Collaboration Without Chaos - STP Spring 2013

1www.CongruentCompliance.com
COLLABORATION
WITHOUT
April 2013
SESSION 702
Collaboration Without Chaos
Griffin Jones, Consultant, Congruent Compliance

2www.CongruentCompliance.com
COLLABORATION
WITHOUT
April 2013

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 3www.CongruentCompliance.com

Qualifying Human Experts
How many faces
did you see?
Qualifying Human Experts
Count the number of faces
in each of the following
pictures
Fast Example Exercise
April 2013www.CongruentCompliance.com 4

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, …

… 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

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
Wright Flyer I2 3

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

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

“Values”
Archetypes
(Inspired by
Italy Talgam)
Adaptive Team Model
ATM
(Entin, Serfaty, Deckert)
Feedback Controllers
and the
Controller’s Internal Model
(Jerry Weinberg)
How to Make
Control Choices
Organization
and
Activity Types
(Reasons & Perrow)
Administrative Controls
Prescriptive
versus
Discretionary
(James Reasons)
OODA Model
Observe
Orient
Decide
Act
(John Boyd)
Finding the Path through these Models…
4 - 10
Adaptive Discretionary
Control Model

Feedback Controllers
4

Feedback Controllers - Overview
• 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
Controller
Testing Information
Other Outputs
Req.
Testing
Resources
Randomness
Req.
Resources
Randomness
Req.
Testing Information
Other Outputs

Controller
Feedback Controller’s Model
• 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
Testing Information
Other Outputs
Testing
Testing Information
Other Outputs
Desired State (D)
or
Model
Controller
Actual State (A)
or
Information
≠?
11

5

Intermittent additions of organizational wisdom to Principles,
Rules, Procedures – as a result of Incidents
and Non-Conformance.
Frequent comparisons of output measures w/org. objectives.
Deviant performance corrected.
Frequent comparisons of output measures w/org. objectives.
Deviant performance corrected. Congruent performance stored
as rules & procedures.
OUTPUT
Feedforward / Prescriptive Feedback / Discretionary
Organizational
Standards,
Objectives
Principles, Rules, Procedures
Human
Performance
Training, Experience,
Using Tools
Process
being
Controlled
Output
Measures
X
Zero
Deviation
Incidents,
Non-Conformance

Integrating Prescriptive/Discretionary Controls
with Resources/Requirements
Testing
Testing Information
Other Outputs
Controller
≠?
Prescriptive and
Discretionary
Req.
Resources
Randomness

How to Make a Control Choice
6

Rules and procedures not
applicable. Task performance at
the discretion of the
individual.
Requires a mixture of
prescriptive control by rules and
procedures and discretionary
performance by the individual.
Requires mixture of
prescriptive and discretionary
performance control.
Pre-programmed prescriptive
process control possible by rules
and procedures.
Determine Control Choice based on
Exception / Solution Characteristics of Activity
FEW
EXCEPTION CASES
MANY
EXCEPTION CASES
EASY
SEARCH
FOR
SOLUTIONS
HARD
SEARCH
FOR
SOLUTIONS
Tasks routine, repetitive, well-
structured and predictable.
Tasks non-routine, but the many
exceptional cases are relatively
simple to analyze.
Work routine, but problems are
sometimes vague and poorly
conventionalized.
Tasks non-routine, poorly
structured and unpredictable.

Control Choices
for Varieties of Organizations
FEW
EXCEPTION CASES
MANY
EXCEPTION CASES
EASY
SEARCH
FOR
SOLUTIONS
HARD
SEARCH
FOR
SOLUTIONS
Railways
Postal Services
Construction
Traditional Banking
Road Haulage
Nuclear Power Plants
Chemical Process Plants
Modern Aircraft
Advanced Manufacturing
Anesthesia
Architecture
Maintenance and Repair
Oil Exploration
Police Work
Scientific Research
Modern Military Operations
Investment Banking
Macro-economics
Crisis Management
Project Management
Recovering from
Design Basis Accidents / Issues
Production Lines
R&D Organizations
PRESCRIPTIVE MIXTURE
MIXTURE
DISCRETION

Integrating Control Choice with
• Analyze the organization and task activities to make Control Choices
– Exception Cases
– Search for Solutions
Testing
Testing Information
Other Outputs
Controller
≠?
Prescriptive and
Discretionary
Req.
Resources
Randomness
Task: Exception Cases
Search for Solutions

The OODA Model
7

The OODA Model
OBSERVATIONS
HERITAGE, TRADITION,
CULTURE, ANALYSIS,
EXPERIENCE,
NEW INFORMATION
DECISION ACTION
OBSERVE ORIENT DECIDE ACT
Implicit Guidance
& Control
Unfolding Interaction With Environment
VALUES
Feedback
Unfolding
Circumstances
• OODA is the engine inside the Controller
– “Orient” steers you, based on your actual Values.
• Is your Orientation compatible with Collaboration?

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
– Process of repeatedly deciding
• Observe more, Orient more, or take Action
– Managing deliberation, Fusing information, Choosing what to do
next
O O D A
Control
Interaction With Environment
Feedback

Integrating OODA with the
Controller’s Model
• OODA Engine
• “Orient” Compass
– Orient is the most important part - it shapes everything else
Testing
Information
Other Outputs
Controller
≠?
Prescriptive and
Discretionary Controls
Req.
Resources
Randomness

“Values”: Control Orientation Archetypes
8

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?

“Values” Archetypes of Control …
• The Cloud
– The control vision of the inaccessible “Them”
• 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
– “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
12
13
14

… “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
– Control focus on everyone
understanding “Meaning and Intent"
– The group and individuals
• take initiative, are innovative, flexible, able to act
independently, and cooperate within a shared context
15
16

Integrating Values into the
“Orient” of OODA
• Values ♥
Testing
Information
Other Outputs
Controller
≠?
Prescriptive and
Req.
Resources
Randomness
♥

Adaptive Team Model
9

Ind. / Team
Characteristics
+
Team Structure
TEAM PROCESSES
Taskwork
Team Structure
Adaptive Team Model
S
Operational
Conditions
Stress
Teamwork Taskwork
Performance
DECISION-MAKING
ADAPTION
COORDINATION ADAPTION
STRUCTURAL ADAPTION
Teamwork
• Several Team Structures
• Tempo: Routine, High-Tempo, and Emergency
• Shared Implicit Knowledge
• Be sensitive to other member’s workload and performance when high-tempo
17

Integrating “Adaptive” into OODA and
Controller’s Model
• Adapting
– Structure, Coordination, Decision-Making
Testing
Information
Other Outputs
Controller
≠?
Prescriptive and
Req.
Resources
Randomness
♥
11, 17

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

Summary
10
Control Model

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?

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

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)

… 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)

Questions
Testing
Information
Other Outputs
Controller
≠?
Prescriptive and
Req.
Resources
Randomness
♥
Control Model

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-Accidents-
Reason/dp/1840141050

… 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-Accidents-
Reason/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/issue-
archives/2007/200704/200704-Ullman.pdf

… 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

Indirect References …
• James Bullock, Marie Benesh, Gerald M. Weinberg
– Roundtable on Project Management (~$8)
• http://www.amazon.com/Roundtable-Project-Management-Dialogues-ebook/dp/B005CX919Q
• 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)
• http://www.amazon.com/Questions-About-Human-Error-Transportation/dp/0805847456
• John Gall
– Systemantics: How Systems Work and Especially How They Fail (~$3)
• http://www.amazon.com/Systemantics-Systems-Work-Especially-They/dp/0812906748
• Elizabeth Gilbert
– “On Nurturing Creativity” and “having “ a genius. TED Talk (free)
• http://www.ted.com/talks/elizabeth_gilbert_on_genius.html
• Hillel Glazer
– 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.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=

… Indirect References
• Robert Mager and Peter Pipe
– Analyzing Performance Problems: or You Really Oughta Wanna (~$10)
• http://www.amazon.com/Analyzing-Performance-Problems-Really-Wanna-How/dp/1879618176
• Roger Nierenberg
– Maestro: A Surprising Story About Leading By Listening (~$5)
• http://www.amazon.com/Maestro-Surprising-Story-Leading-Listening/dp/1591842883
• Steve Smith
– “Coaching Your Personal Board of Directors” Workshop Session
• Gerald (Jerry) Weinberg
– “Quality Software Management: Volume 1 - Systems Thinking”, chapter 1 to 7
• http://www.geraldmweinberg.com/Site/QSM_vol_1.html
– “How Software Is Built” (~ $10)
– “Why Software Gets in Trouble” (~ $10)
– “How To Observe Software Systems” (~ $10)
– “An Introduction to General System Thinking” (~ $10)
• http://www.geraldmweinberg.com/Site/General_Systems.html
– “Passive Regulation: General Systems Design Principles (General Systems Thinking)” (~ $10)
• 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

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.

… 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

… 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.

Griffin Jones
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Griffin.Jones@CongruentCompliance.com
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Collaboration Without Chaos - STP Spring 2013

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