Collaboration without Chaos

COLLABORATION
WITHOUT

www.CongruentCompliance.com

April 2013

1

Introduction
• About me
• Questions
– What does control look, sound, feel like?
– What does chaos look, sound, feel like?
– What collaboration look, sound, feel like?

• Why I care
– Regulated and risky products
• I have to explain my approach to skeptics

– My early formative career experiences
• Nuclear Industry and KIMS

April 2013

2

Fast Example Exercise

Qualifying Human Experts
Qualifying Human Experts
Count the number of faces
How many faces
in each ofyou see?
did the following
pictures


April 2013

3

Motivation to Create …
• Was asked, “How do you delegate control?”
– Dissatisfied w/some answers I hear/see from others
• “As little as possible”: One big brain, controlling people like
machines/puppets
• Seems to be about people managing or coping w/their anxiety

– My ANS: “Competence, Authority, Responsibility, Experience”
• I noticed I had a strong emotional reaction to the Q&A

• I prefer
– Collaborating with thinking sapient people who test
– Giving tactical control of check activities to thinking people
• They choose how/when to use tools like automation and scripted
procedures, to do what the tools do best – no more.
• Tools are made to serve people, not …
• Just because I could micro-manage to deal with my anxiety, …


April 2013

4

… this Presentation
• Realized that I was being intentional
– But some archeology of my process was required
• Where did all the pieces come from?
• How do they all fit together?

• Benefits of a “Grand Unified Model”
– “Adaptive Discretionary Control Model”
– Creates (for me) a framework for conversation,
exploration, and formal explanation

• By sharing this, I hope it is helpful to you
– Stimulates you to explore your own thoughts
– Creates space to allow thinking collaborative testing

April 2013

5

Historical Example: “The Flying Problem”
• Powered flight research prior to 1900
– Focus was on Control via
• “Inherent Stability” versus “Dynamic Stability”

• Why did they make that control choice?
– How is the situation similar to testing software?
Langley
Aerodrome

2

Wright Flyer I


3

April 2013

6

Outline: Collaboration Without Chaos
Adaptive Discretionary Control Model
• Fit the pieces together from these models:
– Feedback Controllers
• and the Controller’s Internal Model

– Administrative Controls
• Prescriptive versus Discretionary Controls

– Control Choices
• Organizational and Activity Types. How to choose.

– OODA Model (Observe/Orient/Decide/Act)
• The “Orient” process

– “Values” Archetypes
• Example “Values” to Orient on

– Adaptive Team Model
• The three ways to adapt

– Summary / Thought Experiment / References / Questions

April 2013

7

Spoiler Alert! Two Big Points, …
A. Chaos is the manifestation of inconsistency.
– It is a sign that the controller is failing

B. To get Collaboration, you need to value it and be
consistent
– You can’t have collaboration using primarily
prescriptive procedures
• even if your values are aligned to collaborate

– You can’t have collaboration using discretionary
procedures
• if you values are primarily aligned against collaboration


April 2013

8

Finding the Path through these Models…

OODA
How Discretionary
toControllers
Make Model
Administrative Controls
“Values”
Feedback
Adaptive
Control the Model
Adaptive Choices
ArchetypesTeamObserve
and
Control Model
Prescriptive
ATM Orient
Controller’s Internal Model
Organization
(Inspired by
versus
Decide
and Deckert)
Italy Talgam)
(Entin, Serfaty,
Discretionary
(Jerry Weinberg)
Act
Activity Types
(James Reasons)
(John Boyd)
(Reasons & Perrow)
4 - 10


April 2013

9

Feedback Controllers

4


April 2013

10

Feedback Controllers - Overview
Req.
Controller

Req.
Resources

Testing Information
Testing

Randomness

Other Outputs

• The system of control must have
–
–
–
–

an image of the desired state (D)
the ability to observe the actual state (A) (Testing Info & Other Outputs)
The ability to compare state A and D for differences
The ability to act on the system to bring A closer to D. (Resources & Req.)

• Control is exercised through Resources and Requirements

April 2013

11

Feedback Controller’s Model
≠?
Controller

11

Actual State (A)
or
Information

Desired State (D)
or
Model

Controller

Testing Information
Testing

Other Outputs

• The system of control must have
– an image of the desired state (D)
– the ability to observe the actual state (A)
(Testing Info & Other Outputs)
– the ability to compare state A and D for differences

April 2013

12


5


April 2013

13

Feedforward / Prescriptive

Feedback / Discretionary

Principles, Rules, Procedures

Training, Experience,
Using Tools
OUTPUT

Zero
Deviation

Organizational
Standards,
Objectives

X

Output
Measures
Human
Performance

Process
being
Controlled
Incidents,
Non-Conformance

Frequent comparisons of output measures w/org. Principles,
Intermittent additions of organizational wisdom to objectives.
Deviant performance corrected. Congruent performance stored
Rules,Deviant performance corrected.
Procedures – as a result of Incidents
andrules & procedures.
as Non-Conformance.

April 2013

14

Integrating Prescriptive/Discretionary Controls
with Resources/Requirements
≠?

Controller

Prescriptive and
Discretionary
Req.
Resources
Randomness

Testing Information

Testing
Other Outputs


April 2013

15

How to Make a Control Choice

6


April 2013

16

Determine Control Choice based on
Exception / Solution Characteristics of Activity
MANY
EXCEPTION CASES

FEW
EXCEPTION CASES
EASY
SEARCH

Tasks routine, repetitive, wellstructured and predictable.

Tasks non-routine, but the many
exceptional cases are relatively
simple to analyze.

Pre-programmed prescriptive Requires mixture of
SOLUTIONS process control possible by rules
prescriptive and discretionary
and procedures.
performance control.
FOR

Work routine, but problems are
sometimes vague and poorly
conventionalized.
FOR
Requires a mixture of
SOLUTIONS prescriptive control by rules and
procedures and discretionary
performance by the individual.

HARD
SEARCH

Tasks non-routine, poorly
structured and unpredictable.
Rules and procedures not
applicable. Task performance at
the discretion of the
individual.


April 2013

17

Control Choices
for Varieties of Organizations
MANY
EXCEPTION CASES

FEW
EXCEPTION CASES
EASY
SEARCH
FOR

SOLUTIONS

Railways
Postal Services
Construction
Traditional Banking
Road Haulage

PRESCRIPTIVE

Architecture
Maintenance and Repair
Oil Exploration
Police Work
Scientific Research

Production Lines
Nuclear Power Plants
Chemical Process Plants
Modern Aircraft
FOR
Advanced Manufacturing
SOLUTIONS Anesthesia

HARD
SEARCH

MIXTURE

R&D Organizations

MIXTURE

Project Management
Modern Military Operations
Investment Banking
Macro-economics
Crisis Management

DISCRETION
Recovering from
Design Basis Accidents / Issues


April 2013

18

Integrating Control Choice with
≠?

Controller

Task: Exception Cases
Search for Solutions

Prescriptive and
Discretionary
Req.
Resources
Randomness

Testing Information

Testing
Other Outputs

• Analyze the organization and task activities to make Control Choices
– Exception Cases
– Search for Solutions

April 2013

19

The OODA Model

7


April 2013

20

The OODA Model
OBSERVE

ORIENT

DECIDE

ACT

Implicit Guidance
& Control
Unfolding
Circumstances

OBSERVATIONS

HERITAGE, TRADITION,
CULTURE, ANALYSIS,
EXPERIENCE,
NEW INFORMATION

DECISION

ACTION

VALUES
Feedback
Unfolding Interaction With Environment

• OODA is the engine inside the Controller
– “Orient” steers you, based on your actual Values.
• Is your Orientation compatible with Collaboration?

April 2013

21

Expanding OODA
• Observations are
– Evolving, Inconsistent, Uncertain, Incomplete, Dependent

• Orientation includes
–
–
–
–
–
–

Sense making
Managing alternative views
Sharing implicit knowledge
Managing uncertainty and risk
Developing courses of action
Considering alternative models

• Decisions

Control

O

O

D

A

Feedback
Interaction With Environment

– Process of repeatedly deciding
• Observe more, Orient more, or take Action

– Managing deliberation, Fusing information, Choosing what to do
next

April 2013

22

Integrating OODA with the
Controller’s Model Task:

Exception Cases

≠?

Prescriptive and
Discretionary Controls

Controller

Req.
Resources
Randomness

Information
Testing

Other Outputs

• OODA Engine
• “Orient” Compass
– Orient is the most important part - it shapes everything else

April 2013

23

“Values”: Control Orientation Archetypes

8


April 2013

24

For Each “Values” Archetype
• Who’s contributions valued?
• How clear and specific are the expectations
and sanctions?
• What organizational / team structure is implied?
• What are the levels and types of control being
exercised?
• How is control given, and taken back?
• Who is making decisions and how are they
made?
• How would coordination occur?


April 2013

25

“Values” Archetypes of Control …
• The Cloud
– The control vision of the inaccessible “Them”
12

• You don’t contribute, I make you conform thru clarity

• The Unchanging Book
– Control details are spelled out for - FOREVER
• We don’t contribute or question, we serve

• Justice Potter Stewart

13

– “I know it when I see it” - fulfill my inner vision
• I’m in charge, but I won’t give you
explicit direction: figure-it-out for yourself

April 2013

14

26

… “Values” Archetypes
• Ballroom Dancing
– A flowing, living, dynamic control process
• The contribution of everyone is valued as we all
share and inspire within a shaped context

• Lewis and Clark

15

– Control focus on everyone
understanding “Meaning and Intent"
– The group and individuals

16

• take initiative, are innovative, flexible, able to act
independently, and cooperate within a shared context

April 2013

27

Integrating Values into the
“Orient” of OODA Task:

Exception Cases

≠?

Prescriptive and

Controller

Req.
Resources
Randomness

Information
Testing

Other Outputs

• Values

April 2013

28

Adaptive Team Model

9


April 2013

29

Adaptive Team Model
Operational
Conditions

Performance
TEAM PROCESSES

S

Stress

Ind. / Team
Characteristics
+

Teamwork Taskwork

Team Structure

STRUCTURAL ADAPTION

DECISION-MAKING
ADAPTION
COORDINATION ADAPTION

•
•
•
•

17

Several Team Structures
Tempo: Routine, High-Tempo, and Emergency
Shared Implicit Knowledge
Be sensitive to other member’s workload and performance when high-tempo

April 2013

30

Integrating “Adaptive” into OODA and
Controller’s Model Task: Exception Cases
≠?

Prescriptive and


Controller

Req.
Resources
Randomness

Information
Testing

Other Outputs

• Adapting

11, 17

– Structure, Coordination, Decision-Making

April 2013

31

What Management Wants
• Show you are thoughtful about the topic
• Be able to explain what Collaboration and Control
means to you
– Describe all the parts to yourself
• Verbally, written, drawing, pictures, examples

– Check your description versus your experiences
– Explain it / have a conversation with a trusted
colleague
• Revise, refine, adapt

– Share more broadly, as appropriate
– Make it yours

April 2013

32

Summary

Adaptive Discretionary
Control Model

10


April 2013

33

A Question, …
• Why do controllers seem to over-constrain the actions
and options of people doing the testing tasks – when
not warranted?
– Managing controller’s anxiety and self-preservation?
Enables blame?
– It is simpler to manage, less effort for the controller?
– Misaligned values?
– Models are frozen, can’t adapt?
– Models exclude sharing or collaboration?
– Misunderstanding task space control requirements?
– Failure to train the people?
– It creates abundant evidence of task activity?

April 2013

34

Two Big Points, …
A. Chaos is the manifestation of inconsistency.
– It is a sign that the controller is failing

B. To get Collaboration, you need to value it and be
consistent
– You can’t have collaboration using primarily
prescriptive procedures
• even if your values are aligned to collaborate

– You can’t have collaboration using discretionary
procedures
• if you values are primarily aligned against collaboration


April 2013

35

Ten Summary Points …
1. Understand feedback controllers (Weinberg)
2. Control is exercised through resources and
requirements (Weinberg)
3. Prescriptive and discretionary controls (Reasons) are
part of the resources and requirements (Weinberg)
4. Control method (Reasons) choice should be based on
the exception and solution characteristics of the task
(Reasons and Perrow)
5. Controller’s have an internal model to compare to
observations (Weinberg)
6. The controller (Weinberg) is driven by the engine of
the OODA model (Boyd)

April 2013

36

… Ten Summary Points
7. The most important part of OODA is “Orient”. That is
where your values are stored and accessed. (Boyd)
8. Different archetypes of values (Jones [and Talgam])
influence and color the options available to “Orient”
in OODA (Boyd). Some archetypes foster
collaboration, others discourage it.
9. The OODA model (Boyd) adapts through the process
described by the Adaptive Team Model - structure,
coordination, decision-making (Serfaty)
10. When OODA (Boyd) and ATM (Serfaty) are healthy
[e.g., Values are aligned (Jones)] there are multiple
optional models available to the controller (Weinberg)

April 2013

37

Questions
≠?

Prescriptive and

Task: Exception Cases

Controller

Req.
Resources
Randomness

Information
Testing

Other Outputs

Adaptive Discretionary
Control Model

April 2013

39

Direct References …
• Feedback Controllers and the
Controller’s Internal Model
– Gerald (Jerry) Weinberg
• “Responding To Significant Software Events”,
See Appendix D: Control Models (~ $10)
– http://www.geraldmweinberg.com/Site/QSM_vol_2.html

• Administrative Controls – Prescriptive/Feedforward &
Discretionary/Feedback Controls
– James Reasons
• “Managing the Risks of Organizational Accidents”:
Chapter 4, “The Human Contribution” page 61 to 64
– http://www.amazon.com/Managing-Risks-Organizational-AccidentsReason/dp/1840141050


April 2013

40

… Direct References …
• Control Choices
– Organization and Activity Types;
Number of Exception Cases , Search for Solutions
– James Reasons
• “Managing the Risks of Organizational Accidents”:
Chapter 4, “The Human Contribution” page 64 to 68
– http://www.amazon.com/Managing-Risks-Organizational-AccidentsReason/dp/1840141050

• OODA Model
- Observe, Orient, Decide, Act
– David Ullman
• ““OO-OO-OO!” The Sound of a Broken OODA Loop” (free)
– http://www.crosstalkonline.org/storage/issuearchives/2007/200704/200704-Ullman.pdf


April 2013

41

… Direct References
• Values Archetypes
– Italy Talgam
• “Lead like the great conductors”, TED Talk (free)

• Adaptive Team Model
- Adaptive: Structure, Coordination, Decision-Making
– Entin, Serfaty, Deckert
• “Adaptive Team Model” from “Team Coordination Training” from
Chapter 9 of “Making Decisions Under Stress”
by Cannon-Bowers and Salas
– http://psycnet.apa.org/books/10278/008

• Entin “The Effects of Leader Role and Task Load on Team
Performance and Process in an AWACS Environment”, (free) page 4
– http://www.dtic.mil/cgi-bin/GetTRDoc?AD=ADA468045


April 2013

42

Indirect References …
•

James Bullock, Marie Benesh, Gerald M. Weinberg
–

Roundtable on Project Management (~$8)
•

•

Tom Coach
–

•

“The Bishop’s Boy’s: A Life of Wilbur and Orville Wright”, chapter 12, 19, and 20

Sidney Dekker
–

Ten Questions About Human Error – A New View of Human Factors and System Safety (~$15)
•

•

Systemantics: How Systems Work and Especially How They Fail (~$3)
•

“On Nurturing Creativity” and “having “ a genius. TED Talk (free)
•

High Performance Operations (~$30)
•

http://www.amazon.com/High-Performance-Operations-Compliance-Competitive/dp/0132779889

Don Gray
–

“Managing in Mayberry: An examination of three distinct leadership styles” (free)
•

•

http://www.ted.com/talks/elizabeth_gilbert_on_genius.html

Hillel Glazer
–

•

http://www.amazon.com/Systemantics-Systems-Work-Especially-They/dp/0812906748

Elizabeth Gilbert
–

•

http://www.amazon.com/Questions-About-Human-Error-Transportation/dp/0805847456

John Gall
–

•

http://www.amazon.com/Roundtable-Project-Management-Dialogues-ebook/dp/B005CX919Q

http://www.donaldegray.com/managing-in-mayberry-an-examination-of-three-distinct-leadership-styles/

Erih Hollnagel
–

The ETTO Principle: Efficiency-Thoroughness Trade-off (~$30)
•

http://www.amazon.com/gp/product/0754676781/ref=olp_product_details?ie=UTF8&me=&seller=


April 2013

43

… Indirect References
•

Robert Mager and Peter Pipe
–

Analyzing Performance Problems: or You Really Oughta Wanna (~$10)
•

•

Roger Nierenberg
–

Maestro: A Surprising Story About Leading By Listening (~$5)
•

•

http://www.amazon.com/Maestro-Surprising-Story-Leading-Listening/dp/1591842883

Steve Smith
–

•

http://www.amazon.com/Analyzing-Performance-Problems-Really-Wanna-How/dp/1879618176

“Coaching Your Personal Board of Directors” Workshop Session

Gerald (Jerry) Weinberg
–

“Quality Software Management: Volume 1 - Systems Thinking”, chapter 1 to 7
•

–

“How Software Is Built” (~ $10)
•

–

http://www.geraldmweinberg.com/Site/QSM_vol_1.html

“Why Software Gets in Trouble” (~ $10)
•

–



“How To Observe Software Systems” (~ $10)
•


–

“An Introduction to General System Thinking” (~ $10)

–

“Passive Regulation: General Systems Design Principles (General Systems Thinking)” (~ $10)

•
•

–

http://www.geraldmweinberg.com/Site/General_Systems.html
http://www.amazon.com/Passive-Regulation-Principles-Thinking-ebook/dp/B0054E3AMM#reader_B0054E3AMM

“Active Regulation: General Systems Design Principles (General Systems Thinking)” (~ $10)
•

http://www.amazon.com/Active-Regulation-Principles-Thinking-ebook/dp/B0054E7ECY


April 2013

44

References – Images Credits …
1.

Cover Image http://www.ams-photography.com/

2.

Langley Aerodrome http://en.wikipedia.org/wiki/File:LangleyAerodromeFlown.jpg
This image is in the public domain because its copyright has expired.

3.

Wright Flyer I http://en.wikipedia.org/wiki/File:First_flight2.jpg
This media file is in the public domain in the United States.

4.

Fall Road http://images.forestwander.com/wp-content/original/2011_10/fall-wilderness-road.jpg
The use of Free Nature Pictures is permitted for personal or commercial use as long as credit is given to www.ForestWander.com

5.

Orange Country Road http://images.forestwander.com/wp-content/original/2010_10/country-roads-take-me-home.jpg

6.

Walking Trail http://images.forestwander.com/wp-content/original/2010_03/spring-sunshine-walking-trail.jpg

7.

Half Dome http://en.wikipedia.org/wiki/File:HalfDomeTraffic.jpeg
I, the copyright holder of this work, hereby release it into the public domain.

8.

Plank Walk http://www.flickr.com/photos/feen/2642583576/sizes/l/in/photostream/
Attribution-NonCommercial-NoDerivs 2.0 Generic. Some rights reserved by Aaron D. Feen

9.

Ice Climbing http://en.wikipedia.org/wiki/File:Eisklettern_kl_engstligenfall.jpg
This file is licensed under the Creative Commons Attribution-Share Alike 2.5 Generic license by Schweiz .

10.

Grand Canyon http://upload.wikimedia.org/wikipedia/commons/4/40/GrandCanyonWinter2008.JPG
I, Pescaiolo, the copyright holder of this work, release this work into the public domain.


April 2013

45

… References – Images Credits …
11.

Airplane takeoff http://en.wikipedia.org/wiki/File:Qantas_a380_vh-oqa_takeoff_heathrow_arp.jpg
The copyright holder of this work, release this work into the public domain.

12.

Cloud http://en.wikipedia.org/wiki/File:Cloud_in_nepal.jpg
I, Krish Dulal, the copyright holder of this work, hereby publish it under the following license: This file is licensed under the Creative
Commons Attribution-Share Alike 3.0 Unported license.

13.

Book http://en.wikipedia.org/wiki/File:Bucheinband.15.Jh.r.Inkunabel.jpg
This image (or other media file) is in the public domain because its copyright has expired.

14.

Potter Stewart http://en.wikipedia.org/wiki/File:US_Supreme_Court_Justice_Potter_Stewart_-_1976_official_portrait.jpg
This work is in the public domain in the United States because it is a work of the United States Federal Government under the terms of
Title 17, Chapter 1, Section 105 of the US Code. See Copyright.

15.

Ballroom Dance http://en.wikipedia.org/wiki/File:Ballroom_dance_exhibition.jpg
This file is licensed under the Creative Commons Attribution-Share Alike 2.5 Generic license.

16.

Lewis and Clark http://en.wikipedia.org/wiki/File:Lewis_and_Clark_1954_Issue-3c.jpg
This work is in the public domain in the United States because it is a work of the United States Federal Government under the terms of
Title 17, Chapter 1, Section 105 of the US Code.

17.

Coins / Change http://www.ams-photography.com/

18.

Violin http://en.wikipedia.org/wiki/File:Violinconsruction3.JPG
Permission is granted to copy, distribute and/or modify this document under the terms of the GNU Free Documentation License, Version
1.2 or any later version published by the Free Software Foundation; with no Invariant Sections, no Front-Cover Texts, and no Back-Cover Texts.

19.

Border Collie http://en.wikipedia.org/wiki/File:BC_eye.jpg
Ditto

20.

Tic-Tac-Toe http://en.wikipedia.org/wiki/File:Tic_tac_toe.svg
This file is ineligible for copyright and therefore in the public domain, because it consists entirely of information that is common property
and contains no original authorship


April 2013

46

… References – Images Credits: Slide 3
Squid

http://en.wikipedia.org/wiki/File:Squid_komodo.jpg
This file is licensed under the Creative Commons Attribution-Share Alike 3.0 Unported license.

Starfish

http://en.wikipedia.org/wiki/File:Red-knobbed.starfish.arp.jpg
This work has been released into the public domain by its author, Arpingstone. This applies worldwide. In some countries this may not be
legally possible; if so: Arpingstone grants anyone the right to use this work for any purpose, without any conditions, unless such conditions are
required by law.

Ant

http://en.wikipedia.org/wiki/File:Meat_eater_ant_feeding_on_honey02.jpg
1.2 only as published by the Free Software Foundation; with no Invariant Sections, no Front-Cover Texts, and no Back-Cover Texts. A copy of the
license is included in the section entitled GNU Free Documentation License. Under the CC-BY-NC: you are free to copy, distribute, transmit and
adapt this work provided that correct attribution is provided. Attribution must be provided in a prominent location to "Fir0002/Flagstaffotos".

Portrait http://en.wikipedia.org/wiki/File:JuanGris.Portrait_of_Picasso.jpg
This is a faithful photographic reproduction of an original two-dimensional work of art. The work of art itself is in the public domain for the
following reason: Public domain This work is in the public domain in those countries with a copyright term of life of the author plus 80 years or
less. You must also include a United States public domain tag to indicate why this work is in the public domain in the United States. Note that
Mexico has a term of 100 years and does not implement the rule of the shorter term, so this image may not be in the public domain in Mexico.
Côte d'Ivoire has a general copyright term of 99 years, but it does implement the rule of the shorter term.
Viking

http://en.wikipedia.org/wiki/File:Martian_face_viking.jpg
This file is in the public domain because it was created by NASA. NASA copyright policy states that "NASA material is not protected by
copyright unless noted".

Clock

http://en.wikipedia.org/wiki/File:Pareidolia_3.jpg
1.2 or any later version published by the Free Software Foundation; with no Invariant Sections, no Front-Cover Texts, and no Back-Cover Texts.

Flower Painting http://www.jokelibrary.net/words/test_faces5.html
Five Profiles - drawn by unknown.


April 2013

47

Thank you for attending this session
Please fill out the evaluation form

Griffin Jones

Collaborating with people to enable projects to become agile, innovative, and compliant

Griffin.Jones@CongruentCompliance.com

April 2013

48

Collaboration without Chaos

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