Project Estimation Techniques

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TABLE OF CONTENTS

1. ACKNOWLEDGEMENTS

. ABSTRACT

. INTRODUCTION

Cheap University Papers on Project Estimation Techniques

4. S/W PROJECT ESTIMATION

Size Estimation

Effort Estimation

Time Estimation

Cost Estimation

5. RISK & TEAM DYNAMICS IN S/W ESTIMATION

Risk

Team Dynamics

6. SOME ESTIMATION TERMINALOGY

7. CASE STUDY

8. CONCLUSION

. APPENDIX

10. REFERENCES

ACKNOWLDEGEMENTS

We are very thankful to our lecturer Mr. Anand and tutor Mr. Vivek Handa for their support in doing this assignment. We are also thankful to our library staff for providing course books and good reference books to us.

ABSTRACT

The main aim of this essay is to provide a good understanding on project estimation. Improving the estimation techniques is as equally important as improving the development techniques. This document proposes a perfect estimation process for project size, effort, cost and time especially when considered in relation to project progress. This document contains the estimates used at various stages in a project with estimating techniques used, and the variety of messages communicated and the effect on the project including risk and team dynamics. Based on the size estimates obtained from the size models, this document presents the practical application in conducting software cost, time and effort estimation techniques to estimate the project schedule, effort and the development cost of the software project. Finally this paper demonstrates and practically imposed all of the tools and techniques in the online student registration database case study.

INTRODUCTION

An estimate is a projection from past to future, suitably adjusted to account for differences between past and future.

- past history of past projects

- future requirements

- adjustment factors locally determined

Our Project Estimation Practice covers a range of services including validating existing plans, implementing automated estimation tools, implementing function point sizing techniques, linking project estimation to project management initiatives, and collecting historical project data to improve future estimation efforts. For large development projects, the estimation step should really be regarded as a mini project. Few organizations have established formal estimation processes, despite evidence that suggests organizations without formal estimation are four times more likely to experience cancelled or delayed projects.

The main goals of Estimation process are

• Consistency

• Documentation and History of Estimates

• Continuing effort to bring estimates closer to actual

Project estimation is one of the most important portions in providing a software solution due to the following reasons

- It states the effort required implementing the solution, which in turn results in to financial requirements for the implementation.

- It includes the implementation schedules, which can be used for future planning and marketing, if necessary.

"A study by the Standish Group in 15 showed that on average only 16% of projects are completed successfully, 1% were cancelled and 5% were over budget and schedule".

This failure is basically because of bad estimates.

SOFTWARE PROJECT ESTIMATION

Effective software project estimation is one of the most challenging and important activities in software development. Proper project planning and control is not possible without a sound and reliable estimate. As a whole, the software industry doesn't estimate projects well and doesn't use estimates appropriately. We suffer far more than we should as a result and we need to focus some effort on improving the situation.

Under-estimating a project leads to under-staffing, under scoping quality assurance, and setting too short a schedule leads to low quality deliverables and loss of credibility.

Over-estimating a project can be just about as bad for the organization! If you give a project more resources than it really needs without sufficient scope controls it will use them. The project is then likely to cost more than it should.

For those who figure on avoiding this situation by generously padding the estimate.

The four basic steps in software project estimation are

1) Estimate the size of the development product.

) Estimate the effort in person-months or person-hours.

) Estimate the schedule in calendar months.

4) Estimate the project cost in dollars (or local currency)

SIZE ESTIMATION

An accurate estimate of the size of the software to be built is the first step. Sources of information regarding the scope of the project should be used as a start.

The main approaches to estimate product sizes are

By analogy Having done a similar project in the past and knowing its size, it is then possible to estimate each piece of the new project, as a percentage of the size of a similar piece in a previous project. The total project size can be estimated by adding up the size of the individual pieces. It is possible to produce a reasonably good size estimate by this method if accurate values are available for the previous project and if the new project is sufficiently similar.

By counting product features and using an algorithmic approach such as Function Points to convert the count into an estimate of size. Macro-level "product features" may include the number of subsystems, classes/modules, and methods/functions. More detailed "product features" may include the number of screens, dialogs, files, database tables, reports, messages, and so on.

EFFORT ESTIMATION

Once the size estimation process finishes, we can derive the effort estimate. This conversion from software size to total project effort can only be done if we have a defined software development lifecycle and development process that you follow to specify, design, develop, and test the software. Writing and reviewing documentation, implementing prototypes, designing the deliverables, and reviewing and testing the code take up the larger portion of overall project effort. The project effort estimate requires identifying and estimating, and then sum up all the activities we need to build a product of the estimated size.

The two main ways to derive effort from size are

1) Using organization's own historical data to determine how much effort previous projects of the estimated size have taken. This, of course, assumes

(a) Our organization has been documenting actual results from previous projects

(b) That we have at least one past project of similar size

(c) That we will follow a similar development lifecycle, use a similar development methodology, use similar tools, and use a team with similar skills and experience for the new project.

) If we don't have historical data from our own organization because we haven't started collecting it yet or because our new project is very different in one or more key aspects. We can use a mature and generally accepted algorithmic approach such as Barry Bohemia's COCOMO model or the Putnam Methodology to convert a size estimate into an effort estimate. Studying a significant number of completed projects from various organizations to see how their project sizes mapped into total project effort has derived these models.

NOTE These "industry data" models may not be as accurate as our own historical data, but they can give us useful ballpark effort estimates.

TIME ESTIMATION

Good time estimation is a very important success factor in a project.

Time estimation in software projects is not an easy task. Most software projects fail because the project is not finished on time. There are no mathematical algorithms that will calculate the exact number of hours that is required to finish our project. But there are good practices, rules of thumb and advises that can help us to make good time estimations. Basically this is the third step in estimating a software development project to determine the project schedule from the effort estimate. This generally involves estimating the number of people who will work on the project, what they will work on (the Work Breakdown Structure), when they will start working on the project and when they will finish (this is the "staffing profile"). Once we have this information, we need to lay it out into a calendar schedule. Again, historical data from our organization's past projects or industry data models can be used to predict the number of people we will need for a project of a given size and how work can be broken down into a schedule. If we have nothing else, a schedule estimation rule of thumb [McConnell 16] can be used to get a rough idea of the total calendar time required

Schedule in months = .0 (effort-months) 1/

Opinions vary as to whether .0 or .5 or even 4.0 should be used in place of the .0 value only by trying it out will you see what works for us.

COST ESTIMATE

Cost estimating involves developing an approximation (estimate) of the costs of the resources needed to complete project activities. Inputs to the cost estimating are Work Breakdown Structure, Resource requirements, Resource rates, Activity duration estimates, Estimating publications, Historical information, Chart of accounts, Risks.

Tools and Techniques for Cost Estimating

Analogous Estimating Analogous estimating, also called top-down estimating. This means, using the actual cost of a previous, similar project as the basis for estimating the cost of the current project. It is frequently used to estimate total project costs when there is a limited amount of detailed information about the project (e.g. in the early phases).

Parametric modeling It involved using project characteristics (parameters) in a mathematical model to predict project costs. Models may be simple or complex.

Bottom-up estimating It involves estimating the cost of individual activities or work packages, then summarizing or rolling up the individual estimates to get t a project total. The size and complexity of the individual activity or work package drive the cost and accuracy of bottom-up estimating.

Computerized tools Computerized tools like software spreadsheets are widely used to assist with cost estimating.

Software cost estimation is a major task. It must be well planned, carefully reviewed and continually updated. Good estimation comes from a good understanding of the requirements. A well thought project plan helps an estimator to better understand the requirements. Hence, a well thought project plan helps to obtain a good cost estimation. SCE is an iterative process, WBS must be updated constantly to reflect the up-today status of the project

There are many factors to consider when estimating the total cost of a project. These include labor, hardware and software purchases or rentals, travel for meeting or testing purposes, telecommunications, training courses, office space, and so on.

RISK AND TEAM DYNAMICS

IN

SOFTWARE ESTIMATION

RISK

Though a suite of estimation techniques is available, cost and schedule overruns still and will continue to exist. The problem stems from an inability to accurately assess risks associated with various software development projects. Actually running away from the risk is non-working strategy. We need to run towards it by developing ways to discover the lurking risks, estimate their impact, optimize our response, and monitor for change. These are the essential skills of Risk Management.

The risks can be summarized into the following three areas

1. The size and schedule are not correctly estimated. This results in poor implementations, emergency staffing and cost overrun caused by underestimating project needs.

. The improper assessment of staff skill levels. This result in misalignment of skills to task and ultimately miscalculations of schedules and level of effort required, as well as either underestimating or overestimating project staffing requirements.

. The lack of well defined objectives, requirements and specifications or unconstrained requirements growth during the software development life cycle. This results in forever changing project goals, frustration, and of course, cost overrun.

TEAM DYNAMICS

Team dynamics is also an important factor for the project success.

1. Team-building techniques

Recognize and apply the basic steps in team building goals, roles and responsibilities, introductions, and both stated and hidden agendas. (synthesis)

. Team facilitation techniques

Apply coaching, mentoring, and facilitation techniques to guide a team and overcome problems such as overbearing, dominant, or reluctant participants etc. (application)

. Team performance evaluation

Measure team progress in relation to goals, objectives, and metrics that support team success. (analysis)

4. Team tools

Define, select, and apply team tools such as nominal group technique, force field analysis, cultivating, and conversion/diversion. (application)

All potential risks and team building principles must be carefully defined and the impact to project estimation must be determined. This should be part of the software cost estimation. Thus, it is important to integrate risk impact into the cost, Time and effort estimations as software project is bound to have surprises.

CASE STUDY

Project Estimation

This section will illustrate methods used to estimate an approximate size, time, cost and effort needed to build an Online Student Registration System.

There are three types of data that will be stored student, administrator, and course data in our database.

Student Data contains name, address, phone, date of birth etc and requires about 77 070 000 bytes or 77 Mbytes (For 10,000 Students).

Administrator Data have name, date of birth, PIN, SSN etc and requires about 67 000 bytes or 67 Kbytes (For 1,000 faculty).

Course Database contains course title, section, units, room and time etc requires about 400 000 bytes or Mbytes.

The total database size is

77 Mbytes + Mbytes + 67 Kbytes = 106 Mbytes

This size total is relatively small and can be easily accommodated in a database server environment.

Resources

From the scope we can derive the following major functions. For each of these functions we can estimate how many lines of code (LOC) will be needed.

Lines of Code Estimation

Major Function / Task Estimated Lines of Code (LOC)

Student Login 400

Search Catalog 00

Check Academic History 00

Register for Classes 00

Pay Balance 100

Administrator Login 400

Update Catalog 00

Update Student Accounts 00

Total 500

Effort, Cost and Time

A team of five engineers will develop the product for the customer. Each engineer costs about $40.00 per hour plus the manager who costs $80.00 per hour.

Engineer Estimated Hours Estimated Cost

Naveen 1 $11,640

Surendra $8,880

Ramesh 61 $10,440

Shiva 167 $ 7,000

Phani 16 $10,880

Total Estimated Cost $48,840

Off-The-Shelf Products

This project will make use of off-the-shelf products to cut project costs and time down to a minimum. For the database, Microsoft's SQL Server software will be needed. Microsoft licenses their software based on the number of processors in your system at $5,000 per processor. Since we will have three servers each having 4 processors, there will be a total of 1 processors totaling $60,000.

Total miscellaneous cost to hold and access severs $87

An estimate of the total cost of all required resources sums ups to $1,474.

Team dynamics

For this case, we will organize the five-member team as a CD (Controlled Decentralized) team structure. A CD structure will yield a higher quality product for the customer. Although a CD structure is good for addressing very large project, we will apply this structure to a smaller group in order to keep the scope in focus.

Online student registration system consists of four people Naveen, Surendra, Ramesh, Shiva and Phani. Naveen is the manager and will coordinate specific tasks including assigning tasks to other engineers and placing controlling and tracking mechanisms for the project. Surendra, Ramesh have responsibilities in implementation, software testing. Shiva and Phani did operation maintenance. This team structure will allow problems to be solved horizontally. The team leader will communicate vertically with each engineer, thus keeping the project in focus.

Vertical Communication

CONCLUSION

Hopefully the above will help but there are too many unknowns for any hard and fast rules or concrete assurance that what is predicted will eventually be. The estimates obtained are used best for planning with regular feedback and re-estimation as the project progresses. At regular points throughout the project lifecycle revisit all the estimates and assumptions and re-calculate them using the latest information available. The realities of life are

i. It is impossible to predict the future 100%

ii. We will have a better idea of what to expect if you try to predict the future rather than if you don't bother at all

iii. Our predictions will be more accurate if they apply to the short term rather than to the long term.

APPENDIX

SOME ESTIMATION TERMINOLOGY or GLOSSARY

A

Activity

An element of work normally found on the WBS, that has an expected duration, cost, and resource requirements; also called task.

Activity duration estimation

Estimating the number of work periods that are needed to complete individual activities.

B

Base line

The original project plans plus approved changes.

C

Cost of quality

The cost of conformance plus the cost of nonconformance.

Cost of variance

The earned value minus the actual cost.

D

Duration

The actual amount of time worked on an activity plus elapsed time.

G

Gantt chart

A standard format for displaying project schedule information by listing project activities and their corresponding start and finish dated in a calendar format.

L

Lesson learned

Reflective statements written by project managers and their team members.

M

Mile stone

A significant event on a project with zero duration.

P

Project Temporary endeavor undertaken to create or provide service or product.

Project schedule (a.k.a., work-breakdown-structure)

Hierarchical decomposition of project into phases, activities, and tasks with resources and dependencies.

S

Stake holders

People involved in or affected by project activities.

T

Test subproject The subset of the project performed by the test team to provide test services to the project.

REFERENCES

BOOKS

1. PMI (000) A Guide to the Project Management Body of Knowledge (PMBOK guide) 000, nd ed. PMI

. Schwalbe, K (001) Information Technology Project Management, nd edition, Course Technology, Cambridge

. Kendall & Kendall, Systems analysis and Design, 4th edition, Prentice hall, Inc

WEBSITES AND MAGAZINES

1. Accessed from www.business.com/popular/project_management_magazines on 14/0/00, copyright 001 Business.com, Inc. All Rights Reserved

. Accessed from http//www.chacocanyon.com/pointlookout/0101.shtml on 15/0/00, copyright 18-00 Richard Brenner

. Accessed from http//www.cs.tcd.ie/publications/tech-reports/reports./TCD-CS-1-1.pdf on 1/0/00, copyright 000 Trinity College, Dublin. All Rights Reserved

4. Accessed from http//www.dsioj.dla.mil/spi/training/cest60.pdf on 16/0/00, copyright DSIOJ 00. All Rights Reserved

5. Accessed from http//interactive.sei.cmu.edu/Columns/Net_Effects/1/March/Net_Effects.mar.pdf on 0/0/00, copyright 00 by Carnegie Mellon University. All Rights Reserved

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The want for power

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There are many different relationships between knowledge and power. Some are more obvious than others. One of the more obvious ones is that you cannot have power without knowledge, and you cannot have knowledge without asking questions. This relationship is shown in Doctor Faustus and Federigo's Falcon.

In Doctor Faustus, Faustus is in such an immense need for power that he forgets about knowledge. Faustus is very stupid. He asks all the questions, but does not listen for the answers. Even as Lucifer's followers are "forever damned with Lucifer," which Mephostophilis tells him very bluntly, he still chooses not to listen, and continues asking pointless questions. He wants his power too much (7). He lets his want for power empower all of his thoughts so much that "the word 'damnation' terrifies him not" (5). It should terrify him though, because Mephostophilis had been giving little side comments to him the whole time about how bad it really is.

Throughout all of Mephostophilis' answers, he gives Faustus some clue as to how terrible domination is. Faustus' only problem is he lets his want for power drown out what he is saying and doesn't listen to him. Faustus says "he confound hell in Elysium", thinking he will be happy there, and he will be treated specially . even though they are "unhappy spirits" (60, 71). If he would listen he would know that he is not going to be happy there. Also, the spirits "fell" with Lucifer. Usually when you fall you go from something good to something bad, so coming down from heaven was a bad thing. Even though Faustus did ask questions, he did not listen to the answers. If he had he would have known not to sell his soul for power when actually he was giving away all his power.

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In Federigo's Falcon, Monna came over to Federigo's house to ask him for the falcon. Federigo, not knowing that, cooked the falcon for her, because he wanted to impress her. If Federigo had asked why she had come to his house, Monna would have told him about the Falcon. If he had asked her questions he would have gained the knowledge. Federigo would have found out that she wanted the falcon. Then, he would gain power and would not have cooked the bird. If he had had the knowledge in the first place, he would have had more power over the situation. All he had to do was ask Monna a question and everything would have been solved.

In all of these stories the characters could have gained their knowledge so easily if they would have just asked questions. If they had, then they would have gained knowledge that could have helped them make wiser decisions that could have benefited each one of them in some way.

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The Odd Sea

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Marissa Buckles

Writing Through Lit. HN

4-4-0

How the Stars Reflex in The Odd Sea

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In The Odd Sea by Frederick Reiken symbolism is often used to portray a sense of something beyond this universe. Many of the symbols add to the mysticism and magic of the piece. This seems especially pertinent in the case of the star imagery and symbolism. The stars in The Odd Sea show significance because they seem to represent another dimension into which Ethan may have disappeared. This dimension is viewed by Ethan's mother, Philip, Halley and himself, but it seems that while Ethan desires to be a part of it his family is simply left to wonder about it. The stars come to represent something different to each member of the family. They are a comfort to some and a curse to others.

Ethan's mother is the first to view the cosmos with a sense questioning. Shortly after Ethan vanishes she becomes an insomniac, "spend[ing] hours […] out with the stars" (The Odd Sea 5). She seems to do this in an attempt to release her emotions. At night she would read books and bake or "Instead she'd stand out with the stars. She said on clear nights the sky could draw the sadness from her heart" (The Odd Sea 10). The mother's feeling of sadness is not a tangible one. As a result, for something to draw the emotion from her heart it must be intangible, yet also spiritually significant. In this way the stars represent to the mother release to some transcendent state. This brings no consolation to the mother, but it does bring some to a couple of her remaining children.

Philip and Halley view the stars with a mystical yet tangible aspect, allowing them to cope with their brother's loss better. As Philip describes the first time they looked at the stars, he refers to them respect

Sometimes we'd stand back-to-back, tilting our heads to gaze up at that starry ocean. We sort of treated the stars like God. We'd ask the stars to send back Ethan. We'd also ask them to help mom sleep. We sometimes told the stars our secrets, though we suspected they knew everything. (The Odd Sea 11)

In this passage the stars take on the role of a supernatural being. They "sort of treated the stars like God" allowing them to put a tangible face on their faith. The stars are all-knowing and can control all aspects of life. Philip and Halley see the stars, in this instance, not as place where Ethan might be, but instead as some sort of omnipotent creature. Also by telling "the stars [their] secrets" Philip and Halley were able to release some of their fears and emotions. This allowed them to live without the pressure of secrets. By making the stars life-like it allows what would ordinarily be supernatural to become tangible. Ethan also views the stars as being tangible.

To Ethan the stars represent something that beckons to him, something he is grasping for in the beyond. As Ethan captures in his journal on a visit to Astro Cabin, the stars draw him in

The skylight makes all the stars seem closer since it frames them. From the first time I went in here, I've always thought this is as close as I'll ever get to any stars. (The Odd Sea )

The stars appear closer to Ethan, while for others in the family the stars are always viewed from a great distance. This is significant because it seems to foreshadow Ethan's disappearance, a disappearance that is often connected to the cosmos. Ethan is reaching out for the stars because they represent artistry to him. They remind him of van Gogh's Starry, Starry Night and his desire to pursue his artistry in Arles, France following in van Gogh's steps.

While the star imagery is often viewed as tangible it is also seen artistically through van Gogh. Ethan's connection to van Gogh was more than that of just admiration. Ethan mentions that van Gogh wanted to become what he painted. In this aspect Ethan also seems to want to become a part of something larger, more cosmic. He also tells of a time when van Gogh swallowed some paint and how he had "wanted to be the paint" (1). This builds up to Starry, Starry, Night and how van Gogh wanted to become the stars. Ethan genuinely admired van Gogh so the conclusion can be drawn that like van Gogh Ethan wanted to become a part of the stars. This is done by bringing the supernatural within reach, by painting and music, by making the stars tangible.

Making the stars more tangible also made it more possible for Philip and Halley to deal with the loss of their brother. By placing Ethan in the same dimension as the stars they were able to have some control. They did this by learning about the night sky

Halley and I would sometimes stand out with the stars. That was the summer we decided we would learn the constellations. For six dollars we bought a star chart at a toy store in Northampton, and pretty soon we could find Cygnus the Swan and Aquila the Eagle. (The Odd Sea 56)

In knowing the constellations order was made out of what may have before seemed like chaos. This also allowed them to transfer that order to the chaos of their brother's disappearance. This is only to some extent, though. Because they bought the star chart at a toy store, it gives the impression that no matter how they try to explain things they can never do it completely, just like a child cannot understand the enormity of the stars. Also the constellations mentioned are those of birds. In many ways Ethan seemed to simply fly away like an eagle or swan, never to be seen again. So, while Philip and Halley attempt to decipher the meaning of the stars and Ethan's disappearance it remains beyond their grasp.

While the stars evade Philip and Halley reminding them of a beyond, they also call to them. At one point Philip and Halley are driving out of town Reiken describes the stars

There is a boundary where the city light of Pittsfield ends, where suddenly night is deep and dark and stars twinkle beckoning you to rise, which you do. (The Odd Sea 6)

As the stars beckoned to Ethan, now they call to Philip and Halley. The stars draw them in "beckoning [them] to rise." This wonderful use of imagery, allows the stars to once again take on the role of that omnipotent creature. It calls them and they obey. Philip and Halley rise with the stars, learning some of their secrets. Once again this closeness and tangibility of the stars allows the two siblings to cope with the loss of their brother. They place him among the stars and then hold the stars close.

Reiken writes the star imagery and symbolism, but the family lives it. Ethan, Philip, Halley and their mother view the stars with awe. They are part of another dimension a dimension that Ethan yearns to be included in and a dimension that his siblings and mother are left wondering about. Through The Odd Sea the stars stand as a beacon for all of them, as what to come and what has been. The stars reach down and are tangible for some of them, allowing Philip and Halley to cope with the loss of their brother into the cosmos. For the mother, the stars will always be out of reach, leaving her with nothing but loss and confusion. In the end, though, all the stars were in the same league as Ethan. Their existence is almost too good to be true and their disappearance is a mystery.

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Hra

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Date Wed, Jan 00 1144 -0000

To 07dgs

From PTM.Altrincham@sainsburys.co.uk

Subject FW TALKBACK

Write your hra research paper

Lynne,

Some good tips here. Especially the one about do you want to stay with JS.

Ill give you an extra bottle of champagne if you get colleagues to score 8 or

more for each question. This will give us 80% score overall and top of the

region. Last time the average score was 7.%

MArk

-----Original Message-----

From Linda Lunn

Sent Wed /01/00 1040

To RET_4P

Cc RET_4B

Subject TALKBACK

PF 1=Help =Exit =Return 4=Query 5=Action 7=Backward 8=Forward EMCC0000

PLEASE PASS TO YOUR COORDINATOR

Well, its here once more and we could say at a more suitable time of year,

however I am sure there will be holidays to consider.

As a reminder here are some pointers to consider on the lead up.

Questionnaire completion commences 17.....If its your first time-please talk

to one of your cluster stores to gain further tips!

PLAN PLAN PLAN, you have 4 weeks to access all colleagues to complete

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Where will you complete forms

Have we taken time to collate all the things that have happened in the last

year..on a notice board or in a personal letter-sell the positives

How will you plan to launch to the colleagues

PF 1=Help =Exit =Return 4=Query 5=Action 7=Backward 8=Forward EMCC0000

Remember to watch for questions which may be misleading, eg. I want to stay

with Sainsburys. Students clearly will not by

virtue of the fact they will have other careers-they should want to stay

with us in the short term however!

Some stores ask colleagues to either answer YES/NO-not in the middle, eg

rather than neither agree nor disagree be specific!

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Staff council-have we reminded them of achievements/success in the past

year-Store Manager should do this

We cannot force colleagues to complete but we need to understand why they

dont want to

PF 1=Help =Exit =Return 4=Query 5=Action 7=Backward 8=Forward EMCC0000

The questionnaire completion is P and C-do NOT encourage colleagues to

jointly complete their forms

As ever we would prefer 100% completion, and as ever there will be gifts for

your good selves according to levels of achievement!

100% completion-bottle of champagne or £15 gift voucher

5-% Bottle of wine/case of beer to the value of £10

-4% Box of Chocolates

As soon as I have further detail re Questionnaires/collections etc I will

inform you.

GOOD LUCK!!!!

-------------( end of letter )--------------------------------------------------

PF 1=Help =Exit =Return 4=Query 5=Action 7=Backward 8=Forward EMCC0000

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BOLMAN AND DEAL'S FOUR-FRAME ANALYSIS : CASE STUDY

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BOLMAN AND DEALS FOUR-FRAME ANALYSIS CASE STUDY

Research compiled for The Paper Store, Enterprises Inc.

by Dr. P. McCabe, January 00

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Four-Frame Theory

There are volumes written on leadership theory in nearly every discipline. Bolman and Deal sifted through the complex theories and literature and combined with their own analyses, theories and experience devised a four-frame model as a way of understanding organizations and leadership within organizations. Frames are described as being the lens through which anyone sees the world and places that world in order (University of Melbourne). Frames help individuals to filter out the things in the world they do not want to see, thus, frames are inherently inaccurate and skewed in terms of reality (University of Melbourne). But, people need frames in order to make sense of the world and any experience in it; frames help people determine and guide their actions (University of Melbourne).

Bolman and Deal suggest that every individual has personal and preferred frames that they use to gather information, make judgments, determine behavior and explain behavior (University of Melbourne). Each frame provides one version of organizational life and each frame also provides a specific albeit narrow range of ideas, techniques, processes that may be used to improve the efficiency and effectiveness of the organization (University of Melbourne).

The four frameworks proposed by Bolman and Deal are the Structural, the Human Resource, the Political and the Symbolic. Each is described in the following illustration. It is important to note that leaders may use any framework and may even use a combination at the same time in their daily work (11).

1. The Structural Framework

The structural manager tries to design and implement a process or structure that will be appropriate to the problem and the circumstances. Steps would include

• Clarifying organizational goals

• Managing the external environment

• Developing a clear structure appropriate to task, and environment

• Clarifying lines of authority

• Focusing on task, facts, and logic, rather than on personality and emotions. . The Human Resource Framework

The human resource manager views people as the heart of any organization and attempts to be responsive to needs and goals to gain commitment and loyalty. The emphasis is on support and empowerment. The HR manager listens well and communicates personal warmth and openness. This leader empowers people through participation and attempts to gain the resources people need to do a job well. HR managers confront when appropriate but try to do so in a supportive climate.

. The Political Framework

The political leader understands the political reality of organizations and can deal with it. He or she understands how important interest groups are and that each has a separate agenda. This leader understands conflict and limited resources. This leader recognizes major constituencies and develops ties to their leadership. Conflict is managed as this leader builds power bases and uses power carefully. The leader creates arenas for negotiating differences and coming up with reasonable compromises. This leader also works at articulating what different groups have in common and helps to identify external enemies for groups to fight together. 4. The Symbolic Framework

This leader views vision and inspiration as critical; people need something to believe in. People will give loyalty to an organization that has a unique identity and makes them feel that what they do is really important. Symbolism is important as is ceremony and ritual to communicate a sense of organizational mission. These leaders tend to be very visible and energetic and manage by walking around. These leaders often rely heavily on organizational traditions and values as a base for building a common vision and culture that provides cohesiveness and meaning.

(Bolman and Deal 11).

Notice that

• The Structural Framework focuses on the how to find some arrangement - a pattern of formal roles and relationships - that will accommodate organisational needs as well as individual differences (Bolman and Deal 11, p. 50).

• The Human Resource Framework places people first, which is very similar to stewardship or servant leadership where participation in decision making and problem solving are primary components of the model. This framework is based on the ideas from organisational social psychologists and begins with the premise that organizations are filled with individuals, each of whom has their own feelings, needs and biases as well as their own skills and potential (Bolman and Deal 11, p. 15).

• The Political Framework is very important. As Bolman and Deal note, the political leader understands the reality of the politics in the organization and deals with them (11). The framework is developed primarily by political scientists who believe that an organization is an arena wherein different interest groups compete for a limited amount of power and resources leading to conflict and coalitions being established (Bolman and Deal 11, p. 15).

• The Symbolic Framework draws on social and cultural anthropology. The organization is thought to be akin to tribes or theater; they are cultures that operate based on ceremonies, rituals, rules, myths, policies, stories, heroes and managerial authority (Bolman and Deal 11, p. 16). Everyone in the organization is an actor who is basically playing a prescribed role (Bolman and Deal 11, p. 16).

It is important to note that not every frame works equally well in all situations. It is important for the true leader to adopt the framework that will be most appropriate for the situation. This is the way in which this framework is similar to the situation or contingency model of leadership.

Bolman and Deal sum up the core problem of management, which has to do with control Control is an illusion and rationality an afterthought.... Organizational life is always full of simultaneous events that can be interpreted in a variety of ways (11, p. 66). They way to succeed in management is not to hold tightly to ones own framework or perception, but to consider the multitude of ways of seeing any given issue; there are numerous divergent perspectives (Bolman and Deal 66). These authors say Their frame-not yours-determines how they will act (Bolman and Deal 11, p. 70).

Consider this table regarding effective leadership according to the four frames.

Frame Leader Leadership Process

Structural Analyst architect Analysis, design

Human resource Catalyst, servant Support, empowerment

Political Advocate, negotiator Advocacy, coalition

Symbolic Prophet, poet Inspiration, framing experience

Unfortunately, many managers still try to manage through their own narrow view of the world and what any experience means. Bolman and Deal suggest that managers make a mistake when they

Operate as though there was only one frame for any situation (Bolman and Deal 11).

Are not capable of looking for new ways to deal with old problems (Bolman and Deal 11).

Strive for control, rationality and certainty (Bolman and Deal 11).

On the other hand, effective administrators and managers

• Develop the skills needed for creativity and flexibility.

• Use holistic approaches so that they can use multiple frames (Bolman and Deal 11).

• Understand what frames they typically use and also understand the limitations

• Recognize there is value in being able to see through different frames and work to do so.

• Build teams where all four frames are represented (Bolman and Deal 11).

[NOTE TO STUDENT Please Remember That Your Assignment Requires You To Analyze A Personal Work Related Situation Or Incident. What TPS does is provide research and a model of a paper in your topic area. What we have done here is to provide an example based on an incident this writer knows about. You need to write about your own experience.]

Case Study

Jan Smythe was the new District Director of Special Projects. The school district had three elementary schools who participated in what was called the Consolidated Application, a school plan that included goals, objectives, action steps for every grade level, resources needed, and a budget. Each school was required to submit their own unique plan each year. There were numerous state and federal laws that had to be met in the application document.

Jan began with the school district in the 5th week of school and found that the Consolidated Application/School Plans had not yet been submitted despite the fact they were to be submitted to state level education officials by the end of the previous May. She also quickly learned that teachers and administrators absolutely hated the process of developing this very complex and very long document and believed it was a total waste of time. Historically, their school plans had been returned to them because they failed to follow the rules and did not include all the data and information needed in them. Thus, every year they had to modify the document.

With very little work, Jan learned that the woman who had previously been in charge of this area in the district typically wrote most of the documents herself and just passed them by the principals and teachers. In fact, some teachers never even saw the school plan submitted on their behalf.

This year, however, a warning had come from the State that the schools would either submit appropriate meaningful plans or their grants would be suspended for the year. That amount was in excess of $10 million.

Because Jan had prior experience in this area, she also knew a number of people at the State Department of Education. She called them, explained the situation and was able to negotiate a six-week extension.

The real issue was to persuade first the principals and then the teachers that this document was more than busy work, that it had meaning and that it was actually a reflection of what they were doing.

Jan approached the situation on three levels first, she explained what it meant in money and what the schools would not have if they chose to ignore the state; second, she explained why the laws and regulations were established and kept the focus on what that meant for this school. Third, she made a promise that she would not write the plans but she would be with them every minute and help them get the phrasing correct, that the plans belonged to the teachers, and that she would do whatever they wanted.

The most important part of Jans campaign was to continually reinforce the importance of the teachers. She visited classrooms so that she could sincerely compliment them on what they were doing.

Jans motives were multifaceted first, she had taken the position because she believed she could help students by helping teachers; second, she knew how most teachers in the state felt about this task and she knew why they felt that way; and third, she was not going to fail in her first district-level administrative position but she refused to succeed through force or coercion

We may also approach this situation from the perspective of each framework described above. To do so, it is helpful to know the metaphor each framework applies to the organization Structural/factory or machine; Human Resource/family; Political/jungle; and Symbolic/carnival, temple or theater (Bolman and Deal, 11).

Structural Framework. Using this perspective, Jan would approach the situation looking at rules, goals, policies, and such, which are the basic concepts of the structural frame. The rules require the plans to be submitted within the six-week extension she was able to negotiate with the state. Jan might expect the principals to use their role as the head of the school to require the teachers to complete the documents. Jan would want to set goals, such as dates for the completion of specific components in the plan. Since part of the structural frame is to create a structure within the particular environment of the organization, Jan might develop a hierarchy specifically for this task by placing a teacher as coordinator for each section of the plan. For instance, one teacher might take the responsibility for coordinating the efforts for Mathematics for grades 4 through 6. This teacher would then be given the timelines and requirements and would work with others to plan and write this section. Remember that Bolman and Deal explained that the structural approach focuses on the how to find some arrangement - a pattern of formal roles and relationships - that will accommodate organisational needs as well as individual differences (Bolman and Deal 11, p. 50). This inherently means there will be a division of labor and coordination of different roles.

For the time being, the structure of the school is changed to fit the needs. Direct supervision is incorporated into this frame. The supervision will actually be divided the teacher will coordinate and supervise the writing of one specific portion of the document; the principal is inherently the next higher level supervisor. Jans position is not exactly one of line supervision but she is perceived as having district-level authority. This works well for completing these kinds of tasks.

Human Resource Frame. One of the concepts of this frame is that the organization is there to serve the people which means that Jan must find an organisational form that will enable the teachers and principals to get the plan written and also feel good about what they are doing. (Bolman and Deal 11, p. 15). If the form of the organization is good and fits the needs of both, then both the individuals and the organization will benefit. The types of forms that fit into the human resource frame include

• Participative management wherein the teachers would have more decision making power

• Self-managing work teams where each team is given the responsibility for the product, in this case, for a specific section of the document, and the team is held accountable for successful completion of that component

• Organizational democracy which is even more participatory than participative management in that employees have more say in the decisions that are made.

• Training and development of both professional and personal skills

To use this frame, it would seem that Jan would need to provide training to the teachers regarding the requirements, the laws, the regulations, and what is expected in each section of the plan. Teachers, in teams, would then be given the responsibility for completion.

Political Frame. Education is a political organization and anyone who does not recognize that fact is naïve. The first person to really study micropolitics within an educational context was Iannoccone (Spaulding, 000). Others, such as Bacharach and Mitchell have added to the literature (Spaulding, 000). Basically, these researchers have stated that schools should be recognized and understood as political entities wherein school members (that is, individuals and groups) develop micropolitical strategies in an attempt to achieve their own personal and school goals (Spaulding, 000). These researchers go on to note that small groups of members of the school community will develop shared objectives and then they will devise micropolitical strategies in an aattempt to achieve their objectives. In other words, they are forming coalitions (Spaulding, 000).

Other writers have noted that these groups will use both formal and informal power to achieve their ends (Spaulding, 000). This is considered micropolitics because it is political action within the macroenvironment (Spaulding, 000).

It is essential for everyone to understand and recognize the power levels in the organzation and that conflict is inevitable.

In the case, Jan has already used political power by calling on contacts at the state level and negotiating a six week extension for submission of the plans. The way that the political frame might be used relative to this specific situation is to determine who holds the informal power among the teachers and develop an alliance with those persons. If these teachers support the needs to get the document completed, the process will be completed with a minimum of conflict.

Symbolic Frame. Remember that this frames metaphors are tribes, carnivals and theater. Everyone has a role to play in the daily drama of the organization. People depend more on these roles, on rituals and myths than they rely on rules, managerial authority or policies. The more uncertainty and ambiguity present in the organization, the harder it is to use rational analysis, decision making and problem solving. When faced with strong uncertainty, individuals tend to create symbols that will resolve their confusion. In other words, people will try to find a way to make sense out of an ambiguous and confusing situation. The symbols they create offer a degree of predictability and a guide towards directions to take. Bolman and Deal comment Organisations function like complex, constantly changing, organic pinball machines. Decisions, actors, plans, and issues continuously carom through an elastic and ever changing labyrinth of cushions, barriers, and traps (11, p. 45).

In this case, teachers and principals have had unpleasant experiences in the past with this task, in fact, they did not participate a great deal because the previous Director basically wrote all the plans herself. The new Director is saying the plan is their and thus, they need to write it. That sets up a confusion situation, one they do not really understand. In fact, the symbolic act of the other director writing the plan gave the message that teachers were not important in this process and in fact, were not needed at all.

We can look at the table provided by Bolman and Deal to determine which frame would work best in response to different questions (Bolman and Deal 11, p. 70).

Question Frame, if answer is Yes Frame, if answer is No

Are individual commitment and motivation essential to success? Human Resource, Symbolic Structural, Political

Is the technical quality of the decision important? Structural Human Resource, Political, Symbolic

Are there high levels of ambiguity and uncertainty? Political, Symbolic Structural, Human Resource

Are conflict and scarce resources significant? Political, Symbolic Structural, Human Resource

Given the previous discussions, we can respond to each question

• Motivation and Commitment is needed use human resource and/or symbolic frame

• Technical quality is not needed in the way this question means use human resource, symbolic or political

• High levels of uncertainty and confusion are present among staff members leads to political or symbolic frame

• Resources are not scarce thus, the frame would be structural or human research

Two frames are indicated more frequently symbolic and human resource. This means the new director needs to use these frames by doing things like telling stories (symbolic), placing people first by empowering them (human resource).

[Note to student. Providing the Appendix you cite requires a third person and is beyond the scope of the research and model papers we provide. You need to enlist a classmate/friend to provide this section.]

WORKS CITED

Bolman, L. and T. Deal. Reframing Organisations Artistry, Choice and Leadership. San Francisco Jossey Bass, 11

Spaulding, Angela. Micropolitical Behavior of Second Graders A Qualitative Study of Student Resistance in the Classroom. The Qualitative Report 4(1-) (000) January.

University of Melbourne. Managing the Educational Organisation. 7 February 00. http//www.edfac.unimelb.edu.au/EPM/subjects/48-88/SESSIONS/session8.html#appl

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Transcendentalism

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Transcendentalism was a philosophy that was very popular in New England during the 180's. Transcendentalism was very much like Romanticism. Transcendentalism upheld the goodness of humanity, the glories of nature, and the importance of free individual express. Transcendentalism maintained that an awareness of reality, or a sense of truth, is reached through intuition rather than through reasoning or logic.

Transcendentalism had the belief that individuals act according to their innermost personal beliefs or spiritual convictions, rather then follow the dictates of society. This is shown in Self Reliance by Emerson in "A Nonconformist". In here a man is conforming and giving money to the blacks of Barbados to feel good when he does not act kinder to his fellow Americans he has as slaves. In "Traveling" Emerson says that "He who travels to be amused or get something he does not carry travels away from himself", the person is not being himself he is just trying to get away from himself. In "Reliance on Property" he is saying that people rely on their property to show what type of people they have, the more they have the greater, when it should be based on that individual him or herself.

Emphasis on individuality is also shown in Thoreau's "Civil Disobedience." He refuses to pay a tax for the Mexican War because he knew that Texas would become a slave state and he opposed slavery greatly. He is in jail but he feels as if he is not imprisoned but that he is free because he did what he wanted to do and did not conform. He emphasized that people should be their own person.

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The integrity of the mind is important. One should be truthful to himself. One should be honest with who they are. One should rid himself of everything that clutters ones mind. This is seen in Thoreau's Walden, in "Why I Went to the woods," he left to have simplicity and not such a complex complicated life. The truthfulness is shown in Walden under "Why I Left the Woods," he left because the truth was he had become too comfortable in being there and did not leave even if it was bad because it was convenient. This was like a bad habit and he had made a rut of it and decided to leave the woods to do something different instead of doing and being in the same place.

Emerson and Thoreau both emphasized individualism and the sacredness of individuality. Thoreau wrote about the choices people make and what they should have done. Emerson writes about not conforming to society and being your own person. Examples of the philosophy of Transcendentalism are shown in both the works of these writers in many similar and some different ways.

Please note that this sample paper on Transcendentalism is for your review only. In order to eliminate any of the plagiarism issues, it is highly recommended that you do not use it for you own writing purposes. In case you experience difficulties with writing a well structured and accurately composed paper on Transcendentalism, we are here to assist you. Your cheap custom research papers on Transcendentalism will be written from scratch, so you do not have to worry about its originality.

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