal rather thanimpersonal and objective. An impersonal and objective attitude is displayed in theformal report.

The letter report differs from the business letter in the use of headings andsubheadings. Proper headings should be given to the paragraphs dealing withdifferent matter. The facts, results, conclusions and recommendations should besystematically 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 DriectorIndian Fertilizers Ltd.NaviMumbai.

Subject: Report on the possibility of opening a new fertilizerFactory 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 anew fertilizer factory at Khopoli. Here is my report:

Findings: Khopoli is chiefly an agricultural area. It population is about 10 lakhs. Itis famous for its high quality agricultural products. Khopoli is directly connected tothree important cities Mumbai, NaviMumbai and Pune. Roadways and Railwayslink Khopoli to these cities.

Site: Through my survey I found that there are quite a few good sites available ata reasonable price.

Electricity: Adequate supply of electricity is available in this town. The authoritiesof the Maharashtra State Electricity Board have promised to supply industrialcurrent to our proposed factory at a lower cost per unit.

Labour: Skilled labour in Khopoli is much cheaper than in Mumbai orNaviMumbai. The chances of laborers going on strike are also very rare in thisarea.

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Water Supply and Raw Materials: Water supply facilities are satisfactory andthere is no dearth of raw materials in and around Khopoli. Khopoli can easilysupply 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 veryhigh. The customers who have been ordering to fertilizers from Poona andMumbai will greatly benefit from our factory. Moreover since there is no goodfertilizer factory even in the neighborhood towns, there will be a heavy demandfor fertilizers. Therefore in my opinion the opening of the fertilizer factory atKhopoli 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 isnever used to communicate with people outside the organisation. A memo reportis used when the information to be conveyed is of concise nature and is devoid oftables, diagrams and figures. A memo report is unlike a letter report both in‘structure’ and ‘form’, the memo does not have the salutation and thecomplimentary close which is present in a letter report. Memo reports are writtenfor various reasons to explain a procedure, to establish terms of contract todocument the progress of any event and to maintain a permanent record of anytransaction. Memos are often produced as evidence in the case of aninvestigation 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 toinvestigate the causes of decline in the sales of ‘Bubble Beauty’ soap in the year1997.

Findings

i) The 10% increase in the price of ‘Bubble Beauty’ soap has displeasedmajority of our customer.

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ii) Some of our sales personnel and the retail shop owners have receivedcomplaints form the public that the use of this soap has resulted in a dryskin.

iii) Since there are many new and attractive brands of toilet soaps in the marketthere 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 thesoaps that sell well have an attractive package. Fluorescent colours in glossypapers seduce the customer into buying. Our ‘Bubble Beauty’ soap does nothave this quality.

To overcome the poor sales of our ‘Bubble beauty’ soap, here are somerecommendations.

Recommendations

i) Though the 10% price hike on our ‘Bubble Beauty’ soap has displeased mostof 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 withthe purchase of two ‘Bubble Beauty’ soaps.

ii) The Glycerine content in our ‘Bubble Beauty’ soap has to be increased sothat it does not leave a drier skin after every wash.

iii) ‘Bubble Beauty’ soaps should be advertised widely and frequently throughout the country to attract greater number of customer.

iv) Supply of ‘Bubble Beauty’ soaps should be extended even to the suburbs ofthe city and even to small towns.

v) An attractive cover of glossy paper may attract the customers and thereforeit is my advice to change the carton of our ‘Bubble Beauty’ soaps.

Our company is sure to incure extra expenditure for implementing the aboverecommendations. But the resultant explosion in sales will certainly neutralize theadditional expenditure.

3.3.3 Report in the Form of a Book

These reports are also known as formal reports. They are usually long, runninginto many pages. They may take the form of an essay, a pamphlet, a booklet or abook. The deal with serious topics and are rich in information, the tone

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throughout the report is impersonal and the style objective. The feature of areport 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 tosupplement the information.

A formal report has all the features of a science text book. However certainfeatures like the table of contents and the division of the text into chapters andsections can be avoided if the report is not so long. Usually, a book report dealswith a significant topic of long standing value. Since they have a lot of informationto be told, which cannot be condensed into few pages they are written in the formof books. A book report has to be drafted with great care. A book report shouldbe 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 havethe 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 shouldconsist of the following parts.

a. Introduction

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b. Description

c. Conclusion

d. Recommendations

Back matter or supplementary parts: The back matter of a book report ismade 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 theprefatory parts can be easily drafted after completion of the report. All theprefatory parts are explained in a sequence.

Cover: The book report should possess a good cover. The cover should havethe title of the report either printed on it or labelled. The writer’s name and thesubmission date can also be printed on the cover,

The Title Page: The title page should contain further information about thereport. 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 theperson or group that prepared the report and the date on which the report wassubmitted. A specimen of a title page is shown below.

Report No. 128

A reportOn

The Study of Fiber OpticsIn Telex Communication

Prepared forM. N. SheikhChief Engineer

BEL

Kunal

Prepared byB. R. VeerapurSenior Engineer

BEL

10 December, 1997Preface: The preface is an introduction of the report to the readers. It gives thegist of information contained in the report.

Acknowledgements: The name of persons and organisations that have directlyor indirectly helped the writer in the production of the report should beacknowledged with thanks. Some of the expression than can be used foracknowledgement 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 thereport. Since the reader should have easy access to the information deals in thereport, 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 tableof contents. Depending on the length and the complexity of the report, the tableof content may have only the main heading or may have subheadings. In acomplex and lengthy report it is better to include the secondlevel as well as thethird level headings. However, it will be easy for the readers to focus on the mainpoints if the table of contents is not cluttered with different levels of headings.

The correct page number should be shown against each heading; the headingsshould be worded exactly as they are in the text of the report. Apart from theheadings in the text, all the components of the supplementary parts should alsobe listed on the contents page. A specimen follows:

Synopsis or Abstract: A synopsis or the abstract is the summary of the report. Itprecedes the main text in a long report. It presents a brief overview of the detailsin the report. Thought the terms ‘synopsis’ and ‘summary’ sound synonymous.There is quite different form one another. A synopsis, also referred as an abstractis much more concise than a summary. It is essentially the table of contents in

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the prose form. It merely outlines the main points of the report, while a summarypresents 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, asynopsis can be used instead of a summary, but if it is longer than 20 pages, it isadvisable 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 aregiven under the following headings.

a) Introduction: The text of a report begins with a good introduction. Theintroduction is written to serve the following important functions.

To inform the reader of the report’s 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 severalpages.

The topics that are to be covered in an introduction are:

Authorization The name of the person or group of persons who authorisedthe report. The date of authorisation. The manner of authorisation i.e. whether inletter form, through memo or through memo or through telephone. The name ofthe report writer and the due of submission.

The purpose and scope The reason why the report is written, the aimwhich 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 maybe social, scientific, technical or historical. This enables the readers to know thesignificance of the report.

Sources and methods The sources of information and the methods used tocollect data. These details add to the validity of the report and make the reportmore convincing to the reader.

Organisation of collected data The different issues dealt with and the orderin which they are dealt. This helps the reader to know what follows next and why.

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All theses items are expected to be in the introduction. As the introduction playsa crucial role in arresting the reader’s attention, great cure has to be taken whilewriting it.

b) Description: This part of the report usually consists of various headingsthat present, analyze and interpret due data collected during the investigation.These details from the proof of support conclusions and recommendations givenby the report writer.

Since all the details collected on the topic cannot be included in the body, thewriter ahs to use his discretion and decide on what to add and what to omit. Theamount of details to be included depends on the type of information, the purposeof the report, and the preferences of the readers. There are some topics whichrequire 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. Theycontain the answers to the questions posed at the beginning of the report. Theycontain the report writer’s analysis of the findings. Again, as in the introductionthe conclusions can be brief if the report is brief and longer if the report islengthy. The conclusion should be logically and systematically arrived at. Theyshould be effectively formulated so as to convince the reader of its validity. Nonew information should be included in the conclusion.

d) Recommendations: Recommendations are given in the report to suggestfuture course of action. They are written for specific reports, after gainingpermission from the authorised person. When the authorised person does notask for recommendation, the report need not have them. Whey they are calledfor, the writer should present them in the descending order of importance. Theserecommendations are particularly important in action intended reports or whenthe 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 informationrelated 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 tomention and list all appendixes in the table of contents.

b) List of References: In the course of investigation, the report writer has torefer to various books and journals to collect information. Information borrowedfrom other published or unpublished works has to be cited in the text and listed at

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the end of the report. It is known as the list of references. If there are fewerreferences, they need not be enlisted at the end of the report, but can bementioned at the bottom of the same page in the form of footnotes. The reader’sattention can be drawn towards the footnotes by marking the statement cited witha star, an asterisk or a number. The footnotes should contain all the informationabout the book referred like the title of the book and the author, the year ofpublication, the name of the publisher and page no. Commas should be used toseparate 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 preparingthe report. It serves as a reading list to those readers, who want to know moreabout the report. The bibliography presents in alphabetical order every sourcethat has been referred to in the text along with other books that has been referredto in the text along with the other books that has been referred, but has not beenmentioned in the report. If all the sources referred have already been listed in thereference, a bibliography seems unnecessary, but it is essential to have aseparate bibliography as it is a part of the formal report. Each entry in thebibliography must be announced, that is comments can be made on the subjectmatter viewpoint and the usefulness of the book. These annotations may bewritten in complete or incomplete sentences but preferably in brief sentences.For example: Tones, Ann. Complete Guide to Effective Communication SkillsEngland: 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 ortechnical terms that are used in the report. If the list is long they are given in aseparate section at the end of the report, it they are few they can be explained inthe footnotes. Usually a glossary is included only when the readers of the reportbelong to a different area of expertise and are not familiar with the technicalterms mentioned on the report.

e) Index: An index is an alphabetical list of names, places and subjectsmentioned in the report with the page numbers written against it. It is the last itemof a report or a book. It is very useful to the reader as it helps him to quicklylocate any information he wants. The index is written only for long reports as thetable or contents do the job of the index in shorter reports. In unpublished reportsit 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.

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4. Define and explain the tern ‘Report’. State the characteristics of a goodreport. (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)

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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 cannotfunction effectively without these regular meetings. They are a chief form ofcommunication in every organisation. Effective meetings prove to be an usefulforum for making key decision and cocoordinating the activities of people anddepartments.

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. Hepresides the meeting and appoints a responsible person as the secretary of themeeting. 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 meetingin consultation with the chairman. He should also decide about the number andthe names of the members to be included in the meeting. Discretion should beused in inviting members. Only those people who are likely tocontribute to the common goal should be invited. Those people who have selfishmotives 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 powerto attend.

The next step in arranging the meeting is to issue a notice and plan the agenda.

4.3.1. Notices

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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 dateof circulation. If the meeting due to be scheduled is of a brief nature with only afew items to be discussed, they can be mentioned in the notice itself. It there aremany items of business to be transacted, they should bewritten 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 acompany. Therefore, it means the items of business to be considered at ameeting. Though the agenda of a meeting has no legal significance, it is of muchpractical importance. The agenda enables a meeting to discharge its objectivesin a proper order. When the agenda of the meeting is known as the membersprior to the meeting it serves several purposes:

It will intensify the member’s expectations about the meeting, lending thema more positive attitude.

It will keep the members thinking about the topics before hand, resultingbetter contribution of idea towards the discussion.

The agenda will positively influence the efficacy of the meeting by having aclear purpose and a clear outcome.

The agenda will avoid diversion of the topic which often arises in meeting bychecking the members in time.

4.3.3. Drafting an Agenda

The agenda of the meeting is usually drafted by the secretary in consultation withthe chairman. If the agenda forms a part of the notice, only the items to bediscussed should be mentioned as the other details are written in the notice.

There are two methods of preparing the agenda paper. According to the firstmethod, the list of items to be discussed in the meeting should be mentionedpoint wise on the left hand side of the sheet. A side margin should be left on theright hand side so that notes taken in the meeting can be recorded against theitem of business. These notes will assist the Secretary in writing the ‘minutes’ ofthe meeting.

In the second method, the list of items of business to be transacted is explainedin greater detail. The agenda, is so worded that, by changing a few words, theagenda paper forms the final ‘minutes’ of the meeting

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Ideally the first item on an agenda should be the minutes of the previousmeeting. The other items should be listed in the order of importance. The routinematter can be put towards the endof the list. Each item of business should begiven a number as it facilities not only filing of information, but also easy accessfor 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. Forexample, if the meeting is the third meeting. Then the items in the agenda can benumbered 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 againsteach item in the agenda. This ensures precision and allows equal time to beallotted to each item. It also avoids unnecessary discussions and prolongeddisagreements among members in the meeting.

4.3.4. Minutes

The written records of the proceedings of a meeting are known as minutes. Thedictionary meaning of the term ‘minutes’ is, ‘a note to assist the memory’. Theobject of writing minutes is to record the fact that a meeting was held and that itarrived at certain conclusions. These minutes are written by the secretary of themeeting as soon as the meeting is over. The secretary or the personappointed to write minutes should be alert in the meeting and jot down points asthe meeting progresses. Important decisions, valuable, suggestions, and theconclusions reached should be written in the minutes. The ‘minutes’ should notbe very lengthy, nor should it be too brief at the cost of clarity. It should be anorganized summary of the business transacted in the meeting and should bepresented in a clear, concise and precise manner. The ‘minutes’ of a meeting aresupposed to be valuable documents of a company. They serve as legalrecords and are included to be preserved for years. When the‘minutes’ of a meeting are entered in the minutethe company and signed by thechairman, they become the official records of the company. No erasures shouldbe made in the minute’sbook. Ordinary ruled Quarto books can be used asminutebook. These minutes’ books should be maintained properly. They shouldbe properly ruled, the pages should be numbered, and every page of theminutebook should be initiated or signed by the chairman. The minute’sbookshould have an index. The index should contain entries about the subject and thenumber of minutes.4.3.4.1. Kinds of Minutes

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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 recordedand no reference is made to the discussion.

b) Minutes of Narration: In this method along with the resolution, a brief noteor the discussions and the various motions considered in the meeting canbe written. The minutes of narration are widely preferred.

4.3.4.2 Writing the MinutesThe ‘minutes’ must present a fair and precise summary of the proceedings at themeeting. As in the agenda, even in the ‘minutes’, the difference pointsmentioned are given a specific member to facilitate reference in future. Theminutes are written point wise according to the sequence of events. Suchminutes 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, thenumber 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.

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The chairman of the meeting has the absolute right to decide about informationto be included in the minutes. The minutes of a meeting should be drafted verycarefully always keeping in mind that, they may be referred to after the lapse ofmany years. They should be written first in rough and after gaining the consentand suggestion of the chairman, should be written in fair. The minutes thusrecorded become valid only when they are read in the succeeding meeting andare approved by the members. After the approval of the members, the chairmansigns the meeting.

Example No. 1: Notice Agenda and Minutes and Minutes of a Third Metingof the BoardOf 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 ofDirectors will be held in the registered office of the company, 20,Mahatma Gandhi Road, at 11.00 a.m. on Monday, 2 January1998.

The agenda is attached.

Nitin KumarSecretary

To Member of theBoard of Directors

SAI MARBLE INDUSTRIES LIMITED

Mumbai 400 008.

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12 December 1997

Agenda

Agenda for the Third Meeting of the Board of Directors to beheld at 11.00 a.m. on Monday, 2 January 1998 at 20, MahatmaGandhi 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 KumarSecretary

SAI MARBLE INDUSTRIES LIMITED

Minutes

Minutes of the Third Meeting of the Board of Directors heldat the registered office of the company (20, Mahatma GandhiRoad, 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

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Sri Satish Shah, Solicitor

No. of Subject of minutes Details ofMinutes Minutes

3.01 Confirmation of the minutes The minutes of themeeting

of the last meeting held on October 20,1997

was signed by the

chairman.

3.02 Confirmation of the The secretary informedthat

appointment of Directors all the Directors presenthad

accepted the office andsigned the agreement totale the required number

ofqualification shares.

3.03 Appointment of the Resolved: That SriSudhir

Managing Director of the Kumar be appointedCompany Managing Director of the

Company.

3.04 Appointment of Solicitors Resolved: That messrsCheddha and Sharma, R.

B.Road, Pune be appointedSolicitors of the company.

3.05 Issue of prospectus It was decided that the45

solicitors should at thenext

Meeting produces a draftof

The prospectus to beissued

In March 1998 invitingApplication for the

shares.

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3.06 Next Meeting The Secretary wasdirected to

Call the next meeting ofthe

Board on March 1998.

S.R. Shetty Nitin KumarChairman Secretary

Example No. 2: Agenda as a part of the Notice and Minutes of the FirstMeting of the Directors of the Company.

THE RED ROSE LTD.

Queen’s palace

10. K.C. Road,

Mumbai 400 0077.

10 January, 1997

Notice

The first meeting of the Directors of the company will be held at3 p.m., on Tuesday 22 January, 1997 in Room No. 12,Queen’s Palace. The agenda is given below:

Item No. Particulars

Note

1. Election of chairman

2. Incorporation and appointment3. of Directors3. Appointment of officers etc.

4. Appointment of Bankers

5. Approval of Prospectus

6. Fixing date for the next meeting

7. Any other business permittedBy the chair

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Chairman’s

Initials

46

Minutes

The Red Rose Ltd.Queen’s Palace,10, K.C. RoadMumbai 400 077.

Minutes of the first meeting of the Directors of the company heldat 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 electedchairman of the meeting.

2. Incorporation and appointment of Directors: The secretaryproduced certificate of Incorporation, dated 21 November,1996 and reported that all the directors present had signedthe usual acceptance of office and had applied for thenecessary qualification shares.

3. Appointment of officers: Resolved: That Shri U.A. Bansal beappointed chairman of the Board.

Resolved: That Shri M. M. Pandey be and is herebyappointed secretary of the company.

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4. Appointment of bankers: Resolved: That the Bank ofMaharashtra (Chembur Branch) be and they are nearbyappointed bankers of the company.

5. Approval of Prospectus: The solicitor produced the draft ofthe proposal prosecution to be issued inviting application forshares.

6. Next Meeting: The secretary was directed to summon thenext meeting of the Board for Wednesday, 23 February, 1977at 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 AnnualGeneral 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 2nd Annual General Body Meeting of theSociety will be held on 28 November 1997 at 2.30 p.m. in the Society’soffice at Happy Home coop. Hsg. Society, Juhu, Mumbai 400 016, totransact the following business. All members are invited to attend.

Agenda

1. To read and confirm the minutes of the first Annual General Body Meetingheld on 23.11.19996.

2. To consider and adopt the Annual report of the Managing Committee.

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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 thesociety’s buildings.

5. To apply and get passed the plan of additional FSI for society fromconcerned 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 thepermission of the chairman expecting those requiring proper notice.

For on behalf of

Managing Committee

(S.K. Pawar)

Example No. 4GOKHALE COLLEGE OF ENGINEERING

Hamilton Street, Mumbai 400 065.

10 December 1998

Notice

A meeting of all HOD’s and Sr. Lecturers will be held at 2.00 p.m. on15 December 1998 in the Principal’s cabin to discuss the followingmatters:

Agenda

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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 ENGINEERINGHamilton Street, Mumbai 400 065.

Minutes of meeting of all HOD’s and Sr. Lecturers held on 10December1998 at 2.00 p.m. in the principal’s 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 morningassembly was discussed at length. It was decided that theopportunity to give the thoughfor theday should be extended tostudents in the II semester. All the lecturers maintained thatbackground music is provided to enhance the effect of the nationalanthem sung. It was decided to take strict action against thosestudents who do not attend the assembly.

2. The Christmas Vacation: All the eligible teachers would begranted Christmas vacation of 10 days. The tentative dates being24.12.1998 to 04.01.1999.

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3. The Unit Tests: It was decided to hold three unit tests, and thedates 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 entiresyllabus by 31 March 1999, so as to close by 03.04.99. This wouldenable the students to prepare well before time for the universityexams scheduled to commence form 03.05.99.

5. The Sports Day: It was decided that the finals sports meet wouldbe held on 25.01.99 in the college grounds.

C. N. Ramachandran

(C. N.

RAMACHANDRAN)

Principal

Example No. 5

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CHINMAYIACRYLON LIMITEDGurupura

Gurudwara Road, Dist, Moradabad (U. P.)

10 September

1998

Notice

Notice is hereby given that the 15th Annual General Meeting of themembers of Chinmayiacrylon Acrylon Ltd., will be held on Saturday,the 26th day of September, 19998 at plant premises of ChinmayiAcrylon 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 yearended March 31, 1998, Director’s Report and the Auditor’sReport thereon.

2. To appoint a Director in place of Mr. Prafful Chandra, who retiresby rotation and, being eligible, offers himself for reappointment.

3. To appoint a Director in place of Mr. Vittal Alva, who retires byrotation and being eligible, offers himself fore reappointment.

4. To appoint a Director in place of Mr. Jayaprakash Rai, who retiresby rotation and being eligible, offers himself for reappointment.

5. To appoint Auditors and fix their remuneration.

By order of the BoardChinnmayi Acrylon

Limited

New Delhi Kiran ShankarDated: September 10, 1998 Company Secretary

Example No. 6: Minutes of a Nonregistered organisationMinutes of nonregistered association Mahila Sabha (Matunga

Branch)

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A meeting of the Managing Committee of the Mahila Sabha was heldon 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 Muley2. Mrs. Hema Rao3. Miss. Shantala Bhat4. Mrs. Shobha Warrier5. Mrs. Tulasi Iyer6. Miss. Rama Naidu7. Mrs. Raji Menon

1. Minutes of the Meeting: The minutes of the ManagingCommittee meeting held on 10 February, 1998 were confirmed.

2. Handicrafts Exhibition and Sale: It was decided to hold thehandicrafts exhibition cum sale on Sunday 10 May 1998 in Kelkarhall, Matunga and the members were requested to help theprogramme a success.

3. Donation to the Orphanages: It was decided that clothes,books and other useful items should be collected from willingdonors, and distribute it to the children in the nearby orphanage.

4. Vote of Thanks: As there was no other business to betransacted 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 CLUBD.N. Road, Andheri,Mumbai 400 58

12 January 1998

Notice

Notice is hereby given that the Annual General Meeting of themembers of our sports club will be held at the premises of the club atAndheri on Sunday 28 January, 1998 at 3.30 p.m. to transact thefollowing business.

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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 ShahSecretary

To all members of Samata Sports Club.

Example No.8: Notice, agenda and minutes of the student’s councilmeeting.

GOKHALE COLLEGE OF ENGINEERINGHamilton Street, Mumbai 400 065.

2 December 1998

NoticeNotice 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, 6December, 1998 to discuss the proposed dates and programme ofthe college Annual day function.

The agenda is attached.

Anand RajanSecretary

To members of theStudent’s council

GOKHALE COLLEGE OF ENGINEERINGHamilton Street, Mumbai 65.

2 December 1998

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Agenda for the meeting of the members of the student’s council willbe 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 thatthe meeting is held to discuss about date and programmes of thecollege 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 RajanChairman

GOKHALE COLLEGE OF ENGINEERING

Minutes of meeting of the members of the student’s council held inroom 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 whythe meeting was called and what were the objectives of the meeting.

2. Fixing the date of the Annual Day Function: It was decided tohold theAnnual day function on Sunday the 21st December, 1998, from 6.30p.m.

3. Cultural Programmes: The student council decided to keep afew select programmes of dance and drama.

2. Classical group dances

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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 prizedistribution 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 forthe function.

6. Arrangement at the Venue: Mr. Vijesh Nair and Mr. AbhishekSingh were directed to supervise the arrangement of the venue.

Anita Norohna Anand RajanSecretary 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 anymeeting?(May ’95)

5. Define the tern ‘minutes’. Explain the need for writing minutes of everymeeting.(Dec ’95)

6. While drafting a ‘notice’ for calling a meeting, what points should a secretaryconsider? (Dec ’95)

7. What are minutes? Explain the purpose of recording the ‘minutes of ameeting’? (May ’97)

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CHAPTER-5

Memos, Short Informal Reports,And Progress Reports

As noted in Chapter 1, experienced scientists and engineers rate shorter types oftechnical and professional communication as being among the most important forsuccess on the job: memos or short informal reports, including progress reports.The memo or short informal report is a one-to four-page document, usuallysingle-spaced and usually written to someone within the writer’s own company ororganization. It may note the existence of a problem, propose some course ofaction, describe a procedure, or report the results of a test or investigation. Thememo may take the form of a letter or a short informal report. The organizationand format of letters are discussed in Chapter 11, and those of the short informalreport are discussed in this chapter. The term informal here does not mean

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sloppy or casual or carelessly done; an informal report should be as carefullyprepared as possible–thoughtfully written, neatly typed or word-processed, andthoroughly proofread for errors. It may be short or long; short informal reports (ormemos) will be discussed in this chapter, and long informal reports (or memos)will be discussed in this chapter, and long informal reports are discussed inChapter 15. The term informal refers to the format in which the report ispresented, 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 beingdiscussed. Short progress reports will be discussed in this chapter as a type ofshort informal report. Long progress reports are a type of long report and aretreated in Chapter 15.

5.1 THE STRUCTURE OF MEMOS AND SHORT REPORTS

Memos, short informal reports, and progress reports all share the basic featuresof reports discussed in Chapter 12. They are all read by a variety of

Figure 5-1 FOREWORD, SUMMARY, AND DETAILS SECTIONS OF AٱSHORT INFORMAL REPORT; MOVEMENT FROM GENERALIZATION ANDCLAIMS TO DATA AND SUPPORT

Watson Telephone Laboratories, Inc.Lincoln Hill, NJ 07123

To: Dr. J. C. SmithManager, Low-Energy Research Group

From: Catherine DoeMechanical Systems EngineerPositron 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 thePositron Research Group, you expressed concern about the numerous delays inthe positron beam experiment. Dr. Newman attributes most delays to the 10hours required to pump the vacuum system down from atmospheric pressure toan acceptable operating level and have asked me to investigate means ofreducing these delays. This report recommends a solution for reducing thedelays.

Summary: The purchase of a gate valve for the Vac-Ion pump was found to bethe 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

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more than $600, and present no installation problems. The use of a larger forepump was seen as the only alternative approach, but this would requireextensive modification of the vacuum system, cost approximately $1100, andgive no improvement in the evacuation time.

Details: The excessive time required to obtain a suitable vacuum, 10-7 torr orless, is primarily due to contamination of the ion pump. When the vacuum systemis opened to the atmosphere, the entire inner surface of the system and the ionpump itself become contaminated. The contaminated surface then outgasesconsiderably upon evacuation, keeping the pressure high for more than 10 hours.The two possible solutions to this problem are to avoid the contaminationaltogether or to decontaminate more quickly.

The proposed solution would avoid contamination by the installation of a gatevalve on the Vac-Ion vacuum pump. This would allow the ion pump to remain inoperation even while the rest of the system is open to the atmosphere, thuspreventing contamination of the pump. This would be a major improvement,since only the relatively small surface area of the rest of the vacuum systemwould become contaminated, and evacuation time would be reduced to 3 or 4hours. A suitable gate valve costs $500 to $600.

The rejected alternative, the purchase of a larger pump, would speed thedecontamination of the vacuum system, but cost too much. Replacing ourpresent 120 ft3/min fore pump by an 800 ft3/min pump would reduce theevacuation time to about 4 hours. However, an 800 ft3/min fore pump costsapproximately $1100, and its installation would require substantial modification ofthe vacuum system.

Thus, I recommend the purchase and installation of a gate valve as the bestmethod 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 othernonexperts–the busy, inattentive, and perhaps uninterested readers described inChapter 3. Thus, the memo or report should be accessible to all these readersand responsive to their needs and reading habits.

As part of their accessibility, all these reports share the basic structural featuresdescribed in Chapter 12 and summarized in Figure 12-3. They all have aForeword (the statement of the problem) and Summary (the main results andother important information a manager needs to know) written for managerial andnonexpert readers. (A short company report to a small, knowledgeable audiencesometimes may combine the Foreword and Summary into one section whichmay be either unlabeled or labeled with a local label such as Overview.) All of thereports move from general to particular throughout the report–that is, they order

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generalizations or claims before data and support. Thus, short reports areorganized so that a busy managerial reader (a reader who wants to read no morewords than are absolutely necessary) can stop after the Foreword and theSummary. The Discussion or Details section gives the extra information neededby technically involved readers: support for the claims in the Summary or extradetails needed to implement or fully understand the solution proposed.

To see how a short report illustrates these features, examine the report in Figure5-1. As did the reports in Chapter 12, the main text of this report begins with aForeword, which poses a problem: there have been frequent delays in anexperiment because of the excessive time required to pump down a vacuumsystem. Since these delays are undesirable, the writer has been asked to reducethem. This Foreword is followed by a Summary which reports the writer’ssolution: buy a gate valve for the vacuum pump. The Summary also tells why thisis a good solution–it will reduce evacuation time to acceptable levels, cost nomore than $600, and present no installation problems. Notice that theseadvantages address the manager’s concerns. Before a manager could approvethe 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 installationproblems). In addition, the phrase “no installation problems” implies other usefulinformation: that there should be no more problems with the unit and any unusualwork 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) whichthe writer is presenting to the reader. For instance, a progress report claims thatthe writer (or the writer’s group) has made certain progress and then supportsthat claim with evidence and documentation of the progress. A final reportpresents the results of an investigation (the writer’s claim about some state ofaffairs) along with the data to prove that the investigation was done carefully andappropriately–that is, with the proof that the writer’s vision of “reality” is true ordefensible. In all the reports/ memos in Chapters 12 through 14, the writers aremaking arguments of fact or policy and providing support.

However, the writers do more than provide support for current readers. They arealso providing crucial documentation for future readers, for those who may needto continue, extend, test, or defend the writers’ work. This function is crucial in allreports but is especially pressing in the progress report. Progress reports arewritten before the entire project is completed. The documentation of what hasbeen done is important, since the only other sources of information about currentwork on the project are usually notes and workbooks in a form only the writer canunderstand. If something happens to the writer–an accident, an untimely death, ajob change–then those who must continue the project need to have the earlier

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work available in a usable form. Thus, the progress report becomes a convenientvehicle for spelling out conclusions and for assembling data at regular intervals. Ifthe writer has finished some library research and discovered somethingimportant for the project, she or he should spell out the discovery and provide arelevant Bibliography. If the writer has designed a part or developed a processflowchart or derived an important mathematical relationship, that work should bedocumented by including the relevant material either in the body of the report orin an Appendix. That work shouldn’t have to be done again if something shouldhappen to the writer.

Short reports can serve a wide variety of functions, as illustrated by the shortreports in Figures 5-2 through 5-6. The two reports in Figures 5-2 and 5-3 servecomplementary functions and provide two views of the origin of a reportaddressing an organizational problem. The memo report in Figure 5-2 illustratesa response to a request for problem solving. In this situation, someone other thanthe writer (here a supervisor) has identified a problem and requested the writer todeal with the problem: someone other than the writer has initiated the situation towhich the writer is responding. In the response, the writer outlines the problemgenerating the request for action in the first paragraph, recommends a solution tothe problem in the second paragraph (the unlabeled Summary paragraph), andprovides 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 ofproblems which no one else has noticed before (a drain of the time of usabilityspecialists) and who thus initiates the writing of the report. The report firstoutlines the problems and proposes a solution: hire a usability researcher. Thereport then goes on to provide the information that a manager would need toapprove and process the request without having to wait for another memo on theduties and qualifications of the new usability researcher: the report provides a jobdescription for the new position and a list of the qualifications needed by the newresearcher. Thus, this report is a complete little package totally initiated by thewriter: it identifies the problem, identifies the solution, and identifies theinformation needed to implement the solution. It does everything but actually hirethe applicant!

The report in Figure 5-4 is a short test report which gives the results of a series oftests, along with the methods and criteria used in carrying out the tests. Such testreports are important because they provide empirical data for managers to use inmaking often difficult decisions with technical and financial implications. Theyalso provide an important source of material for lawyers in product liability suitswho are trying to justify (or attack) the company’s decisions or for managers whoare reviewing earlier decisions. Unfortunately, test reports are often written sofrequently and quickly that they become compressed into the “bare bones” of theresults, without adequate context setting or specification of methodology orinterpretation of the test results needed by later audiences.

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Figure 5-5 presents a self-assessment written at the end of the work year. Itprovides at least some of the information which the writer’s supervisor will use inevaluating the writer’s performance for promotions and raises. According to thewriter,

My strategy in writing this was to inform my supervisor of the kinds of work that Ihad been doing during the past year. I had the feeling that my supervisor was notreally aware of what I had been doing and, because her appraisal of me isimportant 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: Thescale 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 you’vedone a good job, but not really out of the ordinary. A 2 means there is adeficiency, and a 1 means you’d better watch out because you could lose yourjob real soon.

Figure 5-6 presents a trip report whose purpose is to document that the writerwent on the trip and is justified in having certain expenses paid. Trip reports alsoallow writers to tell their organization what they saw, concluded, or recommendedas a result of the trip.

EXERCISE 5-1

Compare the reports in Figure 5-2 and 5-3 for similarities and differences in typesof 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 demonstratetwo other notable features about memos and short informal reports: the format ofthe 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, andReferences are optional.)

To: Name of reader, job titleReader’s departmentReader’s organizationAddress of reader’s company or organization(Sometimes included)

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From: Name of writer, job titleWriter’s departmentWriter’s company or organizationAddress of writer’s 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 nodistribution list)

Encl: Enclosures; other documents which are included with the report (omitted ifthere are no enclosures)

Ref: References; list of particularly important background documents (omitted ifthere are no such documents)

Often, memos and informal reports are written on company letterhead, specialcompany stationary that has the company’s name–and usually the address andphone number–already printed on it. If the memo or report is written onletterhead 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 typicalheading on letterhead paper would include the following information for the toand from parts of the heading. The letterhead information is in bold.

Name of Company or OrganizationName of Department (if included)Address and Phone Number of Department or Company

To: Name of reader, job titleReader’s department (if not in letterhead)

From: Name of writer, job titleWriter’s department (if not in letterhead)

Note that the heading segment is easy to read because of its format: liberal useof white space and aligned columns. It is also functional, because the firstinformation it gives is the information readers need first.

It is obvious why writers need to put the subject and date on the report and whythey need to give the name of the reader and writer. They give the subject todefine the purpose of the report and to predict what kinds of information thereport will present, and they give the date to indicate when the report was written.

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It may be less clear why they need to give the job title, department, andorganization 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 particularjobs. Thus, it needs to be clear what job or position a person holds. Note thatnone of the information is presented more than once at the beginning of thereport. If the names of the organization and/or the department are included in theletterhead, then these do not reappear under the to and from headings. If they donot appear in the letterhead, then they must appear under the headings.

Figures 5-7 and 5-8 present two different heading segments with appropriateorganization of information. Note that Figure 5-7 is written on organizationalletterhead–no department or division is specified in the letterhead–and soOptoelectronics Department must appear under the names of the reader andwriter. In contrast, Figure 5-8 is written on departmental letterhead, and soOptoelectronics Department does not need to be repeated. If the reader hadbeen in a different department–say, in the Finance Department–then theappropriate heading segment would be that of Figure 5-9. Notice that the writer’sdepartment appears in the letterhead but not under his or her name, whereas thereader’s 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/memo–the Foreword, the Summary, and theDiscussion (or Details)–follows the previous section, with only a double or triplespace between sections. A clearly visible heading indicates the beginning ofeach section and announces the contents and, if possible, the point of the

Figure 5-7 HEADING SEGMENT FOR SHORT INFORMAL REPORT/MEMO ONORGANIZATIONAL LETTERHEAD(No Department or Division Specified)

AEI American Electronics Incorporated

To: Mr. John NicolChief Optoelectronics EngineerOptoelectronics Department

From: Khalil NajafiAssistant Optoelectronics EngineerOptoelectronics Department

Date: October 30, 1989

Subject: Liquid Crystal Displays: Analysis of Failure and Recommendations forSolution

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Dist: Mr. Edward Jones, President

Section. If there are Appendixes, they begin on a new page at the end of thereport/memo. Formatted short informal reports and memos appear in Chapter 12as well as in this chapter, and the overall structure of an informal report/memoappears in Figure 5-10.

Section headings should be as informative as possible. Notice that the headingsin Figures 12-1, 5-2, 5-4, and 5-5 are especially informative. For instance, theheadings in Figure 12-1 not only announce the type of information to be found–performance information and cost information–but they also tell the reader whatpoint is being made about these sections: aerated lagoons have superiorperformance and aerated lagoons have superior cost characteristics (arecheaper). Such informative headings make it very easy for the reader to readquickly. Indeed, they allow a reader to know the main point of a section withouthaving to read it. As with other reports, short reports and memos should usewhite space and formatting to indicate structure.

EXERCISE 5-2

Examine the section headings in the figures in Chapter 5. If the headings arevery general (such as Details), see if you can suggest more informativeheadings.

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15Long Reports

15.1 THE LONG INFORMAL REPORT

The long informal report is quite similar to the short informal report. Both arewritten for readers within the writer’s organization; both use the To, From,Subject, Date heading segment; and both are formatted so that each sectionfollows the previous section with only a heading and a double or triple spacebetween sections. However, the long informal report is different from the shortreport in two important ways: (1) the long report is longer, and (2) because of itslength, its Discussion section is organized differently to make a greater amount oftechnical material accessible.

If you examine the table of contents of the long informal report at the end of thischapter, the similarities and differences between the long report and the shortreport are obvious. Let us focus on the differences. As illustrated in Figure 15-1,the Discussion section has three main subsections: the Introduction to theDiscussion, the main Proof or Development section, and the Conclusions andRecommendations section. As a whole, the Discussion restates the material inthe Foreword and Summary, but for a technically competent and interestedreader. The Discussion gives the technical details, technical reasoning, and datathat the technical reader needs–in contrast to the general orientation to thesubject that the managerial reader needs. How does the Discussion do this?

The Introduction to the Discussion

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The Introduction to the Discussion is the first part of the Discussion: it restatesthe Foreword in terms meaningful to the technical reader. The foreword

[DIAGRAM]

Focuses on the implications of the problem for the managerial reader bypresenting the problem in terms of safety, cost, efficiency, quality control, laborrelations, or compliance with legal regulations. In contrast, the Introduction to theDiscussion focuses on the implications of the problem for the technical reader: itdefines 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 anelectrical engineer at a company making heaters, fans, and portable lights, andits Introduction to the Discussion focuses on the technical nature and details ofthe problem. The second was written by a harried inventory controller, and itsIntroduction to the Discussion focuses on the technical background.

Example 1

ForewordBecause of increasing competition in the home appliance market, ElectronicDesign Division is evaluating the operating convenience and marketability of itsless successful products. As part of this effort, I was asked to evaluate aproposed control circuit for our combined heater, light, and fan; to document anyproblems with this circuit; and, if necessary, to design a new control circuit. Thisreport presents my evaluation and new design.

Introduction to the DiscussionMs. Durkis of Marketing has requested a simpler control switch for our combinedheater, light, and fan. I have evaluated a preliminary design for a circuit whichcould turn on all three units by flipping a single switch and then remove powerfrom one or more of the units by depressing another switch. The design for thecontrol circuit was built around three relays and claimed to operate by pickingthese three relays in different combinations to produce the desired switchingcapabilities. the following sections detail the preliminary design of the circuit andits problems, a revised design, and a cost analysis of the revised design.

Example 2

ForewordDuring Photon’s recent companywide expansion program, the inadequacy of ourinventory numbering system became apparent. Thus, I was asked to design amore efficient and systematic numbering system based on our departmental

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needs and expected growth. This report provides an overview of the system andits response to our needs.

Introduction to the DiscussionThe present inventory (parts) numbering system has been in use for almost 5years. At the time of its conception. Photon did not have the computercapabilities 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 andlimited. As the quantity of parts increased over the years, the numbering systemcould not efficiently keep track of them, nor could it assign new part numbers ona systematic basis. (In fact, new part numbers were assigned on a purely randombasis.)

Last month, Photon underwent one of its most comprehensive expansionprograms 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 newone. This report documents the various departmental needs identified, thecomputer-assisted inventory control system I have designed, and features of thesystem directly responding to the needs.

The different emphases of the Foreword and the Introduction to the Discussionare reflected by these examples. For instance, in the second example, theForeword states the problem generally, devotes only one sentence

Table 15-1 DISTRIBUTION OF CONTENTS IN THE FOREWORD AND THEINTRODUCTION TO THE DISCUSSION

Introduction to theForeword 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 inventorysystem is inadequate. In contrast, the Introduction to the Discussion states theproblem in more detail, devotes the first one and one-half paragraph to it, andfocuses on what particular technical reasons made the inventory systeminadequate: for instance, “the numbering system could not efficiently keep trackof 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 Discussionare reflected in Table 15-1, which presents the relative percentages of each

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devoted to the managerial problem, the technical problem or assignment, and theforecast of contents. Notice that the Foreword devotes proportionally more of itsspace to the managerial problem, whereas the Introduction to the Discussiondevotes more of its space to the technical problem.

EXERCISE 15-1

A A student complained that she was having trouble with the followingForeword that it was more like an Introduction to the Discussion than aForeword (and she was right). Turn it into a Foreword by eliminatingdetails unnecessary for a managerial reader. Feel free to rewritesentences or to move information around.

ForewordFlutter is a phenomenon in which structural instabilities arise fromaerodynamic loads. In aircraft, these instabilities are often characterizedby divergent oscillations of the wings, resulting structural failure andpossible loss of the aircraft. Flight flutter testing involves the tracking ofdamping estimates of the excited vibration modes at different flightconditions.

The violent nature of flutter makes safety an important concern duringflight flutter testing. As with any flight test program, cost is also a majorconcern. Our objective at Smith is to provide safe testing at the lowestcost. Costs can be lowered by decreasing flight time. This requiresutilizing the fastest analysis technique that will meet the accuracyrequirements that safety demands.

Presently, we have available two software packages for data analysisduring flight flutter testing. They are

1 the Power Spectral Density (PSD) Package2 the Random Decrement (Randomdec) Package

The main objective of each package is to determine damping estimates ofthe structural modes. It was assigned to do a comparison study of the twopackages 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. Thepurpose of this report is to present the findings of my study and to makesome recommendations concerning future testing.

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B When you have finished with your revision, compare it with the Forewordin 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 theDiscussion section and gives information a specialist reader might want inaddition to that needed by the manager. It might include the most importanttechnical results which led to the conclusions and recommendations, and it mightbe technically too complex or difficult for the managerial reader. When possible,the Conclusions and Recommendations section should move fromgeneralizations or claims to data and support. The Conclusions andRecommendations section contrasts with the Summary in that it provides moretechnical detail and assumes a higher level of relevant technical knowledge.

For instance, consider the Summary and the Conclusions and Recommendationspresented below from a report written by a geologist to the Milton TownshipCouncil. (The Foreword is given first to orient you.) Unless you are a geologist,you probably won’t understand all the information presented in the Conclusionsand Recommendations, though you should easily find your needed information inthe Summary.

ForewordWithin Milton Township, the greatest industrial and residential development hasoccurred in areas with limited groundwater resources. This development hasalready created water shortages and a need to deepen existing wells; moreseriously, it has greatly handicapped or prevented the development of newindustry. Thus, the township council authorized Moody and Associates to locate,if possible, several high-yield water wells to provide a sufficient municipal watersupply. The purpose of this report is to describe the successful location of sandand gravel materials with excellent groundwater-yielding capability.

SummaryWe 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 locatedsuch a site.

Results: Four of the six wells drilled were productive and penetrated sand andgravel suitable for development of municipal wells. Each of the four productivewells showed very good water-producing capability, yielding 300 to 500 gallonsper minute. Further, the wells produced water of generally excellent quality,though with a potentially high but treatable concentration of manganese. One testwell showed manganese concentration now high enough to require treatment,and there is concern that manganese levels in all the wells might increase tosuch a level. However, this would not prevent development of the well field, and

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additional study will be required to determine of manganese removal isnecessary at all.

Conclusions: Production wells complete4d at the test well sites should morethan supply the township’s current and future needs. Analysis of test dataindicates that such production wells could produce over 2 million gallons per day,twice the township’s projected requirements. Further, if the water-bearing sandand gravel are as extensive as we project them to be, yields up to 5 milliongallons per day could conceivably be developed.

Recommendations: We recommend that the property tested be acquired fordevelopment as a municipal well field. The property is unique in its supplycapability within Milton Township, and a well field on this property should meetany present and foreseeable water requirements within the township.

Conclusions and Recommendations

Conclusions: Six test wells were drilled, four of which penetrated sand and gravelsuitable for developing adequate municipal wells.

1 The relationship of geologic units encountered in Test Wells 1 through 6 isinterpreted and presented in Plate 1 [not included here]. Two aquifers wereidentified; 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 wasencountered in Test Well 1 extending from 150 to 185 feet. There istheorized to be limited hydraulic connection through fine-grained unitsbetween the two aquifers. Some degree of connection between the deepaquifer and upper aquifer was established by the rapid rise in water levelsin 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 combinationof two wells among Test Wells 2, 5, and 6 (assuming manganese in TestWell 2 proves acceptable). Ultimate production from a French Creek wellfield 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 loweraquifer encountered in Test Well 1 because this unit was not identified inthe other five test wells. Based on the data from the pump test of Test Well1, 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 theanomalously elevated manganese found in Test Well 2. Iron andmanganese were present in all other wells but in acceptableconcentrations. If there is a source of manganese (none has beenidentified to date) in the immediate vicinity of Test Well 2, there is concern

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that due to the extremely high permeability of the aquifers, the highmanganese groundwater could migrate toward the other wells with long-term pumping.

Typically, the water is moderately hard to hard, with hardness ranging fromapproximately 7 grains in Test Well 1 to 10 grains in Test Well 5 to 14grains 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 recheckthe iron and manganese concentrations in this well.

2. In order to stress the aquifer as heavily as possible and simulate municipalwell field operation, a pump test should be conducted on Test Well 6 withan 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 thesewells, and permit some aquifer test drilling, it is recommended that thetownship purchase property roughly rectangular in form extending 800 feetnorth and 800 feet south of Test Well 1 and west to the abandoned railroadtracks. This would be approximately 40 acres. If obtaining this acreage isnot feasible, then it is recommended that at a minimum the township obtainproperty extending 800 feet north and 800 feet south of Test Well 1 and600 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 Barcoproperty south of Test Well 2 and southwest of Test Well 3 for potentiallong-range future well field development.

The Conclusions and Recommendations section of this well report waswritten for geologists: it assumes a certain level of technical knowledge which anon geologist would not have and implies conclusions which are not directlystated. For instance, item 1 of the Conclusions assumes that the reader knowswhat an aquifer is (a writer-bearing layer of permeable rock, sand, or gravel). Itassumes that the reader will see the facts in item 1 and know that they mean “wefound 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, andthus 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 forexperts. However, when non geologists read the Conclusions andRecommendations section of this well report, they encounter many problems ofvocabulary, assumptions, implications, and missing connections, and have

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serious problems understanding the text. Thus, you should not write this way inthe sections of the report intended for non specialist readers, such as theForeword and Summary.

We should note that although experts can understand the type of text in whichgeneralizations are only implied, they appreciate the direct presentation ofgeneralizations, such as those in the summary above:

We have located such a site (in which a reliable, high-quality, municipal waterwell field could be developed).

Four of the six wells drilled were productive and penetrated sand and gravelsuitable for development of municipal wells.

Each of the four productive wells showed very good water-producingcapability.

The wells produced water of generally excellent quality.

Specialists appreciate such directly stated generalizations because they makethe text easier for even the specialist to read. The specialist does not have to dothe mental work to translate a fact into a conclusion–for instance, to translate thefact that “the yield from the upper aquifer is 2.0 mgd” (from item 2) to theconclusion that we have found enough water for the township. Thus, a directgeneral-to-particular structure, such as that presented in Chapter 12 withgeneralizations 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 busymanagerial readers of this report. Your job is to write a new Foreword andSummary which give a proper (and short) overview of the problem andproposed solution. Try to make each section no longer than 100 to 150words. Then write an Introduction to the Discussion and a Conclusions andRecommendations section. A Table

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CHAPTER-6

The Proposal

A proposal requests support–usually money–for work that a proposer wants todo. It could be written to a funding agency and propose to conduct a scientificresearch project; it could be written to the managers of a company and proposeto solve a problem within the company; it could be written to a customer andpropose 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, whichmay or may not coincide with those of the proposer. Thus, the proposal mustconvince the person who receives it–the potential funder–that the proposedactivity will be a good “investment,” that is, that the activity is worthy of supportand will advance the funder’s goals, produce high-quality results, and do all thisbetter than other activities competing for the same funds. To make things even

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more difficult, the proposal must make these arguments to busy readers trying todivide too few resources among too many applicants.

To be successful in this environment, you must quickly and clearly answer thequestions 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 funder’s 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 theexpectations of a given funder, you should examine whatever literature you canfind on the funder’s goals or interests. For example, if you are thinking ofsubmitting an unsolicited proposal to a private company, you might first want toconsult published reviews of the company and the company’s annual report tosee if your proposed project fits into its agenda of activities and then talk tosomeone at the company about the company’s needs.

In the case of solicited proposals, the best initial source of information is usuallythe Request for Proposals (RFP) given out by the funder. To avoid beinginundated by inappropriate proposals and to provide guidelines for reviewers,funding agencies usually put considerable time and thought into the wording ofRFPs. Therefore, you should read the RFP very carefully before decidingwhether to send a proposal to that particular agency. If your proposed projectand 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 company’s needs or an RFPand your project, you never know unless you first check with a relevant companymanager or the project officer at the funding agency. It’s better to make sure

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you’re on the right track early on than risk losing months of time on a proposalthat has no chance of winning. Therefore, at some point early in the proposalprocess, it’s a good idea to call the relevant company manager or project officerand make sure that your project truly fits the company’s or agency’s interests. Inmany situations, the manager or project officer plays a major role in the decision-making process–screening submissions, selecting reviewers, presenting cases tothe final selection committee, etc. Talking with the manager or project officerallows you to make sure that he or she understands the nature of your project.(Written preproposals serve the same purpose, but not all companies oragencies accept them. If you are seeking support from some institution that doesaccept preproposals, you would be foolish not to take advantage of such a goodopportunity for early feedback.)

The penalties for failing to have the right information are severe: failure in theproposal process and much wasted time. This is illustrated in the followingcommend aimed at university proposal writers, but appropriate for a moregeneral audience.

For many of the agencies issuing RFP’s [Request for Proposals], the collegesresponding with proposals are automatically rejected unless proposal instructionsare completely complied with. Others are more subtle. They simply imply orinterpret inability from the proposal’s inability from the proposal’s inability to meetthe 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 outlinesimilar to that given in Chapter 4 for the argument of fact and policy. Indeed, youcould argue that a proposal is an argument of policy (the funding agency shouldfund this proposal) based on several embedded arguments of fact (the problemis important, the activity proposed will alleviate the problem, the proposers arequalified to do the work proposed, etc.).

The general outline should be adapted and modified according to the needs ofthe readers and the demands of the topic proposed. For instance, long orcomplicated proposals might well contain all the sections shown in Figure 6-1 infully developed form, with their own headings corresponding to the sections andsubsections of the outline. In contrast, shorter or simpler proposals might containonly the sections noted in Figure 6-2; they might treat a given subsection verybriefly or combine several subsections. A very short informal proposal is shownin Figure 6-4. While it’s heading information (To, From, Subject, Date, etc.) isformatted differently than that for a formal proposal, it well illustrates thecompression of sections that can occur in shorter formal proposals.

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Notice that since a short proposal is short and simple, it may have no Table ofContents or separate sections for Background or List of References, as indicatedin Figure 6-2. Any background information and references may be folded in withthe discussion of the problem (in Problem Addressed) or with the other sections.Also, in Figure 6-2, the Plan for Accomplishing Objectives, the Plan forEvaluating Results, and the Schedule for Project Completion are listed as majortopics, 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 inheadings and title pages for other types of technical communications; it alsoincludes financial information relevant to proposals alone. Specific formats fortitle 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 proposal3 The name of the potential funder (the recipient of the proposal)

Title page

Abstract

Table of contents

IntroductionProblem addressedPurpose or objectives of proposed activitySignificance of proposed activity

Background

Description of proposed activityPlan for accomplishing objectivesPlan for evaluating resultsSchedule for project completion

Institutional resources and commitments

List of references (for about six or more references)

PersonnelExplanation of proposed staffingRelevant experience of major personnel

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BudgetBudget in tabular formJustification of budget items

AppendixesLetters of endorsementPromises of participation, subcontractor’s proposalsBiographical data sheets (vita sheets)Reprints of relevant articles, reports, background documents

4 The name and address of the proposer(s): the project director or projectmanager and other especially important participants (research proposals willinclude 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)

IntroductionProblem addressedPurpose or objectives of proposed workSignificance of proposed work

Plan for accomplishing objectives

Plan for evaluating results

Schedule for project completion

Institutional resources and commitments

PersonnelExplanation of proposed staffingRelevant experience of major personnel

BudgetBudget in tabular formJustification of budget items, where necessary

Appendixes or attachments, if needed

7 The proposal’s date of submission

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8 The signatures of the project director and responsible administrator(s) in theproposer’s institution or company

A sample Title Page is shown in Figure 6-3. It lacks items 7 and 8 because therewere included on the institution’s cover form, which accompanied the proposal.

The Title Page provides the basic title information needed by a reader decidingwhether or not to read the proposal, and the title and reference number neededfor 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. Ina short proposal addressed to someone within the writer’s institution, the Abstractmay be located on the Title Page; in a long proposal, the Abstract will usuallyoccupy 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 THEEFFECTIVENESS OF AIRCRAFT COMPUTING SYSTEMS

IN REPLY REFER TO: DRDA 81-2096-Pl

Submitted to the

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION LANGLEYRESEARCH CENTER HAMPTON, VIRGINIA 23365

Submitted by the

SYSTEMS ENGINEERING LABORATORYDEPARTMENT 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

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The Abstract is a critical part of the proposal because it provides a short overviewand summary of the entire proposal; it is the only text in the proposal seen bysome readers. The Abstract should briefly define the problem and its importance,the objectives of the project, the method of evaluation, and the potential impact ofthe project; it normally does not define the cost. A longer treatment of Abstractsappears in Chapter 18.

Table of Contents

The Table of Contents lists the sections and subsections of the proposal andtheir page numbers.

Introduction

The Introduction of the proposal, like the Foreword of the technical report, orientsa non specialist to the subject and purpose of the document. It explains why theproject is important and should provide the following pieces of information interms appropriate for a managerial audience.

1 The problem being addressed (perhaps defining what it isn’t as well as what itis)

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 detailswhich would belong in the Background section of a more complicated proposal.

If you are responding to a Request for Proposals (RFP), your approach to thedefinition of the problem and the purpose or objectives of your proposal shouldreflect the thrust of the RFP.

Background

As a separate section, the Background allows you to fill in important technicaldetails inappropriate for the non specialist readers of the Abstract andIntroduction. The Background provides a place to discuss the history of theproblem, 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 theparticular context of previous work you may have done on the problem if theproposal extends earlier work you have done, be sure to show why your previouswork needs to be continued and how the proposed work differs from it. Do notspend a great deal of time justifying your earlier efforts and budgets; concentrateon the new work proposed.

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If previous work has been done on your project, you need to demonstrate thatyou are aware of it and understand its importance and limitations. (Funders don’twant to pay you to reinvent the wheel.) You usually do this in a subsection calledLiterature Survey or Previous Work, in which you demonstrate your competenceby carefully selecting and evaluating the works you cite. If you can’t select themost crucial items for your project and briefly show why they’re crucial, you’reprobably not expert enough to know what you need to do and how best to do it.Also, you won’t be able to show how your work fits into the larger scheme ofthings, how it builds on previous work and goes beyond it, how it is original andcontributes to knowledge in the field.

Description of Proposed Activity

The Description of Proposed Activity is the most important section of the wholeproposal. It describes what you want to do and how you intend to do it:

1 The plan for reaching the stated objectives2 The plan for evaluating the results3 The schedule for completing the work

This section will be evaluated carefully by the proposal’s reviewers, who will beknowledgeable in the field. Their job is to eliminate all proposals whoseobjectives or plans are inappropriate or unclear or not well thought out. Thus, youjob as a writer is to convince them that you are doing what needs to be done andare doing it in the most careful and thorough way.

When preparing the Description section, you should assume that you are writingfor a critical, hostile audience, for you are. You should provide all the details aknowledgeable critic would need to assess your argument:

1 The assumptions on which your work is based2 The approach or hypothesis you are following3 The specific problem(s) or question(s) you are trying to address4 The particular work and evaluation methods you are using5 The appropriateness of your methods for the problem proposed

In addition to providing these items, you may need to justify them, especially ifthere might be any question or controversy about them. It is particularly importantto demonstrate the appropriateness of your method for solving the problemposed. If this isn’t clear, probably nothing else will matter.

You also need to convince the critical reader that your proposed schedule isappropriate and realistic. You don't want to propose to do too much, given yourtime and resources, or it will seem that you have a poor assessment of theproject and don’t really know what you are doing. One way to demonstrate thatyour schedule is realistic is to spell it out very specifically so that the critical

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reader can easily see its merits and the care and thoroughness you put intodetermining it. If you demonstrate that you’ve really thought of everything,carefully, you’re halfway to success.

Institutional Resources and Commitments

If you are proposing a project that requires special equipment, one importantfactor 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 yourproposal, since a funder could pay you much less to do the work than it wouldhave to pay someone who had to buy the equipment. Thus, it is to youradvantage to list relevant institutional resources. Further, funding agencies oftenfeel that proposers work harder (and institutions monitor them more carefully) ifthe proposer’s institution has resources invested in the project.

List of References

If your references are so extensive that they may interrupt the text if you insertthem as you go along, you may want to set them up in a separate section. Youmay also want to do this if the previous work is especially important and you wantyour 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 belisted consecutively as they appear in the text, with the author’s name in normalorder (first name or initials first), or they may be listed alphabetically with theauthor’s last name first.

Personnel

The purpose of the Personnel section is to explain who will be doing what and todemonstrate that the people listed for a proposed activity are competent to do it.This is normally accomplished in two subsections, one outlining theresponsibilities of the individual participants and the structure for coordinatingtheir activities and one providing short biographical sheets (usually no more thantwo pages) for the main participants. The biographical sheets should focus ononly the relevant qualifications of the participants.

Budget

Like the Personnel section, the Budget section has two purposes: to explain whatthings will cost and to justify and explain individual expenditures, especially whenthese are not obvious. The Budget is usually summarized in a table, such asTable 6-1. (A simple proposal may have a much simpler budget.) The typicalheadings in a Budget are Personnel, Equipment, Supplies, Travel, ComputerTime (if relevant), and Indirect Costs. Items typically included under these

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headings are listed in Table 6-2. Note that not all proposals will need to includeall items, but the items listed in Table 6-2 should be treated in a proposal’sbudget when appropriate.

Table 6-1 SAMPLE 12-MONTH BUDGET

Contributed by Contributed TotalSponsor Our Company

PersonnelProject direct, half time $ 25,000 $ 0 $ 25,000Project associate, quarter time 0 9,000 9,000Research assistant, full time 15,000 0 15,000Clerk-typist, full time 20,000 0 20,000Subtotal $ 60,000 $ 9,000 $ 69,000Staff benefits 9,000 1,200 10,350(15% of salaries and wages

Subtotal $ 69,000 $ 10,200 $ 79,350

ConsultantsWarren Duval, $400/day, 2 days $ 800 $ 0 $ 800

EquipmentMethometer $ 2,000 $ 0 $ 2,000

Materials and SuppliesMiscellaneous office supplies $ 200 $ 0 $ 200Glassware 200 $ 0 200Chemicals 200 0 200Subtotal $ 600 $ 0 $ 600

TravelProject director consultation withsponsor, Chicago to Washington,DC, and return; 1 person, 2 days

Airfare $ 294 $ 0 $ 294Pen diem @ $65/day 130 0 130Local transportation 40 0 40

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Subtotal $ 464 $ 0 $ 464

Total Direct Costs $ 72,864 $ 10,200 $ 83,214Indirect Costs (69% of salaries and $ 48,62 $ 7,038 $ 55,306Wages, including staff benefits)

Grand Total $ 121,026 $ 17,238 $ 138,520

SOURCE: Adapted from Proposal Writer’s Guide (Ann Arbor: University ofMichigan, Division of Research Development and Administration, September1975), p. 9.

Table 6-2 CHECKLIST FOR PROPOSAL BUDGET ITEMS

Salaries and Wages Travel1 Academic personnel 1 Administrative2 Research assistants 2 Field work3 Stipends (training grants only) 3 Professional meetings4 Consultants 4 Travel for consultation5 Interviews 5 Consultant’s travel6 Computer programmers 6 Subsistence7 Tabulators 7 Automobile rentals8 Secretaries 8 Aircraft rental9 Check-typists 9 Ship rental10 Editorial assistants Services11 Technicians 1 Computer use12 Subjects 2 Duplication services (reports, etc.)13 Hourly personnel 3 Publication costs14 Staff benefits 4 Photographic services15 Salary increases in proposals 5 Service contracts

That extends into a new year 6 Special services (surveys, etc.)6 Vocation accrual and/or useEquipment Other1 Fixed equipment 1 Space rental2 Movable equipment 2 Alterations and renovations3 Office equipment 3 Purchase of periodicals and books4 Equipment rental 4 Patient reimbursement5 Equipment installation 5 Tuition and fees (training grants)

6 HospitalizationMaterials and Supplies 7 Page Charges1 Office Supplies 8 Subcontracts2 Communications3 Test materials Indirect Costs4 Questionnaire forms5 Duplicating materials

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6 Animals7 Laboratory supplies8 Laboratory supplies9 Glassware10 Chemicals11 Electronic supplies12 Report materials and supplies

SOURCE: Proposal Writer’s Guide (Ann Arbor: University of Michigan, Divisionof Research Development and Administration, September 1975), p. 10.

Appendixes

Appendixes are reserved for necessary supporting documents which, because oftheir length of type, would disrupt the “flow” of the proposal. The most commonAppendix items are biography sheets, letters of endorsement for the proposal,and promises of participation from important participants. Other materials may bepertinent to a given proposal, but the proposal writer should consider carefullyany item included in the Appendix and eliminate anything not really needed tosupport the importance of the topic, the credentials of the proposers, or the abilityof 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 fulloutlines; they allow writers to argue convincingly to someone who doesn’t knowthem that the stated problem is important, that their proposed activity willalleviate the problem, and that they are qualified to do the proposed work.Sometimes, however, proposers need to write very short, almost routineproposals meant for people in their own unit. Such proposals might concernsome small thing to be done, some small problem to be addressed, some smallpiece of equipment to be purchased. In such a situation, a proposal using acompressed 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 andBudget sections. These are, however, implied in Sections 5 and 6: one person,the writer, will work for 4 weeks, and perhaps someone from the HardwareDepartment will work for a short time to provide the necessary hardware.However, the proposal does contain the other sections in relatively obviousterms. It has an Introduction, which states

1 The problem (we need a catchy demonstration program)

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2 The objectives of the proposed work (to provide a demonstration program bysimulating the control panel of a nuclear reactor)

3 The significance of the work (to prove the ability of the computer programminglanguage, Industrial Pascal, to communicate with various input/output devicesand to test its capabilities to monitor and control several simultaneous tasks ofthe sort described in the proposal)

The proposal has a plan for accomplishing the objectives, and this is outlined inSections 2-5. It also has an implied plan for evaluating the results; an observerwould simply see if the demonstration program simulates the nuclear controlpanel by producing the actions described in Section 4. Finally, the proposal has aschedule (Section 6), and it lists resources already available in the unit (Section2) as well as needed resources (Section 5).

Figure 6-4 SAMPLE OF A SHORT INFORMAL PROPOSAL ٱ

Chen Computer SystemsInteroffice Memorandum

To: John Van RoekelSoftware Manager

From: Larry N. EngelhardtSenior 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 needa computer program that will allow our salespeople to demonstrate thecapabilities of the RacPac system running Industrial Pascal in a “real”environment.

I propose to develop a demonstration program that will control a simple butrealistic representation of a control panel of a nuclear reactor. This demonstrationprogram will be written entirely in Pascal and will run on a RacPac system in anIndustrial Pascal environment.

The RacPAc will be hooked into a 3910A-3920A simulator, and together theRacPac and simulator will represent the control panel of a nuclear reactor. The

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program will read and write digital and analog inputs and outputs to and from thecontrols and indicators on the simulator front panel and respond in an interestingand amusing manner. This demonstration will both prove the ability of IndustrialPascal to communicate with various input/output devices and test its capabilitiesto monitor and control several simultaneous tasks in our environment.

2 Hardware Capabilities

The hardware configuration on which the demonstration program will run consistsof a simulator built by Bill Lepior and a 3935A RacPac system. The simulator is acabinet which features to potentiometers and a meter connected to a 3910Aanalog I/O controller, and eight lamps and eight switches connected to a 3920Adigital I/O controller. Both controllers are plugged into the chassis of the RacPac.Furthermore, the RacPac has an integral plastic keyboard and 5–inch CRTscreen controlled by an 1812 interface for

* Author’s Note: Pascal is a computer language, and Industrial Pascal (IP) is aversion of Pascal used on small computers in industrial settings to controlmachinery or to monitor various processes. Software is a computer program orprograms. 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 tubescreen, a screen similar to a television, which prints out the letters and numbersthe operator types and which prints anything the operator commands thecomputer to calculate and print. Hardware is equipment–computers (the “hard”parts of computers) and other equipment–and 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 ofcontrol devices.

3 The Demonstration

One assembler language program has already been written to demonstrate thesimulator. Of course, a Pascal program could be written to duplicate the functionsof the assembler program exactly. However, to be interesting for the customers,the Pascal demo program could be made more realistic. In addition, a dynamicand robust demonstration program is needed to make use of all the I/O devicesof the simulator and also to exercise the multitasking features in IP in a real-timecontrol situation. This document proposes that the IP demo program be designedto be a nuclear reactor control panel.

4 Operator Controls

The IP demo program would turn the simulator, keyboard, and screen into asimplistic representation of a control panel of a nuclear reactor. For example, theeight panel switches could move damper rods into and out of the make-believe

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reactor. The corresponding panel lights would go on when a rod is removed. Asdamping rods are removed, the core temperature would rise over time. The coretemperature can be displayed by the large analog meter. As more rods arewithdrawn, the temperature would rise at a faster rate. The “operator” can reducethe rate of temperature rise by increasing the cooling water feed rate with onepotentiometer. The second potentiometer could set an alarm point on atemperature which will cause the reactor to “scram” automatically. The goal ofthe “operator” is to keep the reactor running in a range between letting the corecool off and scramming, or going critical.

The screen of the RacPac can display values for all of the activity of thesimulation. The screen can also display helpful but ominous warning messagesuch as “Warning: Evacuate the state of Pennsylvania!” While the screenduplicates the analog and digital inputs and outputs, the keyboard will acceptsome simple commands to control execution of the program.

5 Hardware Required

The development of the demonstration program will require a 3800B for editingand compiling. Intermediate debugging could be done by plugging the simulatorinto a 3800B if it is equipped with an 1850 controller board in addition to itsstandard 1824. Final checkout will require either down-line loading of theprogram from a 3800B to the simulator’s RacPac or burning f the program intoPROMs for installation into the RacPac. The Hardware Department has both a3800B and an 1850 controller board, and it could burn the program into PROMsand install the PROMs.

6 Schedules

Description Weeks Required Total TimeResearch drivers 1 1Design program 1 2Code 1 3Debug 1 4

In what it includes, then, this proposal provides the context and informationnecessary for those reviewing it while still being an appropriately short proposalfor a small project.

6.3 EDITING THE PROPOSAL

Once you have written a proposal, it is wise to analyze it for weak spots, areasneeding more proof or detail. As a guide, you might refer to the analysis below ofthe problems detected in 605 proposals rejected by the National Institutes ofHealth.2 While this is an analysis of research proposals; it seems to reflect

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problems with other kinds of proposals as well. More than one item may havebeen 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. 33.12 The proposed research is based on a hypothesis that

Rests on insufficient evidence, is doubtful, or is unsound. 8.93 The problem is more complex than the investigator

Appears to realize. 8.13 The problem has only local significance, or is one of production

Or control, or otherwise fails to fall sufficiently clearlyWithin 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 manyElements under simultaneous investigation. 3.0

6 The description of the nature of the research and of itsSignificance leaves the proposal nebulous and diffuse andWithout a clear research aim 2.6

B APPROACH (73%) %

1 The proposed tests, methods, or scientific procedures areUnsuited 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 carefullyThought out. 14.7

3 The statistical aspects of the approach have not been givenSufficient consideration. 8.1

5 The approach lacks scientific imagination. 7.46 Controls are either inadequately conceived or

Inadequately described. 6.87 The material the investigator proposes to use is unsuited

To the objective of the study or is difficult to obtain. 3.88 The number of observations is unsuitable. 2.59 The equipment contemplated is outmodes or otherwise

Unsuitable. 1.0

C INVESTIGATOR (55%) %

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1 The investigator does not have adequate experience or trainingFor this research. 32.6

2 The investigator appears to be unfamiliar with recentPertinent literature or methods. 13.7

3 The investigator’s previously published work in this fieldDoes not inspire confidence. 12.6

4 The investigator proposes to rely too heavily onInsufficiently experienced associates. 5.0

5 The investigator is spreading himself too thin; he will be more productive ifhe concentrates on fewer projects. 3.8

6 The investigator needs more liaison with colleagues in this fieldOr in collateral fields. 1.7

D OTHER (6%) %

1 The requirements for equipment or personnel are unrealistic. 10.12 It appears that other responsibilities would prevent

devotion of sufficient time and attention to this research. 3.03 The institutional setting is unfavorable. 2.34 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 afoundation executive, who reviews proposals and deals with authors.3

1 Be realistic; don’t promise global changes from your efforts.2 When you call a funder, be organized; don’t’ use the funder to motivate you to

organize your thoughts.3 Keep the funder informed of your work; don’t 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;

don’t merely submit a letter asking for more money.

6.4 GETTING THE PROPOSAL APROVED FOR SUBMISSION

Different organizations have different procedures for handling proposals. Oftenproposals to someone within the writer’s organization can be submitted withoutmuch red tape. You may need to get your supervisor’s approval before sendingout a proposal asking that you work for another department or unit, but a verbalOK may be all the approval you need. (Note, however, that you should at leastinform your supervisor if you propose to work on a project outside your unit.)

In contrast to the simple procedures for approving internal proposals, theprocedures for approving proposals to funding agencies outside the proposer’sorganization may be quite involved. Organizations often insist on formallyreviewing and approving any proposal to external funders. This allows the

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organization to monitor commitments made to outside organizations; it alsoallows the organization to eliminate undesirable competition among members ofits own staff who may be competing with one another for funding. The problemwith this organizational review and approval–from the proposer’s point of view–isthat it takes extra time, and the proposer must plan that time into the writingprocess.

In addition, the proposer may need to get special forms filled out and signed byadministrative officers in the proposer’s organization. For instance, the sampleapproval form in Figure 6-5 for proposals seeking external funds had to be filledout and signed by four administrative officers in addition to the proposer. Justfinding these people can take some time, and theoretically each person shouldhave some time to review the contents of the proposal he or she is approving.

If the proposer’s organization requires such approval, the proposer should beaware of this fact long before the proposal’s deadline and should plan to allowsufficient time for each reviewer.

EXERCISE 6-1

Compare the structure of a long and short proposal to the proposal outlines givenin Figures 6-1 and 6-2. See if you can identify the various sections outlined in thefigures. Compare the treatment of these sections with the comparable treatmentof 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. Besure to include all relevant information, and be prepared to justify the informationyou have included or excluded.

REFERENCES

1 Tim Whalen, “Grant Proposals: A Rhetorical Approach,” The ABCA Bulletin,March 1982, p. 36.

2 Proposal Writer’s Guide, Division of Research Development andAdministration, 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 Executive’s Basic Listof What to Do and Not Do When Requesting Funding,” The GrantsmanshipCenter News, January – February 1982, pp. 24-25.

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CHAPTER-7

Perception

7.1 Introduction :

Perception is an important cognitive process in understanding OrganizationalBehaviour. Perception is the source of one’s knowledge about the world. Thebehaviour of an individual is largely a result of the way he perceives himself and

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the world around him at any given moment. The following story illustrates thispoint well:

This is a story of three workers breaking rocks at the construction site of a hugetemple. When asked, ‘what are you doing?’ one of them answered, ‘Don’t yousee I’m just breaking rocks?’ The other one said, ‘I’m working for Rs. 30/- perday,’ whereas the third man replied, ‘I’m proud of the fact that I’m helping to buildthis huge temple!’

This example clearly indicates that perception is like beauty, in that it lies “in theeye 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 dependson how he sees himself and his place in the world; and also how he responds tohis surrounding milieu. Perception lies at the root of every individual behavior. Anindividual’s behaviour is based on his perception of what reality is, not on realityitself. 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 andinterpret their sensory impressions in order to give meaning to theirenvironment”. *

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 ameaningful and coherent picture of the world”.

7.1. Nature of Perception:

Perception is the process by which people become aware of internal and externalmessages and interpret these messages into meanings. Every individualperceives the world through his senses: sight, hearing, touch, smell andawareness of heat, cold, pain, pleasure and pressure. In addition to perceivingexternal messages through the senses, an individual also perceives internallygenerated 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 (6th Ed.), Prentice – Hall ofIndia, New Delhi, 1993, p. 135.

Perceiver. Every Individual has only limited cognitive space for processinginformation. Attempting to perceive all available messages would lead toinformation overload. However, the cognitive process of selective perception

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helps an individual to process the information without any confusion. Throughselective perception an individual selects, organizer and interprets sensorystimuli and information into terms and categories which are consistent with hisown frame of reference and personal views of the world. This process is normallycarried out instantaneously and without conscious deliberation.

The key to understanding perception is to recognize that it is a uniqueinterpretation of the situation * not an exact recording of it. The traditionalcommonsense view that perception is simply a registering process of the realityhas been revised now. Modern Behavioural scientists believe that an individualdoes not just passively register sense impressions picked up from the worldaround him. The raw incoming data is interpreted in the light of his pastexperiences, and in terms of his current needs and interests. Modern viewemphasizes that individuals tend to distort their perceptions of reality with a viewto making it congruent with their needs, beliefs, and attitudes. Like the mirrors atamusement parks, they distort the world in relation to their tensions.

Thus, perception is a very complex cognitive process by which an individualselectively absorbs or assimilates the stimuli in his environment, cognitivelyorganizes the perceived information in a specific fashion, and then interprets theinformation to make an assessment as to what is going on in one’s environment.Since perception is a subjective process, it provides an individual quite uniquepicture 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 individual’s own view of the world. Every individual perceives hisenvironment in an organized frame work that he has built out of his ownexperiences and values. His own needs, objectives, problems, interests, andbackground control his perception of each situation. Every individual has aperceptual world that is selective and partial concentrating on features of interestand importance to him.

Understanding the difference between the perceptual world and the real world isvital 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 whileconfronting strike situation, similarly in the event of low morale or low productivitythere are divergent perceptions held by workers and supervisors. It is wellrecognized that major interpretation of industrial disputes is nothing butperceptual differences between parties involved. In conflicting situation samefacts are perceived quite differently by members of both parties. Thus, to unionmember, the fact may be that a variation in machine layout has caused a safetyhazard whereas supervisor may not agree and may blame the complaining

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worker for the careless behaviour. Thus, a fact is conceived not as what it is, butwhat one believes it to be. Every individual has different degree of readiness torespond to objects, people, and events

* Luthans, Fred, Organizational Behaviour, 6th Ed., Mc. Graw Hill InternationalEditions, 1992, p. 55.** Davis, Keith, Human Behaviour At Work, 6th Ed., Tata Mc-Graw Hill PublishingCo., New Delhi, 1993. p. 53.

in the organizational settings. These differences create undesirable tensions anddisputes in work settings which deserve utmost care.

Individual’s ability to observe the world comes through perception which revealsthe world to the individuals through their five senses. Individuals “perceive” whenthey

* recognize (objects, sounds, tastes, smells, feel);

* Discriminate (between colours, facts and fallacies);

* Relate (parts to a whole, like objects to each other, aPrinciple with its Practice);

Most important of all, perhaps, perception is what helps individuals to use theknowledge they have in an entirely different situation from that in which theylearned 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 atin, to turn a screw, or to paint a picture.

Perception operates from the most concrete to the most abstract levels and veryoften perceiving a relationship at one level will enable people to perceive newmaterial at another level. Thus, audio–visual aids, simplified models, graphicsymbols, the use of analogies and examples all help to engage people’sperceptions and transfer them to new situations *

Leavitt** correctly observes that if the management intends to improve thebehaviour of individuals at work which is largely the result of their perceptions ofenvironmental factors, it should attempt to understand their perceptions with aview to recognizing the circumstances under which their behaviour might bemodified.

In the organizational settings there are numerous examples which indicate thesignificance of perception. For instance:

1. Departmental head and subordinate react differently to top managementdirectives.

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2. An individual’s answer to a question is based on what he “heard” the bosssay, 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 somesubordinates and some other subordinates may consider him as mostineffective boss.

5. Any change in the personnel policy of the organization may be perceived asdesirable by middle managers but undesirable by shop floor workers or viewversa.

A very popular and oft-quoted*** example is the universal managerial assumptionthat subordinates always want promotion even though in fact, many subordinatesreally feel psychologically compelled to accept a promotion. Neither the managernor the subordinate makes keen

* An Introductory course in Teaching and Training Methods for ManagementDevelopment, 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 perceptualword of the manager differs significantly from the perceptual world of hissubordinate and both of them may be quite different from reality. Obviously, ifmanagement can assess the perceptual world of subordinates so as to preparethem for promotion, then it can succeed in getting the desired results. That is whyit is extremely essential that management understands the basic perceptualprocess and recognizes its significance at work. An in depth understanding of theconcepts involved would facilitate direct application and proper utilization ofdifferent techniques for better effectiveness in managerial situations. Divergentperceptions may some times lead to industrial conflict. Hence it is essential toassess perceptions on various aspects accurately. Thus, for achieving successand effectiveness in managerial performance, it is extremely crucial tounderstand how the perceptual process works and to recognize its significance inorganizational settings.

7.4. Sub-processes of Perception:

Perception involves five sub-processes:

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(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 andneural; the physiological ability to see and hear will affect perception.Interpretation is extremely crucial cognitive aspect of perception. Otherpsychological processes assist in the interpretation of the situation. For instance,in organizational settings, perceptual interpretation depends upon an individual’smotivation, personality and learning process. Feedback is important forinterpreting the perceptual data. Psychological feedback like raised eyebrow orchange in the tone of voice is likely to affect an individual’s behaviour at work.Perception ends in reaction or response which may be in the overt or convertform. As a result of perception an individual may act more rapidly or slowly (overtbehaviour) or make a self-evaluation or form an opinion (covert behaviour).

The sub-processes of registration, interpretation and feedback are internalcognitive processes that are unobservable. Perceptual selectivity and perceptualorganization play a key role in the internal cognitive aspects of perception.

Perceptual selectivity is the process through which certain parts or aspects of thedata are filtered or screened out and others are admitted. Screening prevents anindividual from processing irrelevant or disruptive information.

Perceptual organization is the process through which incoming stimuli andinformation are organized or patterned in systematic and meaningful ways.Organization means that an individual sees his environment in such a way thatthe 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 toa multitude of sensory stimuli and has to filter out unimportant, distracting andirrelevant sensory stimuli. Only a part of the sensory data impinging upon anindividual is admitted to awareness. The individual closes himself off entirely fromsome stimuli and tends to open his channels of input to others. Thus, he setshimself 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 isfast asleep upstairs. When the baby cries, he would immediately screen out themovie and concentrate to hear whether the cry is a pain cry, a hunger cry, or atemper cry, to enable him to decide what action to take.

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Sometimes, certain events may characteristically creep into an individual’sperceptual life and distract his attention. For instance, the sound of a gunnormally catches more attention than the sound of air conditioner. Thus, indealing with the phenomenon of perceptual selectivity, two terms are involved:attention and set... Attention is general readiness to perceive, as in listening orlooking. Sometimes it also involves focussing of sense organs. Attentionincorporates all aspects of the selective process whereas set refers to specificfactors or processes within the individual himself which have a bearing on whathe attends. Set relates to a readiness to perceive or to respond in some specificway. It can also be considered an attitude which facilitates or predetermines anoutcome.

Focussing on key messages in any given situation is known as selectiveattention. Blocking out extraneous or unimportant messages in any situation isknown as ‘habituation’. Selective attention and habituation work hand in handand operate simultaneously. An individual selects some messages and notothers because of his unique past experiences and predispositions. He givesmore cognitive space (attention) to more important messages. Every second, theindividual updates his selection of important messages and changes the priorityof the messages he has selected.

In order to give full attention to the chosen important messages, habituation iscrucial. The individual must be able to block out both external messages andinternal messages that he judges to be unimportant in the given situation.External messages like noises or distracting visual cues and also internalmessages like fatigue or day-dreams usually compete for attention. Individualgradually develops his ability to habituate well through continued practice.

Perceptual selectivity is governed by various external and internal factors. Theexternal 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 externalstimulus, the more likely it is to be perceived. Various people like advertisers,salesmen, teachers and managers use intensity to attract and hold attention ofothers. Loud voice, bright light and strong odour catch attention and get noticedvery quickly than soft sound, dim light and weak odour.

However, shouting loudly at workers is likely to turn them off instead of drawingtheir attention. Hence, the intensity aspect has to be considered in the light ofany given situation.

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7.6.2. Size:

The principle of size is closely related to ‘Intensity’. It states that the larger theobject, the more likely it will be perceived. Bigger machines, larger pictures getmore 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 thebackground 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 theleft because of the contrast with the background surrounding circles.

Similarly, contrast colour combinations like black and red, black and white, yellowand green etc. are attention getting. Safety signs are painted in contrast colourcombinations.

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 sothat they become eye-catching.

7.6.4. Repetition:

The repetition principle states that a repeated external stimulus is more attentiongetting than a single one. Repetition is believed to increase one’s sensitivity andalertness to the stimulus. Thus, workers generally ‘hear’ better when instructionsare 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 objectsin their field of vision than they will to stationary objects. Flashing neon signs aremore attractive than the still ones.

7.6.6. Novelty and Familiarity:

Novelty and familiarity principle states that either a novel or a familiar externalsituation can serve as an attention-getter. New objects or events in a familiar

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setting or familiar objects and events in a new setting will draw attention of theperceiver. For instance, job rotation of workers increases the attention they giveto 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 tendsto select out stimuli or situations from the environment that appeal to, and arecompatible with, his learning and motivation and with his personality. * Theinternal factors like learning motivation and personality give rise to expectationswhich make the individual more ready to respond to certain stimuli in certainways and less ready to respond to other stimuli. This readiness to respond inspecific ways is called the individual’s perceptual set.

7.1.1. Learning:[DIAGRAM]

Learning plays a major role in developing perceptual set. Reading the instructionin the triangle. ”Now Press The Button” is normally done so quickly that it takes afew seconds to realize that there is something wrong. Previous learning createsexpectancy to perceive in certain manner. It is important to remember that peoplesee and hear what they expect to see and hear.

The boss called his assistant into his office, waved a letter at him and said, “Ithought 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 asfollows:

Pronounce the following words slowly:

M – A – C – D – O – N – A – L – DM – A – C – M – I – L – L – O – NM – A – C – T – A – V – I – S - HM – A – C – M – O – H – A - NM – A – C – H – I – N – E – R – Y

If the last word was pronounced ‘Mac-Hinery’ instead of ‘machinery’, the readerwas caught in a verbal response set.

Previously held expectations, beliefs, opinions, general attitudes andpreconceived notions make people perceive what they want to perceive. If a new

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employee is told that the supervisor will be friendly, the employee will be morelikely 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 presentsituation, it is nevertheless used by the perceiver. An individual tends to perceivethose things to which he can relate.

7.1.2. Motivation:

Motivation also plays a vital role in perceptual selectivity. Perception of afrustrated individual significantly differs from that of any highly motivatedindividual. Unsatisfied needs or motives stimulate individuals and may exert astrong influence on their perception. This was dramatically demonstrated inresearch on hunger. ** Individuals in the study had been deprived of food forvarying numbers of hours (ranging from one hour to sixteen hours). Thesesubjects were shown blurred pictures and the results indicated that the extent ofhunger influenced the interpretation of the blurred pictures. Those who werewithout food for sixteen hours perceived the blurred images as pictures of foodfar more frequently than did those subjects who had eaten only a short timeearlier.

Secondary motives like power, affiliation or achievement play crucial part indeveloping perceptual set. Depending on the strength of each motive, theindividual will give attention to the relevant situational factors. Security motive isalso important in work settings. Personal insecurity can be transferred into theperception that subordinates who show superior performance are posing a threatto the boss. Any individual, who feels insecure about his job, is likely to perceivejob-threatening comments.

7.1.3. Personality:

Just like learning and motivation the personality of the perceiver greatly affectswhat 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 ofPsychology, Vol. 25, 1948, pp. 205 – 22.

Individual is likely to attend to in the confronting situation. Personalitycharacteristics and interests are significant in the development of perceptual setas they determine an individual’s response disposition.

Response disposition refers to an individual’s tendency to perceive familiarstimuli rather than unfamiliar ones. For instance, when a policeman, a doctor and

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a mechanic witness a car-accident, each one will probably notice certain thingsabout the accident and the things that will stand out for each will be different. Thepoliceman would be interested in knowing who was responsible for the accidentand who violated traffic rules. The doctor would pay attention to the condition ofthe people involved in the accident and whether thy need medical helps andambulance. The mechanic would notice the condition of the car and the extent ofdamage. Thus, each one would select from the total event those aspects as hewould think to be significant.

An individual who has deviant personality is likely to be more prone to see othersas also deviants. Optimistic individual tends to perceive things in favorablemanner whereas pessimistic individual in negative manner. An individual with agood sense of humour tends to look at the funny side of things, objects, events,as well as people in the environment.

An individual’s current psychological state or emotional state also influences hisperception of his environment. An individual in sad, dejected and gloomy moodperceives the same situation differently than if he is in glad, excited and jollymood. An individual’s characteristic mood determines his mode of behaviour atwork.

Empirical research* offers interesting evidence as to how personality factors andperceptions are closely related to each other. For instance,

(i) Secure people perceive others a warm individuals and not as cold orindifferent.

(ii) Thoughtful people do not make extreme judgements of others. They canperceive different shades of grey rather than only black or white.

(iii) Self-accepting people have faith in their individuality and tend to perceivethings favorably.

(iv) Self-accepting people perceive themselves as liked, wanted and acceptedby others. Those who are not self-accepting tend to distrust others.

(v) Self-accepting people also accept others easily, whereas those who arenot 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 theminaccurately. As a result, they are likely to distort and misinterpret stimulussituations. This again may create an impact on their opinions and attitudestowards the situation. Ultimately, their resultant behaviour will be ineffective in thegiven situations.

Postman, Bruner and McGinnics ** conducted an excellent experiment onperceptual sensitization. In their study of personal values and perception theyadministered the Allport-Vernon Scale of Value to students to discover whetherthose who are markedly equipped with

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* Costello, T.W. and Zalkind, S.S. “Psychology in Administration: A ResearchOrientation”, Englewood Cliffs, Prentice-Hal, N.J., 1963, pp. 45-46. Also, see-Hamacheck, D.E. “Encounters with the Self”, Holt Rinchart and Winston, NewYork 1911.** Postman, L. J. Bruner and E. McGinnics. “Personal Values as SelectiveFactors 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 andtheoretical) would recognize more quickly the words having any implications inthe area of that value. The results showed that the subjects with a dominantreligious value tended to recognize even on very short exposures words such as‘priest’ or ‘minister’ whereas they look longer to recognize words related toeconomic 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. Theindividual’s personal patterns of needs, interests, attitudes and values interact toorganize 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 imposemeaning on incoming information. The principles by which the process ofperceptual organization works were first identified by Max Wertheimer in1923.organizing the incoming stimuli into a meaningful whole picture are calledas ‘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 asseparable from their general background. In the perceptual field, meaningful andsignificant 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 peopleattending the lecture are grouped into two. There are certain stimuli which are notin the focus of people’s attention like the outside noise, chirping of the birdsoutside or the sound of the moving traffic on the road, etc. All these become thebackground and attention is not paid to them (Ground). What may be in focus is

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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 incomingstimuli into recognizable figures (words) that are seen against a ground (whitepage). How perceptual selectivity influences perceptual organization? Forinstance, when the reader is set to perceive black on white pages throughout thebook, it takes time before he can organize and make sense when reverse is truethat 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 asbackground, it looks like two black profiles. (Ref. Fig. 1.3).

It is important to remember that in work settings, an employee’s psychologicalstorage and

Subsequent interpretation of information tends to get affected by whether heclassifies the information as figure or ground. What becomes figure and whatbecomes ground is likely to depend on the individual’s needs and expectations indifferent situations.

7.8.2. Relevancy:

Relevancy principle emphasizes that people selectively perceive stimuli andgroup them if they are relevant to their needs and desires.

[DIAGRAM]

An event looks meaningful only when it is closely related to the perceiver. Higherthe relevance of perceived object or event, the greater will be its effect on theindividual’s perception.

7.8.3 Role of central nervous system:

In perceptual organization some organizing processes which give meaning to theincoming information occur in the nervous system and are relatively free from theeffects of past experience or motivational factors. These processes form thestructural factors of organization and are called as primitive processes. Theactive role of the central nervous system is best exemplified by illusions, falseinterpretations or misleading organization of sensory events.

Illusions involve perceptions which are not consistent with reality. The famousMuller-Lyer illusion is shown here:

(a) <>(b) ><

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Which line appears longer, (a) or (b)?

In this example, both lines are of same length but line (b) ‘appears’ to be longerthan (a) because of visionary illusion.

Similarly, an individual may mistake a coiled rope for a snake and be afraid of itas if it were a snake.

7.9. Perceptual Grouping:

The grouping principle of perceptual organization states that there is a tendencyto group several stimuli together into a recognizable pattern. Perceptual groupingtakes place by closure and continuity, proximity or similarity.

Closure and Continuity: The closure and continuity principle is that an individualtends to fill gaps in incomplete or ambiguous patterns of stimuli in ways thatmake them meaningful. Closure and continuity make important contribution sinceclosure supplies missing stimuli and continuity enables to perceive continuouspatterns. For instance, when perceiving these four lines the tendency is toperceive them not as four separate lines but as a square.Similarly,

These are not perceived as broken lines but a circle. Thus, the individualwill ‘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 themissing messages and take decisions.

7.9.1. Proximity:

The principle of proximity states that a group of stimuli that are close together willbe 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 aand 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 thework settings.

7.9.2. Principle of similarity:

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The principle of similarity states that the greater the similarity of the stimuli, thegreater 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 pairsof circles and not just twelve symbols.

Similarly dressed individuals in an organization are perceived to be a commongroup.

These principles of perceptual organization apply to the perceptual process ingeneral and not just visual stimuli. They also affect the way in which individualstend to perceive other people.

7.9.3. Perceptual constancy:

In order to have a sense of stability in a changing world, the individual createsperceptual constancies. Perceptual constancy means attributing some constantand repeatable characteristics to events and people and objects. Individuals findperceptual constancy of size, shape, colour, brightness and location of objects asthey interpret stimuli. Learning plays a crucial role in the phenomenon ofperceptual constancy and stabilization of perceptions.

In the organizational context, perceptual constancy may help a manager toperceive similar problems in the same perspective, even when the context maychange.

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, anew policy, a suggestive gesture, a raised eyebrow, or a pat on the back takeson 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 messagesand conflicting data that would make him uncomfortable with his existingimpressions. An individual may build a defense (a metal block or a refusal torecognize) against stimuli or situational events in the context that are personallyor culturally unacceptable or threatening.

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An individual is usually unaware of the automatic psychological mechanismswhich go to work when objects, events or social interactions arouse fears orconcerns 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 otherby McGinnies. ** Bruner and Postman found barriers to perceiving personallythreatening words. McGinnies discovered identification thresholds for critical andemotionally toned words. These studies indicate that individuals tend to havemental blocks on such words and hence need a longer exposure to recognizethem. Thus perceptual defense enables the individual to shut his perceptual doorto those aspects of his environment which he finds unbearable.

In another study*** more directly relevant to organizational behaviour, collegestudents were exposed to the word ‘intelligent’ as a feature of factory workers. Asthis contradicted with their perception of factory workers, they built defenses invarious ways like denial,

* Bruner Jerome S. and Leo Postman, “Emotional Selectivity in Perception andReaction,” Journal of Personality, Sept. 1941, pp. 69-11.** McGinnies, Elliolt, “Emotionality and Perceptual Defense,” PsychologicalReview, Sept. 1949, pp. 244-251.*** Haire, M. and W.F. Grunes, “Perceptual Defense Processes Protecting andOrganized Perception of Another Personality”, Human Relations, 1950, 3, pp.403-12.

Chapter -8IEEE STANDARDS OF TECHNICAL COMMUNICATION

IEEE Standards documents are developed within the IEEE Societies and the StandardsCoordinating Committees of the IEEE Standards Board. Members of the committeesserve voluntarily and without compensation. They are not necessarily members of theInstitute. The standards developed within IEEE represent a consensus of the broadexpertise on the subject within the Institute as well as those activities outside of IEEE thathave expressed an interest in participating in the development of the standard.

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Use of an IEEE Standard is wholly voluntary. The existence of an IEEE Standard doesnot imply that there are no other ways to produce, test, measure, purchase, market, orprovide 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 changebrought about through developments in the state of the art and comments received fromusers of the standard. Every IEEE Standard is subjected to review at least every five yearsfor revision or reaffirmation. When a document is more than five years old and has notbeen reaffirmed, it is reasonable to conclude that its contents, although still of somevalue, do not wholly reflect the present state of the art. Users are cautioned to check todetermine 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 documentsshould be in the form of a proposed change of text, together with appropriate supportingcomments.Interpretations: Occasionally questions may arise regarding the meaning of portions ofstandards as they relate to specific applications. When the need for interpretations isbrought to the attention ofIEEE, the Institute will initiate action to prepare appropriate responses. Since IEEEStandards represent a consensus of all concerned interests, it is important to ensure thatany interpretation has also received the concurrence of a balance of interests. For thisreason, IEEE and the members of its societies and Standards Coordinating Committeesare not able to provide an instant response to interpretation requests except in those caseswhere the matter has previously received formal consideration.

I. IEEE Standards of Communication and Documentation

Standard Rationale/BackgroundIEEE 802 refers to afamily of IEEE standardsabout local area networksand metropolitan areanetworks

More specifically, the IEEE 802 standards are restricted tonetworks carrying variable-size packets. (By contrast, incell-based networks data is transmitted in short, uniformlysized units called cells. Isochronous networks, where data istransmitted as a steady stream of octets, or groups of octets,at regular time intervals, are also out of the scope of thisstandard.). The IEEE 802 family of standards is maintainedby the IEEE 802 LAN/MAN Standards Committee(LMSC). The most widely used standards are for theEthernet family, Token Ring, Wireless LAN, Bridging andVirtual Bridged LANs. An individual Working Groupprovides the focus for each area. The increasing need formobility has spawned the greatest growth in the use ofwireless 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 forBinary Floating-Point

The IEEE Standard for Binary Floating-PointArithmetic (IEEE 754) is the most widely-used standard

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Standard Rationale/BackgroundArithmetic (IEEE 754) for floating-point computation, and is followed by many

CPU and FPU implementations. The standard definesformats for representing floating-point numbers (including±zero and denormals) and special values (infinities andNaNs) together with a set of floating-point operations thatoperate on these values. It also specifies four roundingmodes and five exceptions (including when the exceptionsoccur, 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 commonlyused) and double-extended precision (≥79-bit, usuallyimplemented with 80 bits). Only 32-bit values are requiredby the standard, the others are optional. Many languagesspecify that IEEE formats and arithmetic be implemented,although sometimes it is optional. For example, the Cprogramming language, which pre-dated IEEE 754, nowallows but does not require IEEE arithmetic (the C floattypically is used for IEEE single-precision and doubleuses IEEE double-precision).

The full title of the standard is IEEE Standard for BinaryFloating-Point Arithmetic (ANSI/IEEE Std 754-1985),and it is also known as IEC 60559:1989, Binary floating-point arithmetic for microprocessor systems (originallythe reference number was IEC 559:1989).

IEEE 1284 Standardsfor Parallel Interfaces

IEEE 1284 is a standard that defines bi-directional parallelcommunications between computers and other devices. Inthe 1970's, Centronics developed the now familiar printerparallel interface that soon became a de facto standard. Thestandard became non-standard as enhanced versions of theinterface were developed, such as the HP Bitronicsimplementation released in 1992. In 1991 the NetworkPrinting Alliance was formed to develop a new standard. InMarch of 1994, IEEE 1284 was released.

The IEEE 1284 standard allows for faster throughput andbidirectional data flow with a theoretical maximumthroughput of 4 megabits per second, with actual around 2depending on hardware. In the printer venue, this allows forfaster printing and back channel status and management.Since the new standard allowed the peripheral to send largeamounts of data back to the host, devices that hadpreviously used SCSI interfaces could be produced at a

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Standard Rationale/Backgroundmuch lower cost. This included scanners, tape drives, harddisks, computer networks connected directly via parallelinterface, network adapters and other devices. No longerwas the consumer required to purchase an expensive SCSIcard- they could simply use their built in parallel interface.These low cost devices provided a platform to leapfrog thefaster USB interface into its present popularity, displacingthe parallel devices. However, the parallel interface remainshighly popular in the printer industry with displacement byUSB only in consumer models.

IEEE 1284 standards

IEEE 1284-1994: Standard Signaling Method for aBi-directional Parallel Peripheral Interface forPersonal Computers

IEEE 1284.1-1997: Transport IndependentPrinter/System Interface- a protocol for returningprinter configuration and status

IEEE 1284.2: Standard for Test, Measurement andConformance to IEEE 1284 (not approved)

IEEE 1284.3-2000: Interface and ProtocolExtensions to IEEE 1284-Compliant Peripherals andHost Adapters- a protocol to allow sharing of theparallel port by multiple peripherals (daisy chaining)

IEEE 1284.4-2000: Data Delivery and LogicalChannels for IEEE 1284 Interfaces- allows a deviceto carry on multiple, concurrent exchanges of data

Parallel Port Background

When IBM introduced the PC, in 1981, the parallel printerport was included as an alternative to the slower serial portas a means for driving the latest high performance dotmatrix printers. The parallel port had the capability totransfer 8 bits of data at time whereas the serial porttransmitted one bit at a time. When the PC was introduced,dot matrix printers were the main peripheral that used theparallel port. As technology progressed and the need forgreater external connectivity increased, the parallel portbecame the means by which you could connect higherperformance peripherals. These peripherals now range fromprinter sharing devices, portable disk drives and tape backupto local area network adapters and CD ROM players.

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Standard Rationale/BackgroundThe problems faced by developers and customers of theseperipherals fall into three categories. First, although theperformance of the PC has increased dramatically, there hasbeen virtually no change in the parallel port performance orarchitecture. The maximum data transfer rate achievablewith this architecture is around 150 kilobytes per second andis extremely software intensive. Second, there is no standardfor the electrical interface. This causes many problems whenattempting to guarantee operation across various platforms.Finally, the lack of design standards forced a distancelimitation of only 6 feet for external cables.

In 1991 there was a meeting of printer manufacturers to startdiscussions on developing a new standard for the intelligentcontrol of printers over a network. These manufacturers,which included Lexmark, IBM, Texas Instruments andothers, formed the Network Printing Alliance. The NPAdefined a set of parameters that, when implemented in theprinter and host, will allow for the complete control ofprinter applications and jobs.

While this work was in progress it became apparent that tofully implement this standard would require a highperformance bi-directional connection to the PC. The usualmeans of connection, the ordinary PC parallel port, did nothave the capabilities required to meet the full requirementsor abilities of this standard.

The NPA submitted a proposal to the IEEE for the creationof a committee to develop a new standard for a high speedbi-directional parallel port for the PC. It was a requirementthat this new standard would remain fully compatible withthe original parallel port software and peripherals, but wouldincrease the data rate capability to greater than 1M bytes persecond, both in and out of the computer. This committeebecame the IEEE 1284 committee.

The IEEE 1284 standard, "Standard Signaling Method for aBi-directional In 1991 there was a meeting of printermanufacturers to start discussions on developing a newstandard for the intelligent control of printers over anetwork. These manufacturers, which included Lexmark,IBM, Texas Instruments and others, formed the NetworkPrinting Alliance. The NPA defined a set of parameters that,when implemented in the printer and host, will allow for the

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Standard Rationale/Backgroundcomplete control of printer applications and jobs.

While this work was in progress it became apparent that tofully implement this standard would require a highperformance bi-directional connection to the PC. The usualmeans of connection, the ordinary PC parallel port, did nothave the capabilities required to meet the full requirementsor abilities of this standard.

The NPA submitted a proposal to the IEEE for the creationof a committee to develop a new standard for a high speedbi-directional parallel port for the PC. It was a requirementthat this new standard would remain fully compatible withthe original parallel port software and peripherals, but wouldincrease the data rate capability to greater than 1M bytes persecond, both in and out of the computer. This committeebecame the IEEE 1284 committee.

The IEEE 1284 standard, "Standard Signaling Method for aBi-directional Parallel Peripheral Interface for PersonalComputers", was approved for final release in March of1994.

IEEE 1394 or FireWire FireWire (also known as i.Link or IEEE 1394) is apersonal computer and digital video serial bus interfacestandard offering high-speed communications andisochronous real-time data services. FireWire can beconsidered a successor technology to the obsolescent SCSIParallel Interface. Up to 63 devices can be daisy-chained toone FireWire port. The IEEE 1394 multimedia connectionenables simple, low-cost, high-bandwidth isochronous (real-time) data interfacing between computers, peripherals, andconsumer electronics products such as camcorders, VCRs,printers, PCs, TVs, and digital cameras. With IEEE 1394-compatible products and systems, users can transfer video orstill images from a camera or camcorder to a printer, PC, ortelevision, with no image degradation..

Almost all modern digital camcorders have included thisconnection since 1995. All Macintosh computers currentlyproduced have built-in FireWire ports, as do all Sony PCsand many PCs intended for home or professionalaudio/video use. FireWire was also used on the Apple iPodmusic player for a long time, permitting new tracks to beuploaded in a few seconds and also for the battery to berecharged concurrently with one cable, but newer models,

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Standard Rationale/Backgroundlike the iPod nano and the new fifth generation iPod, havecompletely dropped support for it.

History of the IEEE 1394 StandardThe 1394 digital link standard was conceived in 1986 bytechnologists at Apple Computer, who chose the trademark'FireWire', in reference to its speeds of operation. The firstspecification for this link was completed in 1987. It wasadopted in 1995 as the IEEE 1394 standard. A number ofIEEE 1394 products are now available including digitalcamcorders with the IEEE 1394 link, IEEE 1394 digitalvideo editing equipment, digital VCRs, digital cameras,digital audio players, 1394 IC's and a wealth of otherinfrastructure products such as connectors, cables, testequipment, software toolkits, and emulation models.

Future of 1394The strong multimedia orientation, self-configurability,peer-to-peer connectivity and high performance of 1394have encouraged new, innovative product concepts soon tobe released or in development now. With the advent thisyear of native IEEE 1394 support in Microsoft Windowsoperating systems, a number of new applications for 1394will come forth that link the worlds of consumer andcomputer electronics.

Benefits of 1394

Applications that benefit from IEEE 1394 include nonlinear(digital) video presentation and editing, desktop andcommercial publishing, document imaging, homemultimedia, and personal computing. The low overhead,high data rates of 1394, the ability to mix real-time andasynchronous data on a single connection, and the ability tomix low speed and high speed devices on the same networkprovides a truly universal connection for almost anyconsumer, computer, or peripheral application.

IEEE Std 730™, IEEEStandard for SoftwareQuality Assurance Plans,

The Software Engineering Standards Subcommittee of theTechnical Committee on Software Engineering (TCSE)published its first standard, IEEE Std 730™, IEEE Standardfor Software Quality Assurance Plans, on a trial-use basisthree years later. The collection has now grown to over 40documents.

IEEE Software Engineering standards are used throughout

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Standard Rationale/Backgroundindustry today to maximize software developmentinvestments. Covering software engineering terminology,processes, tools, reuse, project management, plans,documentation and measurement IEEE SoftwareEngineering standards are implemented in an array ofdisciplines, including: Computer science, Qualitymanagement, Project management, Systems Engineering,Dependability and Safety.

Together, the more than 40 standards that comprise IEEEsoftware engineering standards collection excel in technicalintegrity on an individual basis and each can take its placewithin a suite of standards that may be adopted in totality orin part by interested organizations. The standards are asfollows:

1. 610.12-1990 Standard Glossary of SoftwareEngineering Terminology

2. 730-2002, Standard for Software Quality AssurancePlans

3. 828-1998, Standard for Software ConfigurationManagement Plans

4. 829-1998, Standard for Software TestDocumentation

5. 830-1998, Recommended Practice for SoftwareRequirements Specifications

6. 821-1988, Standard Dictionary of Measures toProduce Reliable Software

7. 1008-1987 (R1993), Standard for Software UnitTesting

8. 1012-1998, Standard for Software Verification andValidation

9. 1012a-1998, Supplement to Standard for SoftwareVerification and Validation

10. 1016-1998, Recommended Practice for SoftwareDesign Descriptions

11. 1028-1997, Standard for Software Reviews12. 1044-1993, Standard Classification for Software

Anomalies13. 1045-1992, Standard for Software Productivity

Metrics14. 1058-1998, Standard for Software Project

Management Plans15. 1061-1998, Standard for a Software Quality Metrics

Methodology

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Standard Rationale/Background16. 1062-1998, Recommended Practice for Software

Acquisition17. 1063-2001, Standard for Software User

Documentation18. 1074-1997, Standard for Developing Software Life

Cycle Processes19. 1175.1-2002, Guide for CASE Tool Interconnections

- Classification and Description20. 1219-1998, Standard for Software Maintenance21. 1220-1998, Standard for the Application and

Management of the Systems Engineering22. 1228-1994, Standard for Software Safety Plans23. 1233-1998, Guide for Developing System

Requirements Specifications24. 1320.1-1998, Standard for Functional Modeling

Language-Syntax and Semantics for IDEF025. 1320.2-1998, Standard for Conceptual Modeling

Language Syntax and Semantics...26. 1362-1998, Guide for Information Technology-

System Definition-Concept of Operations27. 1420.1-1995, Standard for Information Technology-

Software Reuse-Data Model for Reuse28. 1420.1a-1996, Supplement to Standard for

Information Technology-Software Reuse-Data29. 1420.1b-1999, IEEE Trial-Use Supplement to

Standard for Information30. 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 Intensive33. 1490-1998, Guide - Adoption of PMI Standard - A

Guide to the Project Management Body ofKnowledge

34. 1517-1999, IEEE Standard for InformationTechnology-Software Life Cycle Processes-Reuse

35. 1540-2001, Standard for Software Life CycleProcesses- Risk Management

36. 2001-2002, Recommended Practice for InternetPractices - Web Page Engineering

37. 14143.1-2000, Adoption of ISO/IEC 14143-1:1998Information Technology-Software

38. IEEE/EIA 12207.0-1996, Industry Implementationof International Standard ISO/IEC 12207: 1995

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Standard Rationale/Background39. IEEE/EIA 12207.1-1996, Industry Implementation

of International Standard ISO/IEC 12207: 199540. IEEE/EIA 12207.2-1997, Industry Implementation

of International Standard ISO/IEC 12207: 199541. IEEE 15288™, "Systems Engineering: System Life

Cycle Processes

This collection is the basis for the Software EngineeringBody of Knowledge (SWEBOK) and the CSDP effort inplace to certify software engineering professionals.

With the adoption of ISO/IEC 12207 a standard that definesthe major software engineering processes and ISO/IEC15288 a standard that addresses the full life cycle ofsystems, the IEEE will share the same reference set ofsystems and software engineering processes as the ISO/IECJoint Technical Committee 1, Subcommittee 7 (ISO/IECJTC1/SC7) and make it easier for the two to createcompatible standards. As holders of the world's two majorcollections of software engineering standards and standardsfor the engineering of systems containing software, theseorganizations are creating correspondence among theirstandards to eliminate user confusion and align work doneunder the standards from either organization.

IEEE 1003 (alsoregistered as ISO/IEC9945), or POSIX,

The SUS emerged from a mid-1980s project to standardizeoperating system interfaces for software designed forvariants of the Unix operating system. The need forstandardization arose because enterprises using computerswanted to be able to develop programs that could be used onthe computer systems of different manufacturersreimplementing the programs. Unix was selected as thebasis for a standard system interface partly because it wasmanufacturer-neutral. These standards became IEEE 1003(also registered as ISO/IEC 9945), or POSIX, whichloosely stands for Portable Operating System Interface.

Previously, The Open Group's Single UNIX Specificationwas separate from the official IEEE POSIX. The near-equivalent SUS became more popular with the involvementof several major vendors in the wake of the Unix warsbecause it was available for free, whereas the IEEE chargeda substantial fee for access to the POSIX specification.

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Standard Rationale/BackgroundBeginning in 1998 a joint working group, the Austin Group,began to develop the combined standard that would beknown as the Single UNIX Specification Version 3.

the IEEE StandardDigital Interface forProgrammableInstrumentation, IEEE-488-1978 (now 488.1).

The Hewlett-Packard Instrument Bus (HP-IB), is a short-range digital communications cable standard developed byHewlett-Packard (HP) in the 1970s for connecting electronictest and measurement devices (e.g. digital multimeters andlogic analyzers) to control devices such as computers. Othermanufacturers copied HP-IB, calling their implementationthe General Purpose Instrumentation Bus (GPIB). In1978 the bus was standardized by the Institute of Electricaland Electronics Engineers as the IEEE Standard DigitalInterface for Programmable Instrumentation, IEEE-488-1978 (now 488.1).

IEEE-488 allows up to 15 intelligent devices to share asingle bus by daisy-chaining, with the slowest deviceparticipating in the control and data transfer handshakes todetermine the speed of the transaction. The maximum datarate is about one megabyte per second. Paraphrasing the1989 HP Test & Measurement Catalog: HP-IB has a party-line structure wherein all devices on the bus are connectedin parallel. The 16 signal lines within the passiveinterconnecting HP-IB cable are grouped into three clustersaccording to their functions: Data Bus, Data Byte TransferControl Bus, and General Interface Management Bus.

In addition to the IEEE several other standards committeeshave adopted HP-IB. The American National StandardsInstitute's corresponding standard is known as ANSIStandard MC 1.1, and the International ElectrotechnicalCommission has its IEC Publication 625-1. In June 1987the IEEE approved a revised standard for programmableinstruments called IEEE-488-1987 (now 488.2): Codes,Formats, Protocols, and Common Commands. Hewlett-Packard's HP-IB implementation, however, still concurs tothe aforementioned IEEE-488.1 version.

Not specifically planned for at the outset by HP-IB'sdesigners was the use of IEEE-488 as a standard peripheralinterface by general-purpose computers. Such applicationsof the bus were made by the Commodore PET/CBM rangeof educational/home/personal computers, whose disk drives,printers, modems, etc, were daisy-chain connected to the(host) computer, 'talking' and 'listening' on the designated

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Standard Rationale/Backgroundbus 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, withround DIN connectors instead of the heavy-duty HP-IBplugs.

Tektronix's computer family (the 405x series) also usedIEEE-488 as a peripheral interface. Hewlett-Packard'sbusiness computer group also used the HP-IB bus to controlcomputer 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 ofHP's advanced pocket calculators/computers of the 1980s,such as the HP-41 and HP-71 series, could work withvarious instrumentation via an optional HB-IB interface.The interface would connect to the calculator via an HP-ILmodule (Hewlett-Packard Instrument Loop, also optional).

II. IEEE Standard Glossary of Software Engineering TechnologyIII. IEEE Guide for Developing Software Project Management Plans

TRIO Standards and Communication Plan1.0 IntroductionThis report reviews the major ITS National Standards initiatives, focuses on those effortsto be of particular importance to existing or planned systems in the Tri-State RuralAdvanced Traveler Information Systems program (TRIO). This report also identifiesfunctional requirements and concepts of operations of the planned systems and theirseamless connectivity.In the past, there were no standards to define how devices should communicate withother equipment. Each manufacturer developed its own data communication formats,protocols and methods to meet particular needs. As a result, to integrate systemsmanufactured by different companies, considerable extra work was, and in many casesstill is, performed, resulting in increased development and deployment costs. Thisshortcoming limits interchangeability of components between different vendors andrestricts information sharing between users and systems. These problems have not beenlimited to any particular field or type of device. Many entities need to exchangeinformation between each other and with field devices. In surface transportation,examples include traffic control centers, transit operators and information serviceproviders. These agencies must communicate with field devices such as dynamicmessage signs, bus priority sensors, weather and environmental monitoring systems.1.1 PurposeThe purpose of this document is to identify and describe the relevant ITS Standardsrequired to achieve seamless data communications between various equipment and trafficmanagement centers (TMC), as well as between TMCs of separate agencies.This document serves as a guide to identify and describe technical details of:

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• Existing relevant ITS standards• Concepts of operations• Requirements• Data elements and message setsThis document is intended for:• Transportation operations managers• Transportation operations personnel• Transportation engineers• Transportation management procurement officers• System integrators• Device manufacturersThis document will provide information on the ongoing efforts on adopting XML as afuture standard for center-to-center and center-to-field communications, linkages betweensoftware and databases, and the XML schemas developed up to date.Finally, this document is the first of the three-volume deliverable. The data elements andmessages in XML format will be discussed in the following volume II and volume III,respectively.

1.2 Existing Relevant StandardsThe United States Department of Transportation (U.S. DOT) is supporting specific ITSstandards initiatives in areas expected to have significant public benefit. To expeditedeployment of nationally interoperable ITS systems and services, seven standardsdevelopment organizations (SDO) are developing a host of non-proprietary, industrybased ITS standards. Nationally recognized organizations that are leading these SDOscomprise:

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 ITSProtocol (NTCIP) is a joint initiative of AASHTO, ITE, and the National ElectricalManufacturers 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 tocommunicate between systems and agencies. In addition to these two components,specific ‘languages’ (data formats) used to send the data are also being defined within theNational ITS Standards effort.Data format definitions address the lower-level computer operations required to send andreceive 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, willuse the data formats prescribed by the National ITS Standards to ensure compatibility andinteroperability between systems without focusing on the specific formats. Each system

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will adhere to the selected data formats, but may elect to use one methodology overanother for cost, maintenance or technological reasons.Data elements are defined in data dictionaries which are key components in the operationof computer-based ITS. They provide the basic information definitions that are used inthe exchange of information between systems. An established data dictionary withunambiguous definitions is one of the essential standards required to exchange messagesamong systems. Users can help assess specific needs for data definitions, and therelevance of the definitions already proposed by the SDO during design andimplementation of systems.Message sets are another component in the design and operation of modern computerbased systems. They provide the basic information flows upon which communicationsbetween systems depend. Specifically, a message set defines the information sequenceand 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 thislevel that deployments may have most impact on the draft standards, offering a test bedfor 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), TransportationOperation Centers (TOC), Transit Operation Centers (TrOC), Emergency ManagementCenters (EMS), 911 call centers, etc. have initially been built and operated as individualagencies in separate jurisdictions. In recent years, however, advanced informationtechnologies allow agencies to share possessed information in near real-time. The dataexchanges 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 discussedin 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 OperationsThe TRIO Program involves the integration of many agencies and systems used tocollect, monitor and manage the transportation system. This integration involves trafficand 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 centralsoftware and database for the TRIO region. It will store all the events entered, integratedata collected by in-field devices, and provide event details to all the informationdissemination media. The CARS program uses the World Wide Web to allow authorized

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staff to input construction, accident, delay, and other roadway, weather and tourism eventinformation into statewide databases.CARS supports a number of different services outlined in the National ITS Architecturethat 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 thecombination 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 TrafficManagement Data Dictionary (TMDD) and the Message Sets For External TrafficManagement Center Communications (MS/ETMCC). The CARS system is using atranslation of the Abstract Syntax Notation One (ASN.1) message structure intoeXtensible Markup Language (XML) for communication of information.The CARS system will be the central repository for all event data within the TRIOProgram, and as a result, provides an effective tool for managing the dissemination ofinformation to other users and systems. The following sections discuss the concept ofoperations for the various ITS components within the TRIO program.

2.1 CARS and External CentersOne of the cornerstones of the National ITS Architecture is the interaction of remotecenters in the sharing of information that can be used internally and for publicdissemination. As the hub of the program, the CARS system provides the source andcollection point for many of the interagency communications. CARS will interact withexternal systems to share the necessary information regarding in-state traffic managementefforts and events.The common interaction medium will be over the Internet through the use of theMS/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 thelatest updates for particular areas, routes or types of events. This dual capability willallow a variety of different operational scenarios to be supported as may be needed bydifferent agencies and external centers.

2.2 CARS and FORETELLThe FORETELL system provides winter maintenance operators with the ability to viewcurrent and impending weather conditions forecast by state-of-the-art weather modelsfrom the National Weather Service. The interaction between CARS and FORETELLprovides the opportunity to have users view traffic events that are affecting the roadway

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while also viewing the weather conditions. This unique perspective affords users with theability to understand the impact that the weather is having on travel conditions.Communication between these systems will use the message sets established within theTMDD.

2.3 CARS and TransitWithin 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 andvibrancy of an area, but also can either be affected by or affect the traditional roadwaytransportation network. This interaction can result in delays, problems with travelservices and also affect non-transportation industries like tourism.CARS will communicate with transit modes using the TCIP message sets to obtain thelatest schedules, delay information and other transit information. Using the dataexchanged, CARS will identify and develop events related to travel delays andcommunicate this information with centers and travelers using the TMDD messages.

2.4 CARS and TourismTourism 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, addcongestion to the traffic network and possibly result in closure of roadways. Thisinteraction between tourism and traffic conditions demonstrates an inherent need toexchange 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 boththe TMDD and SAE-ATIS message sets for exchange of information.The tourism central server shall communicate required details about major events thatwill result in unusual travel patterns and road closures so that the traffic managementsystem can plan necessary response plans. CARS shall respond to requests from thetourism central server regarding events on the highway network that may affect avisitor’s travel.

2.5 CARS and Commercial Vehicle OperationsAgencies involved in the management of and approval of permits for commercialvehicles require detailed information regarding routes on which these vehicles wish totravel. 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 thesevehicles along an inappropriate route can result in economic, physical and environmentaldamage to the area and the roadway.The CARS-CVO module will interact with CARS using the TMDD messages to querythe database for any active events that would result in rejection of a routing. The modulewill also interact with existing OS/OW databases using messages to be developed in thestandards processes to obtain permanent, or fixed, limits along routes. Finally,CARSCVO will interact with CVISN systems to either poll or provide informationrelated to requested permits for verification that a vehicle or driver has a satisfactoryrating.

2.6 CARS and Environmental Sensor Stations

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Road and weather sensors that monitor the current conditions provide an opportunity toupdate information provided to the traveling public in real-time about precipitation, highwinds or icy road conditions. The ability to monitor the occurrence of these events willalso allow for communications between the ESS Central Processing Unit (CPU) andCARS. Message communications can be configured to occur when condition warrant amessage to be triggered or can occur at periodic intervals so that information can becontinuously updated and disseminated to the traveling public.The ESS CPU will gather information from the in-field ESS units using the NTCIPstandard set of messages and store that information for future retrieval. CARS willcommunicate with the ESS CPU using TMDD messages to obtain the latest report ofconditions from each of the reporting stations.

2.7 CARS and Dynamic Message SignsCARS will use the appropriate TMDD standards to communicate with the DMS centralserver. This DMS central server manages and communicates directly with the in-fieldDMS units using the NTCIP standards. By knowing the severity and location of allevents affecting the traffic network, CARS will be able to effectively determine andnotify the DMS central software which signs should display which messages to mostappropriately manage traffic.The TMDD standard will also allow other centers to access information regarding statusand the display of messages currently on signs. Other centers may desire a DMSinventory and current status information including being able to locate these devices on amap and determining the consistency of the sign message with the other informationbeingprovided to motorists. Potentially, other centers may also request that messages related totheir network be displayed on signs under control of other agencies to maximize thedissemination of information to the public.

2.8 CARS and Traveler Radio BroadcastsThe use of Highway Advisory Radio (HAR) and Low-Powered FM (LPFM) radiostations enables agencies to reach a broader audience over a greater area and for a longerperiod of time than the few lines available on a DMS. This enhanced ability provides theopportunity to provide information about a wide range of important traffic, road andweather conditions as well as tourist and other related information. As the centraldatabase, CARS will be capable of providing to the LPFM/HAR stations with up-to theminute information about events on the highway network on a regional basis.CARS will communicate with the LPFM/HAR central server to provide details of eventscurrently affecting locations in the station’s travel impact area. The LPFM/HAR centralserver will then communicate the play list that the station software shall then disseminate.

2.9 CARS and 5-1-1With 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 specificinformation about the status of events on routes of interest. Again, the use ofCARS as the supplier of information for the 5-1-1 system is vital to ensuring travelershave access to the latest information both pre-trip and while en-route.

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The 5-1-1 system will poll CARS using the TMDD message sets to obtain the latest eventinformation and will interact with the automated voice response systems using the Voice-XML language standard.

2.10 CARS and Public View WebsitesA commonly used interface to provide information to travelers is through public viewwebsites that allow information to be presented in tabular, graphical and map-basedformats. These different methods enable users to gather the necessary details aboutpotential impacts along their travel routes. Web services will request and retrieve datafrom CARS using the TMDD message sets. This data will be parsed and prepared forpresentation. Websites shall use the common HTML standard for encoding the website toallow Internet browsers to interpret and properly display the information.

3.0 System RequirementsThe requirements in this document aim to identify and functionally describe the ways inwhich the system will be used. In the case of this document, this entails identifying thevarious ways in which transportation operations personnel may use Center-to-Centerconnections to fulfill their duties, and how ITS devices may operate to fulfill theirfunctionality.

3.1 Security DataThere 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 theremote user.3.1.2 Authentication: The system shall support authentication in order to providepredetermined privileges to the remote user.3.1.3 Support Security Tokens: The system shall support security tokens for providingand using protected services with other authorized traffic management systems. Securitytoken is an identifier given by the owner of the system to those who have beenauthenticated.

3.2 Administrative Information SharingThe administrative data establishes a context for C2C relationships between theorganizations on the network. The requirements statements for each of the functionalareas are as follows:3.2.1 Agency Information Sharing: The system shall support the sharing of agencyinformation with other authorized traffic management systems; including agency’s name,role, contacts, etc.3.2.2 Organization Information Sharing: The system shall support the sharing oforganization information with other authorized traffic management systems; includingorganization’s name, role, contacts, etc.3.2.3 Contact Information Sharing: The system shall support the sharing of contactperson information with other authorized traffic management systems; including person’name, role, email, phone, fax, cellular, pager, etc.

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3.3 EventsEvents 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 formssuitable for automated processing, sorting and selection. Event information shall be sentfrom TMCs to ISPs for eventual dissemination to travelers. This information may also beof use to centers other than ISPs, especially centers not actively involved in managing theevent.Events include descriptions of unusual circumstances (e.g. traffic problems; severeweather warnings) and/or current status (e.g. level of service; weather situation). Eventinformation is created and updated in an originating database, by human operators or byautomated systems. It is copied to one or more remote databases by means of messages.Functional requirements for exchanging events and requests between centers are asfollows:3.3.1 Event Information Sharing: The system shall support the sharing of eventinformation with other authorized traffic management systems defined as being part ofthe C2C network. Event information data elements and message sets will be elaboratedfurther in the following sections of this document.3.3.2 Event Information Recap: The system shall support the recapping of eventinformation with other authorized traffic management systems defined as being part ofthe C2C network.3.4 Traffic Network and Traffic DataThe requirements for sharing traffic network inventory (links and nodes) and traffic dataare as follows:3.4.1 Traffic Network Inventory Information: The system shall support sharing ofnetwork inventory composed of a list of nodes and links, with other authorized trafficmanagement systems defined as being part of the C2C network.3.4.2 Node Status Information: The system shall support sharing of node statusinformation with other authorized traffic management systems defined as being part ofthe C2C network.3.4.3 Link Status Information: The system shall support sharing of node statusinformation with other authorized traffic management systems defined as being part ofthe C2C network.3.4.4 Link Data Sharing: The system shall support sharing of link data with otherauthorized traffic management systems defined as being part of the C2C network.3.5 Traffic DetectorsThe requirements for sharing traffic detector inventory and status are as follows:3.5.1 Traffic Detector Inventory Information: The system shall support sharing of trafficdetector inventory with other authorized traffic management systems defined as beingpart of the C2C network.3.5.2 Traffic Detector Status Information: The system shall support sharing of trafficdetector status information with other authorized traffic management systems defined asbeing part of the C2C network.3.6 Environment SensorsThe requirements for sharing environment sensors inventory and status are as follows:

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3.6.1 ESS Inventory Information: The system shall support sharing of environmentsensors inventory with other authorized traffic management systems defined as being partof the C2C network.3.6.2 ESS Status Information: The system shall support sharing of ESS information withother authorized traffic management systems defined as being part of the C2C network.3.7 Camera Control and Video SwitchingClosed Circuit Television (CCTV) Control and Video Switching functions are connectedas one represents the control and the other the data delivery from the same device. Therequirements for camera control and video switching are as follows:3.7.1 CCTV Inventory Information: The system shall support sharing of CCTV inventorywith other authorized traffic management systems defined as being part of the C2Cnetwork.3.7.2 CCTV Status Information: The system shall support sharing of CCTV statusinformation with other authorized traffic management systems defined as being part ofthe C2C network.3.7.3 Remote Control of CCTV Devices: The system shall be capable of receivingCCTV control requests and sending responses.3.7.4 Control Requests to Remote CCTV Devices: The system shall be capable of issuingcontrol requests for remote CCTV devices.3.8 Video Switch Functional RequirementsThe requirements to exchange video switch information and command/control requestsbetween centers are as follows:3.8.1 Video Switch Inventory Information: The system shall support sharing of videoswitch inventory with other authorized traffic management systems defined as being partof the C2C network.3.8.2 Video Switch Status Information: The system shall support sharing of video switchstatus information with other authorized traffic management systems defined as beingpart of the C2C network.3.8.3 Remote Control of Video Switch Devices: The system shall be capable of receivingvideo switch control requests and sending responses.3.8.4 Control Requests to Remote Video Switch Devices: The system shall be capable ofissuing control requests for remote video switch devices.3.8.5 Video Attributes: The system shall be capable of issue a request to set the videoattributes of a video channel.3.9 Dynamic Message SignsThe requirements for sharing DMS inventory and status information and supportingcontrol functions are as follows:3.9.1 DMS Inventory Information: The system shall support sharing of DMS inventorywith other authorized traffic management systems defined as being part of the C2Cnetwork.3.9.2 DMS Status Information: The system shall support sharing of DMS statusinformation with other authorized traffic management systems defined as being part ofthe C2C network.3.9.3 Remote Control of DMS: The system shall be capable of receiving DMS controlrequests and sending responses.

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3.9.4 Control Requests to Remote DMS: The system shall be capable of issuing controlrequests for remote DMSs.3.9.5 DMS Library Updates: The system shall send a DMS library request when theupdate date in the inventory information indicates the message library has been updated.3.10 Highway Advisory Radio / LPFMThe requirements for sharing HAR inventory and status information are as follows:3.10.1 HAR Inventory Information: The system shall support sharing of HAR inventorywith other authorized traffic management systems defined as being part of the C2Cnetwork.3.10.2 HAR Status Information: The system shall support sharing of HAR statusinformation with other authorized traffic management systems defined as being part ofthe C2C network.3.11 Telephone (511) SystemThe requirements for sharing 511 coverage, inventory, and status information andsupporting 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 asbeing part of the C2C network.3.11.2 511 Inventory Information: The system shall support sharing 511 traffic networkinventory composed of a list of nodes and links, with other authorized trafficmanagement systems defined as being part of the C2C network.3.11.3 511 Status Information: The system shall support sharing of 511 status informationwith other authorized traffic management systems defined as being part of the C2Cnetwork.3.11.4 Remote Announcement Requests to 511: The system shall be capable of receivingannouncement (events, warnings, etc.) requests and sending responses.3.11.5 Announcement Requests to Remote 511: The system shall be capable of issuingannouncement requests to remote 511 systems.3.12 Web PortalThe requirements for sharing web portal coverage, inventory, and status information andsupporting control functions are as follows:3.12.1 Web Portal Coverage Information: The system shall support sharing web portalcoverage area (regional, statewide, etc.) with other authorized traffic managementsystems defined as being part of the C2C network.3.12.2 Web Portal Inventory Information: The system shall support sharing Web Portaltraffic network inventory composed of a list of nodes and links, with other authorizedtraffic management systems defined as being part of the C2C network.3.12.3 Web Portal Status Information: The system shall support sharing of Web Portalstatus information with other authorized traffic management systems defined as beingpart of the C2C network.3.12.4 Remote Announcement Requests to Web Portal: The system shall be capable ofreceiving announcement (events, warnings, etc.) requests and sending responses.3.12.5 Announcement Requests to Remote Web Portal: The system shall be capable ofissuing announcement requests to remote Web Portals.3.13 Transit and Ferry ServiceThe requirements for sharing transit and ferry service information are as follows:

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3.13.1 Transit and Ferry Service Inventory Information: The system shall support sharingof transit and ferry service inventory with other authorized traffic management systemsdefined as being part of the C2C network.3.13.2 Transit and Ferry Service Status Information: The system shall support sharing oftransit and ferry service status information with other authorized traffic managementsystems defined as being part of the C2C network.3.13.3 Transit and Ferry Service Schedule Information: The system shall support sharingof transit and ferry service schedule information with other authorized trafficmanagement systems defined as being part of the C2C network.3.13.4 Transit and Ferry Service Schedule Recap: The system shall support the recappingof schedule updates with other authorized traffic management systems defined as beingpart of the C2C network.3.14 TourismThe requirements for sharing tourism information are as follows:3.14.1 Tourism Event Inventory Information: The system shall support sharing of tourismevents with authorized traffic management systems defined as being part of the C2Cnetwork.3.14.2 Event Impact Information: The system shall support sharing of information relatedto the impact on the transportation network with authorized traffic management systemsdefined as being part of the C2C network.3.14.3 Event Information: The system shall support sharing of event information withother authorized tourism management centers defined as being part of the C2C network.3.15 Commercial Vehicle OperationsThe requirements for sharing CVO information are as follows:3.15.1 Static OS/OW Restriction Inventory Information: The system shall support sharingof information related to static restrictions for oversized and overweight vehicles withauthorized traffic management systems defined as being part of the C2C network.3.15.2 Dynamic OS/OW Restriction Inventory Information: The system shall supportsharing of information related to dynamic restrictions for oversized and overweightvehicles with authorized traffic management systems defined as being part of the C2Cnetwork.3.15.3 Vehicle and Driver Safety Information: The system shall support sharing of safetydata related to vehicles applying for permits with authorized traffic management systemsdefined as being part of the C2C network.3.16 FORETELLThe 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 ofthe C2C network.3.16.2 Event Information: The system shall support sharing of event information withauthorized traffic management systems defined as being part of the C2C network.

4.0 Standards for Implementation4.1 National ITS Standards

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As discussed in Section 1 of this document, there are two types of communicationsconsidered in the National ITS Standards which are center-to-center (C2C) and center-tofield(C2F). Several key standards have been discussed that fulfill the needs of C2C andC2F 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 onequipment and systems that will be used in the TRIO Program. These requirements arenecessary to ensure that all systems to be implemented can operate and exchangeinformation with each other. Figure 1 illustrates the system architecture planned for theTRIO program and identifies the relevant standards that impact each of the systeminterconnects. Further details on each standard are provided within Section 4.

4.2 TMDD and MS/ETMCCThe organizations of ITE and AASHTO jointly lead the development of standardsrelevant to users and ITS systems involved in traffic management. The TrafficManagement Data Dictionary (TMDD) standard defines a data dictionary of dataelements necessary to support data communications within and among trafficmanagement systems. The TMDD provides a standardized national set of data elementsthat are intended to be the basis of data dictionaries implemented for specific types ofinstallations.These data elements also overlap with traveler information and emergency managementefforts and this commonality assists in having a common set of definitions and phrases touse when interacting between agencies and the traveling public. As a data dictionarystandard, the TMDD provides Meta attributes for each data element (DE) includingdefinitions 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, RampMetering, and Traffic Modeling – the traffic control devices, and• Closed Circuit Television, Dynamic Message Sign, Environmental SensorStation, Gate, Highway Advisory Radio, and Parking – advanced information gatheringor display devicesIn addition to TMDD, the Message Sets for External Traffic Management Center

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Communications (MS/ETMC2) standard provides message sets necessary to conveytraffic management data within and between traffic management centers and other ITScenters. In the MS/ETMCC standard, the messages are collected into message sets andmessage groups. Event Report Messages are one-way "summary" messages sent from aTMC to another center-based subsystem, such as an ISP or an agency not closelyinvolved with the situation. Their main purpose is to support detailed, real time eventsummaries or overviews for exchange between TMCs, and from TMCs to ISPs,collecting together all those parts of detailed event messages that are relevant for trafficmanagement or may be passed on to the public. The standard defines the data elements tobe 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 trafficnetwork as defined by a set of links and nodes.Trio Standards and Communications Plan – Volume IModule 5B Tasks 2, 3 June 30, 2003 18• Network-State: provides a snapshot of current traffic performance for a specific trafficnetwork.• Network-Events: provides a description of all events that reported in a specific trafficnetwork.• Traffic-Requests: provides a center with the ability to request to use specific dataelements that are contained in the TMDD.• Traffic-Device-Status: provides a center with the ability to send traffic control devicedata after receiving a request for status.• Traffic-Control: provides a center with the ability to remotely control traffic controldevices that are functionally controlled locally at another center.These message sets provide for a near real-time data exchange between trafficmanagement 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 arebecoming increasingly important for mitigation of traffic problems and increase oftraveler safety.The most recent version of the TMDD and MS/ETMCC standards are provided inVolume II (Data Elements) and Volume III (Message Sets) respectively. Information istaken from www.tmdd.org, which is the website for the ITE/AASHTO StandardCommittee. The content in Volume II and Volume III reflect the standards as publishedin February 2002. A revision to these standards is currently underway and the reviseddocuments are expected to be released in late 2003.

4.3 SAE – ATISThe Society of Automotive Engineers is charged with leading efforts related toInformation Service Providers (ISPs) and advanced traveler information systems. Thespecific standards of this effort are discussed herein. The standard SAE J2353 defines thedata elements for ATIS messages. DEs from this standard are also being used by other

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ITS systems that convey information about ATIS-related items. This standard is thewarehouse of definitions needed to convey information to travelers and is one of a groupof basic standards that are often referred to as functional area data dictionaries.This standard provides the concise definition of data elements, including instructions onhow to encode them at the bit level. It also describes the implied meaning of variousphrases and points to other related data concepts on an element-by-element basis.The standard SAE J2354 (Advanced Traveler Information Systems Message Setsprovides traveler information messages intended to be exchanged among informationservice providers, traffic management centers, and other ITS centers. This standardprovides a variety of ATIS messages, as well as various profiles for requesting suchmessages. 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 wellas use a variety of data elements from TMDD, NTCIP, TCIP and IEEE. Messages withinthis standard focus on repackaging information collected by these other standards fortransmission 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 andmessage sets used within the SAE-ATIS standard. The SAE-ATIS standards are currentlyin the process of being re-balloted and are available from the SAE website (www.sae.org)for a fee.

4.4 TCIPThe Transit Communications Interface Profiles (TCIP) is a group of standards thatspecifies the rules and terms for the exchange of information in transit applications suchas operations, maintenance, planning, management, and customer services. TCIPstandards not only define the information and information-transfer requirements amongpublic transportation vehicles (PTVs), transit management centers (TrMCs), other transitfacilities, and ITS centers, but identify also mechanical and electrical interfaces andmethods for ensuring data integrity, specify required message sets, and provide acommon set of conformance requirements.The contents of the family of standards provide the building blocks for supportinginformation flows among transit functional entities. The transit specific functions aredivided into nine (9) business areas, including the following:• Common Public Transportation (NTCIP 1401) – The common public transportationdomain covers standard data types, data elements and messages (business objects) sharedby many of the other business areas, including representative class data types and generaldata concepts related to vehicle, equipment, facilities, activation/deactivation date andtimes, etc. These messages and data elements are taken from NTCIP 1401 v 1.03 DraftAmendment1 August2002 document, which is distributed for review and comment purposes only. The readerof this document should be aware that these standards and current statuses are availableon the WEB at http://ntcip.org/ .• Incident Management (NTCIP 1402)– The incident management covers the data needsrelated to detecting, verifying, prioritizing, responding to, and clearing of unplannedevents that affect transit operations. Information related to incidents involving the transitvehicle are transmitted via data elements and messages that are taken from NTCIP 1402 v

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1.03 Draft Amendment1 August 2002 document, which is distributed for review andcomment purposes only. The reader of this document should be aware that thesestandards and current statuses are available on the WEB at http://ntcip.org/ .• Passenger Information (NTCIP 1403) – The passenger information covers the dataneeds related to providing passengers and potential customers with the information theyneed and want in order to plan and make trips on public transportation. Data elements andmessage sets related to passenger information are taken from NTCIP 1403 v 1.03 DraftAmendment1 August 2002 document, which is distributed for review and commentpurposes only. The reader of this document should be aware that these standards andcurrent statuses are available on the WEB at http://ntcip.org/ .• Scheduling/Run cutting (NTCIP 1404) – The scheduling covers the data needs of thefunctions related to scheduling and run cutting. This includes all input data needed todevelop the master schedule, trip sheet, run guides, paddles, inventory files and othersupplemental information. Scheduling uses data elements and message sets taken fromNTCIP 1404 v 1.03 Draft Amendment1 September 2002 document, which is distributedfor review and comment purposes only. The reader of this document should be aware thatthese standards and current statuses are available on the WEB at http://ntcip.org/ .• Spatial Representation (NTCIP 1405) – The spatial representation (SP) business areaobjects serve other data elements; messages defined in this business area represent thelocation of fixed and mobile objects. Transit agencies use data elements and message setstaken from NTCIP 1405 v 1.03 Draft Amendment1 September 2002 document toexchange location information. This document has been is distributed for review andcomment purposes only. The reader of this document should be aware that thesestandards 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 relatedto 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 v1.03 Draft Amendment1 August 2002 document, which is distributed for review andcomment purposes only. The reader of this document should be aware that thesestandards and current statuses are available on the WEB at http://ntcip.org/ .• Control Center (NTCIP 1407) – The control system serves as the clearinghouse for alloperations data related to dispatching, providing, monitoring and measuring transitrevenue services in real time. Data elements and messages related to control centerfunction and operations are taken from NTCIP 1407 v1.03 Draft Amendment1 August 2002 document, which is distributed for review andcomment purposes only. The reader of this document should be aware that thesestandards and current statuses are available on the WEB at http://ntcip.org/ .• Fare Collection (NTCIP 1408) – The fare collection covers the data needs of thefunctions related to the collection of fares from passengers. Fare collection elements andmessages are taken from NTCIP 1408 v 1.03 Draft Amendment1August 2002, this is distributed for review and comment purposes only. The reader of thisdocument should be aware that these standards and current statuses are available on theWEB at http://ntcip.org/ .Volume II (Data Elements) and Volume III (Message Sets) of the TRIO Standards Plandetails the components for each of these business areas.

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4.5 NTCIPThe National Transportation Communications for ITS Protocol standards group hasfocused largely on the development of standards related to Center-to-Fieldcommunications to allow the control, management and data collection from field devices.These devices include different units such as Environmental Sensor Stations, DynamicMessage Signs and Closed Circuit Television. Each of the relevant standards is discussedbelow. The latest version of these standards and their current status are available on theWEB at http://www.ntcip.org/.4.5.1 NTCIP-ESSCommonly known as Road Weather Information Systems (RWIS), environmental sensorstations (ESS) can collect a wide array of data such as atmospheric and surfaceconditions. A Remote Processor Unit (RPU) connects these sensors and acts as the hubfor transferring the data to a central processing unit (often termed the CPU).The ESS draft data dictionary standard provides the vocabulary for the management ofenvironmental sensor stations, including weather information, road condition informationand air quality monitoring. The standard defines those data objects used to describeambient conditions and pavement conditions. The standard defines conformance grouprequirements and conformance statements. These outline the needed components or datato effectively provide information regarding a specific topic and can be used in thepreparation 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 commadelimited ASCII format files output at scheduled intervals. The same approach isrecommended throughout the TRIO program, both within and between states, as thecurrent methods for exchanging RWIS data until the NTCIP-ESS standard reachesfurther maturity. It is also recommended that once the new standard is published, thepublication using NTCIP-ESS and an ASCII file continue for support of any legacysystems. This way, the standardized data from any vendor can be tabulated for easyreview and comparison. Applications like FORETELL can also read the standardizeddata into their software routines, either from HTML web tables or from equivalent XMLdefinitions, specifically designed for computer -to-computer linkages.NTCIP 1204, Object Definitions for Environmental Sensor Stations, Version 2 iscurrently under development. Version 2 reflects industry suggested edits to the data Nobjects and allows the inclusion of new block objects for more efficient data exchangebetween an ESS and its central system. NTCIP 1301 Weather Report Message Set forESS is under development and will define the format for transferring data between acenter and the field device. A User Comment Draft of NTCIP 1204, Object Definitionsfor Environmental Sensor Stations, is expected in October 2003 and the RecommendedStandard is expected in June 2004. NTCIP 1301 Weather Report Message Set for ESS isunder development with a User Comment Draft is expected in June 2004.4.5.2 NTCIP-DMSDynamic Message Signs (DMS) are used to help manage the surface transportationsystem. Through the use of a central management system, a traffic operations center canmonitor and control the DMS using NTCIP Center-to-Field communications. Dynamic

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Message Signs can be used to provide travelers information that help the travelers selectroutes; to inform travelers about traffic congestion, travel times, roadway or trafficconditions, planned activities that may affect traffic conditions, to provide informationabout transportation alternatives and other public service announcements.The NTCIP-DMS standard provides a standard communications vocabulary for trafficmanagement and operations personnel to advise and inform the travelers of currenthighway conditions using dynamic message signs. The standard includes conformancegroup requirements and conformance statements to support compliance with the standard.The objects include commands to the signs, messages for display, and responses from thesigns to the transportation management center, as well as “free text” objects that allow anoperator to have stored or newly created messages displayed by the sign.NTCIP 1203, Object Definitions for Dynamic Message Signs, Version 2, drafted onJanuary 10, 2003 for user comments, is currently under development. Version 2represents a major upgrade in the functionality of the DMS standard. Version 2 addsfeatures such as graphics and device status reports. This version also restructures thestandard 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 andintegrators to build systems that meet requirements identified through the systemsengineering process. Rigorously identifying requirements will enable the public agencyto construct robust compliance tests for vendor systems to meet.4.5.3 NTCIP-CCTVClosed Circuit Television (CCTV) cameras are used to help view the surfacetransportation system. CCTV devices can be used to verify the existence of trafficcongestion reports; to monitor the progress of incidents, construction, and special events;to determine when the residual congestion from and incident is cleared; and providevisual 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 Televisioncameras, including secure area monitoring support, surveillance data, video surveillancecontrol, such as Pan/Tilt/Zoom (P/T/Z), focus and traffic images. Iris parameters; presetposition parameters, etc. This standard was published in December 2001.4.5.4 NTCIP-DCMWeigh-In-Motion (WIM) systems are roadway sensor systems capable of estimating thegross weight of a vehicle as well as the portion of the vehicle weight carried by the tiresof each wheel assembly, axle, and axle group on the vehicle. WIM stations typicallymeasure not only the weight of a vehicle, but also provide other traffic data such asvehicle 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 andneeds. 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 acentral 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.

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This standard covers object definitions include observed vehicle criteria (number ofaxles, 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 ManagementIt has been recognized that there are benefits resulting from the deployment of the ITSdevices to detect, clear and manage incidents on their roadways. Various incidentmanagement programs have been implemented to bring state and local police, fire,Emergency Management Services and Transportation Operation Center personneltogether to coordinate efforts in their jurisdictions.IEEE Standard P1512 - 2000, Standard for Common Incident Management Message Setsfor Use by Emergency Management Centers published in July 2000, addresses themessages communicated among different agencies’ emergency management centersduring and after the occurrence of an incident.This standard provides a framework for the exchange of messages among emergencymanagement centers. It does not limit the data contained in the messages; rather, it allowsthe transmission of any mutually agreed-upon messages among centers, as well asmessages 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 theoperations and regulations associated with moving goods and passengers via commercialvehicles. It includes activities related to safety assurance, commercial vehicle credentialsand tax administration, roadside operations, freight and fleet management, and vehicleoperation.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 aCVISN 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 USDepartment of Transportation (DOT) to improve the safety and efficiency of operationsfor commercial vehicles (trucks and buses). Their website(http://www.jhuapl.edu/cvisn/index.html) is maintained by the Laboratory to provide asource of current planning and technical information for the Commercial VehicleInformation Systems and Networks (CVISN) Program, and to distribute programdocumentation for review, feedback, and use. CVISN architecture and standardsdocuments are also downloadable.

4.8 Internet StandardsThe World Wide Web Consortium (W3C) is a group of organizations, agencies,companies and other technology leaders that guide the development of standardcommunication protocols for the Internet. The proper functioning of the Internet isguided by the standards, guidelines and procedures developed by this organization. Themain physical connections used are direct dial-up links and network links via the Internet.A wide range of Internet standards exists, including:

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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); andTransport 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 andother agencies. HTML has matured significantly over the years and continues to evolveas new needs and ways of performing tasks are found. Any deployment of Internettechnology for presentation of information should conform to the rules of this standardlanguage.One relatively new Internet standard that is attracting attention in IT’S is calledExtensible Markup Language (XML). XML is a simple, very flexible text format derivedfrom SGML (Standard Generalized Markup Language). Originally designed to meet thechallenges of large-scale electronic publishing, XML is rapidly becoming the foundationfor fully automated web-based transactions. One application is to enhance availabletraveler information services by reducing the complexity of processing and integration ofweather, construction, and road condition and traffic information. XML is a set of rulesfor designing text data formats in a way that produces files that are easy to generate andread using a computer. XML files are unambiguous, and avoid common pitfalls such aslack of extensibility and platform-dependency.The World Wide Web Consortium maintains a web presence that documents currentwork, published standards and technical assistance related to Internet based products.The website (www.w3c.org) provides the latest information on HTML, XML and webservices.

CHAPTER-9IEEE STANDARDS

5.0 XML Schemas – XML LinkagesTraveler information is exchanged between public sector agencies, private companies,and private citizens. The World Wide Web is one of the most widely used disseminationmechanisms, along with voice telephony. The information on web-based systems isprimarily formatted for, presented to, and used by a human. The information is formattedby using HyperText Markup Language (HTML). However, HTML doesn’t provide themeaning of the data, but how to present it.XML, or eXtensible Markup Language, marries flexible, low cost fully-automatedinformation exchange to the Web. XML is a set of rules for designing text data formats in

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a way that produces files that are easy to generate and read using a computer. XML filesare unambiguous in that they define specifically the type of data available and useschemas that outline the exact order the data is presented. By using XML, data providersavoid common pitfalls such as lack of extensibility and platform-dependency. Messagesin XML format used within the TRIO Project and discussed below are available inVolume III (Messages) of this document.

5.1 CARS – CARSCARS databases in TRIO are connected to each other for exchanging events betweenagencies. 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 theASN.1 message structure into XML. That means CARS can be seamlessly integratedwith other ITS applications and systems. It also allows CARS to be powerfully extendedwith CARS-511 travel information system, commercial vehicle operations, and publicinformation web sites, Dynamic Message Signs (DMS), Highway Advisory Radio (HAR)and Low Power FM Radio (LPFM), among other components.5.2 CARS – SAE/ATISThe Society of Automotive Engineers (SAE) ATIS committee began development of anXML vocabulary for ATIS, the Traveler Information Markup Language (TIML) whichused the major underpinnings of the Event Report Message used from TMDD andimplemented within CARS. Mitretek was actively participating in this developmenteffort, and were developing a standard set of rules for converting the existing AbstractSyntax Notation 1 (ASN.1) definitions of data elements and message sets into an XMLformat. This automates the process and will make it easier to maintain the standards whenboth ASN.1 and XML Schema definitions are required.However, recently it is decided that TIML will no longer be used; and the translation ofSAE-ATIS into XML will be adopted.5.3 CARS – CARS 511CARS-511 servers are connected to CARS databases pulling the near real-time updates tobe 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 VXMLtranslation is generated to produce voice application. The VoiceXML is a standardessential 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 voiceapplications.VoiceXML was designed to create audio dialogs that feature text-to-speech, digitized aswell as prerecorded audio, recognition of both spoken and DTMF key input, recording ofspoken input, telephony, and mixed-initiative conversations. Its goal is to provide voiceaccess and interactive voice response to Web-based content and applications.5.4 CARS – CCTVThe proposed functionality of the interface between CARS and the CCTV controlsoftware is to enable user to send control commands for pan/tilt/zoom (PTZ) functionsfor adjusting the camera position for a better view towards the area of interest. TheCCTV control software, which provides the operating tools needed to communicatebetween the central control system and the cameras, will interpret the messages receivedthrough the interface and process them for onward transmission to the targeted camera

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controller(s). The new TMDD messages for requesting command and control functions;and sharing inventory and status information will be used via XML. These commandswill then be interpreted by the receiving system and adjustments to the camera positionmay be altered given proper authentication.5.5 CARS – HAR/LPFMCARS database is connected to the LPFMClient Software which produces an ERM XMLdocument at regular intervals. This ERM XML document also includes the phraseologyof the event as CARS 511 Traveler Information System would broadcast. At this point,the LPFM Central Management Utility (CMU) reads through the XML document fromthe LPFMClient and determines which audio files correspond to which situations. It thenpasses the newly created situation to each of the local Station objects (these local Stationobjects correspond to their counterparts out in the field, but run at the CMU). The localStation objects determine if the situation meets their criteria for play (based on locationand priority) and then make sure they have all of the audio files necessary to play thesituation. If both of these criteria are met, the local Station determines if the situation ishigh enough priority to be considered an emergency event. If so, it sends anEmergency Update notification to the remote Station software running at the actualLPFM broadcast station, which interrupts and plays the message as soon as possiblewithout sounding odd. Either way, the event is then added to a list of known events whichare used to create the next program for the Station. At regular intervals each of the localStations look through their program configuration files and generates a new programbased 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 assponsor information, local history, etc.) where appropriate. This program is thentransmitted to the remote Station software running at the broadcast station and is playedduring the next program cycle.

5.6 CARS – Traffic DetectorsCARS will request traffic data including the dissemination or sharing of detector basedlink status that can be received from multiple field sources including probes, weigh inmotions, radar and loops. The new TMDD/ERM message sets and data elements will beused via XML to send and receive status and inventory information.5.7 CARS – DMSIn general, the proposed functionality of the XML interface between CARS and the DMScontrol software is to enable CARS user to create new messages and/or edit/deleteexisting messages for targeted sign(s) and transmit these messages to the DMS controlsoftware. The DMS control software, which provides the operating tools needed tocommunicate between the central control system and the message sign(s), will interpretthe messages received through the XML interface and process them for onwardtransmission to the targeted sign(s). The new TMDD messages for requesting commandand control functions; and sharing inventory and status information will be used viaXML.

5.8 CARS – Web PortalThe traveler information web pages linked to the CARS condition reporting systemrefreshes once per minute by receiving situation updates. The connection from CARS to

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remote Web Portals will utilize TMDD/ERM messages via XML. The sharing of webportal coverage, inventory, and status information and supporting control functions forposting announcements will also be sent and received via XML.

5.9 CARS – ESSC2C ESS data is widely distributed to traveler information systems, emergencymanagement systems, and remote Traffic Management Centers to inform them ofconditions affecting roadway travel. The NTCIP object set handles all thecommunications between a control system in an operations center and the devices in thefield. The inventory and status sharing as well as data exchanges will be handled viaXML.

5.10 CARS – MODESCARS-MODES will adopt TCIP standards (message sets and data elements) for theexchange of information in transit applications such as operations, maintenance,planning, management, and customer services. Currently, no XML version of TCIPstandards is identified. However, translation of TCIP into XML is expected to bedeveloped in the near future for the exchange of transit and ferry inventory, status, andschedule information and updates.

IV. IEEE Guide for Developing Software Life Cycle Processes1. Overview1.1 ScopeThis guide addresses selected topics covered in IEEE Std 1074-1995, IEEE Standard forDeveloping Software LifeCycle Processes. The guide provides guidance in Software Life Cycle Model (SLCM)selection, Activity mapping, and management of a Software Life Cycle (SLC).1.2 PurposeThe purpose of this guide isDeveloping Software Life clarifications and definitionThis guide is written for any organization Standard. This guide offers suggestions manualfor developing or maintaining so of IEEE, Std 1074-1995, and IEEE Standard for “theStandard”). The guide provides maples and tutorials. e totid or partial implementation ofthe is not offered as a detailed procedures1.3 PrerequisitesNeither IEEE Std 1074-1995 nor this companion document specifies or presupposes aparticular SLCM. TheStandard doe’s, however, require the user to select a life cycle model to use on anyparticular software project.1.4 ReferencesThis guide is a companion document to IEEE Std 1074-1995 and is intended to be used inconjunction 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.

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A list of other IEEE standards, which may be consulted for additional guidance, is givenin 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 ElectronicsEngineers, 445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331, USA.IEEEStd 1074.1-1995 IEEE GUIDE FOR DEVELOPING1.5 Definitions and acronyms1.5.1 DefinitionsThe 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 inthe references are not repeated here.1.5.1.1 Constraints: Restrictions, resources, rules, etc., that limit Software Life CycleModel selection, project planning, and management.1.5.1.2 Integral Process: A Process that is needed to complete project Activitiessuccessfully, but is outside the management and development processes. The IntegralProcesses areVerification and Validation, Software Configuration Management, DocumentationDevelopment, and Training.1.5.1.3 Invoked Process: That portion of an Integral Process that is called like asubroutine.1.5.1.4 Process Architect: The person or group that manages the implementation of theStandard in an organization.1.5.1.5 The Standard: IEEE Std 1074-1995.1.5.2 AcronymsThe following acronyms appear within the text of this guide:IEEESCMSLCSLCMSPMPISQMV&VInstitute of Electrical and Electronics EngineersSoftware Configuration ManagementSoftware Life CycleSoftware Life Cycle ModelSoftware Project Management Planned InformationSoftware Quality ManagementVerification and Validation1.6 Organization of this guideClause 1 discusses Scope, Purpose, Prerequisites, Reference Documents, Definitions, andAcronyms.Clause 2 discusses the major concepts used in the Standard. This section provides insightinto various managerial and procedural concerns that may arise during the developmentof a SLC.

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Clause 3 provides general instructions for performing the mapping operation required bythe Standard. Mapping theActivities presented in the Standard to the user’s SLCM, thus producing a time-orderedSLC, is explained. The section provides instructions for mapping, and discusses therelated topics of information tracing, information assignment, mapping constraints, andother considerations.Clause 4 provides additional guidance related to mapping and compliance to theStandard. Frequently asked questions related to the application of the Standard areaddressed.Annex A provides mapping examplesAnnex B lists other IEEE standards in an annotated bibliography that may be consultedfor additional guidance.’The numbers in brackets correspond to those of the bibliographical references in AnnexB.2 SOFTWARE LIFE CYCLE PROCESSESIEEE Std 1074.1-19952. General1 concepts of the StandardSince this guide is a companion to the Standard, the guide provides clarifications andimplementation guidance based on the Standard. A description of the key concepts of theStandard is provided for reference and understanding.To use the Standard, a Software Life Cycle Model (SLCM) must be available to theorganization. The Standard does not dictate which SLCM to use because the user isrequired to map Activities to whichever SLCM (e.g., waterfall, prototype, etc...) isselected.The 65 Activities are the heart of the Standard. (Three of these Activities are “IfApplicable,” and discussed in 2.2.)These comprise the minimum set of Activities that must be performed to be compliantwith the Standard. Activities provide a logical approach to the development, operation,maintenance, and retirement of software. In this context, the Processes serve asconvenient groupings of related Activities. The Input Information and OutputInformation of each Activity are listed in tables that accompany the Activity descriptions.2.1 Process StandardThe Standard is a Process Standard. All of the Activities are intended to be molded by theProcess Architect into a coherent, effective, project-specific development or maintenanceprocess. Information in the Input and OutputInformation a table is intended to reflect the flow of information, not the documentationset to be produced.Figure 1 shows the connections among the fewer Life Cycle Model Process, ProjectManagement Processes,Development Processes and Integral Processes. Note that the Management and IntegralProcesses span the development effort, and are connected to all sets of DevelopmentProcesses. The Software Life Cycle ModelProcess, at the far left in the figure, precedes all the rest.2.2 ComplianceIn the Standard, there are two types of Activities: “mandatory” and “if applicable.” TheStandard specifies the conditions under which an “if applicable” Activity becomes

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“mandatory.” Compliance with the Standard requires the completion of all mandatoryActivities and invocations. This requires that all Input Information to theseActivities are processed and that all Output Information be produced.Adaptation is the addition or deletion of Activities in the use of the Standard. For thepurpose of compliance with theStandard, a Software Life Cycle (SLC) may be adapted only by the addition of newActivities. Adaptation would be accomplished during the SLCM mapping Activities.3 IEEE Std 1074.1 -1 995 IEEE GUIDE FOR DEVELOPINGSoftware LifeCycle ModelProcessIdentify LifeCycle ModelSelect ProjectModelProject Management ProcessesProject InitiationProject Monitoring and ControlSoftware Quality ManagementPre-DevelopmentProcessesConceptExplorationSystemAllocationDevelopmentRequirementsDesignImplementationPost-DevelopmentInstallationOperation &MaintenanceRetirementSupportIntegral ProcessesVerification and ValidationConfiguration ManagementDocumentation DevelopmentTraining

B Time Figure 1-Inter-process connections2.2.1 Upward adaptationThe Standard contains a minimum set of Activities needed to be used in developingsoftware systems. Users may find that their selected SLCM, organization, or contractingorganization requires additional Activities to be performed. Examples of additional

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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 themandatory Activities are fully completed.2.2.2 Downward adaptationDownward Adaptation is the intentional exclusion of one or more of the Standard’smandatory Activities. Exclusion of any mandatory Activity creates a softwaredevelopment process that is not compliant with the Standard.2.3 ApplicabilityThe Standard applies to any software development or software maintenance project. Theuser of the Standard must understand the applicability of the Standard to the particularproject. The user must determine the starting point: is there an existing SLCM or mustone be developed? See 2.5 for further discussion.

4 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-19952.4 Intended audienceThe Standard’s first audience is the person or group who will determine theimplementation of the Standard’s Activities. In this guide this audience is called theProcess Architect. The selection of the Software Life Cycle Model and the mapping ofActivities 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 thoroughunderstanding of software development and maintenance, and all the related supportfunctions. The Process Architect should have the following:Knowledge of the organization and the way it does software development andmaintenanceThe authority to effect a software development and maintenance SLCKnowledge of software development and maintenance methodologies, tools, andstandardsKnowledge of IEEE Std 1074-1995After the Process Architect has mapped the Activities, the Activities’ descriptions andrequirements can be distributed to their organizational Owners. The second audience forthe Standard is these Owners. See 4.3 for a discussion of Owners.2.5 How to) start using the StandardApplication of the Standard depends on two condition project to which the Standard is tobe applied.2.5.1 SLCMIf an SLCM has not been previously selected Candidate Software Life Cycle Models.”If an SLCM is in place, it should be reviewed for its2.4 should be: mapped as completed and the StandardSLCM may have to be chosen and the Standard entered at Activity 2.3.2.5.2 Project typeProjects may be new, existing, or maintenance projects. Or absence of an SLCM and thetype of theStandard 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

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5 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING2.5.2.1 New projectsFor a new project, the Process Architect first selects an appropriate SLCM, as describedabove. Next, the Activities of the Standard are mapped to the selected SLCM. SomeActivities may already have been started or completed.Any such Activities should be mapped and their current status recorded. SLCM selectionand Activity mapping are described in detail in clause 3.2.5.2.2 Existing projectsThe use of the Standard for existing projects may require the mapping of previouslycompleted Activities. ThoseActivities which have been completed will still be mapped and their current statusrecorded. An existing project for which full IEEE Std 1074-1995 compliance is to beclaimed 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 theStandard is to be activated. The starting (or entry) point will reflect the remainingActivities of the project.2.5.2.3 Maintenance projectsThe maintenance of software, according to the Standard, is the reapplication of a softwaredevelopment life cycle.As in the case of existing projects discussed above, the reentry point for the Standard willdepend on the projects current status.2.6 SLC, SLCM, and methodologyThe terms “Software Life Cycle,” “Software Life Cycle Model,” and “methodology” areoften used interchangeably within the computer industry. This guide utilizes thesephrases 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 Standard’s Activities mapped to the SLCM.2.7 Organizational concernsAll of the Activities comprising the Standard are collected for convenience intoProcesses. Process names likeTraining, Verification and Validation, and Software Configuration Management could bethe names of groups or functions in an organization. There is no intent on the part of theStandard to associate Processes with specific groups or individuals within anorganization.The Activities in each Process are performed by the most appropriate entity within eachorganization.For example, Training in the use of development tools might be assigned to the seniormember of a development group, whereas user training might be the responsibility of atraining group. The Standard does not require any specific, functional Training Group ororganization. Another example is the case of Verification and Validation (V&V). TheStandard does not require a V&V organization, just that V&V Activities be performed.

6 SOFTWARE L.IFE CYCLE PROCESSES IEEE Std 1074.1-19953. Mapping guidelines

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The underlying concept in this guide is the mapping of the required Activities of theStandard to the selectedSoftware Life Cycle Model (SLCM). Mapping is accomplished by inserting each instanceof each Activity into theSLCM (See 4.2). This mapping creates the Software Life Cycle (SLC) to be used for thesoftware development or maintenance project. The following subclasses describemapping and present the general concerns that the ProcessArchitect should keep in mind while mapping Activities from the Standard to the selectedSoftware 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 thanin general terms. It is intended that organizations select their own SI, CM(s) and developthe mapping method which is most appropriate for that organization. If there arerequirements specified by an organization, but not specified in the Standard, they are tobe included with the Standard’s, Activities during mapping. Contractual requirements orconstraints may also add Activities to be mapped. Annex a gives an example of amapping exercise using both a specific SLCM and a specific mapping approach. Theseare examples only, to give the Process Architect a sample of one way to map.3.1 An approach to mappingThe balance of this clause will suggest a series of steps an organization may follow whiledeveloping its own mapping approach. These steps are suggestions only. The intent of theseries of steps below is to present a sequential mapping approach in which each stepintroduces 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 SLCMStep one, as specified by the Standard, is to mean that the whole process of locating, e3.2.1). an organization may already have an the SLCM to ensure it is appropriate for thespecific p3.1.2 Step two-compare Activities to SLCM requirementsOnce the SLCM has been selected, a ddililc’d iiiiippiiig of thc Standard’s Activities isperformed against the SLCM. Annex A to both the Standard and this puidc ilcpict h i 4level of mapping. It is merely the matching of the Activities against the requirements ofthe SLCM. This step provides a checklist to assure that all Activities are mapped and thatall SLCM requirements are covered by Activity (ies). Activities not mapped will be notedin the List ofActivities Not Used, as required by the Standard. t the Activities will be mapped. Thisstep may acquiring an SLCM must be performed (see this time the Process Architectshould reviewIdentification of Activity Owners (see 4.3) begins at this time, and is corn pleteld prior tothe initiation of the owned Activity.3.1.3 Step three-placing the Activities in time sequenceIn this placement, each Activity’s starting point is mapped to a general timeline. Thetimeline need not have actual dates for this mapping. Its primary purpose is to showrelative timing and sequencing between Activities. It also serves as a basis foridentification 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

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Activities. This is the definition of an SLC in the Standard. Revisions of this initialsequencing will probably be necessary as more information is considered in succeedingmapping 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 DEVELOPING3.1.4 Step four-checking information flowThe Input and Output Information tables in the Standard specify the information that is tobe used and generated by each Activity. This step verifies that the information flow intoand out of the Activities will support the relative order into which they have beenmapped. While it is unlikely that this will cause a major rearrangement or modification ofthe mapping from Step 3, it is a necessary check to be sure that all information will beavailable to the Activities that need it, when they need it.3.1.5 Step five-assigning information to documentsEach 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 stepcompares the Output Information generated by each Activity with the SLCM-requireddocument(s) into which it must go.Once again, the order of the mapping, this time from Step 4, may have to be modified. Ifa particular document, specified by the selected SLCM, is to be created at a particularpoint in the development schedule, all the Activities which contribute information to berecorded 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 timesUp to this point, all time ordering could have been accomplished on a merely relativebasis, without regard to the actual days, weeks, or months involved. Step 6 now adds theactual date and time specification to the mapping so a project schedule emerges. Theoutcome of this step is a time-ordered mapping of the Activities to the SLCM, related toreal-world time.3.1.7 Step seven-reconcile the constraintsThe realities of external constraints on time available for the project, its personnelresources, and interfaces with other portions of the software’s environment, etc. mayrequire 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 correspondingproject schedule.3.1.8 Step eight-maintain the schedule and the SLCOnce the SLC and the project schedule have been developed and the project is underway, 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 techniqueswithin the organization.As implied at the beginning of this section, each organization’s mapping method isexpected to evolve over time and with experience. This step contributes to that evolution.3.2 SLCM + Activities = SLC

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This section provides additional information on the creation of SLCs from theirconstituent parts: the selected SLCM and the Activities of the Standard. Detailedguidance is provided in the techniques of SLC creation and the use ofSLCs in the special situations: generic (not project specific) SLCs and SLCs that arecomponents of a larger system.

8 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-19953.2.1 SLCMI selectionEach 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 managersinvolved. There have been many models developed since the waterfall model wasproposed, and some or all of them are being used to develop software. One organizationmay have a “company solution” model that must be followed. In another organization aproject 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 containsbasic 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 organizationIdentify the attributes that apply to the desired end system and the developmentenvironmentIdentify any constraints that may be imposed on the selectionEvaluate the various SLCMs using lessons learned in past projectsSelect the SLCM that will best satisfy the above stepsIdentification of available SLCMsSome of the SLCMs being used for software development have been developed intocommercial packages and may be obtained from various vendors. These are usuallypackaged 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 attributesThe model selection should be based upon pr project attributes include, but are notlimited to, methodology (ies), modified to valuation criteria. Examples ofa) Prototypingb) Rapid developmentc) Purchased application selectiond) Reverse engineeringe) Object orientation3.2.1.3 Identification of project constraintsProject constraints may influence phase relationships and information flow. These mightinclude the following:a) Contractor and vendor relationshipsb) Risk impact (life, financial, reputation, etc.) of a faulty productc) Internal development organization relationships and formal and informal lines ofauthorityd) Hardware and its availability, its own development life cycle, and its dependence onthe availability of the software to be developed

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9 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING3.2.1.4 Evaluation of various SLCMs using lessons learnedReview of past records, particularly reports of problems encountered in meetingschedules or staying within budget, can provide valuable insight into managementpractices that have worked, and organizational weaknesses that need attention. Thisanalysis will yield strategies for continuous improvement that must be supported by theSLCM. The information gathered during historical review should ensure compatibility ofthe SLCM with unique organizational characteristics. Evaluate each of the proposedSLCMs using all data collected.3.2.1.5 Selection of SLCMBased on the preceding four steps, an SLCM is selected for the project. If an SLCM doesnot exist for a manager’s current software development needs, the available literature canbe researched and an SLCM developed. It should be noted that this is a time-consumingprocess that includes education and acceptance building and should be accomplishedbefore the SLCM is actually needed for a particular project.Another key factor in the selection of an SLCM is the availability of supporting tools thatwill work with the methodology (ies) used with the SLCM. Several methodologiessupport phase-oriented SLCMs and have automated tools to work with them.Methodologies and tools to support some of the more recent SLCMs are still beingdeveloped or have limited availability. Some development organizations have adopted aspecific methodology, thereby limiting the SLCM choices.3.2.2 Instructions for mapping ActivitiesThe Process Architect decides which IEEE Std 1074-1995 Activities are needed and howmany instances of each Activity are appropriate. Additional Activities may be included, ifthe developing organization or contract requires them. The Activities (with their Inputand Output Information) are then matched against the SLCMs, and are generally timeordered. See Annex A in both the Standard and this guide for examples. Activity timeordering is determined by the selected SLCM, schedule considerations, and the entrycriteria of each Activity.To “enter” or start an instance of an Activity, at least one element of the specified InputInformation must be present.A single instance of the Activity appears once in the SLC and processes all of the InputInformation and produces all of the Output Information in one execution. If there aremultiple instances of an Activity, each instance processes all of the Input Informationeach time it is executed. It may require multiple iterations (see 4.2) to use all of the InputInformation 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 beprocessed before an instance of the Activity can be considered complete. There may besituations where an Activity will span a major part of theSLC 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 inassuring that each input and output has been properly mapped with its Activity. Such atable would match the Output Information of one Activity to the Input Information ofother Activities to assure proper sequencing.3.2.3 Ways to map ActivitiesThe three ways in which Activities are mapped are as follows:

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a) As an invoked Activityb) As single instances of an Activityc) As multiple instances of an Activity

10 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-19953.2.3.1 Single instances of ActivityIn this case, an Activity takes all of its specified Input Information, processes them, andproduces all of its specified Output Information. It is mapped once and appears as asingle event in the SLC: Activity 3.1.4, “Allocate ProjectResources,” 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 isprocessed. Activity 3.2.5,“Manage the Project,” could require multiple iterations for completion of a singleinstance. 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. Highlydetailed mappings, however, may identify iterations and the specific Input Informationused and Output Information produced.3.2.3.2 Multiple instances of an ActivityAn Activity may be mapped multiple times with each mapping constituting an instance ofthe Activity. Further, any of the multiple instances may involve iterations as required toprocess all Input Information and produce all Output Information for the instance. Forexample, 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 ActivitySome Activities invoke other Activities that are part integral Processes. When this occurs,each invokedActivity is mapped along with the invoking Activity. An invokable Activity mall beinvoked 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 orderingThere is no time ordering specified in the determined by following these three major crihich Activities will be performed will bea) The chosen SLCM will dictate an ordering, as mapping occurs, the order in whichActivities will be performed will be established.b) Schedule considerations may cause overlap of some of the SLCM’s phases and thusimpact 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 ofanother Activity. TheInput Information for the second Activity may be the Output Information of the firstActivity. For example, no software design of any kind can be done unless some minimuminformation is available about software requirements. Another example is that noVerification and Validation [V&V) activities can be performed unless there is someoutput product upon which to work.

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An example of how organizational considerations affect time ordering can be understoodupon reviewing the relationship of Activity 7.2.3, “Plan Configuration Management,” andActivity 7.2.4, “Develop Configuration Identification.” A cursory examination of theinformation flow would seem to imply a deadlock between these twoActivities; each one is dependent upon the other for information. The standard does notintend that these Activities be executed as an infinite loop, as the two Activities may beexecuting 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 theTraining Process. A reasonable order of execution is demonstrated in figure 2. Note thatmultiple boxes on the same line denote separate instances of the same activity.

11 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPINGDevelop User Training7.4.3 Plan Training Program n7.4.4 Develop Training Materials n r7.4.5 Validate the Training Program n oInitial Testing7.4.6 Implement the Training Program I- I7.4.4 Develop Training Materials n n (new features added)7.4.5 Validate the Training Program o n (with new features) few TimeFigure 2-Example of Activity Ordering3.2.5 Determining the adequacy of the SLCSufficient reviews of the mapping Activity should be made to assure that the Activities ofthe Standard are fully mapped into the chosen SLCM and that the resulting SLC containsall of the Activities necessary to successfully complete a software project. It should beassured that the mapping is consistent with any development methodology that has beendesignated to function within the chosen SLCM. This provides both software projectmanagers and general managers with the assurance that no Activities have goneunidentified or unassigned, and all Activities were identified and mapped with specificInput and Output Information, as identified in the Standard.The List of Activities Not Used (from 3.1.2 above) should be reviewed to assure thatrequired Activities have not been inappropriately excluded.Describing the SLC adequately facilitates the allocation of project resources. Thisdescription allows the identification of the following:a) The order of Activitiesb) Expected Input Informationc) The expected Output Informationd) Functional units within the organization to complete each Activitye) The methodologies to be used3.2.6 Creating generic SLCsThere are many factors to be considered when creating an SLC that is flexible andadaptable 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, thereare “if applicable” Activities. On an SLC that is intended to be the basis for manyprojects, “if applicable” Activities should be mapped to the appropriate locations.

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The generic mapping should note that the “if applicable” Activities apply only to specificsituations. These situations should be identified, if possible.

12 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-1995The 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 beinvoked” or “should be invoked”) should be documented. This could be represented asthe following:4.1.7 Refine and finalize the Idea or Need7.1.4 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, ProjectManagers can later determine the Activities’ applicability to their project. Decisionsregarding these Activities can be further delegated to Activity Owners at the discretion ofthe Project Manager.A more important issue for Integral Process Activities is determining the reason for theinvocation or the mapping.An approach is recommended that will give an Activity performer enough information toperform the defined assignments. Documentation Development and So ConfigurationManagement (SCM) are relatively straightforward; they do the same thing each time theyoked. Training and V&V both need two definitions: on what are they acting (this comesfrom the invoking sentence), and what specifically is to be done. For V&V, theV&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 isintended to be used for each type of testing to be performed in an SLC. Tlic 11, pc of testshould be defined in the SLC Map; for example, Activity7.1.8, “Execute the Tests (Module).” For Training, further definition is appropriate toindicate who is intended to be trained. An example is Activity 7.4.6, “Implement theTraining Pro&3.2.7 Software as a part of a hybrid (hIdentifying needed additional Activities or i li ;-tni:.::~ irf be necessary when the softwareproject is part of a larger system. Additional Design and lii:,~l~I’~l.*t~ I ) . b * i ; - i iLtivity instances could be required. Two or more levels of integration, acceptance, andsystem tc,iiiiA 1i1.1) I .b,li.ii ., planning for additional instances of testing relatedActivities. Additional Input and Output Information may need to be added to Activities.Activities that are not part of the Standard’s minimum Activity set could also need to beidentified and mapped to the SLCM.Software system3.3 Information tracingInformation tracing is the validation that Input and Output Information flows correctlybetween providing and using Activities. Information traceability throughout the Standardis established by using the Output Information Tables of each Activity. A TraceabilityTable may be constructed by using the Output Information of all the Activities and the

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Software Project Management Tailoring Template (Annex B of the Standard). Theresulting table would be similar to the sample contained in table 1.During the assigning of information (see 3.5) the Process Architect can use theTraceability Table to identify the information requirements of the project’s SLC.Publication of this table will ensure that the Activity Owners and information receivingorganizations know what information they will be receiving.

13 IEEE Std 1074.1-1995. IEEE GUIDE FOR DEVELOPINGTable 1-Traceability Table for the Standard (partial sample for requirements)Source DestinationProcess ActivityRequirements 5.1.5 Prioritize and IntegrateSoftware Requirements5.1.3 Define andDevelop Software5.1.4 Define InterfaceRequirementsVerification & Validation 7.1.6 Plan TestingInstallation 6.1.3 Plan InstallationProject Monitoring &Control3.2.3 Analyze Risks SoftwareInterfaceRequirements 5.1.5 Prioritize andIntegrate SoftwareRequirements5.2.5 Design Interfaces DesignImplementation 5.3.6 Create OperatingDocumentation5.1.5 Prioritize & Integrate SoftwareRequirementsProject Monitoring &Control 3.2.3 Analyze Risks SoftwareRequirementsDesign 5.2.X All ActivitiesImplementation 5.3.3 Create Test Data5.3.7 Plan IntegrationVerification & Validation 7.1.6 Plan Testing7.1.7 Develop TestRequirements7.4.3 Plan the Training Program Training14 SOFTWARE ILIFE CYCLE PROCESSES IEEE Std 1074.1-19953.4 Hidden information and tasksActivities of the Standard often group several types of information. The resulting groupof information is assigned a new name. ‘The original components of this groupingbecome hidden information. For example, in Activity 3.1.5,

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“Establish the Project Environment,” Methodologies, Standards, and other inputs arecombined into the Project Environment.In contrast, hidden tasks are those that are performed to comply with the Standard, but donot become readily visible during the initial mapping process. Hidden tasks are usuallywithin invoked Processes, and are those that the invocation causes to be required. Anexample might be the various testing tasks that become visible when invoking the V&VProcess. All hidden tasks will become apparent through rigorous mapping. Identifyinghidden tasks helps ensure a complete mapping of all necessary instances of Activities.3.4.1 Hidden informationMuch of the information critical to a project enters, and continues to be contained within,the Software ProjectManagement Planned Information (SPMPI) created and maintained as part of Activity3.1.6, “Plan Project Management.” Planning information related to the developmentenvironment enters from many sources including the Integral Process Activities andexternal sources such as Contractual Requirements. It is the Plan Project ManagementActivity 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 ofNeed, Analysis of Risks, and Collection and Analysis Methods). In all, the entire projectenvironment flows through the Standard in this SPMPI.Project specific information contained in the SPMPI includes the approved budget, thesystem functional SoftwareRequirements, Resource Data, Contingency Planned Informal ion, Recommendations.Thus, the SPMPI consists of documents, software, organizational data, personnel, andinformation and resources.In some cases, certain Input and Output Information may not be required for completionof an Activity. In the InputInformation 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 Standardto be produced.3.4.2 Hidden tasksThere are two important aspects of software development which are not immediatelyevident in the list of Activities: testing and quality assurance. Testing is addressed as partof the Verification and Validation Process, which includesActivities 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. TheVerification 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 improvementsfunctions of SQA are addressed within the Software Quality Management Process. Theapplicable Activities are as follows: “Plan Software Quality Management,” “DefineMetrics,” “Manage Software Quality,” and “Identify Quality Improvement Needs.”3.4.2.1 Invoking Integral Processes

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During mapping, it is required that Integral Process invoked Activities be mapped ontothe SLCM. In this way, the review tasks of the Verification and Validation Process, theconfiguration control tasks of Software ConfigurationManagement, the documentation tasks of Documentation Development, and others willbe appropriately placed.Furthermore, some Integral Processes will invoke other Integral Processes.

15 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING3.4.2.2 Management ProcessesThe Activities within the three Management Processes are driving the entire project lifecycle. Activities withinProcess 3.2, “Project Monitoring and Control,” and Process 3.3, “Software QualityManagement,” 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 maintenanceChanges, including maintenance, will reactivate earlier project Activities-essentially allActivities affected by the change. At some point, changes and corrections may begrouped into a new project. This scenario will not only require a new project with its ownSLC to be mapped from a selected SLCM, but could also require some re- mapping ofthe current project.3.5 Information mappingInformation Assignment is the process of identifying Output Information required by theStandard to Software LifeCycle required deliverables. The identification of information, the assignment todocuments, and the delegation of responsibility are very important steps, which make itpossible for individuals and groups to set reasonable goals, develop quality indicators,and measure performance. By adding columns to the Traceability Table (see table 1 ofthis document and Annex B of the Standard) one can make these assignments and specifywhich project documents hold what information.All Activities specify a certain amount of Input and Output Information, but do notspecify that the information appear in a particular document form. There is no prohibitionon combining related Input or Output Information into a single document or placing eachpiece in separate documents. It is for the Process Architect to determine what physicalmanifestation will contain specific Input or Output Information. For ease of projectmanagement and control, it is suggested that similar information be grouped together.Annex B contains references for several IEEE standards for documents that may begenerated from Activity Output Information.3.6 Mapping constraintsThere are several levels of constraints to be considered during the mapping process. Thefirst level consists of those which influence selection of the SLCM. These are discussedin 3.2.1.2 and 3.2.1.3 of this guide. The next level consists of those that influence how theStandard’s Activities are mapped into the SLCM. Recognizing these constraints takes athorough 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 ProcessArchitect should consider constraints such as risk tolerances, common contractual

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requirements, and in-house methods, traditions, guidelines, and standards. For example, adeveloper of critical medical device software may map several instances of Activity7.1.8, “Execute theTests.” for unit testing critical software modules, and a separate instance of Activity3.3.2, “Analyze Risks,” to conduct hazard analysis.A Process Architect developing a project-specific SLC may consider specific constraintssuch as those related to project resources, risks, and contractual requirements. Anexample of this type of constraint may be a resource that is needed by two Activities, butcannot be shared. A Process Architect could then avoid mapping those two Activitiessimultaneously.

16 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-19954. Concepts of the Standard used in mappingDuring the mapping of the Software Life Cycle Model (SLCM) to the Software LifeCycle (SLC) for a project, there are a number of concepts inherent in the Standard thatmust be used and require some explanation for their application. Descriptions of theseconcepts follow.4.1 Time orderingOne of the basic responsibilities of the Process Architect is mapping, which is essentiallydeciding how many instances of each Activity are needed, and time ordering all theActivities and their instances, thereby creating the SLC. The ordering of projectActivities in time is determined by the chosen SLCM, schedule considerations, and theavailability of Input Information.Activities may overlap in time, and any Activity may be initiated as soon as any of therequired Input Information is available. An Activity cannot, however, be consideredcomplete until all of its Input Information is processed and allOutput Information is created.4.2 Iterations and instancesSome Activities, such as those associated with Processes, are performed over a large partof the life cycle in an iterative manner. Often, not all of the Activity’s Input Informationis available when the Activity is scheduled to begin. Also, it is possible that not allOutput Information is produced during the early iterations. When all required InputInformation and Output Information have occurred and all the specified processingdescribed 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 isresponsible 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 ofthe Input Information and produces some of the Output Information. The Activity is notcomplete, however, until the last iteration is complete.

17 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING_ _ I - - - - - - - - - - - - - - - - -Activity A

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- - - - - - - - - - - --------..-This instance isRest ofActivity A iterationsActivity A Activity A1 Activity B I E I Activity CTime LineFigure 3-Iterations and instances4.3 OwnershipThe Standard requires that an owner be assigned to each Activity or Instance of anActivity. The owner, with appropriate authority and responsibility, manages the Activityto completion.To minimize documentation revisions caused by changes in personnel, the Standardrequires that the owner be identified by organizational position. If an owner lies outsideof the supplying organization (for example, the owner of “Execute Tests” may be thecustomer organization), ownership should be defined. The owner of an Activity isresponsible for ensuring that all Activity Input Information has been provided, that allprocessing called for by theStandard is performed for that Activity, and that all required Output Information isproduced.4.4 Integral ProcessesThe Integral Processes contain Activities that are needed in many different formsthroughout the software life cycle, and thus are integral to the whole Standard. In additionto the Activities that are discretely mapped to the SLCM, as discussed in 3.1, there aregroups of Activities that are initiated, or “invoked,” as parallel Activities from many ofthe Standard’s Activities. When invoked, these Activities perform a distinct function andthen return to the invoking Activity.The Output Information may be returned to its originator from the Integral Process asincomplete 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 aresatisfied.

18 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-19954.4.1 An example of an Integral Process InvocationThe invocation of an Integral Process is usually near the end of an Activity’s 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,” withnotes added:“Prior to distribution3 of the SPMPI,4 the following Processes shall5 be invoked:a) Verification and Validation (7,1,4)‘jb) 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

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Management (SCM), and Documentation Development Processes. The verified,controlled, and documented information is then returned to Activity 3.1.6, “Plan ProjectManagement.”Within the Integral Processes, the Invoked Activities are identifiable by their Input andOutput Information tables.Every Activity which is the first to be invoked has an entry in its Input Information tablewhose Source is “Creating Process.” Every final Activity (i.e., the one that returns to theinvoking Activity) has an entry in its OutputInformation table who’s Destination is “Creating Process.”The Output Information of the invoked Activity is not listed as Input Information to theinvoking Activity. This is because the primary transfer of information is into and out ofthe invoked Activity. The Creating Process continues to control the Information since theInformation content is not changed, coven though its form or medium may be.Other Information that is returned is presumed to he returned with the OutputInformation. For instance, V&V will return an Evaluation Report on the SPMPI.4.4.2 Invoked Processes invoking toNested invocations are required to ensure that all necessary Integral Activities arecompleted. Processes to be performed vary with each level of invocation. The multiplyinvoke processes are as follows:V&V: Activity 7.1.4-invokes Documentation Development and SCM for the EvaluationReported Information.Documentation development: Activity 7.3.4-rccomrnends (“should”) invoking V&Vand SCM.Training: Activities 7.4.4 and 7.4.5-requirc invocation of V&V, Documentationdevelopment, and recommend SCM.The invocation of Documentation Development Activities is intended to apply to thephysical document, and not to the information it contains. That is, V&V will check thestyle, accuracy, and completeness of the writing, not the technical content. SCM willphysically archive the written document. This may be redundant in some organizationswith 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 requiredinvoked 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 allthis Activity’s “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 consideredbased on the needs and size of the project. ‘This number references the Activity withinVerification and Validation to which Output Information is sent.

19 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING4.5 Management ProcessesManagement Activities are ongoing. Also, like any Activity, they may begin before all ofthe Input Information is available, and may generate only some of the Output Informationat any given time. For example, Software QualityManagement Process has four Activities that may be ongoing throughout the project.

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Some Input Information, such as Defined Metrics, may exist prior to, and outside of, theproject. Thus, Activity3.3.3, “Plan Software Quality Management,” can start at any time. However, it isreasonable to expect that new metrics may be defined during the project. Each newmetric defined will probably result in modifications to the Output Information of thisActivity. This introduces a choice of either mapping one long Activity with a singleowner, or mapping the full Activity at specific points in the SLCM with an ownerassigned for each mapping. Either approach is permitted by the Standard; the choice isthat of the Process Architect.Management concerns addressed here cover the following three distinct areas:a) All the Activities concerned with providing a project environment, identifyingresources, and starting the projectb) The actual managing of the projectc) The quality managing of the project paralleling the efforts of the first two areas4.5.1 Advanced planningDetermining what SLCMs are available to a project while planning the project may putthe effort weeks or maybe months behind schedule+ven before it is started. Start theSLCM selection process prior to using the Standard on a project. As an organization-wideeffort, identify what SLCMs will work in the organization’s environment.Determine what methodologies and tools are available to support each SLCM and whichneed to be developed or purchased. Review the Activities and determine if anyorganization-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 SLCMmappings, allocating resources to each activity, and defining the standards, tools, andmethodologies 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 ofevery phase, or at major transition points, as defined in the life cycle. This will ensurethat the current plan is validated and updated throughout the life of the software.4.5.2 Ongoing managementThe project plan is used to manage and control the project. One of the major keys inaccomplishing this is to analyze risks to the project and plan for contingency action if therisks materialize. Project management also involves the continuous reviewing of theaccomplishments against the project plan and the resources available, makingadjustments as needed and keeping the plan up to date.Two areas often overlooked in project management are the proper retention of projectrecords and data, and the development and implementation of a problem reportingsystem. Project records and SLC metric data can be used to plan future projects moreaccurately, especially to determine resource needs and the projected schedule. Theproblem reporting system is used to track problems, and their solutions, during the entireSLC. Metrics from development and operation should feed the development qualitysystem. This will support continuous improvement.20 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-19954.5.3 Quality management from start to finishA parallel management activity to the management and control of projects is softwarequality management, which manages the quality system. This system is composed of the

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following: The organization’s quality plan, The software development managementplanned information, Each project’s software quality, configuration management, andverification and validation plans, The collection and analysis of organizational standardand project-specific metrics, Standard scheduled, planned reviews and audits for eachproject and associated SLC Processes, Identified quality improvements for futuredevelopment projects, The intent of the quality system is to ensure the following:Quality concerns are addressed throughout the SLCMetrics are collected and analyzedThe end result of a project is quality products, meeting the functional and end userrequirementsQuality metrics provide the catalyst for continuous improvement4.6 Risk managementActivity 3.2.3, “Analyze Risks,’’ and Activities analyzed and Activities following a unevent that might cause the following:a) Waste of corporate resourcesb) Litigation if product is faulty or delayedc) Risk to human life or healthd) Schedule or budget problemse) Loss of corporate reputationAgency planning,” mandate that risks be object managers must therefore considerThe 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 customizedto minimize risk and anticipate worst cases.In addition, the use of the Standard identifies all needed Activities, required InputInformation and Output Information, and time relationships. This reduces the risk ofwasted resources and incomplete information. Having a single point of responsibility(Owner) for each Activity instance also reduces management risk and provides forquicker problem resolution.

21 IEEE Std 1074.1-1995 IEEE GUIDE FOR DEVELOPING4.7 MaintenanceSoftware maintenance refers to all the technical and management Activities related tomodifying 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, andimplementation 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 costeffectiveness, or otherwise improve the software system (perfective maintenance) Anysoftware maintenance effort involves, at a minimum, the technical and managementActivities necessary to perform the following five steps:a) Understand the existing systemb) Revalidate the updated systeme) Update documentation

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Understand the problem or the desired improvementModify the system in a specified mannerSteps b) through d) are analogous to the requirement and design, implementation, andvalidation phases of software development. Therefore, the Standard includes in theMaintenance Process an Activity entitled Reapply Software Life Cycle. During operationof the software system, Correction Problem Reported Information is generated by theStandard’s Activity 3.2.7, “Implement Problem Reporting Method.” This information isanalyzed in theMaintenance Process to produce Maintenance Recommendations, which then reenter theSLC at the ConceptExploration Process to initiate a new, but perhaps compressed, SLC. AdditionalCorrection Problem ReportedInformation may subsequently lead to repeated SLC applications.It should be noted that the SLC used for maintenance of a software system need not bethe same as the SLC used to develop the system. It is possible to revisit the Process 2,“Software Life Cycle Model,” based on Historical ProjectRecords in Activity 3.2.6, “Retain Records,” accumulated from the initial developmentand maintenance of the software system.4.8 RetirementThe Activities of the Retirement Process remove an existing system, or parts of it, fromactive support or use. This may be accomplished by replacing the existing system with anew system, installing an upgraded version of the existing system, terminating support ofthe system, or completely terminating the system.Planning for the retirement of a software system begins during Project Initiation. Part ofthe requirements specification, or a preliminary retirement plan, should address how thesystem will be upgraded, modified with major enhancements, or replaced in the future.Software configuration management is essential during retirement for tracking multiplesoftware releases.Once a retirement plan has been developed, it should be maintained throughout the lifecycle. When the time comes to actually retire the system, everything needed for theRetirement Process will then be in place.

22 SOFTWARE LIFE CYCLE PROCESSES IEEE Std 1074.1-19954.9 Reuse and the SLCThe Standard supports software reusability, including the following:a) Identifying existing reusable componentsb) Generating potential reusable componentsc) Controlling reusable componentsIdentifying existing reusable components is covered in the Standard by the followingActivities:- Activity 3.1.5, “Establish Project Environment”: Analyze reusable component libraries,looking for components matching the problem at hand. Reusable components can includespecifications, architectures, or software modules. The decision of reuse can influence theproject’s implementation strategy.

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Activity 4.1.4, “Formulate Potential Approaches”: Investigate the use of existingcomponents. The decision to reuse influences the tactics, planning and cost for theproject.Activity 5.2.3, “Perform Architectural Design”: Identify existing software modules thatmatch 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 furtherreuse. Controlling reusable components, and Configuration Management Process. Yourarchive, are part of the Software

23 IEEE Std 1074.1-1995Annex A (informative)Mapping exampleThe example of mapping depicted in this annex follows the eight-step approach describedin 3.1.1 through 3.1.8 in this guide. The purpose of this example is to show the mappingprocess 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 thereal world, and would cause expansion of the mappedSoftware Life Cycle (SLC) to reflect multiple instances of Activities.

CHAPTER-10IEEE STANDARDS

V. IEEE Standard for Software Quality Assurance Plans1. Overview1.1 ScopeThe purpose of this standard is to provide uniform, minimum acceptable requirements forpreparation and content ofSoftware Quality Assurance Plans (SQAPs).In considering adoption of this standard, regulatory bodies should be aware that specificapplication of this standard may already be covered by one or more IEEE standardsdocuments relating to quality assurance, definitions, or other matters. It is not the purposeof this standard to supersede, revise, or amend existing standards directed to specificindustries or applications.

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This standard applies to the development and maintenance of critical software. For noncritical software, or for software already developed, a subset of the requirements of thisstandard may be applied.The existence of this standard should not be construed to prohibit additional content in anSQAP. An assessment should be made for the specific software item to assure adequacyof coverage. Where this standard is invoked for an organization or project engaged inproducing several software items, the applicability of the standard should be specified foreach of the software items.

3. Definitions and acronyms

3.1 Definitions

The definitions listed below establish meaning in the context of this standard. Otherdefinitions can be found in IEEE Std 610.12-1990, 11 or the latest revision thereof. Forthe 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 beenexecuted 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 had1) All valid conditions, and 2) at least one invalid condition, correctly processed, dividedby 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 oneinvalid sample of every class of input data items (external messages, operator inputs, andlocal 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 formallydemonstrated, by the total number of error messages.

3.1.6 Quality assurance:

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A planned and systematic pattern of all actions necessary to provide adequate confidencethat 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 thesoftware requirements specification (SRS) that have been successfully demonstrated bythe 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 reviewPDR preliminary design reviewSCMP software configuration management planSCMPR software configuration management plan reviewSDD software design descriptionSQA software quality assuranceSQAP software quality assurance planSRR software requirements reviewSRS software requirements specificationSVV software verification and validation planSVVPR software verification and validation plan reviewSVVR software verification and validation reportUDR user documentation review

4. Software Quality Assurance Plan

The Software Quality Assurance Plan shall include the sections listed below to be incompliance with this standard.The sections should be ordered in the described sequence. If the sections are not orderedin the described sequence, then a table shall be provided at the end of the SQAP thatprovides a cross-reference from the lowest numbered subsection of this standard to thatportion of the SQAP where that material is provided. If there is no information pertinentto a section, the following shall appear below the section heading; this section is notapplicable 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;

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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 thesedocuments should be made in the body of the SQAP. In any case, the contents of eachsection 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 theorganization having responsibilities defined within this SQAP or their designatedrepresentatives. Details for each section of the SQAP are described in 4.1 through 4.15 ofthis standard.

4.1 Purpose (Section 1 of the SQAP)

This section shall delineate the specific purpose and scope of the particular SQAP. Itshall list the name(s) of the software items covered by the SQAP and the intended use ofthe software. It shall state the portion of the software lifeCycle 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 textof the SQAP.Guidance in the use of this standard can be found in IEEE Std 730.1-1995. For anexpansion of the quality and equipment qualification requirements of IEEE Std 603-1998,to encompass software design, software implementation, and computer systemsvalidation, 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 thequality of the software. This shall include a description of each major element of theorganization together with the delegated responsibilities.Organizational dependence or independence of the elements responsible for SQA fromthose responsible for software development and use shall be clearly described ordepicted.

4.3.2 Tasks

This paragraph shall describea) That portion of the software life cycle covered by the SQAP;

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b) The tasks to be performed with special emphasis on software quality assuranceactivities; andc) 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 eachtask.

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 criteriaand the identification of the review or audit by which the adequacy of each documentshall 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, thedocumentation 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 theexternal interfaces. Each requirement shall be defined such that its achievement iscapable 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 inthe SRS. The SDD shall describe the components and subcomponents of the softwaredesign, including databases and internal interfaces. TheSDD shall be prepared Rest as the Preliminary SDD (also referred to as the top-levelSDD) 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 toa) Verify that

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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; and3) The design expressed in the SDD is implemented in the code.b) Validate that the code, when executed, complies with the requirements expressed inthe 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 andcontrol inputs, input sequences, options, program limitations, and other activities or itemsnecessary for successful execution of the software. All error messages shall be identifiedand corrective actions shall be described. A method of describing user- identified errorsor problems to the developer or the owner of the software shall be described. (Embeddedsoftware that has no direct user interaction has no need for user documentation and istherefore 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, controllingand 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 shalla) 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 programmingactivities involved, such as documentation, variable and module naming, programming,inspection, and testing. As a minimum, the following information shall be provided:

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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 as1) 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 PurposeThis section shalla) 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 andverified.

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 technicaladequacy of the preliminary design (also known as the top-level design) of the softwareas 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 ofthe detailed software designs as depicted in the detailed software design description insatisfying 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 andvalidation methods defined in the SVVP.

4.6.2.5 Functional audit

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This audit is held prior to the software delivery to verify that all requirements specified inthe SRS have been met.

4.6.2.6 Physical audit

This audit is held to verify that the software and its documentation are internallyconsistent 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 andthe items identified in the SQAP. These reviews shall be held by an organizationalelement independent of the unit being reviewed, or by aQualified 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 configurationmanagement 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 activitiesimplemented 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 reviewis held to evaluate the adequacy (e.g., completeness, clarity, correctness, and usability) ofuser documentation.

4.7 Test (Section 7 of the SQAP)

This section shall identify all the tests not included in the SVVP for the software coveredby the SQAP and shall state the methods to be used.

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4.8 Problem reporting and corrective action (Section 8 of the SQAP)

This section shalla) Describe the practices and procedures to be followed for reporting, tracking, andresolving problems identified in both software items and the software development andmaintenance 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 thatsupport 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, anddocument controlled versions of the identified software during all phases of the softwarelife 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 bemade thereto.

4.11 Media control (Section 11 of the SQAP)

This section shall state the methods and facilities to be used toa) Identify the media for each computer product and the documentation required to storethe media, including the copy and restore process; andb) Protect computer program physical media from unauthorized access or inadvertentdamage 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 bemade thereto.

4.12 Supplier control (Section 12 of the SQAP)

This section shall state the provisions for assuring that software provided by suppliersmeets established requirements.In addition, this section shall state the methods that will be used to assure that thesoftware supplier receives adequate and complete requirements. For previouslydeveloped software, this section shall state the methods to be used to assure the suitabilityof the product for use with the software items covered by the SQAP. For software that isto be developed, the supplier shall be required to prepare and implement an SQAP inaccordance with this standard. This section shall also state the methods to be employed toassure that the developers comply with the requirements of this standard.

4.13 Records collection, maintenance, and retention (Section 13 of the SQAP)

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This section shall identify the SQA documentation to be retained; shall state the methodsand facilities to be used to assemble, safeguard, and maintain this documentation; andshall 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 theSQAP.

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 cyclecovered by the SQAP.

Annex AGuidelines for compliance with IEEE/EIA 12207.1-1997(Informative)

A.1 OverviewThe Software Engineering Standards Committee (SESC) of the IEEE Computer Societyhas endorsed the policy of adopting international standards. In 1995, the internationalstandard, ISO/IEC 12207, Information technology ÑSoftware life cycle processes, was completed. The standard establishes a commonframework for software life cycle processes, with well-defined terminology, that can bereferenced by the software industry.In 1995 the SESC evaluated ISO/IEC 12207 and decided that the standard should beadopted and serve as the basis for life cycle processes within the IEEE SoftwareEngineering Collection. The IEEE adaptation of ISO/IEC 12207 isIEEE/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 Ñ Software lifecycle processes ÑLife cycle data;IEEE/EIA 12207.2-1997, IEEE/EIA Guide for Information Technology Ñ Software lifecycle processes ÑImplementation considerations; andAdditions 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 standardsand the data producedby the application of IEEE/EIA 12207.1-1997.

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NOTE Ñ Although IEEE/EIA 12207.1-1997 is a guide; it also contains provisions forapplication as a standard with specific compliance requirements. This annex treats12207.1-1997 as a standard.A.1.1 Scope and purposeBoth this standard and IEEE/EIA 12207.1-1997 place requirements on an SQAP. Thepurpose of this annex is to explain the relationship between the two sets of requirementsso that users producing documents intended to comply with both standards may do so.A.2 CorrelationThis clause explains the relationship between this standard and IEEE/EIA 12207.0-1996in the following areas: terminology, process, and life cycle data.A.2.1 Terminology correlationThe basic term for this standard is quality assurance. The definitions for the term fromthis standard and IEEE/EIA12207.0-1996 is presented below:Quality assurance: A planned and systematic pattern of all actions necessary to provideadequate confidence that the item or product conforms to established technicalrequirements. (IEEE Std 730-1998)Quality assurance: All the planned and systematic activities implemented within thequality system, and demonstrated as needed, to provide adequate confidence that anentity will fulfill requirements for quality. (IEEE/EIA 12207.0 1996) 12 Copyright 1998 IEEE. All Rights Reserved.IEEE Std 730-1998 IEEE STANDARD FORThe two definitions are essentially the same, particularly if it is assumed that technicalrequirements plus quality expectations are the same as requirements for quality. Theremaining terminology in this standard reflects the assumptions prevalent in the 1980sabout software engineering, but for the most part this does not affect the use or meaningof terms. There are two exceptions. The First is the use of the term audit in 4.6.2.7 in thephrase in-process audit; the word audit should be placed with verification the second isthe concept of independence. This standard only requires organizational independencefor managerial reviews whereas IEEE/EIA 12207.0-1996 requires organizational freedomand authority from persons directly responsible for developing the software product orexecuting the process responsible for the product.A.2.2 Process correlationThis standard places no explicit requirements on process. However, the informationrequired by its SQAP makes implicit assumptions regarding process, a process that ismore 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 withoutstipulating any particular set of events or documents. Generally, fulfilling the impliedprocess requirements of this standard would go beyond the requirements of IEEE/EIA12207.0-1996, but would not violate its requirements.A.2.3 Life cycle data correlationThe information required in an SQAP by this standard and the information required in anSQAP by IEEE/EIA

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12207.1-1997 is similar. It is reasonable to expect that a single document could complywith both standards. The main difference is that this standard specifies a particularformat, while IEEE/EIA 12207.1-1997 does not. Details are provided in the clause below.A.3 Document complianceThis clause provides details bearing on a claim that an SQAP complying with thisstandard would also achieve document compliance with the SQAP as prescribed inIEEE/EIA 12207.1-1997. The requirements for document compliance are summarized ina single row of Table 1 of IEEE/EIA 12207.1-1997. That row is reproduced in Table A.1of this standard.Table A.1ÑSummary of requirements for an SQAP excerpted from Table 1 ofIEEE/EIA 12207.1-1997The 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 ofTable A.1 as a plan the generic content guidelines for a plan appear in 5.2 of IEEE/EIA12207.1-1997.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/EIA12207.0-1996 as described in 4.2 of IEEE/EIA 12207.1-1997.Information item IEEE/EIA 12207.0-1996 sub clause Kind IEEE/EIA 12207.1-1997sub clauseReferencesSoftware quality assurance plan6.3.1.3 Plan 6.20 IEEE Std 730-1998IEEE Std 730.1-1995ISO 9000-3: 1997ISO 9001: 1994ISO 10005: 1995A.3.1 Compliance with information requirements of IEEE/EIA 12207.0-1996The information requirements for an SQAP are those prescribed by 6.3.1.3 of IEEE/EIA12207.0-1996. In this case, those requirements are substantively identical to thoseconsidered in A.3.3 of this standard.A.3.2 Compliance with generic content guidelines of IEEE/EIA 12207.1-1997The generic content guidelines for a plan in IEEE/EIA 12207.1-1997 are prescribed by5.2 of IEEE/EIA 12207.1-1997. A complying plan shall achieve the purpose stated in 5.2.1 and include theinformation 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 whomspecific 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 requirementsprovided in 5.2.2 of that standard. Table A.2 of this standard lists the generic content

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items and, where appropriate, references the clause of this standard that requires the sameinformation. It may be concluded that the information required by this standard issufficient for compliance except as noted in the third column of Table A.2.A.3.3 Compliance with specific content requirements of IEEE/EIA 12207.1-1997The specific content requirements for an SQAP in IEEE/EIA 12207.1-1997 areprescribed by 6.20 of IEEE/EIA12207.1-1997. A complying SQAP shall achieve the purpose stated in 6.20.1 and includethe information listed in6.20.3 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 qualityassurance activities to be performed during the life cycle of the software. Describe theresponsibilities and authorities for accomplishing the planned software quality assuranceactivities. Identify the required coordination of software quality assurance activities withother activities of the project. Identify the tools and the physical and human resourcesrequired for the execution of the plan.An SQAP complying with this standard and meeting the additional requirements of TableA.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 requirementsprovided in 6.20.3 of that standard. Table A.3 of this standard lists the specific contentitems and, where appropriate, references the clause of this standard that requires the sameinformation. It may be concluded that the information required by this standard issufficient for compliance except as noted in the third column of Table A.3.A.3.4 Compliance with life cycle data objectivesIn addition to the content requirements, life cycle data shall be managed in accordancewith the objectives provided inAnnex H of IEEE/EIA 12207.0-1996.A.3.5 ConclusionThe analysis documented in this annex suggests that any SQAP complying with thisstandard and the additions specified in Table A.2 and Table A.3 also complies with therequirements of an SQAP in IEEE/EIA 12207.1-1997. In addition, to comply withIEEE/EIA 12207.1-1997, an SQAP shall support the life cycle data objectives of AnnexH of IEEE/EIA 12207.0-1996. 14 Copyright 1998 IEEE. All Rights Reserved. IEEE Std 730-1998 IEEE STANDARD FOR

Table A.2ÑCoverage of generic plan requirements by IEEE Std 730-1998IEEE/EIA 12207.1-1997 generic content Corresponding clauses of IEEE Std 730-1998 Additions to requirements of IEEE Std 730-1998a) Date of issue and status Ñ Date of issue and status shall be provided.b) Scope 4.1 Purposes Ñc) Issuing organization 4.3.1 Organization Issuing organization shall be identified.d) References 4.2 Reference documents Ñe) Approval authority 4. Software Quality Assurance Plan Ñf) Planned activities and tasks 4.3.2 Tasks Ñg) Macro references (policies or lawsThat gives rise to the need for this plan)

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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 Plan4.4.2.6 Software Configuration

Management Plan4.5 Standards, practices, conventions, and metrics4.8 Problem reporting and corrective action4.9 Tools, techniques, and methodologies Ñi) Schedules 4.3.2 Tasks4.6 Reviews and auditsThe sequencing and relationships of tasks shall be related to a master schedule.j) Estimates Ñ Estimates of resources to be expended in quality assurance tasks shall beprovided or referenced.k) Resources and their allocation 4.3.1 Organization4.3.3 Responsibilities4.9 Tools, techniques, and methodologies Ñl) Responsibilities and authority 4.3.1 Organization4.3.3 Responsibilities Ñm) Risks 4.15 Risk management Ñn) Quality control measures (NOTE Ñ This includes quality control of the SQAP itself.)4.4.1 Purpose, item b)4.8 Problem reporting and corrective action Ño) Cost Ñ the costs of SQA activities and resources shall be provided or referenced.p) Interfaces among parties involved 4.3 Management Ñq) Environment / infrastructure (including safety needs)4.5 Standards, practices, conventions, and metrics4.9 Tools, techniques, and methodologiesSafety needs shall be provided or referenced.r) Training 4.14 Training Ñs) Glossary Ñ a glossary of terms used in the SQAP shall be provided.t) Change procedures and history (NOTE Ñ This includes the change procedures for theSQAP itself.)4.13 Records collection, maintenance, and retentionChange procedures and history for theSQAP shall be provided or referenced.Table A.3ÑCoverage of specific SQAP requirements by IEEE Std 730-1998IEEE/EIA 12207.1-1997Specific contentCorresponding clauses ofIEEE Std 730-1998Additions to requirements ofIEEE Std 730-1998a) Generic plan information (See Table A.2)Ñb) Quality standards... 4.4.1 Purpose, item b)

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4.5 Standards, practices, conventions, and metrics Ñ methodologies, procedures, andtools for performing the quality assurance activities (or their references in theorganizations official documentation)4.9 Tools, techniques, and methodologies Ñc) Procedures for contract review and coordination thereof4.12 Supplier control Procedures for reviewing and managing the main developmentcontract between the acquirer and supplier should be added to the plan.d) Procedures for identification, collection, filing, maintenance, and disposition of qualityrecords4.10 Code control4.11 Media control4.13 Records collection, maintenance, and retention4.6.2.9 Software Configuration Management Plan Review Ñe) Resources ... 4.3.1 Organization4.3.3 Responsibilities4.9 Tools, techniques, and methodologies Ñ schedule(s) ... 4.3.2 Tasks4.6 Reviews and auditsThe sequencing and relationships of tasks shall be related to a master \ schedule. Andresponsibilities for conducting the quality assurance activities4.3.3 Responsibilities Ñf) Selected activities and tasks from supporting processes such asVerification, Validation,4.4.2.3 Software Verification and Validation Plan Ñ Joint Review, 4.6 Reviews andAudits Ñ Audit, and ... 4.4.1 Purpose, item b)4.6.2.7 In-process audits4.6.2.5 Functional audit4.6.2.6 Physical audit... Problem Resolution 4.6.1 Purpose, item c)4.8 Problem reporting and corrective action Ñ

SOFTWARE PRODUCT QUALITY: Theory, Model, and Practice

Existing proposals for software product quality have not been underpinned by the sort ofempirical theory and supporting models that are found in most scientific endeavors. Thepresent proposal provides a set of axioms and supporting software and quality modelsneeded to construct a comprehensive model for software product quality. This model hasbeen developed using a requirements-design-implementation strategy to ensure that itmeets the needs of a number of different interest groups. A significant advantage of theproposed model is that it allows the problem of software product quality to be brokendown into intellectually manageable chunks. Other important features of the model arethat it has enough structure to characterize software product quality for large andcomplex systems and it will support practical specification and verification of qualityrequirements.Keywords

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Software product quality models, quality attributes, ISO-9126, quality-carryingproperties, large-scale software projects.

1. IntroductionProposals for modeling software product quality have had very limited successWe 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 thatsoftware has a set of behaviors and uses which correspond directly to its high-levelquality attributes. What is interesting is that these behaviors and uses map directly to theneeds of the different interest groups involved with software.Thirdly, the definitional and model-construction strategies employed have not beendisciplined 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 anysort 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 apractical model of software product quality. We will employ a goal-directedrequirements-design-implementation strategy to develop a model for software productquality that will attend to these matters. This approach has been taken quite deliberatelyfor two reasons: firstly there are a number of different interest groups who have quitedistinct software product quality requirements. Our model will need to properlyaccommodate these requirements; secondly, this strategy is one that people involved withsoftware will find easy to relate to because of its wide application in softwaredevelopment.The first task in building a software product quality model is to identify what theintended applications of the model are and to address the needs of the different interestgroups that will use the model in these different applications. This corresponds toidentifying the user requirements of the model.The second stage in building a model for software product quality is to identify a suitablearchitecture/design for the model. The following diagram encapsulates the high levelarchitecture 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 productquality.Once we have constructed a framework that defines and supports our software productquality 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 toprovide a conceptual framework and empirical theoretical underpinning for earlierproposals on software product quality

2. Terminology and Framework

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Before we can make serious progress with the construction of a model for softwareproduct quality we need to sort out some use of terminology. This step will allow us toestablish what is often called in technical terms a universe of discourse. The advantage ofdoing this is that it allows us to set out how we intend to use a variety of words and howwe intend to link these words to various concepts. A lot of problems arise in discussionsabout software product quality because there is confusion about how various terms areused.Software is composed of both high and low-level components. Through thesecomponents, and through the ways they are composed, software exhibits properties thatcharacterize 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 severaldifferent kinds of properties which may be either tangible (concrete) or abstract(intangible) and either functional or non-functional properties. Tangible properties mustbe 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 thevehicle through which the different interest groups express their needs of software. Agoal-directed approach to building a quality model for software is effective foraccommodating and balancing the needs of these different interest groups. The set ofdesirable properties or quality attributes of software provides an abstract or high-levelspecification for what we will call software product quality.We next make the observation that the quality attributes we associate with softwarecorrespond either to behaviors or uses. A behavior is something that the software itselfexhibits when it executes under the influence of a set of inputs (e.g., reliability andefficiency are behaviors). From a functional perspective, a behavior of a software systemcan be characterized by the set of responses (including outputs and metrics) the systemexhibits through the execution and interaction of sets of its functions in response to oneor more sets of inputs.A use is something that different interest groups do with or to software (e.g., portabilityand 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 amodified version of the input, whereas for the use “learn ability” the output could be a setof verifiable statements that reflects the user’s understanding of the system or a set oftasks (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 thatclassifies a set of tangible quality-carrying product properties. It is not a behavior or ause. Modularity is an example of a software or product characteristic. Softwarecharacteristics may correspond either to a set of functional entities or a set of non-functional tangible properties. Software characteristics help software to satisfy qualityattributes. For example, tangible machine independent properties of software componentscontribute to a software system’s portability.

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It follows that software characteristics may be used to support the definition of high-levelquality attributes.

3. Requirements of a Software Product Quality ModelTo formulate the requirements for a software product quality model three issues must beaddressed: the different interest groups need to be identified; the intended applications ofthe model need to be spelled out; and it is necessary to establish the quality needs orperspectives/views of the different interest groups.An appropriate starting point for obtaining a set of requirements is to ask the fundamentalquestion:Question:Who has to be satisfied with software?The response is: clients and sponsors, users and developers/maintainers (auditors mightalso be proposed as an important interest group with quite distinct quality needs but wehave chosen not to include them in this exposition). These different interest groups havedifferent, and sometimes competing/conflicting primary needs of software. For aparticular interest group to be satisfied with software it will need to meet their specificfunctional and/or non-functional requirements. Together, these requirements all fall underthe heading of quality requirements.The next fundamental question on the path to obtaining a set of requirements is to sort outabout the uses of our intended model.Question:Why do we want to define, characterize and build a model for software product quality inthe first place?Being clear at the outset about the use or uses of a definition, a theory, or a model, canmake the job of constructing that definition, model or theory a lot easier. Such anappraisal 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 ofsoftware 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 qualitySoftware Product Quality 6Software Quality Institute 09/03/98 15:02In providing a set of requirements for a quality model it is also instructive to revisitGarvin’s [6] views on quality. From his studies he concluded that “quality is a complexmultifaceted concept” that can be described from five perspectives:transcendental view – quality is recognizable but not definableuser view – quality means fitness-for-purpose

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manufacturing view – quality means conformance to specificationproduct view – quality is tied to inherent characteristics of productvalue-based – quality is dependent on how much customer is willing to payKitchen ham and Pfleeger have recently discussed Garvin’s approach in the context ofsoftware product quality. We suggest Garvin’s “model” is a useful starting point not as aquality model in its own right but rather as a specification of a set of requirements forquality models or alternatively as a set criteria for evaluating product quality models. Bythis we mean that any proposed model should be rich enough to accommodate Garvin’sfive perspectives if we regard them as model criteria to be satisfied. Garvin’s proposalimplies that some interested party holds each of the perspectives. It follows that indesigning both quality models and quality products it is important to try to meet the needsof the different interest groups. We will revisit these issues in the discussion whichfollows. We will also use Garvin’s “criteria” to evaluate our proposed model.

4. Design of a Software Product Quality ModelThe design for a software product quality model is realized by constructing a qualitymodel and a software model and then linking these two models to produce a softwareproduct quality model. Construction of these models will now be described.4.1 Quality ModelBackground for what we will discuss on quality models has a long historic basis thatdates back to the Ancient Greek philosophers. Russell’s doctrine [4] of logicalconstructions and what Price [5] calls the ‘Philosophy of Universals’, (which is based onAristotle’s theory of universalia in rebus) and the ‘Philosophy of Resemblances’ providessome useful insights. What this latter theory tells us about the world is that there exists aphenomenon called ‘recurrence of characteristics’. If this phenomenon did not exist therecould be no conceptual cognition. In other words, if there were no recurrence in the worldwe could not acquire concepts like those we need to discuss and characterize softwareproduct quality.A second important concept advanced by the Philosophy of Resemblances is thedistinction between determinable and determinate characteristics. Characteristics havedifferent degrees of determinateness. Price claims that these two adjectives are toofundamental to be defined but that their meaning can be illustrated. For example, thecharacteristic of being colored is determinable and the characteristic of being red is adeterminate of it. Being red is again a sub-determinable, and has under it thedeterminates, being scarlet, brick-red, etc. Being a mammal is a complex determinablecharacteristic. Being a dog, or a being a whale are two of the determinates of thisdeterminable. Whenever two objects resemble each other with less than the maximumintensity we can always say that the same determinable characteristic characterizes themboth, 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 notionof 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 giventhe software system’. This whole approach will be used to underpin the quality modelconstruction process that follows.

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We suggest that a constructive strategy can be employed to characterize the behaviorsand uses of software that contribute to its quality. In constructing a model for softwareproduct quality it is appropriate to apply both bottom-up and top-down strategies. Weseek to enumerate concrete properties and classify them as belonging to softwarecharacteristics and, in turn, at the next level up, we seek to enumerate softwarecharacteristics that characterize each behavior and each use – this corresponds to bottom-up construction. We also employ derivation and/or decomposition to characterize ordefine abstract properties (e.g. behaviors and uses) in terms of subordinate behaviors,uses and software characteristics – this corresponds to a top-down approach. Bothbottoms-up and top-down construction have important roles to play in building a qualitymodel. We will start this discussion by considering the two principles that guidedecomposition and derivation.Principle 1:A behavior can be decomposed and hence defined in terms of subordinate propertieswhich may be described either as behaviors or software characteristics.The following diagram illustrates this notion schematically. Subordinate behaviors mayin turn be hierarchically defined, e.g.In adopting this principle the challenge we face is where to draw the line betweensubordinate defining behaviors and contributing software characteristics (note thedirection of the arrows in the diagram above is intended to differentiate defining fromcontributing causal relationships). The quality attribute reliability provides a good case inpoint. Abstract properties like fault-tolerance and recoverability areBehaviorsDeterminates of reliability. The issue is, are fault-tolerance and recoverability definingbehaviors of reliability or software characteristics that contribute to reliability. What weare confronting here is the tension between top-down definitions of quality attributes andbottom-up characterization (that is, abstract description) or classification of softwareproperties (both non-functional and functional properties) that contribute to high-levelquality attributes. Whether we regard fault-tolerance as a behavior or a softwarecharacteristic does not really matter. What is important to recognize is that we have twoavenues for arriving at our goal. Some properties, like modularity or correctness, areclearly 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 usingin making such distinctions is that behaviors tend to be system-wide qualities whereas itis meaningful to associate software characteristics with particular components as well aswith an overall system. We can circumvent this issue using determinable-determinatedecompositions. As an example, in ISO-9126 [ ]the determinable, reliability can bedecomposed into the determinates fault-tolerance, maturity and recoverability (more willbe 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 whichmay be described either as uses or software characteristics.

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The following diagram illustrates this notion schematically. Subordinate uses may in turnbe hierarchically defined, e.g. as an example, usability can be decomposed into thesubordinate uses learn ability and operability.Reliability: Recoverability Fault-tolerance- UsesIn proceeding to construct a quality model we will employ the following additionaldesign principles, guidelines and assumptions:We choose to associate abstract properties, called quality attributes, with softwareThe 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 independentbehaviors 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 softwareEach high-level quality attribute of software is characterized by a set of subordinateproperties 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 seewhether all inputs are within their expected ranges contributes to the design principle ofmodular 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 - UsabilityTo illustrate the processes of definition and characterization we will now explore onequality attribute (usability) in slightly more depth. Our intent is not to give acomprehensive software product quality characterization for usability but rather toillustrate the process. Our starting point is to list (see below) a set of properties thatdefine/characterize or are manifestations of usability.In order to arrange these properties into an appropriate hierarchy using thedefinition/characterization strategy we have described we first classify the properties aseither behaviors, uses or software characteristics according to our definitions of theseterms (see below). Behaviors and uses are candidates for being the top-level determinatesof 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 contributesto or determines each behavior or use. For example we must ask does customizabilitycontribute to learn ability, to operability and so on. Software characteristics, in turncharacterize behaviors and uses. Again a similar process is applied. A possibledefinitional hierarchy that is an outcome of this whole process is shown below.UsabilityLearn ability - easy to learn how to useTransparency- easy to understand/ remember how to use functionalityOperability – easy and efficient to apply functionalityResponsiveness- performs all functions in a timely fashionCustomizability- can customize interface, palettes, etc to user needsForeign-language Provision – can change the language of interfaceCommand-context sensitivity – shows commands useable in context

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Operational directness – provision for most direct command executionHot-keyed – are short-cut key options for frequently used functionsConsistency – commands consistent with environs (e.g. Widows-95)..UsabilityLearn ability - useTransparency- software characteristicOperability – useResponsiveness – behavior (metric)Customizability- useCommand-context sensitivity – software characteristicOperational directness – software characteristicHot-keyed – software characteristicConsistency- software characteristic..UsabilityLearn abilityOperabilityTransparencyCommand-context sensitivityCustomizabilityResponsivenessCommand ExecutionDirectnessHot-keyedConsistencyWhat we have provided here is a long way short of a comprehensive specification ofusability. Hopefully however, enough detail has been given to illustrate what is entailedin carrying out such a process. Note that the property Foreign LanguageProvision that was in our original list would end up being a determinate ofcustomizability. It is therefore not shown in the hierarchical specification above.

Case Study – ReliabilityThe characterization of the quality attribute reliability throws up several important pointsrelating to the design and implementation of quality models. In characterizing any high-level quality attribute it helps to formulate an underlying functional model or usagemodel (depending on whether the attribute is a behavior or a use) and a supportingmetrics model. Such models help to minimize overlap of behaviors and address issues ofcompleteness. 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 offaults (a) faults that lead to abnormal conditions that are generated externally and/or thatshow up as inputs to the software system which violate its capacity to satisfy its specifiedfunctional behavior (b) faults that result in errors that occur during the course ofexecution of a software system that cause it to deviate from its specified functionality andthereby enter an abnormal state (c) errors that occur in the outputs of a software system

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that are caused by faults in the implementation of the functionality (d) faults that lead tofailure of the software system.A defensible functional model for reliability in this context is to say that at the highestlevel there are three non-overlapping classes of functionality that a system mustimplement to exhibit reliable behavior: error-detection, error-reporting (through thefunctionality subordinate quality attribute visibility), error-resolution. The previousfunctionality 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 offunctionality needed to recover/restart after failure of the software system(recoverability). Within each of these types of functionality there may be varying degreesof sophistication and completeness and alternative strategies for dealing with thesituation.Suitable metrics which characterize the reliability of a software system are the behaviorsmaturity and availability. Maturity may be interpreted as a running average of theelapsed-time between failures over the life-time of the system while availability is arunning average of the down-time after each failure.In this functional model fault-tolerance, for example abstracts over a number of otherbehaviors and software characteristics such as fault-diagnosis, re-configurability andsurvivability (the behavior where a system needs to continue operating when one or moreof its sub-systems have ceased to function). In some applications a behaviorReliabilityAvailability- behavior (metric)Fault-tolerance – behavior/software characteristicMaturity - behavior (metric)Recoverability – behavior like survivability may be such a critical quality requirementthat there is justification for raising it to the same level as reliability even thoughtechnically it is just a very specialized form of reliability.Below we provide a possible (but not definitive) instantiation of the quality model. Itbears 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 toMaintainability we are talking about a single software/hardware/system environment.Beyond that we have included quality attributes that reflect considerations for use inother environments.FunctionalityCorrectnessSecurityInteroperabilityVisibilityReliabilityAvailabilityFault- toleranceMaturityRecoverabilityEfficiencyProcessor economyResource economy

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Communication economyOrder behaviorThroughputUsabilityLearn abilityOperabilityMaintainabilityAnalyzabilityModifiabilityTestabilityPortabilityMachine IndependenceSystem IndependenceReplace abilityInstall abilityData commonalityReusabilityRepresentation IndependenceApplication IndependenceData EncapsulationFunction EncapsulationInterface abilityWe may now summarize much of what we have established thus far in our goal orientedapproach to constructing a model for software product quality. We start out with theprincipal 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, andadaptability (which is characterized by a set of uses of software by different interestgroups). 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 itsintended purposes. The behaviors, functionality, reliability and efficiency provide anaccurate high-level characterization of suitability. In contrast users anddevelopers/maintainers are interested in the usability and adaptability of a softwaresystem which reflect the different uses of the system. The high-level uses, usability,portability, maintainability and reuse often represent priority quality needs of theseinterest groups. Of course, sponsors may also be interested in maintainability, etc. Insome instances, at least, this will be a secondary quality need for this interest group, andso onQuality models like this are never absolute or fixed, either in terms of the chosen primaryinterest groups or in terms of the set of high-level quality attributes that we settle upon. Ifwe had chosen to include auditors as a primary interest group then we would have had toadd the high-level quality attribute, verifiability which is a high level use of software. Thepoint we are trying to make here is that quality needs vary in different contexts. Howeverthe framework that we are proposing is robust and flexible enough to accommodatevariability, change and refinement.

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We have now spelled out enough about quality models to be ready to tackle the secondtask of constructing a software model.GOAL-DIRECTED SPQ MODEL DESIGNSoftwareInterestGroupsSoftwareClientsSponsors UsersMaintainers/DevelopersSuitability UsabilityAdaptabilityReliability FunctionalityEfficiency Operability Learn ability MaintainabilityPortability Request-abilityBehaviors . . . Behaviors Uses ... Uses ... Uses ... Uses ... Uses ... Uses

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4.2 Software Product ModelAt the heart of constructing a software product model are two fundamental assumptions:Software is composed of both simple or atomic components and compositecomponents.Software components of various kinds exhibit tangible properties that impact thequality 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.

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Modules are components. It is convenient to treat different kinds of modules as separatecomponents.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 characterizethe nature of software, its form, and its structure.Software exhibits behaviors and is open to uses – both these sets of properties areabstractWe choose to associate abstract properties with software, called softwarecharacteristics, in order to provide high-level descriptions of its nature, its behavior, itsuses, and its support for change, its form and its structure. Examples are: machine-independence, modularity and correctness. Some software characteristics can beassociated with software components.

Software Product ModelComposite componentComponentFunctionalComponentNon-functionalComponentAtomicComponentTangiblePropertiesIntrinsic and contextual or relational tangible properties possessed bySoftware components exhibit concrete properties that contribute to, or determine in their software characteristicsSoftware characteristics can be either generic, product-specific, language specific, ordomain-specificTangible 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/relationalWe associate abstract properties, called quality attributes, with software to characterizeits 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 isuseful to have a framework into which software characteristics and their defining tangibleproperties can be fitted. Such a framework can help us systematize and structure ourknowledge about software. It can also point to areas where there are gaps,misclassification and other problems in our knowledge and understanding of softwarecharacteristics. Over time we can correct, refine and improve the framework to moreaccurately suit our needs.Fault-ToleranceSurvivabilityRecoverabilityAccess Control

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Machine IndependenceOperating Systems IndependentRe-configurabilityInternationalizedSoftwareCharacteristicsCorrectnessSystemDocumentationArchitecturalDataModularityStructuralAccuracyCompletenessConsistencyTraceabilityFormal specificationSelf-descriptiveOn-line HelpCommentedUser-manualLife-cycle product documentsRepresentation IndependentInteroperableData commonalityCouplingThroughputCohesionFunction encapsulationData encapsulationInterfacedApplication IndependentComplexity – McCabeStructuredWell-structuredNon-redundantLocalizedNormalizedParameterizedDocumented

4.3 Linkage Model – Axioms of Software Product QualityNow we have models for quality and software the task that remains is to link these twomodels to create a model for software product quality. In tackling this task we need toanswer the fundamental question:Question:

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What is it about software that determines its quality?Our response to this question is embodied in the following set of axioms which form thebuilding 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 thosecomponents, their tangible intrinsic and contextual properties, and the way thosecomponents 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 andcommunication data are examples of composite components.Choice of ComponentsComponents PropertiesWay components are composed

Software Product QualityThe second axiom stems from an observation linking behaviours, uses and qualityattributes.Second Axiom of Software Product Quality:Software exhibits a set of quality attributes and it exhibits certain observable behavioursand uses that correspond directly to its quality attributes.Our knowledge of software and experience with its use allows us to instantiate such aframework.Example:One possible instantiation, an augmentation of the ISO-9126 Standard, was shown earlierand is again shown below.Third Axiom of Software Product QualityTangible quality-carrying properties of software components contribute to one or moreintangible, high-level quality attributes of software.Example:Functionality that checks whether a parameter, which is used as a divisor, is non-zero isan example of a tangible quality-carrying property which contributes to the faulttolerance and hence the reliability of a given software system.Fourth Axiom of Software Product QualityAssociated with each tangible quality-carrying property of a component is a verifiableempirical statement that links the property either to a software characteristic, a behavioror a use and then to a high-level quality attribute.Example:An example of a verifiable empirical statement is: Self-descriptive identifiers contributeto the analyzability and hence the maintainability of software.Most software engineers, through experience accept the truth of this statement. We mayhowever design a number of possible experiments to test its validity. We could, forexample, do this by providing two implementations of a given self-contained module thatperforms a well-defined function. One implementation would use accurate, meaningful,

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self-descriptive names for all identifiers used in the module; the second would useidentifiers 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 testthings like how long they took to work out what the module does, what the role of eachvariable was, etc.What is important about this fourth axiom is that it ensures the present proposal forsoftware 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 butthere is always the option to do so. Hence there is the opportunity either to validate or torefute 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 waycomponents are composed determines the quality of software. Any such proposal for asoftware product quality model will always only ever be an approximation to softwareproduct quality.The challenge in building a software product quality model is to align the propertiesassociated with software’s nature (its software characteristics) with the properties thatdescribe its desirable behaviours, ease-of-use and response to change (its qualityattributes). 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 andaccumulative in their affect across a software systemThere is not a one-to-one mapping between quality determinable and softwaredeterminable. For example, the software characteristic, modularity can contribute to thequality attribute maintainability and to say reliability (by providing modular protection)A challenge is to identify a comprehensive generic set of quality-carrying properties foreach software characteristic and to anchor these to components.Another challenge is to identify a comprehensive set of quality-carrying properties foreach 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 ofsoftwareThere is tangible functionality and tangible non-functional properties of software thatcontribute to its quality.

5. Software Product Quality Model ImplementationThere 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 thenqualify these definitions with sets of rules and properties.The first of these approaches involves compiling large numbers of ad hoc suggestionsand 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, ofdisparate properties that may be used to characterize high-level quality attributes.Usually such compilations are not classified systematically and there is no link betweenthe rule/property and any corresponding high-level quality attributes.The second approach at least implied, if not followed, in trying to define software productquality has been to provide a high level characterization using quality attributes and

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software characteristics and then to proceed to identify a rich and accurate set of tangiblequality-carrying properties that help define software characteristics like fault-tolerance,machine-independence, and so on. There is no doubt that information arranged in thisway is certainly helpful but it does not directly link to components (this issue is addressedin section 5.3).Information about quality arranged in either of these ways is not very convenient formeeting the requirements we have set for a software product quality model. That is, noneof the software interest groups benefit very much from these characterizations of softwareproduct quality. What is needed are better ways of structuring the information aboutsoftware product quality. The Axioms of Software Product Quality and theaccompanying models for software, quality, and linkage that we have sketched suggest amore practical way to proceed. What this entails is to focus on the different types ofcomponents that we find at various levels in software. As our earlier discussion suggestswe may associate various intrinsic and contextual or relational quality-carrying propertieswith each type of component.Our diagram below suggests one method for mapping tangible quality-carrying propertiesof 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 ownseparate classifications relative to the software characteristics that contribute to qualityattributes.To use an extended version of this framework to implement a model for software productquality we must systematically work through the characterization of components at thevarious levels. We will now visit these different levels.5.1 Statement Component LevelThe lowest level in our software product quality model is made up of the components thatare used to build statements. The grammar associated with a given programminglanguage 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 mayassociate a set of quality-carrying properties with each type of statement component anddata. We may also link each quality-carrying property to its parent software characteristicand/or high-level quality attribute. Characterizations for the statement components,variable and expression are shown below. A more detailed treatment of thesecomponents, including a discussion of their various quality-carrying properties is givenelsewhere.Expressions are made up of variables, constants and operators. Expressions exhibitseparate properties from their constituent components.

5.2 Statement LevelThe statement level in our software product quality model is made up of the statementsthat are used to build modules. Each statement is built from elements defined at thestatement component level. Again the grammar associated with a given programminglanguage 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 propertiesfrom its constituent components. For example the quality-carrying properties of an

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assignment statement (below) are quite distinct from its constituent components – theexpression and variables.It is important to understand how this model works and how defects are attributed tocomponents. Consider an assignment statement where one of the variables in itsexpression has not been assigned. The question arises is this an assignment defect, anexpression defect or a variable defect? The convention applied in this model is thatdefects are always attributed to the most deeply nested or lowest level component withwhich they are associated. Using this convention such a defect obviously violates avariable quality-carrying property (i.e. those variables must be assigned before use).Most of the defects associated with assignment statements are either variable defects orexpression defects. The only problems with an assignment itself are that it must beeffective. 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 maybe done systematically for a range of different statements and types of data that occur inmost conventional imperative programming languages at the intra-module level. Such aproposal is useful for dealing with a lot of generic quality issues at themodule/object/structured programming level.

5.3 Module LevelAt the module level the quality issues associated with components vary greatly dependingon the nature of the application. For example, the quality requirements for a transpondercontrol 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 thestatement levels to deal with the major quality issues associated with modules we end upwith a very large number of properties associated with the single component typemodule. The problem is that only a small number of these properties are relevant to anygiven application. A practical way to overcome this problem is to first classify modulesinto a relatively small number of generic categories. A sample set of generic moduleclassifications 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 ClassificationsSoftware-Hardware Interface Module Computation/calculation ModuleSoftware System Interface Module Software-Database Interface ModuleFile-Processing Module Control ModuleOperator Interface Module Retrieve ModuleSearch Module Edit ModuleData Structure Construction Data TransformationAnalyze (Decision) Module Select/Choose ModuleInitialize Module Data Modification ModuleSoftware-Database Interface ModuleQuality-Carrying Properties Software Characteristics_Quality AttributesThis framework may be qualified /extended by including application-specific moduleswithin a given generic category. For example, a transponder module belongs to the

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generic software-hardware interface module category. Within the generic categories wetry to specify a set of quality-carrying properties that are likely to apply to modules thatfall within that umbrella.Data calls for global database information shall be processed externally to the callingunit.Application Independence Maintainability, PortabilityReusabilityApplication software shall be independent of the specific details of the underlyingdatabase structure.Representation IndependenceSystems Independence maintainability, portability, reusabilityDatabase management design shall provide a common & controlled way ofadding/retrieving modifying data from global databases. Consistency, Interoperability,security maintainability, reusability, functionalityGlobal database items shall not be referenced by more than one name in CSCs.Consistency, efficiency of storage _maintainability, efficiency, reliabilityModification 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 fromdetected error conditions. Fault-tolerance reliability The CSCI will ensure a validdatabase. Key CSCI parameters will be monitored by the software to ensure theirvalidity. Fault-tolerance, visibility reliability, functionality Database access will becontrolled by access authorization and privacy locks. System accessibility, securityfunctionalitySoftware-Database Interface ModulesThe design of the system will provide protection against unauthorized access ormodification to the database. System accessibility, security functionalityData calls for global database information shall be free from specific knowledge of thedatabase management scheme Application independence maintainability, portability, andreusabilityJust as modules can be classified into a small set of generic components so too cancomposite data sets (sample data classifications are given below).As for modules it is possible to associate a set of quality-carrying properties, etc witheach 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 CharacteristicsQuality AttributesSample Generic Data ClassificationsCommunication Data (messages)Composite DataComputation DataData structuresOperator Input DataSecurity DataTransaction DataConcurrently Shared Data

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Meta-level DataPointer/Addressing DataMessage contains label indicating type of dataInteroperability functionalityPermissible range values for all data in message identifiedFault-tolerance, analyzability reliability, maintainabilityPurpose and format of each data item in message identified Analyzability maintainabilityCommon Technical Glossary for referencing message labels identified Analyzabilitymaintainability Specified common format (xx) Used for position/data packing & blocktransmissions Interoperability analyzability maintainability, functionality Data reps. inmessage comply with nominated, contract specified standard (xx)Interoperability, analyzability maintainability functionalityEach specified data item in message is set Correctness_ functionalityCommunication DataElsewhere we have provided a comprehensive process for module classification [10].This whole proposal for module categorization has two advantages. First, modules in asystem can be put into these different high-level and qualified categories and thentangible properties (including functionality to satisfy the quality requirements) can beassigned.Software engineers can use such a model, constructively, and in a practical way. Theyfirst classify the type of module then build in its particular set of tangible properties thatare needed to satisfy its quality requirements. These properties often have functionalcomponents 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 specializedgeneric quality requirements for the particular module type. If we can get to this mode ofoperation then we will be well-placed to engineer in tangible properties that deliverparticular high-level quality attributes. There is also the possibility when dealing withcode, rather than other software products, to automate some of the checking using staticanalyzers. We claim that this whole approach to software product quality is moreconstructive, intellectually manageable, more effective, and verifiable and more practicalthan existing practices.Assuming, in any implementation of this classification scheme, we limit the differenttypes of generic modules and generic data to only a small number it is likely that such amodel will only be strong enough to capture a generic set of properties for each moduleand data type. For example, we may have a set of generic tangible quality carryingproperties for say, software-hardware interface modules (see above).However when we are dealing with a specific type of hardware device, for example, atransponder, or a mass spectrometer, we may expect that there will be an additional set ofdomain or application-specific tangible properties that need to be satisfied to meet thequality requirements of the particular software-hardware interface. Hence there is a needfor the module classification framework to be hierarchical. The same sort of reasoningapplies for data and architectures. Elsewhere we have set up descriptions for other typesof modules and data. Each of these different types of module and data can be specified ina similar way to the examples above. We are currently carrying out this exercise as a

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basis for building up a comprehensive model for software product quality. A very goodstarting set of quality-carrying properties can be found in the appendix of reference [2]

5.4 Defining Software CharacteristicsWhat we have presented thus far is a framework that allows us to specify sets of tangiblequality-carrying properties that are chosen to ensure that a range of high-level qualityrequirements are satisfied for chosen sets of statement, module and data components. Asa quality model this is good as far as it goes. Unfortunately it does not go quite farenough. We find those clients, software engineers and others often express at least someof their quality requirements by identifying certain software characteristics that need tobe 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 tangibleproperties 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 propertiesdoes 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 thequality requirements of a software-database module, etc and so on. We can handle thisrequirement using a software characteristic-quality carrying property componentframework. An example is given below for fault tolerance.

Fault-toleranceQuality-Carrying Component TypePropertiesBy introducing this framework what we are doing in effect is providing a means forincrementally defining software characteristics like fault-tolerance by identifying a set oftangible determinates of that determinable and linking them to the relevant components.This process needs to be done systematically for each of the software characteristics inour 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 moduleis then to consult the properties associated with the relevant software characteristics andselect those tangible properties that need to be included in the module-type beingspecified. The information included in this arrangement of quality-carrying properties isthe same as that used in specifying component properties – the only difference is theperspective and concentration.Permissible range values for all data in message identified Communication DataDocumented allowable range of values for each input from device Software-hardwareInterface Module Periodic check for operational status of input device Software-hardwareInterface Module Parameters that are divisors are checked for non-zero status CalculationModule Fault tolerance

6. Evaluation and Comparison with Other ModelsWork 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 Pfleeger’s criticisms, we have sought to build on and refineearlier proposals using a constructive, systematic approach.

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In evaluating and comparing the different models for software product quality we willuse Garvin’s criteria] together with the following questions as criteria.What guiding principles were used to choose the set of high-level quality attributesWhat criteria are used to choose and define software characteristics/defining behaviours and usesWhat architecture and implementation strategy is used for the modelCan the model be validated.

6.1 Evaluation against Garvin’s CriteriaEarlier we made the suggestion that Garvin’s five perspectives could be used as criteriafor evaluating a software product quality model. We will now argue that the model wehave proposed accommodates all of Garvin’s criteria.Transcendental Criterion: Let us start with the transcendental view of quality. This isaccommodated because there is always scope to add additional quality-carryingproperties to more accurately characterize a particular software characteristic.Similarly, it is also possible to add more determinates to more accurately define a givenquality attribute. That is, the model has an open framework that will allow it to evolveand strengthen as our understanding of software product quality grows. In addition themodel supports correction and refinement and the incorporation of domain-specificknowledge.User’s Criterion: A second perspective of Garvin’s is that quality software should meetthe user’s view or fitness-for-purpose. Our response here is that the present modelcertainly does this. In fact it goes further than Garvin by accommodating the needs of anumber of different interest groups (clients, sponsors, users, maintainers, verifiers, etc) ina direct way.Manufacturing Criterion: We would argue that our model is also rich enough to meet theneeds of the manufacturing view which stipulates that quality means conformance to aspecification. The important thing here is to be able to specify that quality requirementsto what ever degree of specificity are appropriate. With the present model it is possible tospecify quality requirements in terms of high-level quality attributes, or to take thespecification down to the software characteristics level. And, if that is not enough, thespecification can be taken right down to the listing of quality-carrying properties whichimply higher level software characteristics and quality attributes.Product Criterion: The product view of quality focuses on the internal properties ofsoftware components. These internal properties correspond to the quality-carryingproperties in the present model.Value-based Criterion: The framework and model components that satisfy the previousfour criteria provide a rich but open-ended description and model for software productquality. If the customer is willing to pay then this model can be exploited and if necessaryexpanded 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 theSpace Shuttle met its extremely demanding reliability and other quality requirements.What is important to recognize here is that the processes, people and tools used tospecify, construct, verify, test and quality assure software may change dramatically ifthere are stringent quality requirements and the customer is willing to pay to ensure thatthey are met?

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6.2 Selection of High Level Quality AttributesThe original Bauhaus principles of good design provide a useful starting point forselecting high-level quality attributes. Fitness-for-purpose is the Bauhaus principle that ismost relevant for software. It demands or implies that software should exhibit behavioursand be amenable to uses that meet the needs of the different interest groups involved withsoftware. Identifying the different interest groups and their particular needs has played animportant part in influencing our selection of a set of high-level quality attributes.Suitability, usability and adaptability are the highest level quality attributes that probablybest capture the notion of fitness-for-purpose in the software context. There is alwayssignificant change pressures associated with software: the need to change functionality,the need to adapt to different hardware and software systems environments. In additionsoftware must be easy to use and exhibit suitable functionality, reliability andperformance. We have sketched these ideas earlier in diagram form.The different quality models have advocated somewhere between six and twenty qualityattributes at the highest level. Miller’s well-known experimental result concerning humanshort-term memory (people can remember seven plus or minus two items in a givencategory) has been an important guiding principle in choosing the high-level qualityattributes. Like most of the other quality models we have concentrated on qualityattributes that pertain to software designs and implementations but not requirements orother software products (elsewhere we have dealt with requirements]). The otherimportant 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 thesetwo terms?”. Models likeMcCall’s violate these selection criteria. McCall’s model has eleven high-level qualityattributes. 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 DefinitionThe definitions we have used for quality attributes, software characteristics, and theirdefining 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; machineindependence contributes to the use, portability, and so on. Definitions based on causalrelations are widely used in many disciplines and are advocated in the classic work on thetheory of definition. In formulating definitions we have employed both top-down andbottom-up strategies. Subordinate behaviours and uses and contributing softwarecharacteristics are employed. Our approach to defining software characteristics (orsubordinate behaviours) like fault-tolerance is to say that such terms are bestcharacterized by the accumulated set of tangible product properties that contribute tofault-tolerance. Most of the other models are silent on the underlying strategies that theyhave employed to construct definitions for quality attributes, and so on.The incentive to satisfy Miller’s requirement has forced us to treat behaviours likesurvivability, and others which appear as top-level quality attributes in some models assubordinate properties – this has hence influenced the definition construction process.

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Take the case of survivability. It is easy to reason that survivability is a specialized kindof reliability – the ability to operate when anomalous conditions apply (i.e., when part ofthe overall system is not functioning). Similar sorts of arguments can be used for otherbehaviours and uses.

6.4 Architecture and Implementation StrategyMost of the Software Product Quality models that have been proposed have used eitherconventional top-down hierarchies (e.g. ISO-9126) or bi-directional hierarchies(McCall’s model) for characterizing quality. As a general rule, bi-directional hierarchies,because of their complexity, should be avoided. The fact that top-down hierarchies existwhich express essentially the same information suggests that bidirectional models areunnecessary.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 qualityattributes can be mapped on to software or how tangible software properties can bemapped to quality attributes. As a result, there is a gulf between high-level qualityattributes and the myriad of tangible software properties that influence the quality ofsoftware. This lack of structure hampers our efforts to make software product qualityintellectually manageable, implement-able and applicable.Our architectural proposals for software product quality have been designed to overcomewhat we see as deficiencies in earlier models.With regard to an implementation strategy most existing models are either relativelyweak 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 ValidationFor a model to be validated it must possess a set of verifiable statements. The statementform we have chosen which involves a tangible property that is in turn linked to asoftware characteristic or quality attribute is open to empirical verification by use ofappropriately designed experiments. Other software product quality models do notcontain an extensive set of verifiable statements that involve tangible product properties.We claim this feature is an absolute essential of any comprehensive model of softwareproduct quality.

AcknowledgementsI would like to thank Ray Offen and my colleagues at the SQI for helpful comments onthis work.ConclusionA framework that may be used to characterize software product quality has beenpresented. The framework has been developed in a goal-directed way in order to meet theneeds of the different interest groups associated with software. The most significantadvantages of the approach we have taken are that it allows the problem of softwareproduct quality to be broken down into intellectually manageable components. Acomponent-based implementation approach enables the information to be organized in away that makes it easy to understand, test, correct, refine, extend and apply. Another

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important advantage of the model is that it has enough structure to deal with softwareproduct quality for large and complex projects.

Safety Software Quality AssurancePURPOSEFederal Technical Capability Manual commits the Department to continuously strive fortechnical excellence. The Technical Qualification Program, along with the supportingTechnical Qualification Standards, complements the personnel processes that support theDepartment's drive for technical excellence. In support of this goal, the competencyrequirements defined in the Technical Qualification Standards should be aligned with andintegrated into the recruitment and staffing processes for technical positions. TheTechnical Qualification Standards should form the primary basis for developing vacancyannouncements, qualification requirements, crediting plans, interviewing questions, andother criteria associated with the recruitment, selection, and internal placement oftechnical personnel. Office ofPersonnel Management minimum qualifications standards will be greatly enhanced byapplication of appropriate materials from the technical Functional Area QualificationStandards. The Technical Qualification Standards are not intended to replace the OPMQualifications Standards nor other Departmental personnel standards, rules, plans, orprocesses. The primary purpose of the Technical Qualification Program is to ensure thatemployees have the requisite technical competency to support the mission of theDepartment. The TechnicalQualification Program forms the basis for the development and assignment of DOEpersonnel responsible for ensuring the safe operation of defense nuclear facilities.

APPLICABILITYThe Safety Software Quality Assurance Functional Area Qualification Standardestablishes common functional area competency requirements for Department of Energypersonnel who provide assistance, direction, guidance, oversight, or evaluation of safetysoftware that includes, but is not limited to safety software used for consequence analysisfor potential accidents and design basis events, design for structures, systems andcomponents, instrumentation and controls (I&C), and also other types of software, suchas databases used for safety management functions. For ease of transportability ofqualifications between DOE elements,Program and Field offices are expected to use this technical Functional AreaQualification Standard without modification or additions. Needed additionaloffice/site/facility specific technical competencies should be handled separately.Satisfactory and documented attainment of the competency requirements contained inthis technical Functional Area QualificationStandard ensures that personnel possess the requisite competence to fulfill theirfunctional area duties and responsibilities. Office/Facility-Specific QualificationStandards supplement this technical Functional Area Qualification Standard and establishunique operational competency requirements at the Headquarters or Field element, site,or facility level.

IMPLEMENTATION

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This technical Functional Area Qualification Standard identifies the minimum technicalcompetency requirements for Department of Energy personnel. Although there are othercompetency requirements associated with the positions held by DOE personnel, thisFunctional Area Qualification Standard is limited to identifying the specific technicalcompetencies. The competency statements define the expected knowledge and/or skillthat an individual must meet. Each of the competency statements is further explained by alisting of supporting knowledge and/or skill statements.The competencies identify a familiarity level, a working level, or an expert level ofknowledge; or they require the individual to demonstrate the ability to perform a task oractivity. These levels are defined as follows:Familiarity level is defined as basic knowledge of or exposure to the subject or processadequate to discuss the subject or process with individuals of greater knowledge.Working level is defined as the knowledge required monitoring and assessingoperations/activities, to apply standards of acceptable performance, and to referenceappropriate materials and/or expert advice as required to ensure the safety ofDepartmental activities.Expert level is defined as a comprehensive, intensive knowledge of the subject orprocess sufficient to provide advice in the absence of procedural guidance.Demonstrate the ability is defined as the actual performance of a task or activity inaccordance with policy, procedures, guidelines, and/or accepted industry or Departmentpractices. Headquarters and Field elements shall establish a program and process toensure that DOE personnel possess the competencies required of their position. Thatincludes the competencies identified in this technical Functional Area QualificationStandard. Documentation of the completion of the requirements of the Standard shall beincluded in the employee's training and qualification record.Equivalencies should be used sparingly with the utmost rigor and scrutiny to maintain thespirit and intent of the TQP. Equivalencies may be granted for individual competenciesbased upon objective evidence of previous education, training, certification, orexperience. 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 ProgramPlan of the office qualifying the individual.The supporting knowledge and/or skill statements, while not requirements, should beconsidered before granting equivalency for a competency.Training shall be provided to employees in the Technical Qualification Program who donot meet the competencies contained in the technical Functional Area QualificationStandard. Training may include, but is not limited to, formal classroom and computerbased courses, self-study, mentoring, on-the-job training, and special assignments.Departmental training will be based upon appropriate supporting knowledge and/or skillstatements similar to the ones listed for each of the competency statements. Headquartersand Field elements should use the supporting knowledge and/or skill statements as a basisfor evaluating the content of any training used to provide individuals with the requisiteknowledge and/or skill required to meet the technical Functional Area QualificationStandard competency statements.

EVALUATION REQUIREMENTS

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Attainment of the competencies listed in this technical Functional Area QualificationStandard should be documented by a qualifying official, immediate supervisor, or theteam leader of personnel in accordance with the Technical Qualification Program Plan ofthe office qualifying the individual.

CONTINUING EDUCATION, TRAINING, AND PROFICIENCYDOE personnel shall participate in continuing education and training as necessary toimprove their performance and proficiency and ensure that they stay up-to-date onchanging technology and new requirements. This may include courses and/or trainingprovided by:• Department of Energy• Other government agencies• Outside vendors• Educational institutionsBeyond formal classroom or computer-based courses, continuing training may include• Self Study• Attendance at symposia, seminars, exhibitions• Special assignments• On-the-job experienceA description of suggested learning proficiency activities and the requirements for thecontinuing education and training program for Safety Software Quality Assurancepersonnel are included in Appendix A of this document.

DUTIES AND RESPONSIBILITIESSafety Software Quality Assurance personnel implement the appropriate level ofmanagement effort and assume responsibility, accountability, and oversight for continuedmanagement process compliance within their respective program areas. Specifically theyare to:• Review and evaluate safety software plans and related processes to verify compliancewith applicable regulations, standards, and DOE Orders.• Verify that safety software plans and processes are developed based on hazard and riskassessments.• Verify that safety software is developed, procured, verified, validated, used, andmaintained consistent with nuclear safety and safeguards and security requirements.• Verify that appropriate software quality assurance requirements are addressed inprocurement documents.• Assess safety software quality assurance programs, document results, and monitorresulting actions.• Review and evaluate training and qualification programs for individuals who develop,use, or maintain safety software, as well as design, maintain, and implement SQAprograms.• Provide technical support with respect to safety software for activities such as accidentand occurrence investigations.• Serve as an organization’s technical point-of-contact for safety software.BACKGROUND AND EXPERIENCE

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The preferred education and experience for Safety Software Quality Assurance personnelis defined in this section. The U. S. Office of Personnel Management's (OPM)QualificationStandards Handbook establishes minimum education, training, experience, or otherrelevant requirements applicable to a particular occupational series/grade level, as well asalternatives to meeting specified requirements. The preferred education and experiencefor Safety Software

Quality Assurance personnel are:• Education – Baccalaureate degree in engineering, science, or a related discipline; ormeet the alternative requirements specified for engineers or scientists in the OPMQualifications Standards Handbook. Baccalaureate degrees in other disciplines may alsobe appropriate based on the duties to be performed and considering the experience gainedin performing related software development, maintenance, management, and qualityassurance activities.• Experience – Industry, military, federal, state, or directly related background that hasprovided specialized experience in software development, maintenance, management,and quality assurance activities. Specialized experience may be demonstrated throughpossession of the competencies outlined in this standard. In addition to this education andexperience, certifications from other professional societies may serve as the basis forequivalency of competencies in portions of this standard.

REQUIRED TECHNICAL COMPETENCIESThe competencies contained in this Standard are in addition to and distinct from thosecompetencies contained in the General Technical Base Qualification Standard. All SafetySoftware Quality Assurance personnel must satisfy the competency requirements of theGeneral Technical Base Qualification Standard prior to or in parallel with thecompetency requirements contained in this Standard. Each of the competency statementsdefines the level of expected knowledge that an individual must posses to meet the intentof this Standard. The supporting knowledge, skills, and abilities statements furtherdescribe the intent of the competency statements.Note: This section refers to NUREG/CR-6263, High Integrity Software for NuclearPower Plants, in several of the competency statements and supporting knowledge, skills,and abilities. This NUREG was prepared for the Nuclear Regulatory Commission to aidthe NRC in developing regulatory guidance for the commercial nuclear industry. It isused in this standard because it provides important insights on the software life cycle thatare not available in industry standards. However, NUREG/CR-6263 is not a DOEStandard and should not be used as such. Copies of this NUREG are available at nocharge to government agencies (but not government contractors). Send requests forcopies from a government e-mail address to distribution@nrc.gov.Note: When regulations or U.S. Department of Energy directives or other industrystandards are referenced in the Qualification Standard, the most current version should beused.Safety Software and System Relationship1. Safety Software Quality Assurance personnel shall demonstrate a working levelknowledge of the types of safety system software and safety design and analysis

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software, including custom software and commercial off-the-shelf software (COTS). Thisincludes instrumentation and control software and firmware (e.g.human-machine interface software and programmable logic controller software), andcomputer calculation and database program software used in the design and accidentanalyses of nuclear facilities. Supporting Knowledge, Skills, and Abilitiesa. Explain the characteristics, application, and limitations of instrumentation and controlsoftware and firmware (e.g., human-machine interface software, and programmable logiccontroller software), safety analysis and design software, and database program softwareused 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 wereapplied 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 safetyfunction as described in the facility Documented Safety Analysis.2. Safety Software Quality Assurance personnel shall demonstrate a working levelknowledge of the functional interfaces between safety system software components andthe system-level design. Supporting Knowledge, Skills, and Abilitiesa. 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 safetysystem software components and the system-level design, as described in standards suchas 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 PowerGenerating Stations.c. Identify the specific records that must be maintained and the requirements formaintaining these records to document the development of safety system software.d. Review a development project for safety system software. Explain how the functionalinterfaces between components and the system level design were established andcontrolled.3. Safety Software Quality Assurance personnel shall demonstrate a working levelknowledge of the relationships between the problems being addressed by safety analysisand design codes, the design requirements for the codes, and the components of thecodes. Supporting Knowledge, Skills, and Abilitiesa. Identify how functional requirements and applicability of safety analysis and designcomputer codes are defined, documented, and controlled relative to modeling and dataassumptions, design constraints, sizing and timing conditions, and input/outputparameters.b. Review a development project for safety analysis or design software. Explain how theproblem being addressed by the software was translated into functional requirements,how the requirements were established and controlled, and how the code was reconciledwith the original problem.

Software Engineering, Development, and Maintenance4. Safety Software Quality Assurance personnel shall demonstrate a working levelknowledge of the safety software life cycle processes described in IEEE 1074, IEEEStandard for Developing Software Life Cycle Processes.

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Supporting Knowledge, Skills, and Abilitiesa. Discuss the software life cycle processes such as the waterfall, modified waterfall, andspiral models.b. Describe each phase of a typical software life cycle model such as the one described inIEEE 1074, IEEE Standard for Developing Software Life Cycle Processes. Explain theroles 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 levelknowledge of the safety software requirements specification concepts such as thosedescribed in ANSI/IEEE 830, IEEE Guide to Software Requirements Specifications andSection 3 of NUREG/CR-6263, High Integrity Software for Nuclear Power Plants.Supporting Knowledge, Skills, and Abilitiesa. Explain how software requirements specifications (SRS) are developed and used.Include in your explanation the essential role of SRS in the overall DOE-STD-1172-2003argument that software is safe.b. Define and discuss the following SRS attributes as they relate to safety softwarequality:• Completeness• Un-ambiguity• Consistency• Verifiability• Modifiability• Traceability• Readabilityc. 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 Matrix6. Safety Software Quality Assurance personnel shall demonstrate a familiarity levelknowledge of the safety software design concepts as described in ANSI/IEEE1016, IEEE Recommended Practice for Software Design Descriptions and Section4 of NUREG/CR-6263, High Integrity Software for Nuclear Power Plants. SupportingKnowledge, Skills, and Abilitiesa. 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

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7. Safety Software Quality Assurance personnel shall demonstrate a familiarity levelknowledge of the safety software coding practices that ensure that software requirementsspecifications and design requirements are reflected in the source code.Supporting Knowledge, Skills, and Abilitiesa. Discuss the following concepts as they relate to safety software coding:• Development environment• Target environments and reusable components• Data structure• Logic structure• Embedded commentsb. Discuss the following documents and describe how each supports safety softwarecoding:• Design Specifications• Program Specifications• Programming Standards• System Design Document• Programmers Manual• Users Manual8. Safety Software Quality Assurance personnel shall demonstrate a working levelknowledge of the software verification and validation processes that ensure that therequirements specification, design, and coding of software adequately fulfill all intendedsafety functions. These processes are described in standards such as ANSI/IEEE 829,IEEE Standard for Software Test Documentation, and ANSI/IEEE1008, IEEE Standard for Software Testing, ANSI/IEEE 1012, IEEE Standard forSoftware Verification and Validation Plans, and Sections 6 – 8 of NUREG/CR-6263,High Integrity Software for Nuclear Power Plants.Supporting Knowledge, Skills, and Abilitiesa. Describe the following processes and documents as they relate to safety softwarequality:• 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 validationb. Describe methods for reviewing a verification and validation program.c. Explain the differences in the verification and validation processes between customand COTS safety software.d. Explain the differences in the verification and validation processes between safetysystem software and firmware vs. safety analysis and design software.

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e. Describe the controls used to assure that calculations performed using spreadsheets andother calculation programs are accurate. Identify the records that should be maintained todocument the calculation process.f. Conduct or review an assessment of the verification and validation processes applied toa software development project and/or to a program in the operation and maintenance lifecycle phase. Describe the strengths and weaknesses you identify.9. Safety Software Quality Assurance personnel shall demonstrate a working levelknowledge of software safety analysis as described in documents such as IEEE1228, IEEE Standard for Software Safety Plans and Section 9 of NUREG/CR-6263, HighIntegrity Software for Nuclear Power Plants.Supporting Knowledge, Skills, and Abilitiesa. Discuss the purpose and content of the following and relate the importance of each tosafety software quality:• Software safety plan• Safety requirements analysis• Software safety design analysis• Software safety code analysis• Software safety test analysis• Software safety change analysisb. Describe the process for incorporating the software safety analysis into the facilityDocumented Safety Analysis (DSA).10. Safety Software Quality Assurance personnel shall demonstrate a working levelknowledge of activities that ensure that safety software is properly maintained andcontinues to operate as intended as described in such documents as IEEE1219, IEEE Standard for Software Maintenance and Section 10 of NUREG/CR-6263,High Integrity Software for Nuclear Power Plants.Supporting Knowledge, Skills, and Abilitiesa. Discuss the following concepts as they relate to safety software quality:

Software maintainabilityMaintenance planningPerformance monitoring

b. Conduct or review an assessment of software maintenance on a project or program to astandard such as IEEE 1219, IEEE Standard for Software Maintenance.11. Safety Software Quality Assurance personnel shall demonstrate a working levelknowledge of software configuration management processes that ensure the integrity ofexecutable code during the entire life cycle of safety software as described in documentssuch as ANSI/IEEE 828, Software ConfigurationManagement Plans, ANSI/IEEE 1042, Guide to Software ConfigurationManagement, and Section 11 of NUREG/CR-6263, High Integrity Software for NuclearPower Plants.Supporting Knowledge, Skills, and Abilitiesa. Discuss the following concepts as they relate to safety software quality and explainhow each is applied:• Software configuration management plan• Configuration identification• Configuration change control

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• Configuration status accounting• Configuration audits and reviews• External interface control• Subcontractor and vendor control• Automated support for configuration managementb. Perform an assessment of a contractor’s software configuration management plan toverify compliance with applicable software requirements.Software Management and Quality Assurance12. Safety Software Quality Assurance personnel shall demonstrate a working levelknowledge of the elements of a successful software quality assurance program.Supporting Knowledge, Skills, and Abilitiesa. Discuss the purpose, scope and content of the following types of software managementplans 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 Planb. Identify and describe safety software procurement methods, including supplierevaluation and source inspection processes.c. Prepare or review a real or example quality assurance plan for a software developmentproject. Identify the project strengths and weaknesses.d. Describe the elements of an acceptable software quality assurance program for thedevelopment, 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 industrystandards, including, but not limited to:• ASME NQA-1, Quality Assurance Program Requirements for NuclearFacilities• ANSI/IEEE 730.1, IEEE Standard for Software Quality Assurance Plans.• Add ANSI/ANS-10.4-1987; R1998: Guidelines for the Verification andValidation of Scientific and Engineering Computer Programs for theNuclear Industry• ISO 9001 Quality Management Systems – Requirements• SEI Capability Maturity Modele. Perform an assessment of safety software quality, including procurement activities,using guidance such as IEEE 1028, IEEE Standard for Software Reviews and DOE G414.1-1, Management and Independent Assessments.

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APPENDIX ACONTINUING EDUCATION, TRAINING, AND PROFICIENCYPROGRAMThe following list represents suggested continuing education, training, and otheropportunities that are available for DOE personnel after completion of the competencyrequirements in this technical Functional Area Qualification Standard. It is extremelyimportant that personnel involved with this program maintain their proficiency throughcontinuing education, training, reading, or other activities such as workshops, seminars,and conferences. The list of suggested activities was developed by the Subject MatterExperts involved in the development of the Functional Area Qualification Standard and isnot all-inclusive.LIST OF CONTINUING EDUCATION, TRAINING, AND OTHER ACTIVITIESSafety Software Quality Assurance personnel shall participate in an Office/Facility-specific continuing training and qualification program that includes the followingelements:1. Continuing technical education and/or training covering topics directly related to thesafety software quality assurance area as determined appropriate by management. Thismay include courses/training provided by Department of Energy, other governmentagencies, outside vendors, or local educational institutions. Continuing training topicsshould also address identified weaknesses in the knowledge or skills of the individualpersonnel.2. Active performance of the duties of a Safety Software Quality Assurance specialist at aDepartment 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 IndividualDevelopment Plans.S

CHAPTER-12

TRANSACTIONAL ANALYSIS (TA)

12.1 Introduction:

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Individuals interact and communicate with each other not only to exchangeinformation but also to reinforce their feelings about themselves and each other.It is at this “Feeling” level of communication that they make “transactions” witheach other when they communicate.

Such transactions on the job are very important. On the one hand, transactionscan make people comfortable and free them to work productively. On the otherhand, they can make people uncomfortable and tie-up their energy in emotionalconflict that renders them almost incapable of working. Systematic study andanalysis of transactions improves one’s understanding of interpersonalbehaviour.

TA offers a theory of personality and interpersonal communication. It is a usefultool 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 eachother so that they may develop better communication and improved humanrelationships.

Transactional analysis grew out of psychoanalysis and group therapy and was ameans of treating individuals who were unable to form relationships with others.Today, TA has received great popularity and a wide appeal because it is basedon a well-developed psychoanalytical theoretical base and it uses very simple,understandable, everyday terminology. Everyone can readily relate to theconcepts and practice of TA.

Very often, because people have developed certain behaviour patterns overmany years, their reactions can be automatic and seemingly inevitable. If theboss reprimands an individual, the response is given in a predictable manner. Ifone of the staff members makes some mistake, the manager will likewise usuallyhave a standard response. TA shows that such automatic reactions are notnecessary and that people have a great deal of freedom of choice in how anytransaction develops. In particular, TA emphasizes how important the openingstatement in an transaction is for determining the outcome of the interaction.Proper understanding of TA enables an individual to use an ego state which isappropriate to a situation and to help those with whom he interacts to move intoego states which will complement his own and lead to constructive transactions.He can thus prevent himself becoming “hooked” into unproductive transactionsand 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 andlife-script analysis, stroking, time-structuring and games analysis.

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12.1 Background of TA:

Any discussion on TA necessarily starts with the name of Dr. Eric Beme, thepioneer of the concept. He started the TA movement with his book “GamesPeople Play”. Another book “I’m ok–‘You’re ok” by Thomas Harris furtherpopularized TA. Other books by James and Jongeward, and Jongeward andWagner attempt to indicate how TA can be used in organizations.

It is interesting to know how the TA concept got originated. This credit goes toWilder Penfield, a neurosurgeon. In the year 1951, Wilder Penfield from McGillUniversity in Montreal made a thought-provoking discovery when he wasexperimenting on the brain of a middle aged patient. As his electrode touched aparticular spot in the brain (the memory cortex) the patient said that he wasliterally re-living his fifth birthday party – there were the boys and girls, wearingparty dresses, there was the piano music drifting into his cars and the smell of allthe delicious party – dishes came strongly to his nostrils. Following up thisexperience with data from a large number of patients, Penfield graduallyconcluded that all our experiences in which feelings are associated with eventsget inextricably locked in our memory. Similarly, human brain with all its 12 billioncells acts like a high fidelity tape-recorder. The recorded experiences andfeelings associated with them are available for replay as and when required andprovide much of the data to determine the nature of transactions.

After this, some behavioural scientists got busy trying to find out the effect of thisfact on our later behaviour. During the development of TA, Berne observed thatone can see people changing before one’s eyes. There may be changes ingestures, movements, facial expressions, posture, communication pattern andapparent changes in manner, appearance, words and tone of voice. Soon it wasdiscovered that there are three “ego – states” in the structure of our personality. Itideal 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 ofmind. It reflects one’s way of thinking, feeling and behaving at any given time.Ego-state is defined as a consistent mode of feeling and experience directlyrelated to a corresponding consistent mode of behaviour.

Every individual operates from three psychological states of being called asParent, Adult and Child ego-states. These states of being are not roles butpsychological realities. Berne says that, “P–A–C are not concepts like ego,superego and id, but phenomenological realities”. The state is produced by theplayback of recorded data of events in the past, involving real people, real times,real places, real decisions, and real feelings.

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These three ego-states are roughly equivalent to the Freudian concepts of id(Child), ego (Adult), and superego (Parent) in psychoanalytical theory. Id is thecore of the “unconscious”. It is constantly struggling for gratification and pleasure.Aggressive impulses of id are destructive and include the urges to fight, dominateand generally destroy. Ego is “conscious” which represents logic and reality. Egokeeps the id in check through intellect and reason and it interprets reality ofexternal environment. Superego is the “conscience”. It provides norms thatenable the ego to determine what is right and what is wrong. These three-id-ego-and-superego-warring factors within human personality, stimulate, monitor andcontrol behaviour. These three basic concepts in Freud’s psychoanalytical theoryare simplified further in TA through the concept of the three–P–A–C–ego-states.

TA believes that a healthy personality is able to move from one ego-state toanother. Through proper understanding of the Parent, Adult and Child, one canunderstand and predict the behaviour of the individual. Better insight andawareness 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 theattitudes and behaviours of all emotionally significant people who serve as parentfigure when an individual was a child. The values and behaviours of these peopleare recorded in the mind of the individual and these become the basic values ofthe personality.

Parent ego-state is a result of the “messages” (conditioning) people receive fromtheir parents, older sisters and brothers, school teachers, and other authorityfigures during their early childhood. These messages are like little cassette tapesn people’s heads. They are in place, stored up, and ready to go when right buttonis 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 verycommon parent message “to eat everything and to clean-up the plate” is giventhrough parent tapes. Children are taught that it’s good to clear-up the plate andbad to leave food on the plate.

Thus, parental recordings say such things as “it’s right”, “it’s wrong”, “it’s good,”“it’s bad”, “you should”, “you shouldn’t” “you must” “you must not”, “you can’t”,“you ought to”, etc. The Parent ego-state is the evaluative part of one’spersonality and it evokes value-laden behaviour. It sets limits, disciplines, judgesand criticizes. It gives advice and guidance, protects and nutures, establishesstandards and rules of behaviour.

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Structurally, there are two sub-compartments of the Parent ego-state: NO andCP i.e. Nurturing Parent and Critical Parent. The NP is that part of a person thatis understanding and caring about other people. The behaviour is loving andwarm. It protects and nurtures. It gives advice and guidance. It is encouragingand supporting. While behaviour coming from NP may set limits on and providedirection for people’s behaviour, it will not put these people down and make themfeel 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. Whenpeople are in their Critical Parent ego-state, they are very evaluative andjudgemental. They are always ready to respond with a “should” or “ought” toalmost anything people tell them. These people are very dogmatic andcontrolling. Their watchword is “Abide by the Rules”. Indeed, the half-mark oftheir character revolves around the sanctity of rules and laws.

Whereform does every individual learn to control and nurture? From his ownparents or in their absence the other parental figures of course. Their controllingand nurturing behaviour gets internalized during early childhood. Gradually itbecomes part of his personality – the values, attitudes, styles and manners ofbehaviour which constitute the initial behaviour. Individuals must examine theextent to which these values, attitude and styles carri3ed over from the parentalteachings are appropriate in a given context.

Accordingly, every individual should update his Parent ego-state by retainingsome 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 andthis certainly affects the capacity for making probability judgements on the basisof 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 usthat makes probability judgements and presents facts to others. There is noemotion in Adult. A professor lecturing to the class, a scientist presenting his dataat a seminar, a manager taking his decision about production schedule on thebasis 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, andproblem-solving. Individual interacting with Adult ego-state views people asequal, worthy and responsible human beings. It is based on rationality. Adult ischaracterized by logical thinking and rational decision making. Individualsoperating 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 inthe reality of the external world.

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Adult evokes behaviour that would be described simply as logical, reasonable,rational, unemotional, factual, and calculating. It tries to upgrade decisions byseeking facts, processing data, estimating probabilities, and holding factualdiscussions. Individuals behaving from their Adult are examining alternatives,probabilities and values prior to engaging in behaviour. Adult behaviourgenerates mutual respect. Adult ego-state can be identified by verbal andphysical signs which include thoughtful concentration and factual discussion.

Adult ego-state can update the other two ego-states and monitor them, if it isemancipated. The Adult ego-state starts developing from the age of about 18months. The process of Adult formation goes through one’s own experience, andcontinuously updating parental injunctions by verifying. Sometimes parents donot practice what they preach and show inconsistency in their action. Forinstance, parents teach their children never to tell lies but they may at the sametime ask their children to respond the phone call saying, “Tell them I’m not athome.” The children’s Adult observes this discrepancy and determines that theparental 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, anindividual at the later stage of life may block his Child and Parent ego-states anduse his Adult ego-state only based on his experience. As an individual updateshis Parent, similarly he also updates Child data to determine which feelingsshould be expressed. Thus he controls and keeps emotional expressionsappropriate.

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Thus, the Adult ego state is that part of an individual which is reality – orientedand problem-centered. It attempts to take life’s experience as data and rationallydeal with them. The projective of the maturing individual in TA terms is to“emancipate” the Adult which means to free oneself both from the Child’s feelingsof helplessness and dependency (I’m NOT OK) and the Parent’s edicts which areall – pervasive from leisure to work.

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Just like “Adult Emancipation”, TA advises people to place their “Adult in theExecutive” by being receptive to information, developing alternatives, estimatingprobabilities before making the most appropriate decision while responding to agiven 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

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stored memories of past experiences have to say. Thus, looking at facts, Adultego-state makes decisions “what fits”, “what is most useful”?

TA puts high value on keeping “Adult in the Executive”. When Adult is placed inthe Executive, the individual learns to receive more and more stimulus throughhis Adult. Executive stops, listens to himself and thinks before acting. Heevaluates before action and takes full responsibility for his thoughts, feelings andbehaviour.

(iii) Child Ego-State:

Child ego-state reflects the “felt” concept of life. It is the recording of internalevents, the responses of the individual to what he sees and hears and feels.Child ego-state is the centre of all one’s emotions, feelings, and creativity. It isthe source of one’s energy, curiosity and intuition.

It is “site” of one’s early experiences including one’s preferred way to getattention from authority figures. It is the most important ego-state in terms of itsactual “control” over one’s life.

Characteristics of Child ego-state include conformity, depression, dependence,anxiety, fear, love, and hate. Physical and verbal clues that the individual isacting 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 individualsin their early years of life say upto the age of five years in the process o growingup. The Child is inept, clumsy, without understanding and ability to constructmeanings. It takes life as it comes in stride. Child ego-state contains the earlyrecordings of imagination, spontancity and excitement. It includes feelings of joyand love as well as feelings of frustration, inadequacy and helplessness.

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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 partin one’s personality. It represents the way one is when one is born-natural,loving, carefree, dependent, and trusting–with all one’s capabilities for leading ajoyful and meaningful existence. This part of one’s personality knows no rulesand consequently operates without regard for others and is unconcerned abouttheir reactions. The NC is affectionate, impulsive, fearful, self-centered, andaggressive and may emerge in many unpleasant roles. Cracking a joke orenjoying music, telling a story or being creative in any way, feeling curious, or

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anxious, or sad, or mad, or glad etc. are functions of this ego-state. NC exhibitsmore 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 toparental wishes and desires. The further two sub – compartments in AC are CCand RC. Compliant Child is complying with parental expectations. From an earlyage, the individual makes adaptations to help him to get along with and getattention from authority figures, for instance, saying “thank you”, “sorry” atappropriate times, not making personal comments about others in public.

Some individuals learn when they are young that the best way to get along isalways to say “yes” and never to apply their better judgement, experience, orknowledge. “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 toprocrastinate. If he gets attention, even though negative, the same behaviourcontinues.

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 whenthey are “naughty”. Such individuals carry over this behaviour to theirorganizations 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 isthe intuitive part of one’s personality that senses things about other people in aflash. It gives very brilliant and non-logical insights for problem-solving.

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12.1 Diagnosis of Ego-States:

In order to understand what ego-state an individual is in, there are different waysto identify the ego-states and they include: basic concern, thoughts-words-phrases, feelings, special attributes, attitudes, and behaviours. Also it is veryimportant to take note of tone of voice, gestures, postures and facial expressionsin diagnosing ego-states.

(I) Basic Concern:

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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, Don’tWorry, Keep it up, Well Done, Go Ahead, Take it Easy, Relax, God Bless You.

CP: Do/Don’t, Good/Bad, Should/Shouldn’t, Always/Never, Right/Wrong, Ought,Must, I Know Best, Don’t Ask Questions, Because I said So, That’s Ridiculous,That’s Disgraceful.

Adult: Who? What? Why? When? Where? Which? How? Can We Find Out?What Are The Options? Let’s Look At It Again! Correct! Practical!

NC: I wish, I Want, I Feel, I Can, Great, Oh God, “Hi”, Fantastic, Indeed, IWonder, I hope, ouch.

AC: Let Me, May I, Help Me, Love Me, Don’t Leave Me, Please, Thank You, I’lltry Hard, Protect Me, Is It Alright If I …? Why Can’t I Ever …? Sorry.

RC: No, Never, I Won’t, I Can’t

(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:

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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 andStrags, 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-NoddingEmbarrassed Gestures, Innocent, Self-Protective

RC: Temper-tantrums, Attacks, Sulking, Pouting, Spiteful, Selfish, Manipulative,Final, Defiant, Placating, Whining.

(VII) Tone of Voice:

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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 anindividual showing the percentage of his time spent in particular ego-states whileat 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 theother. No one ego-state is either good or bad. Behaviour from each ego-statecan be positive or negative in the sense of having healthy, helpful and effectiveoutcomes 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 andrelationships.

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TA enables people to better understand their own ego-states and those of othersand thus to interact and relate with each other in a meaningful way. TA makespeople aware of attaining access to behaviours from all the three ego-states sothat they have maximum choices in dealing with others.

A healthy balanced personality listens to the P-A-C of self and pays full attentionto the three different voices inside oneself.

12.5 Internal Dialogue:

In any individual, the ego-states do not operate independently of each other, andfrequently interact to give an internal dialogue. For instance, while balancing the

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work-home interface, one’s own CP may take to task one’s own child and give alot of trouble. Internal dialogue can absorb a great deal of energy. Others cannotspot this behaviour of “Influencing Parent”. They can only notice the resultantdepressed attitude. If the dialogue continues on negative line, it may affect workperformance severely.

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Many times after talking too much in individual blames himself as to why didn’t hekeep his mouth shut. When he is all alone, the punishing voice of regret oftenplays like a broken record “if only…”, “if only…”, “if only…” If only he could speakup, if only he could take back some words, if only he could erase theconversation. Thus, the internal dialogue inevitably creates bad feelings. TAessentially emphasizes to take the internal dialogue on positive lines. It teachespeople that though they cannot stop the bad feelings from coming, they can keepthem 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 P–A–C ego-states. The contents of Parent, Adult and Child ego states are of course uniqueto each individual as the experiences recorded are unique to each. Just likecontents, individuals also differ in the working arrangement, or the functioning ofP–A–C.

There are different functional problems when normal healthy growth ofpersonality has not taken place. These functional problems can be described asfollows:

(i) Contamination:

In ideal situation, the P–A–C circles are shown as separate, just touching eachother. In the phenomenon of contamination, the circles overlap as shown in thefollowing figures:

[DIAGRAM]

CHAPTER-13

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Inter Personal Behaviour &

Influencing Relationships

13.1. Introduction:

Dyadic relations, that are the two-person relationships, represent in many waysthe smallest form of a group. Trust, openness, acceptance, are all possibledimensions of an individual’s personal and interpersonal relationships. There areseveral general observations regarding interpersonal behaviour.

(1) Communications: Both verbal as well as nonverbal communications is anessential part of the interpersonal relationship. Interpersonal communicationis the process by which contact is established between min and min when twoindividuals interact with each other. The quality of encounter and relationshipthat occurs between two individuals through such active interaction is veryimportant. It determines the extent to which growth and development areenabled. Mutual trust, understanding, and consideration grow out of positiveinteractions. Interpersonal communication communicates three things: Who isI control, who likes whom, and how strong are the feelings.

(2) Role of parents: Individuals usually have a tendency to interact with others inthe same ways that they have observed their parents interact with people.“Just as the twig is bent the tree’s inclined”.

(3) Role of Needs: There is general agreement that individuals have variousneeds. One of these needs is the need for satisfactory relationship withothers. “People need people”.

(4) Self-concept and self-Identity: An individual’s self-concept includes the “I” and“Me” aspects that reflect his perception about himself and how he thinksothers 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 arelike them or agree with them.

(6) Basic dimensions: “Dominance-Submission” and “Acceptance-Rejection” aretwo basic dimensions in interpersonal relationships.

(7) Role of rewards: There is general agreement that behaviour that is rewardedwill be repeated.

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(8) Norms and rules: Norms and rules provide regularities to an interpersonalrelationship. They reduce uncertainty and help to satisfy ‘individuals’ need forpredictability in their relationships.

(9) Reciprocity: There is some evidence that an individual tends to treat othersthe way they treat him.

(10) Social intelligence: A high ability to detect the cues that indicate what it isthat another individual feels or expects will contribute to satisfyinginterpersonal relationships. *

Every individual differs in his ability to create, develop and stabilize interpersonalrelationships. Most of the individuals continuously undergo the process oflearning to acquire necessary skills for developing enduring interpersonalrelationships. Building effective interpersonal relationships largely depends oninterpersonal liking or attraction.

13.2. Approaches Explaining Interpersonal Attraction:

It is interesting to understand why an individual gets attracted to some peopleand not to others. The answer lies in the common observation that an individualis 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 exchangerelationship. Each of these two reinforces constitutes the basis of an approachfor explaining interpersonal attraction. The two approaches that follow areaccordingly 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 hesees that person as a means of satisfying his different level needs: physiological,safety-security, social, esteem and self-actualization. Sometimes individuals feeldeprived or deficient. The individual’s perceived “deficiency” can be reduced bythe other individual in an interpersonal relationship. For instance, individuals whoare deficient in safety needs or social needs expect appropriate reinforces fromother individuals with whom they interact so as to satisfy the unfulfilled needs.

Apart from deficiency satisfying, Maslow also refers to growth satisfyingrelationships to explain interpersonal attraction. For instance, an individual getsattracted to the other individual for what that individual “is”, and not for what hecan “give” (like food, clothing, shelter etc.) by being with that person theindividual partially satisfies this self-actualization needs.

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There is yet another concept of “complementary needs” satisfaction to explaininterpersonal attraction. It emphasizes those individuals who differ in needsstructure are attracted to each other. For instance, an individual who is dominantmay seek to form interpersonal relationship with someone who is submissive. Inthese relationships, both individuals feel that the interaction is mutuallyrewarding.

13.2.2. AN exchange approach:

An exchange approach to interpersonal attraction emphasizes that individualsare attracted to one another because of the rewards and costs exchanged in thetransaction.

Most influential analysis of relationships is found in the exchange approach. Itessentially argues that individuals are concerned with the outcomes (rewardsand costs) they receive in a relationship. A reward can be anything the individualfinds reinforcing. It may include love, money, status, information, goods andservices. A cost is a negative consequence that occurs in a relationship likeconflict, 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 therelationship is fair. No one likes to feel exploited by others, nor does he like totake advantage of others. An individual prefers to share and share alike in arelationship. If individuals perceive that costs are greater than rewards, they feelunhappy, 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 otherpeople 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 conceptof “comparison level” which plays a significant role in interpersonal relationship.The comparison level is a kind of standard against which an individual evaluatesa relationship. There are two types of comparison levels. The “GeneralComparison Level” (GCL) refers to average profit from all of an individual’srelationship. If profit from an interpersonal relationship falls below the generalcomparison level, the individual will be dissatisfied with the relationship and viceversa.

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The “Alternatives Comparison Level” (ACL) refers to the profit an individual couldreceive from other available interpersonal relationships. When profit from aninterpersonal relationship falls below the alternatives comparison level, theindividual 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, sinceindividuals have different perceptions of the extent to which they have controlover their own fate. An individual, who perceives high degree of control, isusually aware of potential rewards than the costs. As a result, he has relativelyhigh comparison level. On the other hand, an individual who perceives lowdegree of control is ore concerned with costs than rewards. Consequently, hehas a relatively low comparison level. High and low comparison level determinesthe 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 aredissatisfied 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 thoughdissatisfied, X will continue the relationship with manager Z.

On the contrary, individual Y may perceive that alternatives are better thanpresent outcomes. That is, ACL > O. As a result, he may discontinue thedissatisfying 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 alternativeswhereas individual Y may emphasize the rewards.

13.3. Basic Principles of Inter Personal Attraction:

The most powerful four determinants of interpersonal liking are: personalqualities 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 unlikabletraits include mean mindedness, rudeness, selfishness, hostility, greediness,unkindness, dishonesty, insincerity and narrow-mindedness.*

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Social psychologists believe that the key components of liking are affection andrespect. Affection stems from the way another person treats an individual, and isexperienced as emotional warmth and closeness. Respect is based onadmiration for an individual desirable characteristics and competence.

Interpersonal liking is largely influenced by the factor ‘competence’. Nature ofrelationship, 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 ininterpersonal 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 inthe old adage that “birds of a feather flock together”.

Explaining the similarity effect in interpersonal attraction, the behaviouralscientists advance many points. First, similarity is usually rewarding. Peoplesimilar to the individual tend to agree with his ideas and bolster his confidence inthe rightness of his views.

Second explanation lies in the theory of cognitive dissonance which states thatpeople strive to maintain harmony or consistency among their attitudes toorganize their likes and dislikes in a balanced, consistent way. Thus, anindividual maximizes cognitive consistency by liking those who support his views.

Another explanation is that an individual deliberately selects someone who issimilar 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 individual’s liking forthose people. Repeated exposure improves an individual’s recognition of others.

13.3.4. Proximity:

Proximity relates to physical closeness and togetherness. Proximity usuallyincreases familiarity. Individuals who are physically close are more available thanthose who are distant. The ready availability of people close by also affects thebalance of rewards and costs of interacting as the social exchange theoristspropose.

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These four factors are indeed highly influential in determining interpersonalattraction.

In addition, role of emotions also should be considered with reinforce tointerpersonal attraction.

13.3.5. Role of Emotions:

Research indicates that positive feelings increase interpersonal attraction whilenegative feelings decrease it. Positive or negative emotions not only influenceinterpersonal behaviour but also interpersonal evaluations. An individual’sjudgements and behaviour is affected by his own feelings as well as by theemotional states of others.

Affect is crucial to interpersonal attraction

* Anderson Norman, “Likableness Rating of 55 Personality-Trait Words,” Journalof Personality and Social Psychology, No. 9, pp. 272-279.

Because an individual likes those who arouse positive emotions and dislike thosewho arouse negative emotions.

13.4. Enduring Interpersonal Working Relationships:

It takes time to form enduring interpersonal working relationships. Usuallydevelopment 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 interpersonalworking relationships, one has to consciously practice certain skills. Such abilityis not inborn; one has to learn it through efforts. In order to acquire Interpersonalsuccess 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 ofthe term “Inter Personal Success skills” provides some crucial factor for buildingthese skills.

I – Introspection, Intellectual abilityB – Nuisance reducing ability, Nobility

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T – Tactfulness, TrustworthinessE – Empathy, Enlightened attitudeR – Resilience, Reflecting backP – Perseverance, Providing feedbackE – Expressing ideas, feelings, thoughtsR – Resourcefulness, Respectability

S – Sympathy, SincerityO – Open-mindedness, OptimismN – Negotiating ability, nurturing abilityA – Authenticity, Adaptability, AssertivenessL – Listening ability, Leadership ability

S – Self-confidenceU – UnderstandingC – Consideration, CommitmentC – Commonsense, CooperationE – Earnestness, EnthusiasmS – SmartnessS – Spontaneity

S – Sense of proportionK – KnowledgeI – IntegrityL – LoyaltyL – LivelinessS – 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 ofspending large time in the company of others throughout the working life.Individuals in the organizational setting usually have many relationships ofdiffering duration and intensity including various terminated relationships. Man oftheir relationships fails to progress satisfactorily and leave behind only fadedmemories.

There are various factors which determine the course of development of anyrelationship. Interpersonal liking or attraction, intensity of feelings, trust andconfidence, reliability and predictability, interdependence, intimacy, andinvolvement are very important variables – to name just a few – that affect theprogress of relationship development. In addition to these, there are many other

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factors which play a significant role in the complex interactions that take place asthe relationship progresses.

A relationship is said to exist when two people are interdependent – that is, wheneach person influences the other. A close relationship is one when there isfrequent interaction involving many different kinds of interaction and strongmutual influence *

Mutual influence is the most significant aspect of interpersonal relationship. Evenin most superficial interaction, individuals cannot help influencing each otherhowever-slightly. In fact, interpersonal influence is inherent in every relationship.Even the mere presence of others influences an individual though there is nointeraction. Obviously, actual interaction further enhances the process ofinfluencing. Conformity and compliance are the most common processes ofinfluencing others to behave in acceptable manner. Individuals are capable ofinfluencing 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 ofothers. Many techniques can be used to increase the likelihood that targetpersons will in fact say yes.

Ingratiation involves efforts by requests to increase their attractiveness to targetpersons. It involves a wide range of specific tactics such as flattery, theexpression of agreement with the target persons, and self-deprecation and self-disclosure.

Other tactics for gaining compliance involve multiple requests. One suchprocedure is the “foot-in-the-door technique”. Here, requesters begin with a smallinitial request and then, when it is accepted, shift to a larger one. Recentevidence suggests that this technique is successful because agreeing with aninitial request leads individuals to perceive themselves as being helpful. Theythen comply with follow-up requests in order to be consistent with this changedself-image.

A related technique involves opposite procedures: Those seeking compliancebegin with a large request and then, when it is refused, back down to a smallerone. This tactic, known as the “door-in-the-face technique”, works because targetpersons feel obliged to reciprocate the requester’s concession with one of theirown. While both the foot-in-the-door and the door-in-the-face techniques can besuccessful in increasing compliance, the foot-in-the-door seems applicable to asomewhat wide range of situations.

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An additional technique for gaining compliance involves “Sweetening the deal” –offering individuals something extra before they decide to accept or reject arequest. This strategy is known as the “That’s Not All” (TNA) technique and insome situations is quite effective.

13.13.2. Obedience:

The most direct form of exerting influence is “Obedience. – Direct orders fromone person to another. Research findings indicate that many people will obeycommands from an authority

* Sears, David, O., L.A. Peplau, J.L. Freedman and S.E. Taylor, “SocialPsychology”, Prentice-Hall International Inc., 13th 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 uniformsor have other visible signs of their power.

Obedience can be reduced through various procedures. These include remindingindividuals that they, not the authority figure, will be responsible for harmfuloutcomes. Another one is exposing the targets of obedience to disobedientmodels. Yet, one more is inducing such targets to question the motives orlegitimacy of those in authority *

13.7. Influence Patterns:

According to Kelman** there are three processes by which people can beinfluenced: compliance, identification, and internalization, or some combination ofthese.

Compliance occurs when people are influenced to do something against their willbecause they have been coerced into doing it. People may obey because thecosts or consequences of not obeying may be too high. Especially when peopleconform to group norms through compliance, they do so because they feel that itis important to be seen to hold group norms, either because they fear or dislikegroup disapproval. However, the fact that people comply, that is, agree outwardlywith the groups, does not mean that they necessarily believe in their norms andvalues. It is only when they comply through private acceptance of the group’snorms 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 dobecause they like him and want to put forth the effort to accomplish the thingsthat the leader would like them to do. This usually happens when the leader is

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attractive, or acts as a role model, or has some qualities that are valued andadmired by others.

Internalization occurs when followers are convinced that acting in particular waysas directed by the leader, is in their own best interests.

Influence is considered to be the process of affecting the potential behaviour ofothers. It involves the ability to alter other people in general ways, such as bychanging their satisfaction and performance.

13.8. Distinctions between Influence, Power and Authority:

Quite often the three terms influence, power, and authority are considered to besynonymous. However, there are subtle differences.

Influence is usually conceived of as being broader in scope than power. It ismore closely associated with leadership than power is, but both obviously areinvolved in the leadership process.

Power can be defined*** as the ability to get an individual or group to dosomething – to get the person or group to change in some way. It is the face orability to make desired things happen in organizations.

* Baron, Robert, A and Donn Byrne, “Social Psychology, Understanding HumanInteraction,” 13th Ed., Prentice-Hall of India, 1993. pp. 328-3413.** Kelman, H.C. “Compliance, Identification and Internalization: Three Processesof 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 certainindividuals because of the position they hold and the responsibilities they areentrusted with in the system. Authority legitimizes power and it itself is a sourceof 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 commandbecause o the position held by the individual in the system.

13.9. Influencing Behaviours:

Manager’s job essentially involves the integration of individual efforts towardsorganizational objectives. This aspect of managerial role involves influencing thebehaviour of individuals and groups. The influence system*, as part of the

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psychosocial system, provides a frame work within which the manager’sleadership takes place.

Influence: Influence denotes any “changes in behaviour of a person or groupdue 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) orindirect (through the medium of ideas).

When influence is considered as responsible for bringing about change inbehaviour, one has to focus attention on influence as al-inclusive concept. Onehas to study both overt and covert behaviours and the various modes by whichbehavioural change is induced in individuals and groups.

Accordingly, Katz and Kahn *** point out, “Influence includes virtually anyinterpersonal transaction which has psychological or behavioural effects. Controlincludes those influence attempts which are successful, that is which have theaffects intended by the influencing agent. Power is the potential for influencecharacteristically backed by the means to coerce compliance. Finally, authority islegitimate power; it is power which accrues to a person by virtue of his role, hisposition in an organized social structure”.

13.10. Different Ways of Influencing Behaviour:

There are various manner in which bahviour can be influenced directly orindirectly. A spectrum of ways to influence behaviour is shown in the followingfigure. Several distinct

* Kast, Fremont, E. and James E. Rosenweig, “Organization and Management4th 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 CoercionStriving to equal Placing or bring- Prevailing on a Forcing constraintor excell ing an idea, pro- person by advice,

position, plan be- urging, reason, orfore a person’s inducements to domind for consider- some-thing (ratheration or possible than force)action

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Imitating with Compulsioneffort to equal orsurpassApproaching or Physical pressureattaining 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 Organizationand Management, 4th 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 forcefulmethods.

13.10.1. Emulation:

Emulation requires no direct contract between individuals; yet it is a powerfulinfluence on behaviour. Public figures like filmy hero-heroines or famous athletesare usually aware of the extent to which people imitate their behaviour. Kast andRosenzweig* mention that some professional athletes have refused lucrativecontracts to endorse cigarettes because of an image they wish to portray toteenagers. Public media like television, films, newspapers and biographicalbooks provide tremendous exposure for ideas and life-styles. People often pickout certain behaviour patterns that appeal to them and strive to adopt them.

In influencing people, emulation is a much more subtle phenomenon than isindicated by the above reference to celebrities. In the organizational settings,members are aware of the behavioural patterns of co-workers and various seniorbosses. Certain individuals whose behavioural patterns are “appealing”, becomethe “models”, and their behavioural patterns are adopted by others who hope toattain similar success. Others “play” certain roles in organizations. Manybehaviour patterns are perpetuated in organizations primarily on the basis ofemulation – with neither formal position descriptions nor direct interaction in theform 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 orbetween an individual and a group. It is an explicit attempt to influence behaviourby presenting an idea or advocating a particular course of action. Typically, thismode is used when several alternative behaviour patterns for individuals or

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groups are acceptable and the influencer is merely suggesting a preferredpattern.

If this tolerance for different behaviour in a particular role were not present, theinfluence 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 thedesired response. It involves more pressure than a mere suggestion but fallsshort of the type of force implied by the term coercion. Applied behaviouranalysis (a means of behaviour modification stemming from Skinnerian operantconditioning) can be viewed as a form of persuasion. Positive reinforcement fordesired (from the point of view of the influencer, or “shaper”) behaviour tends toinduce the influence to continue that behaviour. Reward systems that mayinclude only recognition and praise have proved successful in modifyingindividual behaviour – by reduced absenteeism, for example, - in a number oforganizational settings. *

13.10.4. Coercion:

Coercion involves forcible constraint, including use of physical pressure. “We willhave to do some arm-twisting” is a typical phrase that figuratively describes amethod of persuasion based on physical pressure. Literally, a hammerlock couldcoerce an individual into a particular bit of behaviour. A person wielding a gun,knife, or other similar weapon could also forcibly evoke specific behaviour fromanother 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. Inmany cases the threat of dismissed (actual or implied) is also a powerfulinfluencer.

Thus, influence system involves a spectrum of ways to affect behaviour –emulation, suggestion, persuasion, and coercion. The concept of an influencesystem stresses the multidirectional nature of influence processes – laterally anddiagonally 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 offorms of interpersonal behaviour (within the circle) together with correspondingforms of behaviour (outside the sectors) likely to be evoked by each.

Leary’s classification of interpersonal behaviour reflects two kinds of relationship:

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(i) Power (dominance-submission), and(ii) Affiliation (hostility-affection)

Different combinations of these two basic forms of relationship are portrayed asdifferent 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 andMethodology 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 oppositesides of the circle: dominating on the upper half (sectors 1, 2, 7 and 8), andsubmissive on the lower half sectors (3, 4, 5 and 13). Affection and hostilityappear 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. Thephrases outside each sector indicate the nature of attitudes and behaviour thattends 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 ofinitiating and responding behaviours. (Inside and outside the circle respectively).

It is important to note the significant implications of Leary’s 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 affectionbegin (2 to 4) and those of hostility end (5 to 8) – is understandable as this sectorincorporates behaviours which are necessarily based on a combination ofbehaviours of both affection and hostility evoking somewhat mixed feelings andresponses on the part of the others. For instance, an effective manager or aleader not only has to render help, support and sympathy as in sector 2 (whichwill 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 andresistance may not express themselves outwardly, but an antagonistic feelingand a hostile attitude is bound to generate in others.

Thus, if one considers interpersonal relationship based on friendship, sympathyand affection as positive (+) relationship and that based on hostility (5 to 8) as anegative (-) relationship, then the effective manager has to and does develop aneutral () relationship, possibly slightly leaning towards positive, by skillfully

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blending behaviours in various sectors. Ultimately he has to obtain respect andcompliance.

Every interpersonal relationship has a history and the classification helps inexplaining the initiating and responding behaviour pattern which hasultimately resulted in that relationship.

Once a relationship is formed – negative, positive, or neutral any latebehaviour is interpreted and responded to on the basis of that. For instance, ifthe existing relationship is of hostility, then any behaviour of affection will besuspected and will be indifferently responded with.

Every interpersonal relationship is based on mutual and reciprocal initiatingand responding behaviour pattern. It takes two individuals to build it. Both areequally responsible. If relationship is of hostility or submission one can notclaim that the other is responsible for it. He is equally responsible for hisactions or inactions which must have contributed to the development of therelationship.

Inter-personal relationship of any type can be developed through consciouslyplanned use of behaviour indicated in various sectors of the classificationchart in the figure.

The classification also implies that there always exists an appropriateinitiating behaviour to obtain a desired response from other persons. Wheninitial behaviour fails, one usually does not try and explore other behaviours.However, if he tries differently, he may obtain the desired response. Forinstance, the superior may be responding to his subordinates withpunishment or rejection as he thinks from the way the subordinateapproaches him that the subordinate is argumentative, that is, rebellious(sector 13). On the other hand, if the subordinate approaches him withbehaviour in sector 4 by seeking help and advice, he may as well give helpand advice.

Finally, once a mutually desirable relationship is developed it obviouslyrequires sustained mutual effort and care (reinforcement) to maintain it. Itcannot be taken for granted to be there without any further effort at all times infuture.

13.12. FIRO-B:

The basic nature of human beings is social and it gives rise to certaininterpersonal needs. The basic styles of individual behaviour by which peopleestablish relation with others can be studied by “FIRO –B” (FundamentalInterpersonal Relationship Orientation Behaviour).

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Schutz’s FIRO-B is a group administered questionnaire containing 54 itemsreflecting a person’s fundamental interpersonal relations orientation andbehaviour. Although each individual has different intensities of need and differentmechanisms for handling them, people have three basic interpersonal needs incommon:

(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 maintainsatisfactory relation between the self and other people with respect to interactionor belongingness.

Some people like to be with other people all the time; they want to belong toorganizations, to interact, to mingle. Other people seek much less contact; theyprefer to be alone, to interact minimally, to stay out of groups, to maintainprivacy. If a continuum were to be drawn between these two extremes, everyperson could be placed at a point at which he feels most comfortable. Thus, to acertain degree each individual is trying to belong to a group, but he is also tryingto maintain a certain amount of privacy. From the other point of view he wishes tosome degree to have people initiate interaction towards him through invitationsand 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 withpeople. 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 intheir 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 tomaintain a satisfactory relation between one self and other people with regard topower and influence. Every individual has a need to control him situation to somedegree, so that his environment can be predictable for him. This need for controlvaries from those who want to control the entire environment, including all thepeople around them, to those who want to control no one in any situation, nomatter 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 becontrolled by other people, from those who want to be completely controlled and

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are dependent on others for making decisions for them to those who want to becontrolled 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 guideor take decision.

The wanted need for control is the extent to which one wants others to take himin 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 needto maintain a satisfactory relation between the self and other people with regardto love and affection. In the business setting, this need is seldom made overt. Ittakes 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 whenhe meets people.

The wanted need for affection is the extent to which one wants others to showlove 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-Bquestionnaire.

13.13. Conclusion:

Interpersonal behaviour and Interpersonal relations constitute an interesting butcomplex area in organizational behaviour. In order to understand one’sinterpersonal pre-dispositions and tendencies, the extremely useful concept isthe concept of transactional analysis (TA). This important concept is consideredin the next chapter.

[DIAGRAM]

Case: (1)

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Tackling Un-co-operative Behaviour

For the last six months “Paragon Plastics was facing certain “people problems”.The basic problem was not that people “couldn’t do”, but whole trouble was thatpeople just “won’t do” their tasks, How to make its people contribute their bestwas a major issue in the company. It was a general prevailing feeling thatinterpersonal relations in that organization left a lot to be desired. Team-spiritwas almost non-existent when Ajit Wacha, immediately after completing hismanagement education, joined here last month as Asst. Production Manager.

Ajit soon realized that there was a dearth of positive sentiments among his peersand subordinates. During his induction period itself, Ajit had to tackle the problemof un-cooperative employees. He observed that the employees would take hisinstructions literally, hoping to fail and then be able to blame him for not clearlytelling them what to do.

Last Monday, Ajit god wild at Narendra, the operator, who exhibited behaviourwhich Ajit did, not like that is sluggishness and various time wasting activities likehanging 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 hewas deliberately challenging Ajit’s 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 andundesired behaviour in Paragon Plastics?

(3) How should Ajit go about improving the interpersonal relationships in theorganization?

(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 in1992. The Company is well-established into leasing and hire purchase ofautomobiles. The nature of his job involved close interaction with customers andfinalizing contracts with brokers. The schemes were competitive compared toother finance companies. The Schemes were designed, at the head office andregional office was advised to operate at a rate of 2% to 4% above the bottom

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line. In case of customers defaulting payment of installment of the loan taken, theasset that is the vehicle was repossessed and sold off.

Mr. Narang was his very first customer for the scheme who had bought a Marutivan under the hire purchase scheme. Mr. Narang owned a small industrial unitwhich he started just one year ago and needed the van for his business.Immediately after paying his second installment, Mr. Narang suffered from asevere 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 andworkings before repossessing the vehicle. Just before the sixth month, Mr.Narang came to Sreenivasan and narrating his plight requested for another sixmonths time for repaying all the twelve installments. Since this customer was stillundergoing medical expenses and his business was temporarily closed, he hadto make this personal request. Further, Mr. Narang was badly in need of the vanfor his travel so as to reorganize his business since he was not physically fit totravel by any other means.

Sreenivasan was moved by looking at his state and decided to consider hisrequest favorably and to help him. He asked Mr. Narang to pay just oneinstallment so that the Company will give him another six months time. After that,whenever the regional office enquired about Mr. Narang, every time Sreenivasansome how tried to manage the situation without sending him notice orrepossessing the vehicle.

As promised, Mr. Narang soon reorganized his business and cleared off all hisdebts to the company. Feeling overwhelmed, he could fetch new clients andgave good business to the company in recognition of the help he could receivefrom Sreenivasan during the critical period in his life. Mr. Narang was indeedvisibly touched with Sreenivasan’s favour. He uttered his heart felt words: “Youhave been such a wonderful person, one rarely meets people like you” andSreenivasan felt highly rewarded. Tears rolled in the eyes of both, goodwill wasgenerated, 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 theapproaches explaining interpersonal attraction.

3. What the basic principles of interpersonal attraction?

4. How can one go about developing successful interpersonal relationships?

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5. Discuss the different ways and process of influencing behaviour?

6. What are the different forms of interpersonal behaviour as per Leary’sclassification? Discuss the implications of initiating and respondingbehaviours.

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

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CHAPTER-14Small Group Behaviour

14.1. Introduction:

Small groups have existed since the time of the first human family. However, onlyrecently people have started to study scientifically the process by which smallgroups work. Small groups constitute the critical building blocks in organizationsand societies. They are an essential mechanism of socialization and a primarysource of social order. In fact, the human group is a formidable force and apervasive phenomenon in modern organizations. When managers understandhuman groups and the dynamics of group behaviour, they will be bale to utilizegroups to the mutual advantage of the group members and the organization.

14.2. Evaluation of Groups and the States of GroupDevelopment:

Groups tend to evolve over a moderately long period of time and are dynamic inthat they probably never achieve a completely stable structure; the organizationis always changing, however slowly, as are the relations among members of agroup. From the mid-sixties, it is believed that groups pass through a standardsequence 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 ofuncertainty about the group’s purpose, structure and leadership. In thisstage group members learn about each other and orient themselves to thesituation. Members are “testing the waters” to determine what types ofbehaviour are acceptable. This stage is complete when members havebegun to think of themselves as part of a group.

(ii) Storming: The storming stage is one of intra-group conflict. Membersaccept the existence of the group, but there is resistance to the constraintsthat the group imposes on individuality. Further, there is conflict over whowill control the group. When this stage is complete, there will be arelatively clear hierarchy of leadership within the group.

(iii) Norming: The third stage, norming, is one in which close relationshipsdevelop and the group demonstrates cohesiveness and strong sense ofgroup identity. This stage is complete when the group structure solidifiesand the group has assimilated a common set of expectations of whatdefines correct member behaviour.

* Tuckman B. W., “Developmental Sequence in small Groups” PsychologicalBulletin, June 1965, pp. 3144-99; B.W. Tuckman and M.C. Jenson, “Stages ofSmall Group Development Revisied, Group and Organizational Studies”,

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December 1977, pp. 419 – 27; and M.F. Maples, “Group Development:Extending Tuckman’s Theory”, Journal for Specialists in Group Work, Fall,191414, pp. 17-23.

(iv) Performing: The fourth stage is performing. The structure at this point isfully functional and accepted. The group finally settles down to completeits assigned tasks during this stage. Group energy has moved from gettingto know and understand each other to performing the task at hand. Rolesusually become flexible in that group members are willing to take onresponsibilities 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 theirdevelopment. However, for temporary committees, task forces, teams andsimilar groups that have a limited task to perform, there is an adjourningstage.

(v) Adjourning: In this last stage, the group prepares for its disbandment. Hightask performance is no longer the group’s top priority. Instead, attention isdirected towards wrapping up activities. Responses of group membersvary in this stage. Some are upbeat, basking in the group’saccomplishments. Others may be depressed over the loss of friendshipsgained during the work group’s life.*

This model of group evolution is helpful in that it provides an initialconceptualization by which one can understand group behaviour or grasp itsessence. In the real world, however, groups are much more messy than thisconceptualization depicts. They frequently are at different stages of developmentsimultaneously, or they skip stages and then return to them at a later period ofgroup development. For example, it is quite common for an organization toappoint a task force to solve a crisis it faces, and its members may initially stonnat each other rather than form. Like wise, a group can revert back to a previousstage. Therefore, even the strongest proponents of this model do not assumethat all groups follow its five stage process precisely or that stage four is alwaysthe 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

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(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. Asshown by Hawthorne Experiment,* “Affiliation” motive plays a major role in groupformation.

14.4. Small Group and Group Behaviour:

In the words of Bales**: “A small group is defined as any number of personsengaged in interaction with one another in a simple face-to-face meeting orseries of such meetings, in which each member relieves more impression orperception of each other member distinct enough so that he can, either at thetime or in later questioning, give some reaction to each of the others as anindividual”.

Thus this definition implies that the person must get the existence of eachmember 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 twoor more persons who come into contact for a purpose and who consider thecontact meaningful.”

This definition implies that the group should have some purpose or goal for itsbehaviour.

In the words of Mitchell****, “the common elements of these definitions (smallgroups) suggest that the small group is composed of a restricted number ofpeople usually fewer than ten who enjoy personal interaction over a long span oftime”.

Characteristics of small groups are:

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(1) The size of group is as small as two members, but limited to ten or so, tofacilitate 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 affiliatewith one another.

14.5.1. Propinquity theory:

The most basic theory explaining affiliation is propinquity. This interesting wordmeans simply that individuals affiliate with one another because of spatial orgeographical proximity. This theory would predict that students sitting next to oneanother in class, for instance, are more likely to form into a group than studentssitting at opposite ends of the room. In an organization, employees who work inthe same area of the plant or office, or managers with offices close to oneanother would more probably form into groups than those who are not physicallylocated together.

There is some research evidence to support the propinquity theory, and on thesurface it has a great deal of merit for explaining group formation. The drawbackis that it is not analytical and does not begin to explain some of the complexitiesof group formation. Some theoretical and practical reasons need to be explored.

14.5.2. Haman’s* I-A-S Theory:

A more comprehensive theory of group formation than mere propinquity comesfrom the theory based on “I-A-S” i.e. Interactions-Activities-Sentiments. Thesethree elements are directly related to one another.

The more activities individuals share, the more numerous will be theirinteractions and the stronger will be their sentiments (how much the other

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individuals are liked or disliked). The more interactions among individuals, themore will be their shared activities and sentiments; and the more sentimentsindividuals have for one another, the more will be their shared activities andinteractions. Thus, all these three elements influence and get influenced by eachother. This theory lends a great deal to the understanding of group formation andprocess. The major element is “interaction”. Individuals in a group interact withone another, not in just the physical propinquity sense, but also to accomplishmany group goals such as co-operations and problem solving.

14.5.3. Balance Theory:

The balance theory of group formation proposed by Theodore Newcomb** statesthat

[DIAGRAM]

Individuals are attracted to one another on the basis of similar attitudes towardscommonly relevant objects and goals.

This figure shows that Individual X will interact and form a relationship/group withIndividual Y because of common attitudes and values (Z). Once this relationshipis formed, the participants strive to maintain a symmetrical balance between theattraction and the common attitudes. If an imbalance occurs, an attempt is madeto restore the balance. If the balance cannot be restored, the relationshipdissolves.

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 Thibautand Kelley is receiving greater emphasis. This theory is based upon reward-costoutcomes of interaction. A minimum positive level (rewards greater than costs) ofan outcome must exist in order for attraction or affiliation to take place. Rewardsfrom 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 beexchanged. Such commodities would include information, expertise, status, andlove as well as money. Thus, in individual X invites individual Y to dinner, Y mayattempt to repay X’s effort and expense by conferring status on X. this might takethe form of thanking X or remarking about the excellent food, perhaps asking forthe recipe in order to show how pleased he was with the dinner. Eventually,

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however, Y may need to reciprocate in some manner-perhaps by asking X todinner.

The exchange theory emphasizes that the existence of an unbalanced exchangemay cause a strain in interpersonal relations.

14.6. Types of Groups:

There are numerous types of groups including small and large groups, primaryand secondary groups, coalitions, membership and reference groups, in-and out-groups, and formal and informal groups. Each type has different characteristicsand different effects on its members.

Often the terms “Small group” and “Primary group” are used interchangeablyTechnically, there is a difference A small group has to meet only the criterion ofsmall size, that is, the group must be small enough for face-to-face interactionand communication to occur. In addition to being small, a primary group musthave a feeling of comradeship, loyalty, and a common sense of values among itsmembers. Thus, all primary groups are small groups, but not all small groups areprimary groups.

Charles H. Colley was the first to define and analyze a primary group ascharacterized by intimate, face-to-face association and cooperation, for instance,family group and peer group. Later on, during Hawthorne studies, work groupsalso were found to have primary group qualities.

In addition to primary groups, coalitions are very relevant to organizations. Thereare also secondary groups which are large and face-to-face interaction may notbe possible. There are membership groups to which the individual actuallybelongs. Reference groups are those to which an individual would like to belong,thus the individual identifies with the reference groups. In-groups are those whohave or share the dominant values, and out-groups are those on the outsidelooking in. al these types of groups have relevance to the study of organizationalbehaviour, but the formal and informal types of groups are more directlyapplicable. Formal groups are defined by the organization’s structure, withdesignated work assignments establishing tasks. Informal groups are neitherformally structured nor organizationally determined; they appear in the workenvironment in response to the need for social contact.

14.7. Sub-classification:

It is possible to sub-classify groups as command, task, interest or friendshipgroups*.

A command group (also known as functional group) is defined by theorganization chart. It is composed of the sub-ordinates who report directly to a

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given manager. In other words, command groups have a combination of thechain of command and the span of control that identifies superior-sub-ordinaterelationships.

Task groups (also known as Project groups) are organizationally determined andthey represent those working together to complete a job task. However, a taskgroup’s boundaries are not limited to its immediate hierarchical superior. It cancross command relationships. It is important to note that al command groups arealso task groups, but because task groups can cut across the organization, thereverse need not be true.

The task group or the project group’s purpose is to attain its objective withinpredetermined time, cost and quality limits, after which the group is disbandedand everyone goes back to his regular department. These groups are employedin designing new products and solving particularly complex problems. Whateverthe objective, however, a project group draws personnel from many differentareas 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 groupsmay affiliate to attain a specific objective with which each is concerned. This is aninterest group. Employees who hand together to have their vacation schedulealtered, to support a peer who has been fired, or to seek increased fringebenefits represent the formation of a united body to further their commoninterest.**

Friendship groups represent those brought together because they share one ormore common characteristics. Social alliances which frequently extend outsidethe 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 formalorganization, 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 underauthority 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 anotherstructure consisting of informal relationships. Gray and Starlic*** define informalorganization as patterns of behaviour and influence stemming from humaninteraction within a formal structure. The interactions among participants arisespontaneously and are not prescribed by formal structure, nor can they becompletely controlled by formal authority.

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The concept of informal relationships with formal organizations has two facts:Macro and Micro. First, the macro facet relates to the broader, informalrelationships which embrace the entire structure. This facet is called “informalorganization”. Second, the micro facet relates to the individual behaviour withinthe 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 anddissimilarities 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, whereasformal organizations are planned through conscious efforts to accomplishpredetermined goals. Formal organizations are designed to be rationalinformal organizations are more the outcome of emotional rather than logicalthought process. Formal organizations are more stable whereas informalorganizations are dynamic.

(b) Position terminology: In the formal organizations, different jobs provide abasis for determining the relationships between them and individuals holdingparticular positions. On the other hand, roles determine the relationshipbetween the individuals and the informal organization with which they areassociated.

(c) Goals: The major goal of informal organization is the satisfaction of itsmembers, whereas formal organization purports to achieve profitability andservice to the society. Every manager should strive hard to providemeaningful goals to organizational participants so that there is no conflictbetween individual (informal) and organizational (formal) goals.

(d) Influence process: In the formal organizations, positions conferred onindividuals are the centers of power and influence. Authority is equated withinfluence. In contrast, influence in the informal organizations is attached to thepersons. The individuals with the most influence are the person who is mostable to satisfy the needs of the group. The influence flows form the persons inbottom to top; whereas in the formal organizations, it is directed from top tobottom positions.

(e) Control mechanisms: In the formal organization, control is exercised throughrules, 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.

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(f) Communication: In the informal organization communication is marked by fastspeed but low accuracy; whereas in formal organization it has slow speed buthigh accuracy. Formal organization depends on formal, official channels ofcommunication to seal the ideas of management to the organizationmembers. These officially blessed instruments are employed scrupulously toconvey the feelings of management to workers. Communication, thus, islargely a one-way traffic. The informal organizations design their own channelof communication, popularly known as “grapevine”, for both organizationaland social communication purposes. “Grapevine” tends to outstrip formalchannels 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 informalorganization involves only “accepted” ones. In the latter, interpersonalrelations arise spontaneously, whereas in the former, they are prescribed byjob descriptions. While the informal organizations are marked by emergenceof leadership through member agreement, the formal organizations assign itstructurally. In the former, interaction is based upon personal characteristics,social background and status, whereas its bases are functional duties orpositions in the latter. Lastly, in informal organization, cohesiveness forms abasis of attachment of members to them. In formal organizations, membersare attached to them through loyalty.

Thus, while both formal and informal organizations have structures, positionterminology, goals and allied general characteristics, they differ from each otherin 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 JobIII Goals Member-satisfaction Profitability or service to societyIV Influence

(a) Base Personality Position(b) Type Power Authority(c) Flow Bottom-up Top-down

V Control Mechanism Physical or Threat of firingSocial sanction (norms) or demotion

VI Communication(a) Channels Grapevine Formal channels

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(b) Networks poorly defined cut Well-defined followAcross regular channels formal lines

VII Charting Sociogram Organizational chart

Informal Organization Formal OrganizationVIII Miscellaneous

(a) Individuals included only those “acceptable” All individuals in workgroups

(b) Inter-personal relations Arise spontaneously – Prescribed by jobdescription

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

ControlledFeelings, status, prestige Organizational rewards

andSanctions to members punishments.

14.10. Group Dynamics:

Kurt Lewin popularized the term “Group Dynamics” during 1930’s. The socialprocesses by which people interact face-to-face in small groups are called groupdynamics. The word “dynamics” comes from the Greek word meaning “force”.Therefore, “Group Dynamics” refers to the study of forces operating within agroup.

There are different connotations attached to the term group dynamics. One viewis that group dynamics describes how a group should be organized andconducted. Here, democratic leadership, member participation and overall co-operation are stressed. Another view of group dynamics suggests that it consistsof a set of techniques. Here, role-laying, brainstorming, buzz groups, leaderlessgroups, group therapy, sensitivity training, team building, transactional analysis,and the Johari Window are equated with group dynamics. However, theuniversally accepted view of group dynamics is closest to Lewin’s* originalconception. Here, group dynamics are viewed from the perspective of the internalnature of groups, how they form, their structure and processes, and how theyfunction and affect individual members, other groups and the organization.

In understanding the concept of group dynamics, a modern comprehensivedefinition of a group will be useful. It is as follows: “A group is a collection ofindividuals in which there is,

(i) Interaction among members,

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(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 theindividual members). **

14.11. Implications from Classic Research onGroup Dynamics:

Starting with Hawthorne studies, there has been an abundance of significantresearch on groups that has implications for organizational behaviour andmanagement. besides the Hawthorne studies, the widely known classic studiesthat relate group dynamics to human performance in an organizational settinginclude the Lippitt and White leadership studies; the Coch and French study onovercoming resistance to change; Van Zelst’s study of two groups of carpentersand brick layers; * Trist and Bamforth’s study of British coal mining**, and WilliamF. Whyte’s research on the restaurant industry***. In addition, there arenumerous research studies on group dynamics which indirectly contribute to thebetter understanding of organizational behaviour.

The following table**** summarizes the research findings on the functions thatgroups can serve for both the organization as a whole and the individualorganizational participant.

The Impact of Groups on The Impact of Groups onOrganizational 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 oneselfbear on complex difficult task.

3. Providing a vehicle for decision-making 3. Providing help in gaining new skillsthat permits multiple and conflictingviews to be aired and considered

4. Providing an efficient means for orga- 4. Obtaining valued rewards that are notnizational 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 bytransmitting shared beliefs and values

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to new employees

In addition to the somewhat general conclusions show above, there are anumber of studies in social psychology which seem to have particular relevant toorganizational behaviour. The work of social psychologist Stanley Schachterseems especially important for the application of group dynamics research tohuman resources management.

14.12. The Schachter Study:

Stanley Schachter and his associates tested the effect that group cohesivenessand induction (or influence) had on productivity under highly controlledconditions. Women college students were used as subjects. Cohesiveness wasdefined as the average resultant force acting on members to remain in a group.The researchers assumed that by making the group appear attractive or notattractive, the subjects would correspondingly feel high or low cohesiveness.About half the subjects were told by the experiment that they would be membersof an extremely congenial group and that “there is every reason to expect thatthe other members of the group will like you and you will like them”. The otherhalf of the subjects were told by the experimenter that because of schedulingdifficulties, it was impossible to assemble a congenial group and that “there is noparticular reason to think that you will like them or that they will care for you”. Inthis experiment, through manipulation of cohesiveness and induction, thefollowing 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. Itwas to be a three-person, assembly line operation consisting of cutting outpieces of cardboard, mounting and pasting them on heavier stock, and painingthem through a stencil. For control purposes, all subjects were made cutters, butthey thought they would pass on the cut boards to the other two members of theirgroup (the paster and painter) in another room.

The subjects were informed that they could write notes to, and would receivenotes from, their pasters and painters. Of course, the experimenter interceptedall the notes from the subjects and gave them prewritten notes. These noteswere used to test the impact of positive and negative induction.

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In the first sixteen minutes of the experiment, each subject received five notesfrom her non-existent paster and painter that made no attempt to influenceproductivity. In the remaining sixteen minutes of the experiment, half the subjectswho believed they were members of high cohesive group and half the subjectswho thought they were members of low cohesive groups received six positivenotes. These notes urged increased production, for example, “Time’s runningout, let’s really make spurt – Paster”. The other half of the high and low cohesivesubjects received negative notes urging them to slow down production. Forinstance, “Let’s try to set a record – let’s 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 14.3summarizes the results.

14.13. Implications of the Schachter Study:

The results of Schachter’s study contain some very increasing implications forthe study of organizational behaviour. The “pitchfork” productivity curves in thefigure 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 groupsare not so powerful. However, of even more importance to human resourcesmanagement is the variable of induction. Performance depends largely on howthe high or low cohesive group is induced.

At least for illustrative purposes, leadership may be substituted for induction. Ifthis is done, the key variable for the subjects’ performance in the Schachterexperiment becomes leadership. A highly cohesive group that is given positiveleadership will have the highest possible productivity. On the other hand, a highlycohesive group that is given poor leadership will have the lowest possibleproductivity. A highly cohesive group is analogous to a time bomb in the hands ofmanagement. The direction, in which the highly cohesive group goes, breakingproduction records or severely restricting output, depends on how it is led. Thelow cohesive group is much safer in the hands of management. Leadership willnot have a serious negative or positive impact on this group. However, theimplication is that if management wishes to maximize productivity, it must build acohesive group and give it proper leadership.*

14.14. Structural Dimensions of Groups of ComponentsOf Group Structure:

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Within any types of groups in an organization, some type of structure for groupactivity develops over a period of time. The structure shapes the behaviour ofmembers and makes it possible to explain and predict a large portion ofindividual behaviour within the group as well as the performance of the groupitself. The structural dimensions or components of group structure include thefollowing:

(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 ofbehaviour that are shared by the group’s members. Norms tell members whatthey ought and ought not to do under certain circumstances. Norms arestandards or rules of behaviour that are established by group members tomaintain consistency in behaviour. If each individual in the group were permittedto act, interact, and perform his function as he saw fit, the result would beincreased frustration, anxiety, stress, and conflict and decreased morale andgroup 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 group’s norms are like an individual’s fingerprints – each is unique. Yetthere are still some common classes of norms that appear in most work groups.For instance, the most widespread norms deal with performance – relatedprocesses and tell the members how hard they should work, how to get the jobdone, and output level and communication channels. There are also appearancerelated norms that tell the members about appropriate dress, formal dress codes,when to look busy, etc. Another class of norms concerns informal socialarrangements and they regulate social interactions within the group. With whom

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group members eat lunch, friendships on and off the job, social games, and thelike are influenced by these norms. A final category of norms relates to allocationof resources. These norms can originate in the group or in the organization andcover things like pay, assignment of difficult jobs, and allocation of new tools andequipment. These resource allocation norms can have a direct impact onemployee satisfaction and an indirect effect on group performance. ***

It is interesting to know how norms develop. Norms typically develop gradually asgroup members learn what behaviours are necessary for the group to functioneffectively. 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 thegroup’s history, (iii) Primacy, (iv) Carry over behaviours from past situations.Norms are thus learnt by members through observation, and throughreinforcement.

Conformity refers to adjusting one’s behaviour to align with the norms of thegroup. There are four norms conformity factors:

(i) Personality factors: Research in personality suggests that more intelligentindividuals are less likely to conform to the group norms than are lessintelligent individuals; a more authoritarian individual is less likely toconform to group norms.

(ii) Situational factors: Situational factors are such variables as group size,communication patterns, structure of group, and the social context ofgroup interaction.

(iii) Stimulus factors: Stimulus factors are faced by individuals each day. Themore ambiguous the stimulus, the greater will be the conformity to thegroup norms.

(iv) Inter-group relationships: This refers to the relationships among membersof the group. It includes such variables as the kind and extent of grouppressure exerted, the success the group has in achieving goals, and thedegree to which a member identifies with the group.

Groups impose conformity pressures on their members. Members desire to beone of the group and avoid being visibly different. When an individual’s opiniondiffers significantly from that of others in the group, he is likely to feel extensivepressure to align his opinions with that of the others. The impact that grouppresents for conformity can have on an individual member’s judgement andattitudes 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 byeducating them that how the group’s stands contribute to the achievementof goals. This can be done by increasing active participation of eachmember towards the group’s work.

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(ii) Surveillance: Following the group norms is essential to the survival of thegroup. Hence it is essential to detect deviance from the group norms andcorrect it in time.

(iii) Warning: Each member is warned of removal from group if he does notconform 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 someoneoccupying a given position in a social unit. The content of a given role isprescribed by the prevailing norms. Probably role can best be defined as aposition that has expectations evolving from established norms.

Role perception refers to an individual’s view of how he or she is supposed to actin a given situation.

Role expectations are defined as how others believe a person should act in agiven situation. Psychological contract means an unwritten agreement that setsout what management expects from the employee, and vice versa. Roleexpectations implied in psychological contract are recognized as a powerfuldeterminer of behaviour in organizations.

Mitchell* specifies four important characteristics of roles:

(1) Roles are impersonal. It is not the individual but the position that determinesthe expectations.

(2) An organizational role is that set of expected behaviours vis-à-vis particularposition and particular job.

(3) It is difficult to mention the exact terms of roles, since it is the most complexresponse 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 ingroups. There are a number of sources in organizations that form an employee’srole, whether the employee is a manager or a subordinate. These sources areorganizational (e.g. job description), group (e.g. group norms) or individual (e.g.expectations) based (on values and altitudes). Most people perform multipleroles 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.

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Role problems are of two kinds: (1) Role ambiguity and (2) Role conflict.

Role ambiguity is the result of lack of clarity in the individual’s duties, authorityand responsibility. It can be caused by a member of factors:

(i) Due to lack of clear job description for a position.(ii) Individual’s task becomes more complex coupled with lack of training,

experience and clear job responsibilities, result in confusion, conflict andpoor 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 moreindividual create uncertainty in the mind of the worker. Two types of role conflictcan exist:** (1) Intra-role conflict, created by many directives sent simultaneouslyto someone occupying one role, making it impossible for the individual to satisfyall directives at the same time; and (2) Inter-role conflict created by manysimultaneous roles presenting conflicting expectations.

The type of position and level in the organization occupied by the individualinfluence the development of both intra-role and inter-role conflict.

Continuing high levels of role ambiguity and role conflict can result in decreasedgroup 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 thesituation.

(ii) The individual may attempt to modify demands or establish clearly definedexpectations criteria for evaluation of performance.

14.14.3. Status System:

Status is defined as a social ranking within a group and is assigned to anindividual on the basis of position in the group or individual characteristics. Statuscan 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 formalsystem and informal system. The formal system of status is closely related tochain of command, which is called hierarchical structure of organization. Ininformal status structure values and norms of the group determine the status ofparticular member. A person is given status because of some personalcharacteristics such as age, skill, sex, or education. The oldest nurse in a groupmay enjoy higher status because of her age, tenure, and expertise on the job.

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Status develops in a group because particular individual possesses orcontributes values to the organization that are highly regarded by the members.** Research studies have revealed that individual can easily identify statusvalues in groups. One’s dress, titles, etc. even convey status.

The existence of status system in organizations can have both positive andnegative consequences for the manager, because status system can clarify therelationships between group members by providing for clear definitions ofauthority and responsibility. However, an over emphasis on status tends toreduce both the interaction between group members and the frequency ofcommunications.

Status systems can have a direct influence on group performance through statuscongruence which is agreement among group members on the status ofindividual group members. When there is full agreement on member status, themajor 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 thereis disagreement on status within the group (status incongruence), some groupactivity 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 behavesinternally and with regard to other groups. In a smaller group face to faceinteraction 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 forgaining diverse input. Groups of approximately seven members are found to bemore effective for taking action. The research on group size indicates that groupswith an odd number of members tend to be preferable to those with an evenmember, and groups made up of five to seven members do a pretty good job ofexercising 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 thanthey are capable of individually, resulting in an inverse relationship betweengroup size and individual performance. Social lolling may be caused due to abelief that others in the group are not pulling their own weight. Another causemay be the dispersion of responsibility.

14.14.5. Group leadership:

Almost every work group has a formal leader who can exercise4 legitimatelysanctioned power. The formal leader who is appointed by the management

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exercises the power and authority defined to him within the organizationalframework. He can exert formal influence on the activities of the group. Theleader is responsible for the direction and goal accomplishment of the group andcan reward or punish individual members when they do not comply with thedirections, orders or rules of the group. Because the organization supports theleader’s influence, he has the power to make the group members comply withdirectives.

In informal group, leaders generally are individuals who are respected by othergroup members and who have acquired special status. The informal group leadergenerally:

(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 toanother, depending on the particular situation. Informal leaders tend to emergegradually as group members interact. They emerge from within the groupaccording to the nature of the situation at hand.

Studies that have examined the effects of leader traits on group performancehave generally provided inconclusive results. In terms of achieving high groupsatisfaction, participative leadership is found to be more effective than anautocratic style. But participation doesn’t necessarily lead to higher performance.In some situations, the group guided by a directive, autocratic leader mayoutperform its participative counterpart.

14.14.6. Group composition:

Group composition refers to the relationships among the personal characteristicsof group members and the consequences of these relationships for groupactivities. Group composition essentially includes the aspect of groupcompatibility. Group compatibility is the degree to which members of the groupare at ease to which members of the group are at ease with one another. If themembers of the group are compatible, some members will satisfy the needs ofother members and vice versa. Individuals who like direction, for instance, wouldbe reasonably satisfied in a group in which some strong leaders provide it. Ingeneral, as compatibility rises, so does group effectiveness in attaining goals.

Research indicates that when a group is heterogeneous (composed of dissimilarindividuals) in terms of personalities, opinions, abilities, skills and perspectives,

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there is an increased probability that the group will possess the neededcharacteristics to complete its tasks effectively.*

Group demography is an offshoot of the composition issue. This is the degree towhich members of a group share a common demographic attribute, such as age,sex, race, educational level, or length of service in the organization, and theimpact of this attribute on turnover. Individuals who hold a common attribute arecalled as “cohorts”** Research tends to support the view that where there arelarge gaps between cohorts, turnover is higher. The research on groupdemography 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 groupsseem to have a certain atmosphere of intimacy or common attitudes, behaviourand performance that is lacking in other groups. Group cohesiveness is generallyregarded as characteristic of the group in which the factors acting on the groupmembers to remain and participate in the group are greater than those acting onmembers to leave It.* the characteristics are as follows:

(1) Cohesiveness is an important indicator of the degree of influence of the groupas a whole. The greater the cohesiveness, the greater the group’s influenceon members.

(2) Highly cohesive groups are usually characterized by good feeling amongmembers and an absence of tension, hostility and major conflicts.

(3) Highly cohesive groups are potentially better performers than non-cohesivegroups.

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 directionof its activities, this will facilitate goal accomplishment.

(b) Frequency of interaction: When the group members can interact frequentlywith 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 goalperformance.

(d) Inter group competition: Competition with other groups, within and outside theorganization, brings group members closer together for attaining commongoals.

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(e) Favorable evaluation: If a group has performed well some recognition for itsoutstanding performance will elevate the group members to feel proud aboutbeing members of the group. Such awards help to develop cohesiveness andalso 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 ofinteractions between members decreases. This will decrease the probabilitythat cohesiveness will develop.

(c) Unpleasant experiences with the group: when there is lack of trust andconfidence between members of a group, interaction may become anunpleasant experience, resulting in a lack of closeness in the group.

(d) Intra-group competition: Although inter-group competition brings groupstogether, intra-group competition causes conflict, infighting. When managersshow favoritism, such situation arises.

(e) Domination: When one or more group members dominate the group becauseof some personality traits, cohesiveness cannot develop.

14.15 Group Processes:

The internal operations of groups from another interesting component of groupbehaviour. There are various processes that go on within a work group-thecommunication patterns used by members for information exchanges, groupdecision processes, leader behaviour, power dynamics, conflict interactions, andcollaborative efforts etc. understanding internal operations of groups is essentialto the study of work group behaviour. To facilitate such understanding, one hasto 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 member’s roles.

14.15.1. Group functions and activities:

The basic function of a group is to accomplish its objectives. However, in additionto the overall and sometimes expressly stated objectives of groups, eachmember of the group has his own objectives that are satisfying his own personalneeds. As a result, any group has a multiplicity of objectives: explicit, implicit,recognized and discussed, only recognized, or not even recognized.

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As a result of these different objectives, three different activities take place withina 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 withthe “outside world,” etc. These types of activities help the group in attaining itsprimary goals and objectives.

Group-building activities allow the group to build and maintain itself by helping tosatisfy members’ needs and fostering trust and cooperation among groupmembers. Harmonizing, encouraging, using humor etc. indicate attempts to buildbetter 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 hisunique needs, values and goals. For example, attention-getting, dominating,aggression, and withdrawal. Although such activities may satisfy the individual’sparticular needs, they contribute little to the overall success of the group inattaining its formal or primary objectives. When an individual engages in self-serving activities, he may be more interested in serving his own interests than inperforming 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 oldadage “two heads are better than one”. Most decisions in organizations are madein a group context.

Decision making is the process whereby a final choice is made among thedifferent alternative courses of action that are available for solving complexproblems. Group members with heterogeneous characteristics come together,understand the problems in a better way and hence develop creative alternativesleading to effective group decision making. When the issues to be decided arecomplex, and require varied skills, knowledge base, expertise and experience forgenerating the required solutions, group decision-making is very useful.

Advantages of group decision-making: Individual decisions and group decisionseach have their own set of strengths. Neither is ideal for all situations. Majoradvantages of group decision-making include the following:

(i) More complete information and knowledge: by aggregating theresources of several individuals, a greater sum of knowledge andinformation is brought to the decision.

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(ii) Increased diversity of views: The heterogeneity opens up opportunityfor more approaches and alternatives to be considered.

(iii) Increased acceptance of a solution: Participating in decision-makingincreases an individual’s acceptance of final choice.

(iv) Increased understanding of reasons: Individuals can increase theirunderstanding of the reasons underlying a decision when memberswho can explain that are involved in group decision-making.

(v) Increased legitimacy: The group decision-making process is consistentwith democratic ideals since individual consult with each other beforemaking a decision. Therefore, it may be perceived as being morelegitimate than decisions made by a single person in an autocratic orarbitrary manner.

Disadvantages of Group Decision-making: The major drawbacks of groupdecision-making include the following:

(i) Pressures to conform: Members of the decision-making group may feelpressure to accept the decision supported by the majority.

(ii) Domination by the few: Group discussion can be dominated by one ora few members. If this dominant coalition is composed of low andmedium-ability members, the groups overall effectiveness will suffer.

(iii) Time-consuming: Groups tend to use more time in arriving at adecision than an individual would use. This can limit management’sability to act quickly and decisively when necessary.

(iv) Ambiguous responsibility: Group members share responsibility, butwho is actually accountable for the final outcome? In an individualdecision, it is clear who is responsible. In a group decision, theresponsibility 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 atentative solution, they frequently refuse to look for a better approach.

Thus group decision-making have many plus and minus points which can bebriefly outlined as shown in the following table 14.1:

Group think and Group shift: These two by-products of group decision-makinghave received considerable attention of researchers in OB. These twophenomena have the potential to affect the group’s ability to appraise alternativesobjectively and arrive at quality decision solutions.

Group think phenomena are related to norms. In groups think phenomena, thenorm for consensus overrides the realistic appraisal of alternative courses ofaction. The pressures for conformity defer the group from critically appraisingusual, minority, or unpopular views. Group think is a disease* that attacks many

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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 alternativesand arriving at a solution, group members tend to exaggerate the initial positionsthat they hold. In some situations caution dominates, and there is a conservativeshift. More often, however, the evidence indicates that groups tend toward a riskyshift. The group shift can be viewed as actually a special case of group think. Thedecision of the group reflects the dominant decision-making norms that developduring the group’s discussion. Whether the shift in the group’s decision istowards greater caution or more risk depends on the dominant pre-discussionnorm.

Tendency towards risky shift is of greater occurrence in group decision-making.Research findings show that when groups engage in decision-making, they arewilling to take greater risks than when the same members make decisionindividually. High risk taking behaviour in groups probably results from diffusedresponsibility. Group decision frees any single member from accountability forthe group’s final choice. Greater risk can be taken because even if the decisionfails, no one member can be held wholly responsible. Obviously, managers turnover the complex and knotty problems to groups. In managerial work, groupdecision-making is a way of life.

Irvin Janis * describes group decisions as most dangerous, a phenomenon thecalls “groupthink”. According to him groupthink is a failure to arrive at an effectivedecision because of pressures within the group to achieve consensus. Janismentions that pressures for consensus particularly among high level decisiongroups can lead to the following major symptoms:

(i) Invulnerability: Group members develop the illusion of invulnerability whichleads them to ignore the expected dangers, thus they take dangerous risks.

Irvin Janis, “Victims of Group Think”, Boston, 1972, Hougton Mifflin.

(ii) Rationale: Group member’s extreme rationalizations to explain dangersignals or opinion contrary to the consensus of the group.

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(iii) Morality: Group decision makers may ignore the ethical or moralconsequences of their acts.

(iv) Stereotypes: Group think leads group members to think in stereotypedterms of other people and groups. Opposing leaders or groups can becast as evil types never to be trusted.

(v) Pressure: Members under the influence of group-think place severalpressures on the members to the consensus, which has now becomea norm.

(vi) Self-Censorship: Members, who fear that a decision is wrong, or that abetter alternative decision might be tried, hold their own counsel anddo not share their doubts or questions with other members.

(vii) Unanimity: Self-censorship leads to the illusion of unanimity of opinionwithin the group. The illusion of unanimity leads the members to becomplacent in their decision and fail to examine the consequences ofthe decision.

(viii) Mind guards: Members take on self-appointed roles as protectors ofthe leadership and key people in the group. These mind guards makesure that key group members are protected from information that mightshake the group’s confidence.

Group Decision-making Techniques: To minimize the disadvantages, one shouldseparate group sessions into two distinct stages: idea generation during whichalternatives are listed and not criticized; and idea evaluation

Most group decision making techniques attempt to facilitate or enhance thecreativity of group members while simultaneously minimizing the problemsassociated with groups. Van Gundy** offers an excellent review of thetechniques. The major group decision making techniques include the following:

(i) Brainstorming: Perhaps the most well-known group decision-makingtechniques are brainstorming, which was originally proposed during the1930’s by Alex Osborn.

Brainstorming is an idea-generation process that specifically encourages any andall alternatives, while withholding any criticism of those alternatives.

In a typical brainstorming session, six to twelve individuals are selected toparticipate in it. The number is kept purposefully small to ensure that all groupmembers will participate fully. Only individuals possessing some familiarity withthe problem become member of the group. Ideally, they should be approximatelyequal in status to guarantee that they will not be inhibited during the “freewheeling” meetings. Also, it is preferable that the individuals have diversebackgrounds because heterogeneity increases the potential for eliciting creativeideas.

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Immediately before the brainstorming session, the individuals attend anorientation session to familiarize them with the principles of brainstorming. Thereprinciples include the following : (I) criticism and evaluation of ideas are ruled outduring the brainstorming session to ensure that individuals will express theirideas openly and fully without feeling intimidated; (ii) free wheeling and the freeassociation of ideas, even of the wildest sort, are en-

Courage; (iii) the group is encouraged to generate as many ideas as it canpossibly generate; and (iv) group members are encouraged to combine andimprove ideas.

The idea-generating brainstorming session typically lasts thirty minutes andrarely exceeds forty-five minutes. The leader allows only one individual to talk atany given time to avoid confusion and chaos. An evaluation group of fiveindividuals then examines all of the ideas and selects those they consider to bethe best ones. This evaluation group then presents a list of the selected ideas tothe original brainstorming group and asks its members to submit any additionalideas. The evaluation group subsequently presents the final ideas to theindividuals who ultimately are responsible for implementing them.

Apart from this classical brainstorming as delineated by Osborn, there areseveral variations such as having all individuals express their ideas in astructured, round-robin fashion. Whatever the variation, brainstormingemphasizes the principles described above and definitely includes the use of twophases, idea generation and idea evaluation.

(ii) Nominal group technique (NGT): The nominal group technique isspecifically designed to protect group decisions from group thinkproblems. NGT restricts discussion or interpersonal communication duringthe decision making process; hence the term nominal. Group membersare physically present, as in a traditional committee meeting, but membersoperate independently. Specifically, a problem is presented and then thefollowing 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 theproblem.

(ii) This silent period is followed by each member presenting one idea tothe group. Each member takes his or her turn, going around the table,presenting a single idea until all ideas have been presented andrecorded typically on a flip chart or chalkboard. No discussion takesplace until all ideas have been recorded.

(iii) The group now discusses the ideas for clarity and evaluates them.

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(iv) Each group member silently and independently rank-orders the ideas.The final decision is determined by the idea with the highest aggregateranking.

The chief advantage of the NGT is that it permits the group to meet formally butdoes not restrict independent thinking, as does the interaction group.*

(iii) Delphi decision making technique: It is similar to the nominal grouptechnique except that it does not require the physical presence of groupmembers. In fact, the Delphi technique never allows the group’s membersto meet face-to-face. The gathering of opinion takes place through mailedquestionnaire or some other form of communication. All communicationtypically is in writing. Members are selected because they are experts orhave relevant information to share. They are asked to share theirassessment of a problem of predict a future state of affairs. Explanationsof their conclusions also can be shared. Replies are gathered from allparticipants, summarized, and fed back to the members for their review.Then they are asked to make another decision based on the newinformation. The process may be repeated several times until theresponses converge satisfactorily.

The anonymous input tends to eliminate the counter productive effects thatstatus, intimidation, emotion, face-saving and argumentation can have intraditional 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 geographicallyseparated members together and the surprising accuracy of decisions in manysituations.0 Another advantage is that the costs of bringing the executivestogether at a central location is avoided.

However, the method is extremely time-consuming; it is frequently not applicablewhere a speedy decision is necessary. Additionally, the method may not developthe rich array of alternatives that the interacting or NGT does. Ideas that mightsurface from the heat of face-to-face interaction may never arise.

All these different group decision making techniques can be used successfully invarious situations. The use of specific technique should depend upon the goalsone is attempting to achieve.

14.15.3. Group Cohesion:

As we have already seen, the term “cohesion” simply means “solidarity”. Themore cohesive the group, the more likely it is to have common values, attitudes,and standards of behaviour. The degree of a work group’s cohesiveness affects

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the degree to which that group is helpful or harmful to the organization as a totalsystem.

Cohesiveness is the attractiveness of the group to its members – the degree towhich members desire to stay in the group. Cohesiveness is an outcome of theway group members have interacted. A group can be highly cohesive only if ithas 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, thesefactors 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 thegroup to perform the group building and task activities. Conversely, if thegroup is too large, communications within the group may be break down. As agroup’s size expands interaction with all members become more difficult, addoes the ability to maintain a common goal. Frequently, larger groups tend toform smaller sub-groups.

Time spent together: The amount of time that people spend togetherinfluences cohesiveness. As people spend more time together, they becomefriendlier and develop common interests.

Gender of members: Women in general are less competitive and morecooperative with people they see as friends, colleagues, or team-Mets thanmen are, and this results in greater group bonding.

Homogeneity or Heterogeneity factor of the group: If the group’s membershave widely different values or status the may find it difficult to become acohesive 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 assetsavailable for activities such as group problem solving, as would a group in whichthe individuals differ in these regards. However, again if the differences amongmembers in these characteristics are too extreme, it could be difficult for groupmembers to work together.

Isolation: The more a group is isolated from other groups, the more it tends to becohesive. Similarly, members of an isolated group are more likely to sharecommon values and standards of behaviour. Thus, a small group isolated from

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the rest of the organization may become highly cohesive and demand a greatdeal of conformity from its members.

External threats: Reacting to outside pressures is one of the fastest ways a groupcan develop strong solidarity. Many examples illustrate the kind of cooperativephenomenon 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 tobecome highly cohesive. Conversely, if the group fails to achieve a particulargoal, its solidarity may, but not always, decrease. If a group has a history ofsuccess, it builds an esprit de corps that attracts and unites members.

Importance of Group cohesion and solidarity:

Cohesiveness has a direct bearing on a group’s behaviour. The more cohesivethe 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 memberscan influence other members to change their behaviour. The more cohesive agroup is, the greater the number of members who conform to its norms. Thusgroup cohesiveness and conformity to norms are mutually reinforcing factors.

Research findings tend to support the assumption that members of highlycohesive groups communicate better, are more co-opera-

There, are more responsive to group influence, they tend to achieve acceptedgoals more efficiently and to have higher satisfaction.

Cohesiveness can also be a hazard. There can be various consequences anddangers of work teams becoming victims of their own group norms. Under thepressures of functioning and conforming, they are largely unaware of thisoutcome.

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 sameattitudes and values or leave the group. This similarity in attitudes and values iscalled a norm or standard, against which the appropriateness of the member’sbehaviour is judged.

As Davis points out, some norms apply only to overt, perceived behaviour; someare formed that is written, and others are informal, that is they emerge from theinteraction of group members.

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Norms also influence an individual’s decision whether or not to join a particulargroup. Teen-agers tend to associate with other teen-agers. The tendency toassociate with, pay attention to, and listen to other group members furtherenhances the commonality of group attitudes and norms.

The existence of group norms exerts a pressure on group members to conformto these norms. Members whose attitudes and values differ widely from groupnorms 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 fromestablished norms is generally met with sanctions by the group. It is important tonote 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 aformal take group. However, a leader is anyone who takes on group-task, groupbuilding, or self-serving roles. Therefore, a group may have over time, manydifferent leaders, some more effective than the others. Leadership in terms ofpower and influence is distributed at various times in the life-time of a group.

14.15.6. Group member’s roles:

Task and maintenance activities form an integral part of the group processes andserve the twin purposes of successful task performance and effective groupmaintenance, thus contributing to group effectiveness.*

Task roles: In effective groups, at least six task roles are undertaken by groupmembers as they work towards the group totals. There are the roles of ideainitiator, information seeker, information provider, problem clarifier,summarize, and consensus taker.

Maintenance roles: Maintenance activities take care of the scoio-emotionalaspect of member relationship. At least five maintenance roles deserveattention: harmonizer, gate-keeper, supporter, compromiser, and standardsmonitor.

Self-oriented roles : This six major self-oriented roles that some members arelikely 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 groupmembers actively performing the task and maintenance roles, the group will beable to simultaneously achieve high levels of task performance, membersatisfaction, morale, and commitment to the group.

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14.16. An Effective Group:

The nature of the group determines the character and development of itsmembers. The values of the group, the stability of these values, and groupatmosphere, and the nature of conformity demanded by the group determinewhether a group is likely to have a positive or negative impact upon the growthand behaviour of its numbers.

Loyalty to a group produces pressures to work in conformity. The groups havethe capacity to behave in ways other than the behaviour of their member. Natureof a group can vary from one in which there is hostility among the members toone in which the attitudes are warm and friendly. An effective group is alwaysconceived 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 rolesand functions required for interaction between leaders and members andamong the members.

(b) The group has been in existence sufficiently long to have developed a wellestablished, relaxed working relationship among all its members.

(c) The members of the group are cohesive and are loyal to group including theleader.

(d) The members and leaders have a high degree of confidence and trust in eachother.

(e) The values and goals of the group are integrated with the individual goals andvalues.

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” asa major criterion in their job descriptions and advertisements. This is becausepeople are increasingly being required to work together, to co-operate and poolexpertise 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 teamis 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.

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“It is a group which shares, and says that it shares, a common purpose andrecognizes that it needs the efforts of every one of its members to achieve this. Ateam 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 group’s 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 ishonored yet it functions as a unit. Each member is encouraged to contribute hisknowledge, 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. Thereis an atmosphere of continued growth and development.

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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 riddenor ignored with consequent resentment, withdrawal of effort and lack ofcommitment.

Fig. 14.5: Team building efforts

Development of positive individual roles:

Within teams every individual will adopt a role, positive or negative, which reflectshis 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 itsobjectives; any member may undertake one or more of these roles at differenttimes. Collectively these roles help the tasks to be undertaken while the groupworks as a co-operative and happy unit.

However, there is another set of roles which may have opposite effect. It isnecessary to recognize these negative roles and develop coping strategies withina group if these are to be prevented from upsetting the work of the group.

The negative group roles are:

(i) Attacker

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(ii) Blocker or Rejector(iii) Detractor(iv) Help-seeker.

While dealing with negative roles one should not assume that negative behaviourwithin a group is totally the fault of the individual exhibiting it. Groups oftenalienate individual group members unwittingly and are then surprised when theindividual exhibits negative behaviour. For instance, a withdrawn member mayhave been attacked by the group earlier; a blocking member may have had hisideas rejected without due consideration by the group. Sometimes the behaviourdates back to experiences in previous groups. Hence it is useful to attempt toestablish the cause for the behaviour and deal with it rather than reacting to itsmanifestations.

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 ingroups. It is concerned with talking through needs, differences and individualcontributions. In the team builder’s art is the ability to see the team as a whole,and to release the energies of the members towards the solution of jointproblems 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 thescientific approach can make its contribution. Building a team will entail theinvestigation 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. Thescientific approach of listening intently, collecting facts and testing assumptions isthe 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 actis, knows the price of failure and against that balances the excitement of the riskand the likelihood of success. Practice and confidence in assessing situationsand 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?

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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. Foreffective team-building, the team-builder had to remember that effectivenessshould never be measured merely in terms of completing a task or reaching adecision. A team must also review its own strengths and weaknesses and beaware of the Exercise processes by which it operates.

OBSERVING THE GROUP IN ACTION

(i) This exercise is designed to help students to increase their understandingof group behaviour. A small group of five or seven students selected bythe instructor should be asked to sit in a semi circular fashion on the daisor in front of the class so that everyone can observe and hear clearly. Thefollowing short cases, or any other short problems, one at a time shouldbe read about and then in the following three minutes, all the groupmembers should get down important points for discussion. Rest of theclass should also think silently about the problem before the groupdiscussion starts. About 15 to 20 minutes should be allowed for actualgroup discussion by the five-seven members who are expected to comeout with concrete answers. The remaining class should remain quiet andnot interrupt the group. Their role is of silent observer. At the end, eachclass member should be ready with his rotes and should try to answer allof 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. Theinside group discusses the case and the outside group plays the role ofsilent observer all the while analyzing all the given questions. If timepermits, the outside group becomes the inside group, another case is

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analyzed, and a discussion involving both groups and focused on thegiven questions then takes place.

GUIDELINES FOR CASE-DISCUSSON

There can hardly be any controversy over the usefulness of the Case-Studymethod. This method is found to be very effective in enabling the students ofmanagement to cultivate a vital managerial skill – the ability to grasp andcomprehend the issues involved in a business situation, and to analyze itprecisely and methodologically to bring out a feasible solution from a large rangeof alternatives. Class –room discussion of Case-Studies renders the studentswith an exposure to distinctive situations from which general concepts andtechniques for interpersonal skills can be mastered. This certainly well-equipsthem with their tool-kit of management techniques, so that they can deal withpeople –oriented problems with ease and confidence.

(I) Analytical Case :

In this type of case-discussion, we come across a condition in which the actionhas been completed and the problem situation has been ‘Solved’. While handlingsuch type of cases, the students should concentrate on learning the decision-making methods employed by the manager with reference to the problemsituation at hand by thoroughly studying this decision-making process. Studentscan then derive their own conclusions as to how the situation was dealt with. Nodecision-making is required of the students in the analytical cases; what isrequired most is their “evaluation”.

(II) Issue Case :

In this type of case discussion, we come across a condition in which the problemsituation has been unsolved. While handling such type of cases the students’own decision making capacity plays a crucial role. Here they are required toanalyze the situation, determine the nature of the problem and arrive at a solutionthrough appropriate decision. Again, students are required to derive someconclusions about both the problem situation and the decision-making processon 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 studentsshould read the case carefully at least twice to ensure that they become familiarwith the facts and that they can easily grasp the implications of the issues thatare involved in the case.

In analyzing the case, students should follow systematic procedure ofexploration. Basically they should try to know the facts which suggest theexistence of a problem and then they should try to understand the nature of theproblem. As per their own perception, the students should focus on the causes

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and symptoms of the primary problem. They must learn what the key issues areand why are they important. They should also make it clear as to who must dealwith the problem and with what aim in mind the problem must be tackled.

Next, the students should locate possible courses of action and evaluate theadvantages and drawbacks of each. For this purpose, they must utilize theirtheoretical knowledge and try to apply different behavioural models appropriatefor the situation at hand. In the light of all this background, students must comeup with the best solution for the problem situation. They have to be fully aware ofthe likely effects and be able to anticipate positive as well as negative outcomesof this solution. Thus, thinking systematically in case analysis is extremelyimportant.

In addition to the above two types of cases, sometimes we come across a thirdtype of case known as Illustrative Case.

(III) Illustrative Case :

The basic purpose and function of the illustrative case is to explain or reviewcertain concepts and provide useful information. In this

Book, the case ‘Self-images’ is an example of the illustrative type of case wherethe concept of the Basic Life Positions is clarified through case examples.

In the case study discussions, it is very interesting to note how equally validdeductions are made from the same facts when we consider the case with anopen mind. If the participants in the case discussion follow logical analysis andcareful arguments, most feasible solutions do come out to the fore front.Thorough and profound learning of this process undoubtedly enables thestudents to improve their own skills not only in doing case-studies but also inhandling managerial situations effectively and efficiently in the realisticorganizational settings.

SHORT CASES FOR DISCUSSION

CASE (I)

You are the Quality Control Team of a private sector company manufacturingpharmaceuticals with a turnover of Rs. 20 croores. You realize that Rs. 2 croreworth saline glucose bottles produced by you and dispatched to distributors,retain outlets and hospitals all over the country is infected by some fungusunobservable to naked eye but harmful to human life. Your Managing Directoroffers you all, promotions and other incentives to ignore it.

Please comment by discussing the problem in detail.

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After the group has completed its discussion, the instructor can lead a classdiscussion 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. Inthe 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 threesmall pieces of a broken mirror and two or three scrap tins from the company andwas caught by the security. He admitted the mistake but management decided tohold enquiry and issue the charge sheet. He was told to report the next day. Thesame 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. Hereported the incident to the manager, where upon he was given Rs. 500/- creditfor the value of the camera. The manager then investigated the situation. Heconcluded that only ten bell boys had access to the camera and announced aRs. 50/- deduction from their salary if the thief did not confess.

A week later, other guests in the hotel complained regularly about shoddy servicebeing provided.

-Please discuss.

CASE (IV)

(iv) Ranjit was a new supervisor in a large manufacturing organization. Hesupervised the machine shop which employed 25 workers. A group of 14 seniorworkers used to gamble regularly during lunch time.

One day, Ranjit came across the eight workers and found them gambling. Herebuked them and told them to stop playing. The workers refused and said thatwhat they did during lunch time was none of his (Ranjit’s) 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 awage agreement for the next two years. All the drivers are SSC passed. TheAccounts department requires the drivers to filt in their duty slips. The drivers are

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reluctant to do this. Shailesh threatened them and criticized their behaviourwithout getting desired result. Shailesh is looking for a better way to motivate thedrivers.

- Can you suggest a better approach?

CASE (VI)

Sabyasachi Dasgupta is an Engineer in a large design engineering office. Hecomes from a rural background and his family is in the low-income group withstern rules. In order to earn his college degree, he had to work hard and pave hisown way trough college.

Sabyasachi is an intelligent and capable person. His main drawback is that hedoesn’t want to take risks. He hesitates to make decisions for himself and oftenbrings 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 forapproval before he finalizes it.

Since Sabyasach is needed a capable person, his boss wants to motivate him tobe more self-reliant in his work. This will result in improving his performance andenhancing his self-confidence. However, the boss is not sure how to go aboutmotivating 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 reputedCompany. You have received an application in response to your advertisement inthe newspaper from the present Chief Minister’s son. He seems to be wellqualified and capable of the job. Unfortunately a few junior officers from otherdepartment who know the Chief Minister’s son have heard of the application andhence 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 formore than six years and his immediate boss was happy with his performancethroughout that period. Sanket was genuinely interested in managementeducation and by attending the evening classes; he qualified himself in somediploma course in management studies. The personnel manager of hisorganization took a note of his achievement, arranged for him to work closely

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with one of the middle managers on the maintenance service side of thebusiness with immediate effect.

As Sanket has expected from his studies in Behavioural Science, the approachand 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 thedepartment worked smoothly.

After the six weeks training period was over, the personnel manager interviewedSanket who was very well prepared for the occasion. However, one of thequestions that came up caught Sanket unawares.

Personnel Manager: Did you know that Mr. Joshi was disliked by most of his staffand he knows it?

Sanket: Really? I must admit I didn’t realize that. I thought he was little bit harshon them but they didn’t react openly towards him!”

Instead of Sanket, Mr. Joshi got the promotion order!

Please discuss. Analyze the thoughts, feelings and actions of the personsinvolved in the above situation.

CASE (IX)

Abhay recently promoted to run the entire section since her performance so far isexceptionally superior. She takes keen interest in her job and pays particularattention to the quality and substance of whatever task she undertakes.However, Mr. Murthy, the General Manager, found Abhay very reluctant toaccept this promotion as she is not much confident about getting whole-heartedco-operation of her colleagues. Especially Sonali; her competitor is mostuncooperative and openly aggressive due to feelings of envy and jealousy.Sonali’s close clique has formed a strong sub-group that opposes Abhay in everypossible manner. Mr. Murthy wants to be successful in handling this case of“Competence without confidence”. How should he go about it? How to deal withSonali’s resentment?

CASE (X)

Neeraj knows that Mrs. Anita Desai has applied for a vacant Section Manager’sjob. If she got it, both of them would be on equal grades. Neeraj has watched theway Anita creped her way up the ladder. Neeraj does not like her. There isnothing specific which he can point out, but he doesn’t trust her. She worksdevotedly, there is nothing to be complained about her performance, her teammembers also appear to be satisfied and they all work well for her.

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Neeraj largely attributes her success to the ingratiation which she wins for herselffrom senior people. He feels that before he knows it, she could become his bossand that would be terrible for him to tolerate. Neeraj feels restless and wants togo and speak to Mr. Chowdhary, the General Manager, about Anita before shegets the job offer. However, he knows that Mr. Chowdhary has very positiveopinion about her as a conscientious, intelligent, and ambitions lady. Neeraj isambivalent and confused over the possible adverse effect of his ill-speakingabout Anita, but he is damn sure that he couldn’t stand it if she becomes hisboss.

- 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 heanticipated that it would become a permanent situation. However he wasseverely disappointed when this did not occur. In fact, recently while having aninformal chat with his boss Mr. Pai, he was convinced that Mr. Pai has Hemant inhis mind for promotion and the forth coming vacancy for Production Managercould be Hemant’s when it arose. Mr. Pai said that he was pleased withHemant’s performance.

However, when the vacancy actually arose, it was filled from the main branch ofthe organization with someone more experienced than Hemant. Though it wasnot officially announced, the news leaked out and Hemant became pretty upsetabout the appointment. Feeling aggrieved, he wanted to take his complaint to Mr.Pai.

- Please discuss how Mr. Pai can alleviate Hemant’s hard feelings?

CASE (XII)

Self-discipline Scheme : A company employing 2200 workers and 350 officers, ishaving a turnover of Rs. 150 crores and profit of Rs. 1 crore per annum. Thecompany has

One recognized union, which is not affiliated to any political party. Theemployee’s participation in the management is very well. The company has goodindustrial relations. There are many shop-floor committees and they all receivevery good participation from employees. Most of the decisions in thesecommittees are taken and implemented generally through employee’sparticipation scheme.

Although company’s target for production and marketing are achieved, there ismuch scope for improving productivity. There are certain hurdles for improving

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productivity such as absenteeism, late coming, refusal of work, going outside thefactory premises on duty, in the factory premises and not roaming to followstrictly tea and lunch timing. To improve overall productivity and to overcome allabove hurdles, Management has decided to form a committee havingrepresentatives from union and management. This committee is supposed todiscuss the problem, analyze it, and find the solution to overcome the problemand implement self-discipline scheme in the factory.

The groups will consist of almost equal number of representatives frommanagement side and the union side. One of the group members will act asleader and will present the case to the whole class.

Exercise

1. How will you define a group? Why do individuals join groups? Briefly discussthe theoretical explanations for group formation

2. What are the basic types of groups in organizations? Which type of group doyou 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 briefly9. 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

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(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 informalorganizations 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 whereasinterest and friendship groups are informal alliances

4. Formal groups have cohesiveness as basis for attachment whereas informalgroups have loyalty as the basis.

5. Any group has a multiplicity of objectives: explicit, implicit, recognized anddiscussed, only recognized, or not even recognized.

II Match the following:

Homans Group dynamicsNew comb Exchange theoryKurt Lewin Balance theoryThibaut and Kelly I-A-S theorySchacter Risky shiftGroup thinks Checker board studyCompromiser Self-oriented roleInitiator Maintenance roleAvoider Task roleAttacker/blocker Positive roleHarmonizer Negative role

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CHAPTER-15

Management of Stress

Causes, Consequences and Coping Strategies

15.1. Introduction:

Although the phenomenon of stress is existing since ancient times, consciousattempts to study the concept systematically have begun in the later half of thetwentieth 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 fromengineering and physics. In physics, it denoted the internal force generatedwithin a solid body in response to the action of an external force which distortedthe body. While the external force was called ‘load’, the resulting distortion wastermed ‘strain’. Social and biological sciences have found it necessary and usefulto investigate the effects of stress and psychological tensions on the physical andmental well being of people.

Concern about the impact of stress on people has its roots in the pioneering workor Dr. Hans Sclye, the recognized father of stress.

In 1951, he wrote his first article on stress and since then there have been morethan a million scientific publications related to stress.

15.2 What is Stress? :

Stress is a common experience of people when any demands are placed onthem by their work or personal environment. This is of course an inevitable partof life. In fact, without such demands people would become rather static, dull andunproductive. A certain amount of stress is desirable to give us the requiredstimulation and motivation for our continued personal growth. Mild stress provesuseful in overcoming periods of frustration and dull routine. However, too muchstress affects our health and behaviour adversely. Over time we may beweakened also affects our vitality, our life expectancy, our relationships, ourperception, our emotional stability, our openness to others, our ability to listenand empathize, our physical stamina, our tendency to error and our proneness toaccidents.

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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 anunpleasant state of affairs and irritating or annoying condition of mind. It includesanything that makes us tense, angry, frustrated, or miserable. Thus, stress isusually thought of an negative terms. It is thought to be caused by somethingbad. This is known as ‘distresses. Yet, as Sclyc has pointed out, there is also apositive, 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 drainsour energy.

Hans Sclye defined stress as: ‘the nonspecific response of the body to anydemands made upon it”.

Bcchr and Newman defined job-stress as ‘a condition arising from the interactionof people and their jobs and characterized by changes within people that forcethem to deviate from their normal functioning”.

Fred Luthans defied stress as “an adaptive response to an external situation thatresults in physical, psychological, and/or behavioural deviations fororganizational 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 individual’sstress level. Thus, various life-events and life-Strains make people increasinglyvulnerable for further stress.

Our degree of vulnerability is constantly changing. Our constitution, familybackground, upbringing, education, previous experiences, presentcircumstances, future expectations, mental attitude, ingrained beliefs, nutritionalstate, physical fitness, age, number of life events requiring adaptation,personality make-up, health habits and biological factors all have a bearing onwhether we will be successful in with standing stressors or whether we succumbto them. Ages and stages of life, biological factors and unhealthy life-styles andour attitudes and beliefs make us most vulnerable to stressful situations.

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In general, the balance resulting from the interaction for four components –external demands, internal needs and values, personal coping resources andexternal resources or support – determines whether a particular situation will bestressful or not.

Day to day problems, work related pressures, financial loss, conflict of interestsbetween home and work-place, a sudden income-tax notice, noise fromneighbor’s house, unrealistic expectations of others. … All these and many moresituations cause irritation and lead to stress. No matter what the situation is,when the demand we perceive exceeds the resources we think we have, thebody and mind are aroused and all systems are geared up either to fight thechallenge (often successfully) or to flee from the situation to avoid harm. Ourreaction to a worrying situation is known as the “fight or flight” syndrome whenthe body quickly prepares itself for physical action.

Initially stress was studies in terms of Sclye’s general adaption syndrome. Sincethis beginning, which concentrated mainly on the physiological dimensions ofstress, attention has also shifted to the psychological and behaviouraldimensions. Stress is more than a simple cause-effect reaction. The innerdimensions 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 body’s automatic response to real or imagines dangers andchallenges. When under pressure, our bodies release a harmone calledadrenaline which, combines with other harmones, allows us to face up toworrying situations. Blood circulates quickly round the body carrying themaximum amount of oxygen to muscles. Blood sugar rises, making extra energyavailable – 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 goon full alert. Body prepares us to ‘run for life’ or ‘fight to the death’.

Hans Sclye presented General Adaptation Syndrome (GAS) theory to explain themechanism of stress. The GAS has three stages: alarm, resistance andexhaustion. The initial alarm reaction indicates that something is wrong somewhere with the system. If stressor continues, GAS moves into the resistance

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phase in which bio-chemical defenses are mobilized to offset the effects of thestressors. It is a stage of maximum adaptation when the individual restores theequilibrium. Finally, if the stressor persists over a long period of time or defensemechanism falters, the adaptive mechanisms may become drained, andexhaustion 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 ofstressors: Physical, Social and Psychological.

Physical stressors are external factors including chemicals, pollutants, drugs,poisonous environment, radiation, excessive cold-heat temperature, noise,vibration, humidity … etc.

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Social stressors are extremely induced and result from the interaction of theindividual 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 familymember. Many social stressors are unavoidable and traumatic. They includeoccurrences 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 unforeseensocial 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 byphysical or social stressors or they may be self-induced. The psychologicalstressors 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 ussusceptible to illness. The more one harbours these feelings and emotions, thegreater and more cumulative is the resultant distress. Some particularly severeand repetitive psychological stressors are frustration, anxiety and inferiorityfeelings.

Another crucial psychological stressor is the “internal dialogue” or “self-talk”.Most of our stress is due to silent conversations we have with ourselves. Ourcritical inner voice has a tendency to put ourselves down and name us as‘stupid’, ‘idiot’, ‘incompetent’ or ‘hopeless’. Negative self talk undermines oursense 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 chronicdepression. On the contrary people who are optimistic and more positive mayprotect their bodies and minds from harm and may help themselves to livelonger.

15.8. Sources of Stress at Work: “Job-Stress”:

Judi Marshall and Cary Cooper have conducted in-depth research on ExecutiveStress. Their results reveal that middle managers show more psychological andphysical stress symptoms than senior managers as a result of “time pressure,having a responsible job, problems with managing people, lack of autonomy andconcern about career problems”.

Cooper and Marshall have identified six sources of stress for managers at work:

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(i) Factors intrinsic to the job: These factors usually include workingconditions, work overload and work under load both qualitative as well asquantitative, long hours, excessive travel, too many decisions, deadlinesand time pressures.

(ii) Role in the organization: sources of stress in organizational role includerole ambiguity, role-conflict, responsibility for people and things and otherstressors. Role ambiguity involves lack of clarity about goals, expectationsof peers and about the nature, scope and responsibilities of the job. Roleconflict arises where the individual is exposed to conflicting demands andconflicting expectations or required to do things which he does not want todo. Responsibility for people is more stress generating than responsibilityfor things. (i.e. equipment, plans, materials etc.) Other role stressorsinclude lack of participation in decision-making, lack of managerial supportand 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. Poorinteractions generate poor human relations as a result of which peopleexperience low trust, low co-operation, low supportiveness and lowinterest in listening to others. Lack of adequate social support and lack ofgroup cohesion generate job stress too often.

(iv) Career development: Feeling of getting stagnated in one’s career is highlyfrustrating and stressful. Again, if there is under or over promotion, statusincongruity results. Another factor is lack of job security, fear ofredundancy or early retirement. Lack of proper career planning and careerdevelopment can be a source of considerable uncertainty and stress.

(v) Organizational structure and climate: This source of stress includesfactors like line-staff conflicts, little opportunity for advancement, highdegree of specialization and centralization.

Similarly, there is lack of participation in decision making, lack of mutualtrust, lack of belongingness, lack of effective consultation, absence ofhelping relations and co-operation. Poor organizational climate is linked topoor communications which result from inability as well as unwillingness tocommunicate. Factors like inadequate information, inaccurate assessmentof performance and poor feedback are also included in this category.

(vi) Extra-organizational sources of stress: These sources of stress includevarying factors like social change, technological change, family problems,life-strains, financial difficulties, relocation, residential conditions, andconflict in work-home interface and life crises.

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It can be seen that most stressors revolve around self-expectations and otherhuman relationships. Large amount of stress in organizations comes from theinability or unwillingness to maintain healthy interpersonal relations andcommunications “But Boss” is generally considered to be a great source of stressas he is unpredictable, as he erodes self esteem of subordinates, as he grabsthe credit for work done by others, as he makes unwarranted or unjust criticismand ridicules or disparages subordinates. Bad boss usually creates win/losesituations and the boss must win necessarily. Those who lose feel down troddenand the atmosphere becomes distrusting and hostile.

Job stress has become an important topic for study of organizational behavioursince it adversely affects the physical and mental health of employees and theircontribution to the efficiency and effectiveness of organizations. There is nowenough knowledge and understanding of stress and work adjustment to indicatethat much of the stress experienced by today’s employees is unnecessary andcan be managed.

* Stress Response: For successful stress management we should be awareabout sources of stress in our lives and our physical and psychologicalresponses to them. Some people develop stress and tension at the very thoughtof appearing for an interview where as for others it is a result of continuouspressures, conflicts, and frustrations.

People respond to stress in different ways. They use different adaptive resourcesand develop their own coping methods. Some individuals are more capable ofcoping with stressors than others. Some individuals are more prone to stressthose others. They are unable to cope with stress-causing situations. How werespond to stressors is determined by our characters by our perception of “Whatis” and “What should be”, by our personality, motivation, problem-solvingcapacity and ability for self-introspection. An individual’s make-up and overallphysical and mental health are of great significance in how he will react to aparticular stressor in his environment. Various environmental factors interact withindividual make-up, for instance, disease, diet, drugs, occupation, family andsocial situation, location, physical and mental fitness, emotional stability and theability to relax. All these determine the individual’s response to particularstressors.

Executive Stress:

Dr. Thomas Holmes and Dr. Richard Rahe’s research shows that most of thestress a typical corporate executive experiences is not directly job-related. It iscoming from the family and home. These researchers have given numericalstress rating to 43 situations or problems related to both bad news and goodnews in the “life-events”. Their well-known SRRS-social Readinstment Ratingscale-can be presented as follows to suit Indian life events.

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Psychologists regard 300 points on SRRS as a breaking point for the averagepersonSOCIAL RE-ADJUSTMENT RATING SCALE(SRRS)

LIFE EVENT MEAN VALUE

Death of spouse 100Serious problems in marital relationships 73Death of close family member 70Serious illness of close family member 68Prolonged illness in the family 65Personal injury or illness (temporary) 53Getting married 50Redundancy/underemployment/Losing job 47Reconciliations with family members 45Retirement 45Pregnancy of someone in your care 40Concerns about not having children 40New addition to close family group 39Business readjustment 39Major new financial responsibility 38Change in financial state 38

Death of a close friend/loved one 37Change to a different type of work 36Owing a new home 35Mortgage above Rs. 10,000 35Loan upto 5,000 30Change in responsibilities at work 29Son or daughter leaving home 29Difficulties with in-laws 29Outstanding personal achievement 28Spouse beginning or stopping work 26Children starting or finishing education 26Change in living conditions 25Revision of personal habits 24Poor relations with work superior 23Change in work hours or conditions 20Change of residence/moving to a new community 20Change in children’s schools/colleges 20Change in leisure activities 19Change in circle of friends 18Change in sleeping habits 17Change in eating habits 16Constant travel 16Vacation; Holidays 13

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Diwali or other festivals 12Minor violations of Law 15Arguments with others 10

15.9. Traits and Attitudes:

Specific traits and attitudes of people can influence their reactions to stressorsand their susceptibility to stress induced diseases. Strong positive attitudes andoptimism enable people to cope better with stressors. On the contrary, negativeoutlook, low self-esteem, poor attitudes and pessimism can lead to distress anddisease.

15.10. Personality Type and Stress:

Research findings indicate clearly that personality traits such as authoritarianism,rigidity, extroversion, supportiveness, spontaneity, emotionality, tolerance forambiguity, locus of control, anxiety, and the need for achievement are particularlyrelevant to individual stress.

Personality is considered to be specific behavioural patterns of an individualwhich 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 certainpatterned ways to particular stressors.

The first recorded attempt at categorizing individuals into personality types wasby the ancient Greek physician Hippocrates (400 B.C.) who classified people intofour temperaments. Choleric individuals were irritable and should react withanger. Melancholic individuals were depressed and would tend to give up whenfaced with stressful situation. Sanguine individuals were optimistic and shouldreact well with positive outlook. Phlegmatic individuals were calm and list lessand would have an ineffectual response or might try to avoid or evade thesituation.

The first modern attempt at personality typing was by Carl Jung who categorizedpeople into two types: “Extroverts” and “Introverts”. Introverts are most happywhen they are by themselves, doing their own things. They do not pursue socialactivity and often feel uncomfortable in it. Extroverts give their life meaning frominteraction with people and can feel at a loss when by themselves. Introverts tendto react to stressors by withdrawing into themselves and “seething” internally.Extroverts tend to lose themselves among others and “blow off steam” as astress release mechanism. More recently, psychologists tend to believe thatpeople are “ambiverts”.

William Sheldon tried to correlate physique type with temperament. In hisclassification, “endomorphic” individual is over weight, tends to be relaxed andsociable and should react well to stressors. “Mesomorphic” individual is strong

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and muscular. He is inclined to be energetic, aggressive and courageous. He hasa tendency to “grab the bull by the horns” and as a result should react well tostressors. “Ectomorphic” individual has a long thin body and is supposed to havea large brain and a sensitive nervous system. He is considered to be restrainedand fearful. As such, he would tend to manage stress poorly.

Julian Rotter categorized people as either “internals” or “externals” on the basisof locus of control. Internals believe that they have control over their environmentand what happens to them. Their self-confidence ensures that they react well tomost stressors. On the contrary, externals believe that whatever happens tothem is the result of luck, fate, or “superior beings”. Thus, they would react poorlyto stressors.

Recent attention of researchers has centered on Type A personality which showshighly stress-prone behaviour. Friedman and Rosenman popularized the use ofType A and opposing Type B personalities in the study of stress; and these twopersonality 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 timeWalks rapidly Is patientEats rapidly Doesn’t bragTalks rapidly Plays for fun, not to winIs impatient Relaxes without guiltDoes two things at once Has no pressing deadlinesCan’t cope with leisure time Is mild-manneredIs obsessed with numbers Is never in a hurry.Measures success by quantity Is co-operativeIs aggressive Is co-operativeIs competitiveConstantly feels under time-pressureIs highly ambitious

15.12. Type A – Type B Self–Test:

To determine your Type A or Type B profile, circle the number of the continuums(the verbal descriptions represent end points) that best represents yourbehaviour for each dimension.

Am casual about appointments 1 2 3 4 5 6 7 8 Am never lateAm not competitive 1 2 3 4 5 6 7 8 Am very competitiveNever feel rushed, even under 1 2 3 4 5 6 7 8 always feel rushed pressure

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Take things one at a time 1 2 3 4 5 6 7 8 Try to do many things at once; thinkabout 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 feelingsHave many interests 1 2 3 4 5 6 7 8 Have few interests outside workTotal your score: ……….. Multiply it by 3: ………..

The interpretation of your score is as follows:

Number of Points Type of PersonalityLess than 90 B90 to 99 B*100 to 105 A-

106 to 159 A120 or more A+

Source: Adapted from R.W. Bortner, “A Short Rating Scale as a PotentialMeasure of Pattern A Behaviour”, Journal of Chronic Diseases, Vol. 22, 1966, pp87-91.

Type B personality is described as passive, restrained, not overly ambitious andnot prone to develop stress related diseases such as coronary ortery disease. Onthe other hand, Type A individual is seen as a competitive achiever who isconstantly striving. He has a feeling of time- urgency, hostility andaggressiveness. He is a compulsive, hard-driving individual who often setsdeadlines and quotas. He is impatient with delay; he suppresses fatigue and triesto control his environment. He is prone to develop high blood pressure andcardiac diseases. Not only that but also the worst outcome of stress–heart attack.Research studies have shown that individuals suffering from coronary heartdisease are emotionally unstable and introverted. High level of anxiety andneurotic tendency is found to be a significant precursor to fatal coronarydiseases.

Beyond the classification of Type A and Type B personalities according to heartattack potentiality, people have also been classified according to whether or notthey 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 toulcers”.

Le Shan described Cancer-type personality as “low-geared, depressed individualhaving a history of feeling of isolation from parents since childhood; and hesuppresses emotions, reacts poorly and is prone to cancer.”

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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 “obsessionalperfectionist individual who is hypersensitive to stressors and over-reacts tothem; having repressed hostility and a great amount of “bottled-up” resentmentand 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 stressgenerated diseases. Similarly chronic feelings and attitudes are also believed tobe associated with certain stress-related diseases. For instance,

Feels neglected - AsthmaWants to escape - BackacheSticks to unliked situations - ConstipationFeels continually frustrated - Eczema, skin rashFeels threatened - HypertensionFeels responsible for some wrong doing - Nausea and vomittingFeels inwardly tormented - Depression

Psychologists describe three more personality types related with stress-generating behaviour:

Paranoid Personality: This individual has feelings of persecution andvictimization; he interprets actions of people as deliberately demeaning orthreatening

Explosive Personality: This individual acts as active promoter of hate; isruthless.

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 extremelystress-prone behaviour, there are people who are extremely resilient. Kollasadescribed Hardy personality concept. This is found in people who are likely to beresistant to stress due to their having a disposition composed of the 3’C’s:commitment, control and challenge.

A hardy personality:

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Finds a sense of purpose and meaningfulness in their work, family and socialinstitutions.

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 organizationalperformance. A certain amount of stress gives us zest for life and releases ourcreativity for better ways of performing tasks. However, if people experiencestress to frequently or too intensely, they lose or diminish their coping ability andthe affect of stress is felt through various physiological, psychological andbehavioural consequences.

As a normal stress response, people experience such familiar feelings aspounding in the chest, or heightened sense of alertness and muscular tension.Most of the times the stress response also creates less noticeable but moresubtle physiological and harmonal changes in the body. As a result, differentindividuals 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

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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

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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 arm’s 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 harmfulwhen internal thought and emotional processes start getting distorted and theimpact spreads to the person’s whole being. User such circumstance, thereoccur 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, theirthinking gets disorganized and

Schematic Model of Stress Reaction

Demand on Person

Perceived as Threat(Usually unconscious)

Body Responds(Flight-Fight Reaction)

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Physiological Imbalance

Unwanted Effects(Thinking, Behaviour,Health and Emotions)

Distorted and it causes them to lose their sense of control. Quite often, they loseself-confidence without them being aware of it.

Burnout results from the stress of prolonged nature. There are three componentsof burnout: Emotional exhaustion, Depersonalization that is closing off ofsensitivity toward others and Low Personal accomplishment – the feeling thatone’s actions and efforts are wasted and worthless. There is dissatisfaction withprofessional achievement.

Another consequence of stress is premature aging. Thus, stress manifestationscan 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 showdisorders in personality. With persistent stress the individual feels that the veryessence of his personality is threatened. His intense reaction is emotion one andthis 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 neuroticdisorders. Neurotic disorders include eating disorders, drug (abuse) disordersand symptom disorders like mood disorders, anxiety disorders, amnesia,neurasthenia, hypochondria etc.

Psychotic disorders are considered to be an extreme reaction to stress.Individual’s reaction to prolonged anxiety and stress is sometimes too severe thathe breaks with reality and develo0ps hallucinations, delusions, and distortedemotional tone. There are extreme disturbances in perceptual, affective andcognitive 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 straightforward. Usually, the self-help methods are used successfully. Only in psycho-neurotic disorders individuals cannot restore normal balance without specialistpsychiatric treatment. In day to day life people make adaptation to stress and

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learn to adjust themselves to their environmental situations. As they grow andmature they learn new ways of predicting and controlling most aspects of theireveryday life. Adaptation is a continuous process and strategies for adaptationdiffer from one individual to other. Although studies show that the ability to copeis 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 dealingwith 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 asa result of which individuals might become alcoholics, overweight, chainsmokers, sufferers of caffeinism and drug addicts. They also run the risk ofbecoming accident prone. Individuals exhibit coronary disease-prone behaviourpattern 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 stressfulsituation. They are almost always automatic mental process that goes to workeven before we are aware of stress. The unconscious utilization of defensemechanisms is a common reaction to stress that is shared by normal anddisturbed people. The ego defense mechanisms are useful in preserving self-esteem, averting personality disorganization or restoring some sort ofequilibrium. Some of the more common and important defense mechanisms areDenial, Projection, Repression, Repression, Regression, Rationalization, Directaggression, Displacement, Withdrawal, Compromise, Fantasy or day-dreaming,Emotional insulation, Intellectualization, Identification, and Devaluation or Sourgrapes mechanism. We should develop awareness about our own preferred wayof using defense mechanisms. It helps in understanding our own attitudes thatreflect influences of past associations and experiences. We develop theattitudes, and then they develop us.

Direct coping essentially involves self-awareness in order to avoid the harmfuland far-reaching consequences of distress. Direct Action responses or activitiesin direct coping are intended to improve environmental accommodation or tochange it. Direct coping essentially deals with how to change the stress responsefrom distress to custress by going to the root of the problem. Through self-introspection, individual leans to identify problem, determine solution byconsidering available alternatives and chooses to act. There are two ways ofusing direct coping. One is Mental which involves creating positive attitudes andthe second is Physical which involves regular and regulated physical exercise.

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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, theindividual himself should take responsibility for his physical and mental wellness,should actually take cha4rge and manage his stress with the support of theorganization.

Some specific techniques that individuals can use for coping with stress includethe following:

Physical Exercise: Regular and regulated physical exercise like walking,jogging, swimming, riding bicycle, playing outdoor games etc. is highly useful incombating stress directly as well as indirectly through’ its side effects such asrelaxation, enhanced self-esteem and diversion. Physical fitness helps the bodyto cope better with stress, whereas relaxation techniques are useful for the mind.

Relaxation: Relaxation is useful in eliminating the immediately stressfulsituation or managing a prolonged stressful situation more effectively. Relaxationcan help the body’s immune mechanism to improve, with measurably increasedlevel of white blood cells in the blood stream. The relaxation response helps toelevate circulating levels of endorphine making pain tolerance much greater.Everyday practice of 15-20 minutes relaxation enhances our physiological powerto counteract our body’s negative inappropriate responses to stress.

“Bio-feedback” is a specific relaxation technique. By the use of a direct signalfrom a machine, the individual is informed of his level of relaxation; then withpractice he can eventually learn to reach this level without the use of themachine.

“Mediation” is mental relaxation technique which has proved to be of immensevalue to relieve stress and re-energize the body. In Transcendental mediation,the person slowly repeats a phrase or word or concentrates on a mental picturein a quiet location. The Christian prayer, Jewish meditation, Japanese Zen,Chinese Tao, Muslim Sufism, and the Yoga and Meditation of Hinduism andBuddhism all result in tranquility, peace of mind, lowering in pulse and heart ratewhich can induce a more objective thinking process. Meditation is a state wherethe mind experiences intense joy, peace or serenity. It is a state of the greatestsilence or an experience of bliss. There are practical advantages of meditation.We can function more efficiently. We feel closer to ourselves and are better ableto relate to others. We become more integrated and our personality structure isstrengthened. We achieve more clarity in self–expression and goal achievement.

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Behavioural self-control: This technique involves individuals controlling thesituation instead of letting the situation control them. Individuals develop greatercontrol over day to day affairs. They can manage their own behaviour to reducestress and also can avoid people and situations that they know will put themunder stress. Emil Coue’ was famous for his amazing cures through the methodof auto suggestion. Remember the phrase “every day in every way I am gettingbetter and better”. He believed that imagination was the key to self–cure.

* Cognitive therapy: Techniques such as Meichenbaum’s cognitive behaviourmodification have been successfully used as an individual strategy for reducingstress. Under cognitive coping strategy, what happens to an individual is notconsidered as important as how he chooses to look at it. How a person perceivesa 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 needand will benefit from social support. Networking entails forming closeassociations with trusted, empathetic colleagues who are good listeners andconfidence builders. These peers are available when needed and providesupport to get the person through stressful situations. Networks showrelationship between social support and stress reduction. Attempts are made toascertain how a switch from maladaptive behaviour to adaptive pattern can beaccomplished, 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 placewhere success comes before work is in dictionary! So have an ambition tosucceed with sincere efforts.

15.18. Organizational Level Techniques forCoping with Stress:

Stress can affect any one – a worker or a manager, young or old. And almost anyjob condition can create stress depending upon an employee’s perception.

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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 individualemployees.

Management can design organizational coping strategies by focusing attentionon each specific job stressor. In addition, more generalized strategies caninclude the following:

Emotional climate control: providing a climate of esteem and regard toemployees and by allowing them to participate in all decision-makinginvolving 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 andjob satisfaction and interpersonal competence of employees.

Effective communication flow in the organization to improve performance andquality of work life.

Programmes for prevention of job-stress in areas like organizational structureand climate, job design, personnel selection, placement and training.

Thus, a number of strategies to prevent and alleviate stress can be usedsuccessfully at both individual as well as organizational level. Management ofstress is a joint responsibility of the organization and the individual. Both musttake steps to diagnose, reduce and prevent stress induced problems.

15.19. Effective Stress Management:

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Stress is a fact of life and individuals react to stress in different ways. the veryfact that some individuals deal with stressors in a positive way indicates that aproper understanding of the phenomenon and its effects is very important.Taking appropriate action to optimize, reduce or prevent stress may be beneficialboth for the organization as well as the individual.

Effective stress management can be done at the organizational and individuallevel in many different ways. Stress management can be divided into twophases, the first is coping with stress and the second is counteracting the stressresponse with the help of relaxation response. For coping with stress there arefive major methods: avoidance, evasion, diversion, preparation and custressresponse. In avoidance method the particular stressors are never met. Inevasion, the stressors are evaded or side-stepped so as to postpone stressreactions. In diversion, one’s mind is distracted from potential stressors.

Diversions can take many forms such as developing a rewarding hobby likedrawing, painting, music, photography, gardening, reading, writing etc., regularlygoing to movies, dramas, hotels; shopping; sports both indoor and outdoorgames; going on trips and vacations, or visiting places of religious importance. InPreparation method, the individual prepares himself mentally, nutritionally andphysically. In the last method of Eustress Response, the individual tries tochange response from distress to eustress with the help of positive and optimisticmental attitude and regular and regulated physical exercise.

The second phase of effective stress management is counteracting stressresponse. For this the individual tries to elicit relaxation response simply byhaving a restful sleep or taking a nap an individual feels relaxed and is able tocounter act stress-response. There are various techniques to elicit relaxationresponse. Hess first described relaxation response in a cat. He electricallystimulated a specific area of the hypothalamus and elicited what he called … “aprotective mechanism against overstress which promotes restorative processes.”Walter R. Hess Functional Organization of the Diencephalon (New York Gruneand 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 meditationaltechniques including self-hypnosis, meditation, biofeedback, yoga and Breathingexercises. All these techniques bring out the physiological change in our bodieswhen we alter the state of consciousness through non-drug means. Proper useof massage, heat and cold are refreshing and relaxing for counteracting thestress response on physical side, when used with physical exercise.

Beyond all these measures, the individual has to develop a stress managementphilosophy to serve him as a guide. The cornerstone to this philosophy is thecustress mental approach. Earning one’s neighbor’s love and respect is a majoraspect of the custress mental approach. Another key component is a positive

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attitude with optimistic outlook. Developing a sense of humor is an excellentmeans of effective stress management.

Some tried and tested skills for effective stress management essentiallyemphasize on proper management of time. Inability to do this results in lack ofpriorities, failure to delegate, inefficiency and incompetence in task performance.Learning to be assertive is equally important. Assertive behaviour has fourcharacteristics: ability to say ‘No’; ability to make requests and ask favours; abilityto express positive and negative feelings; and ability to generate, continue andterminate 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 extremelyessential. For managing our anger effectively the classic advice of countingnumbers to ten has survived for centuries. When angry all our energy is spent inbeing tense and anxious. Therefore it is vital to relax and compose ourselves.The body’s adaptive energy is like an inherited fortune. If we go on spending itwithout 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 toeffective stress management. The individual should learn to come to terms withunpleasant realities since they are there to say. Accepting them once and for alllessens their stressful impact. Life is not always fair and we have to learn to lookfor silver linings in every black cloud.

Learning a variety of new skills and applying them regularly in day-to-day lifehelps 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 tolook at stress. This approach believes that stress contains a hidden opportunitywhich opens us a doorway into our inner worlds. We can begin to see moreclearly how our well-being comes to be at the mercy of the way we think and theway we see things. As we discover more about these inner dynamics, we canlearn how to exercise choice in our responses, thus becoming masters of ourmindsets. This enables us to maintain a healthier state of body and mind.Managing our stress effectively can also lead to a fuller appreciation of innernatures, and our hidden strengths so that we can free our own resources andrespond to change more flexibly.

ILLUSTRATIVE CASE: SITUATIONAL STRESS

An inter-collegiate debating competition was arranged in the University campusand the response was overwhelming since more than twenty five colleges were

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participating in the programme. Opening speech was very well received and thencame Dilip on the dias. He stood before the audience and faced them veryconfidently but within a fraction of second his legs started trembling. He could notutter a single word, his mouth was dry, his palms were sweating, and hands wereshaking. The entire audience including the panel of judges sitting on the diasobserved his nervous condition. There was pin-drop silence in the audience andeveryone was anxiously awaiting to hear his voice.

Somehow Dilip gathered courage and caught hold of the mike. Resting his shakypalm on the mouth-piece, he started speaking. AT the outset he admitted the factthat 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 betterthan arranged marriages. And I want to defend the stand that arrangedmarriages 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 Imay fall in love with one of them and then how can I stick to my proposition thatarranged marriage is better than love marriage?”

With this opening remark when he started his speech, he conquered the entireaudience who gave him a big hand with spontaneous claps.

Thus, situational stress is just a transitional, temporary phase in life. It does notcreate any long-term harmful impact. With the gift of intelligence and sense ofhuman one can easily over come the passing phase of situational stress.

Reference Books

1. Cooper, C.L. and J. Marshall, “Understanding Executive Stress’, London, theMacMillan 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 BookCompany, 1985

5. Morse, D.R. and M.L. Furst, “Stress for Success: a Holistic Approach toStress and its Management”, New York, Van Nostrand Reinhold Co., 1979.

6. Selye, H., “The Stress of Life”, New York, McGraw Hill Book Co., 19767. 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.

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4. What are the different coping strategies for job stress at both the individualand the organizational level?

5. Summarize and evaluate various techniques for preventing and moreeffectively 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 stress2. 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 ExtrovertsCarl Jung General Adaptation SyndromeNeurotic disorder Fight Flight ResponseStress Mechanism Eating DisordersPsychotic Disorder Relaxation ResponseHess SchizophreniaWeiner Rheumatoid Arthntis PersonalityLe Shan Ulcer Personality

Moos and Soloman Cancer Personality

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CHAPTER-16Why Study Technical and

Professional CommunicationWhy should engineers, scientists, and other technical professionals studytechnical writing or speaking? Their primary training and interests lie in technicalareas; most science and engineering students successfully pursue their technicalsubjects without extra writing courses; and practicing engineers and scientists ingovernment and industry work on technical projects. It might seem, then, thatwriting and communication are superfluous to a technical education.

In fact, this is not the case. Scientists and engineers may be technically brilliantand creative, but unless they can convince coworkers, clients, and supervisors oftheir worth, their technical skills will be unnoticed, unappreciated, and unused. Ina word, if technical people cannot communicate to others whey they are doingand why it is important, it is they and their excellent technical skills that will besuperfluous. From this perspective, communication skills are not just handy; theyare critical tools for success, even survival, in “real world” environments.

Every technical person stands to gain from improving his or her communicationskills. Most scientists and engineers work in organizational settings whereteamwork is essential. Good teamwork is impossible without goodcommunication. And those scientists and engineers who work independently hasto communicate with clients, sponsors, or other interested parties. For manytechnical professionals, the ultimate product of their work is a written document.If that document is badly written, it reflects badly not only on the individualinvolved but on the entire organization. Organizations know this, of course, andsometimes base hiring and promotion decisions on writing ability. To maximizeyour chances for landing a good job and doing well at it, you should work on yourcommunication skills–even if you think they’re already pretty good.Communication will become even more important as you progress through yourcareer; 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 surveyafter survey. For instance, the American Society for Engineering Educationconducted a survey1 to determine which academic subjects are most needed forengineering careers in industry. Responses were received from 4057 engineers,all having at least several years of on-the-job experience behind them. Theresults, given in Table 1-1, show that communication skills rank above any othertype of skill, capturing five of the nine “most needed” categories. These includetechnical writing (2), public speaking (4), working with individuals (6), workingwith groups (7), and talking with people (9). In contrast, technical skills ranktoward the bottom of the list. Of course, for any individual a particular technicalsubject might rank higher than it does for the group; but for the group as a whole,

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the more general “people-oriented skills” are the ones that are seen as havingacross-the-board importance.

In more focused surveys, 245 distinguished engineers2 and 837 experiencedbusinesspeople3 were asked, “How important is the writing that you do?” Theirresponses, as can be seen in Table 1-2, indicated that for most of them, writingwas very important to their work.

Similar findings emerge from other surveys. For example, when 595 engineeringalumni of the University of California, Berkeley, were asked if writing skills hadaided their advancement, 73% answered yes. And almost all (95%) said that theywould consider writing ability in making hiring or promotion decisions.4

Writing is not the only communication skill that’s important to success on the job.Oral communication skills–conversing, interviewing, listening, giving oralpresentations, etc.–are equally important. In the Berkeley survey, for example,60% of the respondents said that speaking skills had aided their careeradvancement. In other survey, 305 engineering technologists were asked, “Howimportant to your job is the ability to speak clearly and effectively?” Almost all therespondents (97%) answered either “very important” or “important.”5

The need for good communication skills in industry is nicely articulated by RusselR. Raney, former Chief Engineer at International Harvester. Raney points outthat most industries are composed of internal units that include (at least) amarketing unit, a manufacturing unit, an engineering or design unit, and amanagement unit. These units or internal organizations.

Table 1-1 SUBJECTS MOST NEEDED FOR ENGINEERING CAREERS ININDUSTRY

Rank Subject1 Management practices2 Technical writing3 Probability and statistics4 Public speaking5 Creating thinking6 Working with individuals7 Working with groups8 Speed reading9 Talking with people10 Business practices (marketing, finance, economics)11 Survey of computer uses12 Heat transfer13 Instrumentation and measurements14 Data processing15 Systems programming

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16 Economics17 Ordinary differential equations18 Logic19 Economic analysis20 Applications programming21 Psychology22 Reliability23 Vector analysis24 Electronic systems engineering (circuit design)25 Laplace transforms26 Solid-state physics27 Electromechanical energy transformation28 Matrix algebra29 Computer systems engineering30 Operations research31 Law practice (patents, contracts)32 Information and control systems33 Numerical analysis34 Physics of fluids35 Thermodynamics36 Electromagnetic37 Human engineering38 Materials engineering

SOURCE: Middendorf, Reference 1 © 1980, American Society for EngineeringEducation.

Table 1-2 RESPONSES OF DISTINGUISHED ENGINEERS ANDEXPERIENCED BUSINESSPEOPLE(To the question “How important is the writing that you do in your presentposition?”

Distinguished ExperiencedEngineers 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 EngineeringEducation. Storms, Reference 3, © 1983, The ABCA Bulletin.

Are quite similar to factions in a political party in that, while they all strive towardthe same end, they do not necessarily agree among themselves as to the meansto be employed in achieving that end. So it is to be expected that the normaloperation of the business will be marked by a certain amount of internal conflictas each organization seeks to promote its own particular interest.6

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This natural conflict, the many details and changes to be managed, and theincredible complexity of a large organization all combine to create a demand forcommunication skills unforeseen by most science and engineering students:

In school you can attain your goal of a degree on your own individual efforts withpractically no dependence on anyone else. On the other hand, it should beevident from the fore-going description of industrial operation that you will be ableto accomplish very little by yourself in an organization. . . .

[This] means that for the results of your efforts to be incorporated in any endresult you must present them effectively in competition with many conflictingconsiderations. It will, therefore, inevitably be a part of your responsibility totransmit understandably and persuasively the results of your work to otherpeople, usually both verbally and in writing. Since success in engineering schooldoes not depend much on communication abilities, you may not have developedyour skills and may mistakenly resent the absolute dependence you will have onthem for accomplishment in an organization.7

The Social and Ethical Aspects

We live in a world that is increasingly diversified and interactive. There is morecommerce among more people than ever before, and it is cutting acrossgeographical, occupational, cultural, and linguistic boundaries everywhere.Computer programmers talk to business managers, pediatricians confer withpsychologists, molecular biologists exchange ideas with chemists, patent lawyersmeet with mechanical engineers. Even though much international communicationtoday is carried out in one language, English, there are still many possibilities formiscommunication. The English of any one occupation is often quite differentfrom 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 haspointed out, that technical communication is not a simple process of conveyinginformation but rather is a process of social interaction. “Instead of a commodityto be transported, [technical] information is an understanding to be shared withparticular people for particular purposes. . . . In this view, ethical technicalcommunication mediates conflicts between the incomplete understandings ofthose who have information and those who need it, helping people develop theshared knowledge that will meet their common needs.”8

Legal Considerations

Failure to appreciate the ethical dimensions of technical communication can haveserious human and legal consequences. In the last few years alone, the newsmedia have reported on numerous accidents in the home and in the workplaceresulting from poor technical communication. One need only think of the nuclearmeltdown at Chernobyl, the scare at Three Mile Island, the Bhopal chemical plant

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disaster, and the tragedy of the Challenger space shuttle. Many people lost theirlives and many more were injured. Yet follow-up investigations showed thatthese accidents could have been averted by better technical communication. Insome of these cases, companies have had to face litigation as well. Indeed,product liability laws are getting tougher in many countries. If consumersmisunderstand assembly instructions or operating manuals and injurethemselves, they are more likely today than ever before to file lawsuits againstmanufacturers, and win. The best way for a company to protect itself againstsuch lawsuits, obviously, is to have the product documentation written in such away that the consumer is extremely unlikely to misunderstand it.

16.1 THE FREQUENCY OF TECHNICAL AND PROFESSIONALCOMMUNICATION

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 technicalprofessionals is quite consistent across the board. Davis’s 245 distinguishedengineers spent 24.4% of their time writing. Spretnak’s 595 engineers andmanagers from Berkeley spent 25.3% of theirs, and Storms’ 837 businesspeoplespent 24.9% of theirs. If we add in the time spent on other communicationactivities, the total rises dramatically. For example, Spretnak found that herBerkeley alumni spent 23% of their time reading other people’s writing, 11%supervising other people’s writing, and another 7% giving oral presentations. Inaddition, they presumably spent considerable time attending meetings andconversing. A veteran industrial consultant, Ed Gilbert, has estimated that inmost organizations one can expect to spend more and more time communicatingas one rises in rank (see Table 1-3).9

Table 1-3 TYPICAL COMMUNICATION TIME WITHIN ORGANIZATIONS

Portion of Total WorkTime Spent on Communication, %

Verbal Informal FormalHierarchy Medial Writing Writing

Chief executive 65 10 2Division manager 60 15 2Department manager 45 20 5Section head 40 20 5Project head 30 20 10Engineer or scientist 25 15 10Junior engineer 20 10 10Technician 15 10 2

SOURCE: Gilbert, Reference 9.

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Obviously, if you can make such time-consuming activities more efficient, bothyou and your company will be well served. One easy way to improve efficiency isto develop effective strategies for analyzing communication tasks and audiencesas well as strategies for producing reports and oral presentations. This text, andany technical or professional communication course based on it, should help youdevelop such strategies.

16.1 THE COLLOBORATIVE NATURE OF TECHNICAL ANDPROFESSIONAL COMMUNICATION

Scientific, technical, and managerial professionals frequently collaborate withother people, especially in activities which are larger or important or inherentlyinterdisciplinary. The collaboration may involve many individuals atgeographically 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 ofNational Science Foundation proposals from a variety of disciplines in thesciences, engineering, and social sciences.10 The number of proposals withcollaborative activity is relatively high in the planning stage (42%) and reviewingstage (67%) and surprisingly high in the actual writing stage (30%). Consideringthe certain process as a whole, the amount of collaboration is quite high. Asshown in Table 1-4, 70% of the proposals involved collaboration at some state intheir creation, and 26% involved collaborators who were geographicallydispersed–that is, not in the same building. About half the dispersedcollaborators 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 person31% 2 persons15% 3-4 persons24% more than 4 persons26% of readers/writers/planners are geographically dispersed. Of these

48% were on campus, in separate buildings52% were off campus, and of these

20% were out of state, in the USA24% were outside the USA

SOURCE: Olsen, Reference 10, © 1989, Baywood Publishing Co., Inc., p. 100.

Collaboration can be important even if there’s only one writer. In a series of casestudies at seven large American companies, Rachel Spilka studied technicalprofessionals who were in charge of major writing projects.11 Five of these

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projects resulted in successful, well-written documents; the other two did not.What distinguished the successful cases, according to Spilka, was that the writerinteracted with his or her target readers into the communication process at anearly stage; the writer was able to create a collaborative environment in whichthe readers themselves were able to suggest ideas, provide feedback, andotherwise “guide” the development of the writing. Thus, when the finisheddocument finally appeared, the readers were primed to approve it. In the twounsuccessful cases, by contrast, the writers did none of these things.

16.1 THE COMPUTERIZATION OF TECHNICAL ANDPROFESSIONAL COMMUNICATION

It is widely recognized that many scientists, engineers, professional technicalcommunicators, and other professionals have some access to computerequipment. However, access to computing power is increasing at dramatic rates,as illustrated by the National Science Foundation study of collaboration citedabove. In 1986, 58% of the prominent scientific and technical professionals in thestudy 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 personalcomputer (many had access to more) and 51% had access to high-poweredworkstations.12 The technology for workstations now allows the production ofvery 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 NATIONALSCIENCE FOUNDATION PROPOSALS

78% had a bibliography (average length = 56 items)49% had endnotes and/or footnotes

42% had endnotes10% had footnotes51% had no endnotes for footnotes

(Note: most text-processing programs used did not supportfootnotes, end-notes, or bibliographies)

43% had math38% had figures (line drawings, cross-sections, etc.)34% had tables26% had graphs9% had photos7% 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.

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Biographies. This rapidly increasing access to workstations and high-poweredpersonal computers is already changing the look of technical documents.

For instance, the capabilities of the 1986 systems were usually poor for anythingbut prose text (words), and as a result, the documents produced on them werelargely prose text: one-third of the documents used only text, one-third used textplus one other medium photograph, line drawing, mathematics, chart or graph,etc.), and one-third used 2-5 additional media types. This limited use of mediatypes other than text, outlined in more detail in Table 1-5, may well reflect thelast-minute handwork required to paste these media types into the document. Ifwriters have access to a computer system that makes it very easy to includenonprose elements, those elements should appear more frequently and carrymore of the important information of a text. This conclusion is supported byanecdotal evidence and the responses of the authors using such systems in1987.

16.1 THE INTERNATIONAL NATURE OFTECHNICAL COMMUNICATION

We are moving more and more toward a single glob al economy, an economybased on a flow of information as much as it is on material products. We haveindeed entered the “information age.” Since much of this information is technicalin nature, it is no surprise that technical communication itself has become highlyinternationalized. There are now more than 40,000 science journals worldwide,publishing more than one million articles a year. And only about half are inEnglish. The United States has more than 350,000 foreign students, and othercountries have many thousands more; most of them are studying technicalsubjects. Multinational corporations are commonplace, and all of them depend ontechnical communication.

If you are a technical professional or planning to become one, you shouldprepare yourself for work in this increasingly internationalized world. You shouldseek out opportunities for studying foreign cultures and languages. You shouldlearn 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, willbe relying even more on nonprose elements, and has important internationalanalogues and legal implications. Let us now consider what communication skillsare needed to support the needs of technical professionals in the near future.

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What are the specific communication skills most needed by technicalprofessionals? In terms of particular types of communication, the most commonwritten forms are memos, letters, and short reports, followed by step-by-stepprocedures 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 infrequentforms of communication can be extremely important. For example, at oneresearch laboratory we know of, each staff scientist is required to give a 10-minute oral presentation to upper management once a year summarizing thework he or she has done during that year. It may be an infrequent form ofcommunication, but you can imagine how important it is to these scientists! (Infact, some of them practice it for weeks ahead of time).

Typically, technical professionals need to master many different types ofcommunication, 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 800engineers with 5-10 years on the job.13 On a scale of 1 to 7, with 7 being “mostimportant,” these practicing engineers rated almost four-fifths of the 30 itemslisted as “important.”

Furthermore, technical professionals often command a variety of com-posingprocesses. For example, in a 1981 survey of 160 technical professionals andmanagers, Lester Faigley and Thomas Miller14 found that 73.5% occasionallyengaged in team-writing, 26% regularly dictated letters or reports, and 25.5%used word processors. It seems likely that the percentage of those using wordprocessors would be even higher today.

As for the basic language skills needed for good technical communication, boththe Davis and Storms surveys, cited earlier, found that “writing clearly,” “clearlystating one’s 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 TOENGINEERING PRACTICE

Rank Types of Communication Mean* Std. Dev.

1 One-to-one talks with technically sophisticated personnel 5.9391 1.31092 Writing using graphs, charts, and/or other illustrative aids 5.3995 1.71413 Project proposals (written) 5.3324 1.81674 Participation in a small group of committee made up only

Technically sophisticated members (oral) 5.2694 1.77335 Instructions for completing a technical process 5.2444 1.83326 One-to-one talks with nontechnical personnel 5.0718 1.90657 Project progress reports (written) 5.0609 1.63018 Project proposal presentations (oral) 5.0587 1.9787

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9 Writing technical information for technical audiences 4.9157 1.939610 Oral presentations using graphs, charts, and/or other aids 4.9139 1.962311 Technical description of a piece of hardware (written) 4.8687 1.879312 Memoranda 4.8169 1.717513 Short reports (less than 10 pages typewritten, double-spaced) 4.7967 1.850714 Writing technical information for nontechnical audiences 4.7458 2.137715 Project feasibility studies (written) 4.7124 1.930516 Project progress report presentations (oral) 4.6667 1.927717 Participation in a small group or committee including

nontechnical members (oral) 4.6639 1.960818 Business letters 4.6257 1.885619 Telephone reports 4.5838 1.968220 Project feasibility study presentations (oral) 4.4258 2.078021 Form completion 4.2842 1.884722 Formal speeches to technically sophisticated audiences 4.0452 2.210823 Writing in collaboration with one or more colleagues 4.0313 2.017524 Laboratory reports (written) 4.0184 2.180025 Long reports (10 or more pages typewritten, double-spaced) 3.8249 2.212026 Formal speeches nontechnical audiences 3.5869 2.202027 Writing requiring library research 3.2062 2.072328 Abstracts/summaries of others’ writing (written) 2.8864 1.991029 Articles submitted to professional journals 2.8704 2.149930 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 EngineeringEducation.

Table 1-7 COMPLAINTS ABOUT TECHNICAL WRITINGFROM 182 SENIOR OFFICIALS IN SCIENCE AND INDUSTRY

Complaint NumberResponding

Generally foggy language 182Inadequate general vocabulary 173Failure to connect information to point at issue 169Wordiness 164Lack of stressing important points 163All sorts of illogical reasoning 163Too much “engineering gobbledygook” 160Poor overall organization 153No clear overview 143No clear continuity 142Very little concept of writing for anyone

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but fellow specialists 136Poor grammar 133General lack of flexibility to suit circumstances 127Deliberate obscurity 92Poor punctuation 81No sense of proper tone for circumstances 72Poor adaptation of form to purpose 64Almost meaningless introduction 54

SOURCE: Macintosh, Reference 15.

engineers and businesspeople. These same findings are mirrored in a survey byFred MacIntosh,15 who asked 182 senior scientists, government agency heads,corporate executives, and other senior officials in science and industry to list theircomplaints about the technical writing they saw. The results are given in Table 1-7.

16.1 THE COMPLEXITY OF TECHNICAL AND PROFESSIONALCOMMUNICATION

Why do technical professionals often communicate so badly? One reason is poortraining. In trying to keep up with rapid advances in technical knowledge,technical schools are often forced to make sacrifices and sometimes it is theteaching of communication skills that gets shortchanged—despite repeatedcomplaints from industry. Not surprisingly, this neglect of communication skillscreates a series of problems. Technical students are trained to follow certainstandardized procedures in their work, to use correct technical language, to try tobe as objective as possible—in short, to “let the facts speak or themselves.” This,of course, is as it should be. But communication is different. Technical studentsneed to understand that, when they go to work in the real world, they willsometimes “have to speak a different language,” especially if they want to beunderstood by non specialists. They will sometimes have to avoid following thestandards narrative style of lab reports and scientific papers. They will sometimeshave to cut down on their use of technical terminology (or at least explain what itmeans). They will sometimes have to inject their personal opinion into theirwriting or speaking, emphasize important points, and make arguments andrecommendations. 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 thesheer cognitive complexity of technical communication and the physicalcomplexity of the process by which it occurs. What makes technicalcommunication cognitively complex? In the technical, scientific, and businessworlds, the most attention-consuming activities usually address some kind ofproblem. Indeed, if you are an engineer, scientist, or other technical professional,you probably see yourself primarily as a problem solver. Problems come in

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different sizes and shapes: some are narrowly technical and can often be solvedby a single person; others are organization-wide and can only be “solved,” if atall, by reaching some kind of consensus among many people. Typically, it is thislatter kind of problem that requires the most skilled communication. The proposalyou are trying to get funded, the project that’s falling behind schedule, apersonnel evaluation—these are the kinds of things that are essentiallycommunication problems, not purely technical ones. These things are alsoproblems which require a sophisticated level of intellectual activity—sophisticatedthinking, analysis, evaluation, and design skills—to deal with the content of yourproblem and the audience needs driving your communication. If you are writingabout unfamiliar content, you have the added complexity of mastering difficultnew content.

What Is a “Problem”?

A problem is some kind of incongruity, a discrepancy between what we expect orwant to find and what we actually do find. It is a conflict between what should beand what is. Problems are not inherent in nature; they are a product of ourexpectations and desires. As the philosopher of science Stephen Toulmin hassaid, “The problems of science have never been determined by the nature of theworld alone, but have arisen always from the fact that, in the field concerned, ourideas 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 somekind of organizational problem, a discrepancy between the desired state of affairsand the actual state of affairs.17 The desired state of affairs is determined bycertain goals, constraints, and criteria, which are

[DIAGRAM]

Themselves determined by various primary and secondary audiences. Theactual 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 sameones that the current audiences have established. To resolve the organizationalproblem, the technical communicator conducts a technical investigation andarrives at certain conclusions and recommendations, all the while keeping inmind the various goals, constraints, and criteria determined by the desired andactual states of affairs. The technical communicator’s conclusions andrecommendations are presented to a primary audience of decision makers, whon turn are responsive to various secondary audiences (those who are affected bythe primary audience’s decision). The primary audience’s decisions shouldproduce attitude changes or problem-solving actions which serve to reduce oreliminate the original incongruity.

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We wish to emphasize two features of this way of looking at problems. First,most technical problems are embedded in some kind of organizational contextand are therefore socially-conditioned. They are created by the wants and needsof communities of people. Likewise, they are most effectively resolved when thetechnical investigator keeps those wants and needs in mind. This means thatcommunication with one’s audiences is a major part of the problem-solvingprocess. If you are a technical professional and you want to produce the bestsolutions to the problems you are working on, you must maintain goodcommunication with your audiences throughout the lifetime of a project.

Second, most technical problems are dynamic. They can change even as peopleare working on them. Indeed, they may chance precisely because people areworking on them. In a problem-solving environment where good communicationis taking place, there is likely to be a continuous process of attitude changesand/or problem-solving actions which change the nature of the problem. Figure1-1 depicts not so much a linear process as a recursive one. Notice the feedbackloops. The attitude changes and problem-solving actions represented by theseloops do not have to be one-time events. There can be–indeed, there should be–frequent interaction between technical investigators and their audiences. Forexample, investigators can make sure they are pursuing viable solutions by usingprogress reports, conferences, phone calls, preliminary drafts, etc. to stay intouch with their audiences.

Types of Problems

There are many different kinds of problems. As Walter Reitman and HerbertSimon18,19 have pointed out, some problems are well defined, others are illdefined, and many are somewhere in between. A well-defined problem has asmall and relatively simple “problem space” in which to work out the problem. Itusually has a single correct solution. Technical calculations, even those thatrequire a computer, are usually well-defined problems. An ill-defined problem, onthe other hand, has a much larger and more complex problem space in whichmany different kinds of variables can play a role. It typically does not have asingle correct solution. For example, if you were put in charge of a work groupand told to improve its performance, you would have an ill-defined problem onyour hands. There would be many different ways you could go about finding asolution, and there would be many possible improvements.

In school, most of the problems you deal with are well-defined ones. But in thereal world, many of the most important problems you have to confront are ill-defined ones. And often these are precisely the problems that require goodcommunication skills. If you are asked simply to do some mathematicalcalculations 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 thanyou will doing the calculations. But if you are asked to write a report about thefeasibility of buying some new equipment, you will be facing an ill-defined

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problem and will probably have to put a lot of thought and effort into writing thatreport.

Intellectual Skills in Problem Solving and Communication

It is tempting to think of communication as a simple matter of conveyinginformation: Person A knows something that Person B doesn’t, so all A needs todo is pass that information on to B–like pouring information into one end of a pipeand having it come out the other end, unchanged. But although this conceptionapplies nicely to electronic data flow and other forms of nonhuman informationprocessing, it does not work at all for human communication. Humancommunication is simply not that simple. Human beings are always interpretinginformation, and when they do, they draw on their personal experience to try togain better understanding. To the extent that people vary in their experience–andof course everyone has a unique background of individual experience in thisworld–they will naturally vary in how they interpret new information.

For example, let’s say you’re a staff physician in a hospital and have written amemo asking the director to install computer terminals with “Grateful Med”interfaces on every floor so that doctors can get information directly frominternational, 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. Forone thing, it would spare you all those time-consuming trips to the library you’vebeen taking. The director, however, may remember a time when the introductionof a new recordkeeping system at another hospital led to major changes in theoverall operation of the hospital. Thus, she may interpret your idea differently,seeing your memo as a first step toward general decentralization. And thelibrarian, who has been treated by certain doctors with condescension, mayinterpret this memo as yet another sign of disrespect: instead of working with himto access information, “now they want to go around me.” The different personalbackgrounds 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 thepoint that good communication often requires socially negotiated problemsolving. If you acknowledge the fact that other people have a different body ofexperience and perhaps a different perspective than you do, there are two waysin which you can benefit from negotiating a solution to problems. First, you canuse their experience to generate possible solutions that might not have occurredto you otherwise. Second, the solution you end up with is more likely to beacceptable to everyone involved, and therefore more likely to be effective.

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Project Management Skills

It should be clear from the preceding discussion that you need intellectual skillsto handle the content of the communication and the needs of the audience.However, you need another set of skills–project management skills–related to thephysical process by which you produce a communication product. Projectmanagement skills include being able to estimate the time and money andresources it will take to complete a project or one of its parts, being able to meetthe deadlines set for a stage in the production process, and being able to dealeffectively with coworkers with different backgrounds. The importance of theseskills becomes evident when you see the production process as it is presented inFigure 1-2. This view stresses the complexity of the production process,especially for projects with multiple authors, illustrators, editors, and productionspecialists.20 However, even simple projects have many of the stagesrepresented in Figure 1-2, and each stage involves a deadline which must bemet for the project to continue successfully. In many contexts, timing is almosteverything. If you miss a deadine, you disrupt the tight coordination of manypeople’s schedules and cause the communication product to be late. This in turnmay cause the late release or failure of a technical product, or a poor decision bymanagers missing vital information. Thus, even if you have very highly developedskills in identifying and communicating about problems, your skills will be onlyminimally useful or even useless in an organizational context if you cannotcombine them with project management skills and meet deadlines.

Conclusion

In sum, technical communication is very complex. The problems it attempts toresolve are typically ill-defined ones that sometimes change character even asyou are working on them. It requires sophisticated techniques of cognitive andsocial problem solving. It requires a good command of both technical and nontechnical language and a sense of how to tailor language to the needs andcapabilities of specific audiences. It requires a familiarity with many differentgenres of communication. As if this weren’t enough, technical communicationmust also frequently consider the ethical dimensions of a problem.

When something is as complex as this, learning it is not easy. We hope this bookwill help.

[DIAGRAM]

Figure 12-2 SAMPLE REPORT FOR ANALYSIS ٱ

Date: June 6, 1989

To: Meg A. Lith, Manager

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Research DivisionScoria Mining CompanyMenhir, MI 48003

From: Michael A. Newton, Research AssistantPhoenix Memorial Laboratory47-28 Technology MallAtlanta, 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 oneach of the samples to determine the major constituent elements in each. Thisletter concerns the results of the analysis.

Details: The final analysis is based upon the collected results of two separateprocedures: one for short-lived isotopes and one for long-lived isotopes. Althoughsample preparation and gamma ray spectra analysis for both of the proceduresare identical, the process of irradiation is different. the process of analysis isdetailed below.

1. Preparation: Sample preparation was performed by obtaining two 1-gramsamples from each of the sediments. These samples were then sealed intoindividual quartz tubes for ease in handling and irradiation.

2. Irradiation: One sample tube from TG-1 and one from TG-2 underwent shorthalf-life activation. The other sample tube from TG-1 and TG-2 underwentlong half-life activation.

2.1Activation of Short-Lived Isotopes: Sample activation was performed byexposing the sample tube to a neutron flux for a period of 10 seconds. Thesample was allowed to sit for a period of 30 seconds to ensure that it haddecayed to a safe handling level. The sample was then available foranalysis.

2.2Activation of Long-Lived Isotopes: Sample activation was performed byexposing the sample tube to a neutron flux for a period of 10 hours. Thesample was allowed to sit for a period of 5 minutes to ensure that it haddecayed to a safe handling level. The sample was then available foranalysis.

3. Analysis: Sample analysis was performed by individually measuring eachtube for gamma ray emission. The measurement was performed with a Ge(Li) detector in conjunction with a multi channel analyzer that was controlled

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by a PDP-8 computer. The resultant gamma ray differential pulse heightspectrum was analyzed to determine the following:

3.1The elements present in the sample by referring to the photo peakspresent on the spectra.

3.2The concentration of each element present in the sample by referring tothe magnitude of the gamma ray emission rate relative to a know sample’semission rate. (The concentration of each element in the known samplehad 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 thesix major elements of each sediment sample.

Results: The final results of the analysis are shown below for the six majorelements in each of the samples. These measurements represent the relativeconcentration of the elements to within 0.01 part per million.

TG-1 TG-2Na-23 31,600 ppm 30,200 ppmMn-56 763 ppm 260 ppmFe-59 18,800 ppm 46,100 pp[m

Co-60 4.40 ppm 15.40 ppmSc-46 3.63 ppm 12.30 ppmPa-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 tocontact me.

EXERCISE 12-1

A Write a Summary for the report shown in Figure 12-2. When you havefinished, 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 ofyour classmates> if you do not all have the same information in yourSummaries, try to justify your choices to one another and then to producea “Consensus Summary” from the group.

EXERCISE 12-2

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If you have recently written any other reports, go back now and check theirSummaries for

Appropriateness and completeness. Since Summaries are so important, youshould 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 aproblem and gives a proposed solution and cost in general terms for a manageror non specialist reader. They are followed by a Details or Discussion sectionwhich provides details to support the proposed solution. These are details whichthe manager could read or skip depending upon a need to know, but which aspecialist would find essential in evaluating the argument. These essential detailsare followed by Appendixes which provide other supporting details: either (1)nonessential details, details which support the arguments in the Details sectionbut 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 theDetails section if they were presented there. This structure is summarized inFigure 12-3.

Thus, the overall report structure moves from generalizations or claims (theForeword and Summary) to support (the Details).

Generalizations (claims)

Details (support)

The section of the report giving details is written for experts, readers with thetechnical background and interest to follow the details and fine points of thetechnical argument. This section is usually called the Discussion in a long reportand the Details or Discussion in a short report. Such a section is illustrated in theDetails section of Figure 12-1.

As does the structure of the overall report, the structure of the Discussion and itsindividual paragraphs moves from generalizations and claims to support anddetails. For example, examine the first main section after the Summary in Figure12-1: “Performance Superiority of Aerated Lagoons.” This section begins with aheading and then a first paragraph that states the claim being made: Aeratedlagoons have superior performance to activated sludge processes or anaerobiclagoons because aerated lagoons show better BOD reduction and higher organic

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loading potential. Notice that the main claim (aerated lagoons have superiorperformance) is visible from the heading alone.

The main claim is then supported by the subsections which follow, with eachsubsection proceeding from claims (or sub claims) to support. In each case, thesub claim appears in the subsection heading–“Superior BOD Reduction byAerated Lagoon” and “Superior Organic Loading Potential of Aerated Lagoons”–and again in the first sentence of the section. This structure is summarized inFigure 12-4 on the previous page.

EXERCISE 12-3

Rewrite the report in Figure 12-2 to strengthen the movement in the DetailsSections from generalizations or claims to data and support. Don’t forget toconsider the headings.

REFERENCES

1 Richard W. Dodge has prepared an extended list of questions managerswant answered for various types of projects. The list appeared in “What toReport,” Westinghouse Engineer 22(4-5):108-111 (1962) and was basedon information provided by James W. Souther, “What Management Wantsin 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 Manager’s Job: Folklore and Fact,” Harvard BusinessReview, July-August 1975, pp. 49-61; The Nature of Managerial Work (NewYork: Harper & Row, 1973)

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