Appendix F
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The document provides a comprehensive procedural manual for planning and design (P&D) within organizations, emphasizing principles, roles, and processes essential for effective implementation and continuous improvement. It outlines various phases and methodologies required to address human purposeful activities, manage projects, and facilitate organizational change, focusing on the importance of stakeholder involvement and data-driven decision-making. Additionally, it discusses the significance of maintaining confidentiality and proposes a database system for managing knowledge related to P&D effectively.
![the previous phases have been carried out. Such personal and organizational dysfunctional symptoms
may be dealt with in different ways: parallel operation, where the old is operated concurrently with the
new to greatly increase the likelihood of operability of the new; phase-in sections or parts from either the
beginning or end of the proposed system as a balance between likelihood of operation and total costs;
complete installation or "cold turkey" change over a weekend or night (President Jimmy Carter's
normalization of diplomatic relations with mainland China in December 1978 was an example of this);
and pilot testing the whole solution in one location of several very similar locations.
With each of these installation concepts must go internalized questions that the host organization must
answer: What inducements, rewards, or incentives will be used to "move" people not involved with the
P&D effort toward acceptance and implementation? How can as many people as possible participate in
preparing the schedule? How and by whom will conflicts among various people and groups be resolved?
What education in the approach should accompany solution descriptions? How will members of the
organization be kept informed on what is occurring, both favorable and unfavorable developments? The
next step also addresses these questions.
Setting up an installation schedule means expressing in detail what was general in the original project
timeline. For many P&D projects (physical or hardware design, moving into a new house) this detailing
is most likely all that is needed.
The installation process for most projects, however, is affect by two difficulties. The first is that people
at all levels of an organization may play one or more "games," even after they agree that a particular
solution is desirable. They delay, if not scuttle, the installation. The second is "that the character and
degree of many implementation problems are inherently unpredictable."
Playing games during installation is both a conscious and a subconscious response. It is subconscious
to the extent that people react automatically to the changes because of the individual and organizational
realities defined elsewhere in this appendix. For example, the "not invented here" factor can surface at
almost any time, even with excellent participation by many. This may cause the "massive resistance"
game to become operational because several people are very likely not to be completely informed about
all of the development details. The games may take several forms: "(l) ... Massive resistance...or refusal
or defiance [by those] in a secure enough position to do so,...(2) tokenism…or an attempt to appear to be
contributing...publicly [to implementation] while privately conceding only a small ('token')
contribution,... (3) procrastination in making [a] contribution or substituting a contribution of
inferior quality,...(4) bureaucrat playing reputation,... (5) deflection of goals,...(6) not our problem,...(7)
keeping the peace (piece),...and (8) end play" or taking a set of actions that ostensibly achieves the
purpose being sought but in a way which "protects" existing perceived power/authority/fiscal control
arrangements. Other games take on many forms-strikes, slowdown, high turnover rates, high number of
grievances, joining a union, and so on. All such games ,[divert] resources, especially money,... [deflect]
policy goals,...[resist] explicit...efforts to control behavior administratively,...[and dissipate] personal and
political energies...that might otherwise be channeled into constructive action....[Thus] the three principal
perils [are]...underachievement of stated objectives,...delay, and excessive financial costs."
Delay is the principal peril because the other two are probably it's consequence. Delay can, of course,
occur as a result of uncontrollable "legitimate" factors: A vendor ships a machine or product late, a price
increase or decrease from external sources causes a reassessment, a large number of actors or systems
are included in the sequence of approvals of actions needed, or a natural disaster occurs. The delays of
concern here stem from organizational, societal, and other human sources. The more games the actors
play, the lower is the probability of a successful implementation.
This is the foundation of the second difficulty: Implementation problems are unpredictable. Because
delay may be considered synonymous to "perpetual procrastination,....effective resistance or obstruction,"
it takes on a purposive character, resulting in playing games in addition to reflecting a pathology. Thus,
an installation schedule needs far more than slack time for natural (external) occurrences of delay. It
needs to incorporate appropriate considerations for the whole range of factors that cause delays.
The timeline and work program depicting a realistic time and cost installation schedule are the usual
manifestations of this step, incorporating the major events, related activities, and person(s) responsible
for each activity. A written scenario can also help to interrelate the people and groups that impact on](https://image.slidesharecdn.com/appendix-f-100926133402-phpapp01/85/Appendix-F-51-320.jpg)
![Commuicative Flexible Experience
Cope with information Motivated Good image of P&D
Persistent Good judgment Intelligent
Abstract/reality Sensitive Respected in usual
Compatibility Values the problem role
Good interpersonal skills locus Willing to work
Opportunity seeking Aware of need for P&D Willing to listen
Willing to do share of Willing to express Persuasive
work views Respected by peers
Civil to others Credible Productive
Tolerant of others Respectable personality Tolerate ambiguities
Still, the major criterion for selecting people should always be proving the probability of arriving at an
effective (and innovative) implemented solution while effectively using all P&D resources. This almost
always means that "social homogeneity as a selection criterion…[and] social conformity as a standard for
conduct" are inappropriate for a good P&D group.
Several guides identified in many research and experimental projects can help a P&D professional and
an organization in putting together a "good" P&D group when this is possible. Because membership in
many groups cannot be set up on the basis of "good" guides, adaptations may need to be made in the
strategy, group techniques, information used, continuing change concepts, and so on.
Group Size Seven plus or minus two is advised. More than 11 or 13 tends to restrict interchange
because people do not listen, hide and do not speak, form small coalitions, or make speeches.
Aggressiveness of a few predominates, the chance for consensus and a quality solution decreases. Fewer
than five is usually too small for adequate representation and dynamics. Groups with odd-numbered
membership promote productivity, avoid coalitions, and generally result in effective outcomes.
Name of group Many are possible, but local conditions and word meanings (Axiom 6) should govern.
Some frequently used terms include project team, task team, design group, venture team, P&D
committee, P&D circle, planning unit, and "X-system" planning team.
Representation All roles, key actors, and skills regarding the real-world locus and values should be
present. Convergent and divergent thinkers, bureaucrats and freethinkers, all should be included.
Heterogeneity is to be sought, for this increases the information base collectively available in the minds
of the people. It also increases the creativity and number of ideas as well as the likelihood of eventual
acceptance of the solution. It may cause some problems in communications because of jargon and may
force limits on the space in which a solution might be found. Some difficulties may arise because of
people of different status being in the group (e.g., top management, technical staff, line managers,
workers in locus area). Several of the group process and meeting ideas can ameliorate these difficulties,
helping the group to learn together while aiming toward a solution.
Longevity People should be sought for ad hoc groups who are likely to stay with the organization
through installation.
Commitment and Cohesiveness The position held by a person might very well indicate that the
incumbent ought to be included. But if the person is not interested or has no philosophical commitment
regarding "doing something" to find solutions, then why include that individual?
Expansion and Contraction A core group may be selected for service throughout the project or for the
permanent P&D function. The members would seek content area experts to add, say, in Phase 2, decision
makers in Phase 3, technical people for detailing in Phase 4, and operating people for installation in](https://image.slidesharecdn.com/appendix-f-100926133402-phpapp01/85/Appendix-F-89-320.jpg)
![of the labor content. The operations research person will say: Build a mathematical model of cost
relationships and get the optimum relationships. The industrial engineer will say: Flowchart the whole
process and reduce the number of handlings, storage points, inprocess inventory items, etc. The
organization development person will say: Provide team skill training to employees, have them meet to
work out the problems. The value analysis person will say: Go over each component to reduce the
material costs. The quality of work life person will say: Enrich jobs, lower the level of decision-making.
The systems engineer will say: Do interpretive structural modeling and input-output analysis to
determine the best information system for immediate diagnostic results for the manager. And so on.
Whose advice do you take? Or, if you believe two or more should be put together, should you be the
person who tries to bring together the various technique competitors? P&D professionals, after all, are
supposed to help organizations achieve their objectives, not achieve P&D technique use. This position
also occurs in large and complex political entities.
Position F: Improvement Program Usually separate from P&D (long-range planning, product design,
information systems) but does coordinate techniques, focus on real-world problems; seeks to develop
human resources, yet uses conventional approaches.
Position G: Complete Institutionalized PDA Program Seeks the same objectives as F but with the
holistic perspective of the five intertwined factors.
The Difficulties Found in Organizations Trying to Set up Quality of
Working Life Programs throughout the Whole Network
* Regression in the pilot project
* Poor model for change because the initial project lacks either visibility or credibility or involves
significantly different technology
* Confusion over what is to be diffused
* Higher management can botch up the way they formulate and communicate the diffusion policy
* Inappropriateness of labels employed
* Deficient implementation
* Lack of top management commitment and junior opposition
* Bureaucratic barriers of vested interests and existing organizational routines
* Threatened obsolescence of staff groups [and] first-line supervision
* Self-limiting dynamics of the "star-envy" phenomenon
* Shift in the reward structure with payoffs for pioneers providing a better benefit-risk picture than for
subsequent users
* Early participants feeling special and superior
* Rivalry among those engaged in work restructuring
* Leaders skirmish with superiors and staff become aggressive in asserting their correctness and thus
hurt their careers
Summary
The history and behaviors of the organization (network) will influence the amount of commitment to
or readiness for implementing an institutionalized program. Putting together rough indicators of readiness
for a program not only will lead to the most effective program for the network, but may well avoid the
difficulties found in organizations when they try to diffuse, for example, work restructuring or quality of
working life principles throughout all divisions and sections. These difficulties are virtual paraphrases of
the explanations people offer for why individual project solutions are not adopted. To the extent that
developing a program is a P&D project that should follow the P&D scenario, these difficulties can be
minimized by considering the level of readiness as part of step 1b, the design of the P&D system that
will be put into place to then design the institutional program.](https://image.slidesharecdn.com/appendix-f-100926133402-phpapp01/85/Appendix-F-101-320.jpg)
![Axiom 2 Humans perform purposeful activities that influence and are influenced by the time-
variant objectives and goals they seek to attain. This axiom puts purposeful activities and values into
a timeline framework. Individual and group realities also fit into the timeline framework because their
importance and presence have an inherent tendency to change over time. What society was willing to
accept as "minimum" living conditions a relatively short 50 or 60 years ago is intolerable today.
The timeline version of human objectives is often portrayed in a life-cycle perspective attributed to
almost all products, solutions, and systems: Creation, development, growth, decay, and death. The last
part, death, can also reflect modifications of or additions to what previously was considered a good
solution or set of human objectives. A life cycle also contains smaller cyclic waves of emphasis and
quiescence.
The values of humans may be the least variable part of their realities and beliefs. Those values that
persist over a long period are said to be "enduring beliefs. [There are] two major categories of values....;
namely, instrumental values (defined as modes of conduct such as honesty, competence, courage, self-
actualization, and responsibility) and terminal values (defined as end-states of existence such as inner
harmony, freedom, and equality). "Making changes among people with firmly rooted values requires the
timeline axioms as the basis for understanding how perceptions can be moved toward "the availability
[and] desirability of a mutually acceptable solution, ...cooperation rather than competition .... [and] the
views of others as legitimate statements of their position...."
In the meantime, disturbances, new knowledge, and normal operating changes are occurring in the real
world, which is performing a variety of purposeful activities. These continuing occurrences have some
bearing on the problem previously identified and affect the perceptions and behavior of the people in the
organization. If the purposeful activity (P&D) world works on it's own, as so often happens, then the
people there are having their perceptions changed regarding the problem assigned to them and are
obtaining insights into and enthusiasms for solutions that are not shared by the real-world people.
When a solution is then recommended to the real-world people, the stage is set for the solution's
rejection. The organizational people also have a different perception of the problem than when it was set
up, and they lack a "feel" for the solution that those following the approach developed. Those following
the purposeful activity approach lack an understanding of the subtle day-by-day changes that influence
the real world, and their perception of a solution may no longer concern what is now viewed as the
problem by the organization. Is it any wonder that so much conflict and nonadoption of
recommendations occur at this point?
The timeline axioms identify how this impasse can be minimized or eliminated. The purposeful
activity world must be continually interrelating with the real world, day by day, week by week, and so
on. This allows the perceptions and behavior of those in each world to be modified and adjusted to
accommodate the realities and knowledge of the other. Such positive behavior can change values, as
sociologists and anthropologists are demonstrating. Adherence to the timeline axioms increases
significantly the probability that it will take less time to arrive at the implementation of a
recommendation, and that more recommendations will actually be put to use.](https://image.slidesharecdn.com/appendix-f-100926133402-phpapp01/85/Appendix-F-107-320.jpg)
![achieves an end. Thus, the purpose, function, or result sought from a system is the first element, and each
system has at least one purpose.
Each system receives physical, informational, and/or human items from smaller, larger, and parallel
systems to process into a desired state that will achieve it's purpose. Therefore, every system has inputs.
Each system provides physical, informational, and/or human items or services to it's smaller, larger,
and horizontal systems. These outcomes represent the means whereby the purposes of the system are
achieved. Therefore, each system has outputs.
Similarly, five other elements can be developed from this Axiom: sequence, environment, human
agents, physical catalysts, and information aids. The words used for names of elements are unimportant
and can vary, whereas the ideas represented by each are critical.
System Dimensions
1. Fundamental This dimension must exist or no others can be specified. It is the identity or context of
a system. Also referred to as the existence, real-life, or manifestation dimension, it concerns tangible,
overt, observable, physical, and/or basic structure characteristics. It includes the basic "what-who-how-
where" specifications, along with associated quality levels. It states specifically the intensity, degree to
which the specific condition is distinguishable from others, and/or the operation of each element.
Determining the specific fundamental attributes is what the P&D approach seeks to accomplish, so
that the conditions thus identified can be implemented. Many terms describe the specific numbers,
descriptions, drawings, and so on, including specifications, parameter variables, estimates, relationships,
properties, characteristics, and identifications.
2. Values This is the situation-specific form of the values part of this appendix. It also embodies and
enlarges on the "satisfy" part of Axiom 8 by stating both the solution values and the human values
(disposition to behave in certain ways).
Motivating beliefs, human expectations, global desires, ethics, equity, and moral concerns can be
ascribed in some form to each element. The most global values are likely candidates for the purpose
element. Other descriptions concern how people and organizations "feel" about desirable results in
specifying each element: preferences, basic (unyielding?) or important assumptions (e.g., democratic
society), concern with societal life and civil liberties, disposition to a behavior, pleasures, productivity,
justice, concern with individual life, relevance, sensitivities, preferred modes of conduct, involvement of
others, essential beliefs, sentiments, convenience, human dignity, willingness to shape societal acts and
conscience, emphases on successes rather than failures and wrongs, comprehensiveness, safety, and
cultural or esthetic properties. Values could thus be said to capture the "standards" that a solution is
expected to continue.
Perhaps the most important benefit of the values dimension for each element is the forced review of
what the value standards are and how they need to be part of the solution and the decisions in selecting
the solution. "On all sides," one sees evidence today of cop-out realism-ostensible efforts to be sensible
in dealing with things as they are but that turn out to be a shucking of responsibility.... It is now possible
to assess the effect of [the] legalization [of off-track betting and the numbers game].... New York State
itself has become a predator in a way that the Mafia could never hope to match.... Millions of dollars are
being spent by New York State on lavish advertising on television, on radio, on buses, and on billboards.
At least the Mafia was never able publicly to glorify and extol gambling with taxpayer money...[Also
consider the] cop-out realism [in] dealing with cigarette-smoking by teenagers and pre-teenagers. Special
rooms are now being set aside for students who want to smoke.... The effect of [the] supposedly 'realistic'
policy is to convert a ban into benediction. By sanctioning that which [people] deplore, they become part
of the problem they had the obligation to meet... The function of [value] standards is not to serve as the
basis for mindless repressive measures but to give emphasis to the realities of human experience.](https://image.slidesharecdn.com/appendix-f-100926133402-phpapp01/85/Appendix-F-131-320.jpg)
![The Characteristics Of Information & Knowledge (I&K)
Everything is fluid and changing in nature (Axiom 1, 6, and 7). So too is I&K itself. A myth of
science (people can observe and model identically the same event or phenomenon when each person has
the "same" frame of reference, concept structure, emotions, personal values, and training) has long been
exploded and dismissed in discussions of physical as well as social realities. Epistemological studies
show the shift from the view of I&K generation as the search for "truth" to the view of it as the
development of functional models that serve a purpose now and will be changed or modified in time.
What is "factual" I&K is inextricably entwined with human perceptions of it's framing at particular points
in time.
So too it is unlikely that what follows can be treated as definitive "characteristics." As I&K changes in
amount and content, so will any listing of characteristics.
Structure
Humans continually seek to put the vast amount of I&K into taxonomical or categorical forms as a
reference source, whether for P&D, other purposeful activities, or for any particular locus content area.
The following criteria categories about structure are helpful for using I&K to achieve P&D purposes:
Raw Data
Observations, measurements, specific incidents, research calculations, interviews, questionnaire
returns, exemplary practice and so forth. "No data are truly 'raw.' Every record [of an even or object is]
subjected to editing and transformation either by man or by his instruments."
Descriptive
Extractions from and embellishments on raw data, organized sets of elements and dimensions,
equations, research results, analysis results, explanatory, summary, "factual," "understanding" and so
forth. A description of any phenomenon should include it's particular perspective, value set, or
assumptions.
Comparative
Evaluative, criteria-based descriptions and relationships, policies compared to actions, index values,
abstraction or pattern compared to reality or matter ("shape of an ocean wave as contrasted to the that
composes it,...shapes of letters on this page as contrasted to the ink and paper... ), survey of literature,
evaluations of I&K in one project or program compared to others (e.g., methods for dynamic control of
projects, tests on emissions of auto engines), technological solutions or equipment available for certain
problems (e.g., pump water, remove metal, count units, make scientific calculations), and so forth.
Predictive
A wide variety of formats (models, equations, mapping, graphs, monographs, path analysis, charts,
scenarios, etc.) to calculate or arrive at the amount or condition of a "dependent" variables), given the
amount or condition of one or more "independent" variables. The data for the independent variables are
aggregated from several instances, so that the amount of the dependent variable is an estimate of an](https://image.slidesharecdn.com/appendix-f-100926133402-phpapp01/85/Appendix-F-168-320.jpg)
![Information & Knowledge of Planning & Design
I&K of P&D involves topics that describe major parts of an educational program for almost
every P&D professional as well as sets the stage for P&D operational aspects:
Axiology: goodness or value in [P&D] phenomena, with special regard to the relations between
technical, economic, moral and aesthetic values;
Philosophy: language of discourse on [P&D] moral principles, [processes governing thought,
and metaphysics];
Epistemology: nature and validity of ways of knowing, believing and feeling in [P&D];
History: what is the case, and how things came to be the way they are, in the [P&D] area;
Pedagogy: principles and practice of education and the [P&D] area.
I&K in P&D also includes topics that describe other major parts of an educational program for
almost every P&D professional and also sets the stage for P&D operational aspects:
Praxiology: [efficient action within P&D] techniques, skills and judgment applied in a given
area
Language: vocabulary, syntax and media for recording, devising, assessing and expressing
[P&D] ideas;
Taxonomy: classification of [P&D]phenomena; [and]
Metrology: measurement of [P&D] phenomena, with special emphasis on the means for ordering
or comparing nonquantifiable phenomena.
Summary
Knowledge, information, and models aggregate data that can be used cost-effectively in P&D
if each aggregation includes statements about it's relative inability to predict an occurrence or
performance value of a future specific instance or case, emphasize the importance of it's
integration with the other four P&D factors, and is presented with accuracy and precision values
to reflect past and present conditions.](https://image.slidesharecdn.com/appendix-f-100926133402-phpapp01/85/Appendix-F-175-320.jpg)
![Some Other Organizational Programs with Aspects of an Institutionalized ACCI Program
Name and Brief Description of Alternative Program
ANNUAL IMPLEMENTATION PLAN Health systems agencies are
required to have a long-range health systems plan for ensuring quality
and accessibility of health services in the area being served. An AIP is
prepared annually to focus on practical and manageable goals and
objectives for the year. Priorities are set for each item within broad
functional areas after many people from the area served by the HSA
have been involved.
COLLATERAL ORGANIZATION "A parallel, continuously coexisting
organization [has] norms differing from those usually in force, [is] used
to identify and solve apparently intractable problems, and is carefully
linked to the 'regular' organization. No new people are required." D. E.
Zand, "Collateral Organization: A New Change Strategy," Journal of
Applied Behavioral Science, Vol. 10, No. 1, January-March, 1974, pp.
63+.
CORPORATE PLANNING Usually a five-year time horizon is used,
Second year from now updated for quarters, one year from now for
monthly budgets. Tends to be extrapolative and done by planning staff
and managers. Can cover all elements and dimensions of the "corporation
system," but usually focuses on financial ratios and monetary measures.
COST CONTAINMENT Deals with goals for reducing or maintaining
costs of all line items in a budget or of all products/services. Infrequently
seeks to get cost-cutting commitment that goes down six, seven, eight
levels. Often set up on basis of fine-tuning measurements to provide
control of costs. Many techniques are promoted for doing cost cutting:
work measurement, charts, forms control, operations research modeling,
computer analysis, statistical analysis, etc. See Productivity improvement
program.
MANAGEMENT BY OBJECTIVES A yearly cycle consisting of
definition by management of Organizational goals, delegation of
prioritized goals down the hierarchy, manager and subordinate agreement
on the subordinate's performance contract, implementation of all the
contracts in a hoped for one-for-all and all-for-one helping relationship,
and review of results to determine whether contracts should be changed.
Some programs become overburdened with mechanics and paperwork, and
focus only on short-term precise individual measures.
MANAGEMENT of OBJECTIVES "The work of an organization is not
the sum of many individual [operating and supervising] tasks, but is
instead the achieving of an array of specified objectives, and these,
whether they are ongoing or change objectives, usually require the
Coordinated contributions of several individuals in different
departments.... The organization's objectives and functions can be
coordinated contributions of several individuals in different departments....
The organization's objectives and functions can be coordinated In a grid ...
which then becomes the organization. [The former are] change [or] D. Sherwin, " Management
improvement objectives [and the latter] functional performance [or] of Objectives," Harvard
performance maintenance objectives." D. Business Review, Vol. ;4,
No. 3, May-June 1976, pp.
149+.](https://image.slidesharecdn.com/appendix-f-100926133402-phpapp01/85/Appendix-F-195-320.jpg)
![stages may occur in well-planned satisfactory stages. The chart above portrays one illustrative
scheme interrelating cyclic behavior and the life cycle.
Fifth, the validity of the axiom holds over long periods of time. A table or a painting, for
example, can be considered in satisfactory existence now. They will, however, deteriorate into
unsatisfactory physical existence over a very long period of time. In addition, the attitudes of
people toward, say, a building, it's environmental context, and the motivations leading to it's
construction could vary over a much shorter time period back and forth between satisfactory and
unsatisfactory conditions. Such interpretations reinforce the time perspective of this axiom.
Classifying the condition of a system today is no assurance of what it will be after even a short
period of time. Arranging for continuing change and improvement can influence in desired
directions the performance of a system.
Physical and social research has established that both natural and organizational entities tend
toward disorganization, at least in terms of the measures that define unsatisfactory existence.
(Although "things [may] tend to become more orderly if they are left to themselves," the
orderliness could most likely occur at unsatisfactory existence levels.) the second law of
thermodynamics deals with this unsatisfactory existence concept as it relates to gases and uses
the term entropy. Energy and effort (negative entropy) are required to avoid this tendency
toward disorganization in both natural and organizational entities. A satisfactory organization
should use energy and effort to seek changes for the better. Conversely, some quite satisfactory
organizational structures have survived by seeking new opportunities for achievement when
their original purpose was accomplished (the Tuberculosis Association changed it's focus to lung
diseases, the March-of-Dimes shifted it's emphasis from polio to birth defects).
Applying energy (negative entropy) will by itself start to char things and tend to make
everything around less stable. The immediate results appear to replace order by chaos, which is
painful if energy infusion is pursued ineptly. Good operating and supervising approaches are one
mode of coping. Knowing that the tendency to disorganization exists should stimulate P&D
people to provide negative entropy at the appropriate time, especially in planned betterment
conditions at the peak of success of what exists. "One way of mishandling a problem is to behave
as if it did not exist, [or to treat it with] terrible simplification ....[There are two consequences,]
acknowledgment is [considered] madness or badness; and...the problem... [is] compounded
through it's mishandling."](https://image.slidesharecdn.com/appendix-f-100926133402-phpapp01/85/Appendix-F-204-320.jpg)
Appendix F
- 1. Appendix - F CONFIDENTIAL DOCUMENT THE NETWORK PROCEDURAL MANUAL OF NASCENT APPLIED METHODS & ENDEAVORS LEVEL - 10 SECURITY CLEARANCE ONLY 1
- 2. Table of Contents PART I - The Statement of Operations 1. The Planning and Design Scenario 2. The Planning and Design Axioms 3. The Nature of Human Purposeful Activities and Problems 4. Some Planning and Design Principles Leading to Implementation and Continuing Improvement 5. Traits and Qualifications to Seek in Hiring a P&D Professional 6. An Illustrative List of P&D Professions 7. Some Roles of People in the P&D System 8. The Several Possible Roles of a P&D Professional 9. The Desirable Performance Characteristics of a P&D Professional in Most Roles and Functions 10. The Principles of P&D 11. The Frequently Used Descriptions of Planning and Design 12. Examples of Perspectives on and Characteristics of P&D 13. Creating and Maintaining Interest in the Search for Change 14. Results Obtained from Each P&D Project and Search for Betterment 15. Performance Effectiveness of P&D Efforts 16. Transmittal of Solution and P&D Performance Effectiveness Information to Top Management and the Whole Organization 17. Some Problem-Solving Approaches 18. Some Conventional P&D Approaches 19. Set Up a Planning or Design Structure 20. The Concepts of Idea Generation 21. Transactional Analysis 2
- 3. 22. Ego-State Contributions to Behavior 23. Indicators of Ego States 24. Phase 1: Determine Purpose Level 25. Phase 2: Generate Purposeful Alternatives 26. Phase 3: Devise Feasible Ideal Solution Target 27. Phase 4: Develop and Detail the Recommended Solution 28. Estimate Performances, Outcomes, and Consequences of Each Alternative 29. Formulate Plans to Get Final Approval 30. Review Solution Details with Others to Assure Proposal Workability 31. Structuring Function Statement and Hierarchies 32. Questions and Guides for Identifying Subpurposes or Functional Components 33. Guides for Detailing 34. Provide More Detail for Each Major Alternative 35. Test, Simulate, or Try Out the Solution 36. Phase 5: Install the Workable Solution 37. Set Up Installation/Transition Schedule 38. Prepare Operational Resources 39. Establish Timeline for Planned Betterment Change 40. Establish Operational Performance Measurements 41. The Profile Worksheet 42. Questions for Evaluating Each Possible Course of Action 43. The Decision Worksheet 44. The Setting 45. The In-depth Investigations of these Sections 46. The Problem Format 47. The Concept of a Problem 3
- 4. 48. Ideas Involved in the Societal Value of Achieving Greater Effectiveness 49. Ideas Involved in the Societal Value of Attaining a Higher Quality of Life 50. Ideas Involved in the Societal Value of Enhancing Human Dignity 51. Some Indicators of Progress in Theories of and in P&D 52. Various Names for P&D Outcomes 53. The Characteristics of the Different Levels of P&D 54. The Criteria Used to Select the Content of Approaches 55. The Operating and Supervising Approach 56. The Planning and Design Approach 57. The Evaluation Approach 58. The Research Approach 59. The Learning Approach 60. The Summary and Comparison of Different Approaches to Different Purposeful Activities 61. The Operating and Supervising Approach 62. The Planning and Design Approach 63. The Evaluation Approach 64. The Research Approach 65. The Learning Approach 66. Strategies for Secondary Purposeful Activities 67. Selecting P&D Project(s) 68. Group Realities 69. Interrelated Ideas about Involving People in P&D 70. The Level of Organizational Participation 71. The People to Involve 72. The Group Processes and Techniques 4
- 5. 73. The Meeting Conditions 74. Utilizing the Five Considerations of the Table Shown 75. A possible organization for a P&D department of Arranging for Continuing Change and Improvement 76. The Illustrative Stimulators for Developing Measures in Particular Projects 77. Selecting Measures of Effectiveness for Purpose/Function Level 76. Possible purposes/functions as actually listed by a facilities study group 79. Making the P&D Approach Operational 80. The Difficulties Found in Organizations Trying to Set Up Quality of Working Life Programs throughout the Whole Network PART II - The Description of Operational Duties 81. The Immutable Timeline 82. Axiom 1 83. Axiom 2 84. An Illustrative form process chart of a FIST 85. The Time Interrelationships of the Solution Framework and Strategy 86. A Timeline Schedule 87. The Project Schedule and Milestones for a Product Development 88. A Statewide Data Classification and Storage System 89. The Relationship of Activities to Structural Levels 90. An Illustrative Manufacturing Stimulators Based Only on System Elements 2 and 4 91. Principles for Designing Ideal Systems 92. An adaptation of System Matrix for a Manufacturing Company 93. The Logic Programming (GOL) 94. Strategy Information Flow and Decision-Making Processes 5
- 6. 95. The Details about Pursuing the PDA Strategy 96. The Foundations for Planning and Design 97. Pursuing the P&D Strategy 98. Some Illustrative Protocol Stages from Various P&D Fields 100. Making the P&D Approach Operational for Computerized Thinking 101. The System Matrix Chart 102. The System Matrix Chart with Inputted Examples 103. The System Elements 104. The System Dimensions 105. The P&D System Model 106. Some Illustrative Entries in a System Matrix Solution Framework 107. The Procedural Reliance Information Teams Profile 108. Techniques and Models in P&D 109. The Listing of Techniques by Cells of P&D System 110. The Build Plan or Objectives PART III - The Description of the Database System Involving Planning and Design 111. The Characteristics of Information and Knowledge 112. A Few Ways of Describing I&K in Locus Content Areas 113. Some Sources of I&K in Locus Content Areas 114. Computer Technology is Providing Significant Assistance 115. Techniques to Foster Generation of Purposeful and Ideal Alternatives and Ideas 116. Information and Knowledge of Planning and Design 117. Documents and General Controls 118. Databank Classification Dimensions 119. Threats to Public Databanks 6
- 7. 120. Principles for Maintaining Confidentiality 121. User Capability and Security Risks 122. Principles for Data Security 123. Integrity Management Techniques 124. Techniques for Auditing, Validation, and Testing 125. Definition of Protection Levels 126. Classification of Identified Personal Information Items and Records 127. A Scale for Data Sensitivity 128. An Illustrative Sensitivity Scale for Personal Information 129. A "Low" Level Protection System 130. A "Medium" Level Protection System 131. A "High" Level Protection System 132. The Lesson Planning Database Sheet PART IV - The Statements of Strategic Procedural Structuring 133. Suggestions Arising from the System Matrix to Enhance Another Solution Framework 134. Some Other Organizational Programs with Aspects of an Institutionalized ACCI Program PART V - The Graphical Representations of Procedural Implementation 135. An Engineering Design Solution Format 136. Criteria for Evaluating Models 137. Depiction of the emergence of a P&D problem. 138. Planning and design strategy developed by J. C. Thomson, Jr 139. Make FIST as Ideal and as Operational as Possible 140. Outline of a Plan for Hospitals 141. Information flows affecting design 142. Decision Support Systems 7
- 8. 8
- 9. PART I The Statement of Operations 9
- 10. Timeline ____The Real World (RW)_____ (The organization, community, admission procedure, materials distribution system, product, XYZ department, etc.) The Total P&D Approach Pursuing Specifying Involving Using Arranging for the P&D and people information continuing strategy presenting (p=role of P&D and change and solutions professional) knowledge improvemnt (entries are (entries (entries (entries il ustrative il ustrative il ustrative il ustrative only) only) only) only) A problem is Substantive difficulty 1 New 1 Begin betterment project with 1 locus or desire opportunity or new planning cycle Problem Develops a purpose Decision makers, Purpose Policies re: Jointly 1a situation hierarchy for finding eventual hierarchy participation, a solution. implementers security, etc. If selected level p-facilitators not P&D proceed to appropriate scenario RW decides 2 Design P&D Administrator, Education P&D system Whole solution specifications affected people strategy if necessary, finding p-chairperson, policies for structure trainer projects Jointly 3 Do purpose Purpose Clients, users Hierarchy Change behavior expansion hierarchy affected people nominal groups toward bigger Phase p-facilitator couplet purposes 1 Disturbance Review 4 Select function Selected Affected people, Decision matrix Commit jointly purpose users resources statement p-conflict resolution RW approves measures 5 Set up measures Values and Administrator Utility measures, Fit into of effectiveness measures of p-measurer recent research budget dif iculty or projections desire Jointly 6 Identify Functional Technical, managers System pyramid, Relate to functional components, p-modeler prioritize other P&D components overall projects structure Normal Review 7 Generate ideal System matrix Experts, people Creativity Relate to operating jointly systems elements, in system recent ideas, previous change solution p-facilitator, nominal group targets formats participant Phase 2 Prioritizing, Relate to 8 Identify Measures People in system interview other regularities of elements p-facilitator, surveys projects measurer Disturbance P&D present 9 Synthesize major Fundamental, Experts Comparative Possible ideas to RW alternatives values and p-designer estimation long-term measures betterment dimensions schedule Phase Normal 3 operating change RW decides 10 Select feasible Specifications Administrators, Simulation, Relate to ideal system for each major managers, affected decision matrix measures of target (FIST) alternative people effectiveness for regularities p-reviewer Jointly 11 Incorporate Revised Experts Creativity, Relate to irregularities measures of p-facilitator, technical other substantive effectiveness designer information projects New knowledge and technology Jointly 12 Develop Measures, p-modeler, Cost and detail Search out Phase recommended control, designer estimation information 4 solution interface do R&D dimensions Normal operating change RW approves 13 Develop Presentation Decision Decision Educate decision presentation format, maker(s) matrix makers for format and approval system p-boundary continuing obtain approval specifications spanner charge Review Future Key managers Train 14 Set up implemen- Equipment, jointly dimension p-facilitator specifications people tation schedule for purchase Jointly 15 Develop procedures Presentation People Organizational Establish search for presenting and system involved behavior behavior, policies initializing solution specifications p-advocate, and programs trainer P&D facilitates 16 Install the Solution p-facilitator, Graphics, Schedule solution documentation opinion leader, computer betterment innovator programs Phase 5 Normal Jointly 17 Monitor Performance p-reviewer Control Audit and operating Managers responsible for performance reports techniques review change operating the plan or solution 18 Gather data from Progress/ Administrator(s) Significance Report to several projects problem p-manager of tests, regression board/ for reports reports P&D department analysis advisory committee Jointly 19 Implement Future Affected people Tickle file Continuing follow up dimension p-manager improvement charges workshop in department Disturbance Operate and supervise 1 New 1 Begin betterment project opportunity or new planning cycle RW seeks improvement Evaluate 1 2 Design P&D solution finding structure 10
- 11. Planning & Design Axioms Axiom 1 A continuous (rather than discrete) timeline is the fundamental basis for understanding the past, present or future of any phenomenon. Axiom 2 Humans perform purposeful activities that influence and are influenced by the time-variant objectives and goals they seek to attain. Axiom 3 Everything is a system. Axiom 4 Each system is part of at least one hierarchy of systems. Corollary 4a. Each system is part of at least one larger system. Corollary 4b. Each system is composed of smaller systems. Corollary 4c. Each system exists parallel to other systems. Axiom 5 Each system can at any point in time be identified in one of three conditions of existence- future, satisfactory, or unsatisfactory. Corollary 5a. A system tends toward unsatisfactory existence. Axiom 6 A word is only representation of a reality, not the real thing. Corollary 6a. Models are incomplete representations of real-life phenomena. Corollary 6b. A solution on paper is not the desired change or implementation. Axiom 7 No two situations or things are identical. Corollary 7a. There is no such thing as certainty in the future. Corollary 7b. A solution for a specific problem in one organization differs from the solution for a similar problem in another organization. Corollary 7c. An analogy cannot prove that a premise should be accepted. Axiom 8 A system processes inputs into outputs that achieve and satisfy a purpose or purposes through the use of human, physical, and information resources in a sociological and physical environment. Corollary 8a. Each element can be specified or detailed in terms of dimensions, properties, or attributes. Corollary 8b. Each element and dimension of a system is a system. Corollary 8c. Each cell of a system matrix is a system. ______________________________________________________________________________ Axioms are the starting point of a structure of inference. They are truths that need not be necessarily proved, because people are willing to accept them on face value. The axioms are explained at length in other parts of this appendix; they are presented here to indicate the basis for the propositions and principles that are also included in this appendix. 11
- 12. Nature of Human Purposeful Activities and Problems Humans consciously seek to better their condition. Consequently, every human faces problems, as does every human group. Defining the word problem provides a basis for understanding the relationship between problems and P&D. A problem is a substantive matter about which there is a human concern. The substantive matter of a problem is both the specific problem situation and the type of purposeful activity involved. The human concern is a function of basic social values and particular goals and objectives for the situation. The specific settings of problems cannot be adequately addressed in any general theory, but an analysis of human purposeful activities is possible and useful. A timeline scenario, for example, could form the basis of a separate total approach to each purposeful activity. PDA forms such an approach to planning and design. But it's directives are not written in stone; they continue to change and improve. PDA's benefits accrued from the significantly greater probability that the three basic objectives of P&D will be met. Some Planning & Design Principles Leading to Implementation and Continuing Improvement GETTING STARTED 1. A unique P&D system or structure (P&D project team or continuing change program, interview, meeting, etc.) is needed for each organization (department, company, city, etc.) 2. Each project for a P&D problem is treated as a unique and complete effort irrespective of it's seeming similarity to others inside or outside the organization (the people are always different, so reinvention may be desirable to create ownership on their part) 3. Words are adapted to the meaning and usage in the organization rather than jargon being forced on the organization (ideas are important, and many words can convey each one) 4. The perceived needs or tensions of the organization must form the starting point of any program or project. Any change in this perception should stem from following the P&D timeline approach to expand the thinking and solution space of the people involved within the program 5. A client or group committed to installation and follow-up as well as to P&D should be identified very early or the P&D effort may not be worth starting DEVELOPING SPECIFIC P&D RECOMMENDATIONS 6. Follow the five phases of the strategy (purposes, ideal systems, target for regularities, recommendation that incorporates irregularities, installation) integrated continuously along the timeline with the solution frame-work, involving people, using information and knowledge, and arranging for continuing change and improvement. 7. Any successful P&D effort, however small, should be acknowledged because no organization has a perfect P&D program nor project an ideal completion record, and one who successfully encourages others. 12
- 13. 8. Use a systems matrix perspective on all projects, irrespective of size, as a basis of generating a syndrome of successful holistic thinking 9. A P&D professional should exhibit with groups and individuals the behavior he/she recommends they adopt (others are not likely to practice participation if the professional merely lectures about participation) 10. Milestones should be established for the program and all projects, ensuring that priorities for information and activities are established 11. Recommendations should always be justified. Information in terms of prospective measurements of results must be available about the current status of the system at the beginning of an effort (base line data) IMPLEMENTATION OF A SOLUTION WITHIN CONTEXT OF CONTINUING SEARCH FOR CHANGE 12. An organization should focus attention on all three conditions of solutions-nonexistence, satisfactory existence, and unsatisfactory existence-for which it should allocate resources for original planned betterment, and correction P&D efforts 13. Implementation of a solution is a system that can be planned and designed, and the most effective implementation system must literally start at the very beginning of the P&D effort 14. Involving people in a continuing search for change through ideas of expansion, ideal systems, regularities, and target system guides provides many of the satisfactions from work itself that people seek 15. Achieving all four societal and organizational values (achieve greater effectiveness, attain better quality of life, enhance human dignity and encourage individual betterment) is always so synamically uneven that redressing the balance requires a continuing search for change and improvement Summary A large number of stimuli are available to get a project under way or to start arranging for continuing change and improvement. Some potential sources of stimuli can be found by scouting around to find a focus whether physical or abstract (e.g., policy, information); identifying appropriate entry point(s); relating the felt-need or pain or desire to operational P&D; motivating individuals to seek "reinvention for us" of a new generalization or someone else’s good solution; developing or understanding tensions for P&D change or improvement; seeking the action levers in the organization/community; obtaining a committed client who gives a mandate and will do something about later installation and operation; working out jointly convergent actions between the real-world client/group/organization and the P&D professional or world. The actual installation thus reflects the "manifest" part of the solution, while the future specifications reflect the "latent" part. Both together are the solution, not one or the other. Such a "complete" solution is a logical consequence of the conceptual support and modes of arranging for continuing change and improvement. 13
- 14. Traits and Qualifications to Seek in Hiring a P&D Professional 1. Has technical knowledge of content field and P&D approaches 2. Is conversant with full range of tools, practical to sophisticated 3. Has sufficient credentials to gain respect of others 4. Is concerned with P&D administrative matters and details 5. Has experience in working with interdisciplinary groups and individuals 6. Is not self-centered, aloof, or autocratic, and understands common social courtesies 7. Is alert and eager while being knowledgeable about likely real-world constraints 8. Has good personal character 9. Displays willingness to take advice, admit mistakes, and not rely on dignity and status 10. Is poised, patient and a good sport 11. Takes timely action on personnel matters 12. Shows political acumen regarding time to change a previous agreement, understanding "hidden" agenda, and interpersonal relationships Illustrative List of P&D Professions* Ad hoc planning (task force, commission, team, Law committee, etc.) Long range planning Agricultural planning Management science/operations research Applied behavioral science Manufacturing planning Appropriate or intermediate technology Architecture Area development Business and corporate planning Career and guidance counseling Commercial art/graphic design Communication design Community planning Development planning Helping professions (social work, personal counseling, psychological therapy, etc.) Human factors design Industrial design Industrial relations Information systems Interior design/space planning Landscape architecture Land-use planning 14
- 15. Educational Planning Energy utilization planning Organizational development/design Engineering systems design (all branches) Productivity improvement and services Environmental design Quality of work life design Facilities planning Policy analysis/planning Government planning (e.g., defense, healthcare, Product design federal paperwork, transportation, space, law Safety and accident prevention enforcement, parks) System analysis/design Health care delivery planning Technology transfer Urban and regional planning Some Roles of People in the P&D System Inputs People who perceive the problem: Users, clients, consumers, target groups, decision makers, resource controllers and their representatives; activists; lobbyists; those now operating the system. Outputs Same people as inputs except that they have a solution(s) that is implemented; the whole target or impact group affected by the solution. Sequence All of the input people following the stages and steps of the P&D strategy: the P&D professional as facilitator; the expert as information resource. Environment People who have indirect influence-politicians, religious leaders, administrators and managers, community influentials, bankers and financial executives, tax payers. Human Agents P&D professionals, experts (scientist, statistician, sociologist, thermodynamics expert, political scientist, etc.), boundary spanners, draftspersons, technicians, of several types (measurement specialist, interview technician, data analyst, etc.). Information Aids Specialists with information ordinarily contained in manuals and standard operating procedures (e.g., training, information systems, documentation, evaluation methods, sources of continuing education, maintenance, payroll). * Involving people in the P&D strategy or system as inputs, outputs, part of the environment, actors in following the P&D strategy, information aids, and human agents can maximize the number and effectiveness of implemented solutions and the effectiveness of utilizing P&D resources.
- 23. Desirable Performance Characteristics of a P&D Professional in Most Roles and Functions* 1. Provide process direction but let the people involved determine the specific content of purposes, solution ideas, regularities 2. Practice diplomatic and negotiative conflict resolution skills to combat three main sources of human difficulties: Self-interest, projecting your thoughts and values onto someone else, and lack of precision of thought 3. Remain alert to needs, in order to build an effective team 4. Share the "magic" of process directions so the people involved can later operate effectively on their own 5. Exhibit intelligent dedication and high mental energy in search of innovative yet effective solutions 6. Communicate clearly and persuasively in oral, written, visual, and graphic forms; present material coherently in educational format 7. Ask questions (what are your purposes, goals, or so on) rather than give answers 8. Exhibit the behavior you want people to adopt (telling others to learn new techniques while you don't keep up to date will not lead to learning behavior) 9. Treat all solutions as the beginning of continuing changes 10. Be aware of many alternative process techniques, good practices in content field, experts and sources of organized knowledge, models and techniques, and of when they might be used, as the audience or group is "read" to gage it's needs 11. Practice creativity and imaginative thinking in most steps before treating it as routine P&D 12. Be aware of personal values, biases, strengths, and limitations (ask for help when needed), and respect and reflect those of others 13. Remember that the P&D perceptions of real-world people (users, politicians, etc.) must be moved over time from the beginning if successful implementation is to occur 14. Conduct meetings and decision sessions that allow for free and informed choice in an interdisciplinary setting 15. Help to develop organizational commitment to the search for and implementation of effective solutions 16. Be able to relate to other P&D projects, organizational needs, managers, and outside resources 17. Persevere in the face of obstacles and muddles. Good P&D overcomes discouragement and continues on to new efforts, even when a specific project is not successful 18. Maintain a perception of the whole; seek to synthesize parts and large amounts of information into a cohesive whole
- 24. 19. Provide performance information to and accept it from others 20. Be able to "communicate" with computer systems Principles of P&D 1. Each organization and project is unique. Don't initiate P&D by trying to install a solution from somewhere else. (Strategy, Involving people, Search for change*-1,7) 2. Think PURPOSE. Think purpose hierarchy. Continually ask "For what purpose/function," or "What is to be accomplished." (Strategy, Solution framework-4,6) 3. Aim toward what the solution would be if you could start fresh, rather than starting with what presently exists. (Strategy, Involving people-4,5,6,7) 4. Develop many alternatives (as ideal as possible) and keep them as options for as long as possible before selecting one. (Strategy, Involving people-2,5) 5. Develop a feasible ideal TARGET for regularities to serve as a guide for continual changes. (Strategy, Involving people, Search for change-5,6,7) 6. Don't worry about everything at once. Treat regularities before irregularities. Separate activities that have different purposes. (Strategy, Involving people, Using knowledge-1,4,7) 7. Treat each problem as a system, regardless of size, including the "problem" of setting up the solution-finding structure. (Solution framework, Using knowledge-3,4,5,8) 8. Gather information only when necessary to answer specific questions). Avoid redundancy. (Involving people, Using knowledge-6) 9. Develop solutions that fit users/clients/customers. These are likely to be pluralistic and multichanneled while using appropriate (low, intermediate, high) technology. (Solution framework, Involving people, Using knowledge, Search for change-1) 10. Give affected people the continual OPPORTUNITY to be involved in P&D. (Involving people, Search for change-2) 11. Specify only the minimum number of critical details and controls. Give some flexibility to people operating the system. (Solution framework, Involving people, Using knowledge-2) 12. Set up a schedule for change and improvement when implementing a solution. (Search for change-5,8) ______________________________________________________________________________ *Words in parentheses refer to the factors in the whole P&D approach. Numerals in parentheses refer to related axioms and propositions. Summary The full background of assumptions, axioms, and propositions can be distilled into some principles or ground rules that a P&D professional should keep in mind when doing P&D. They represent the image that appears best to aim at in dealing with the real world. Most of them follow directly from the
- 25. background factors in a total P&D approach and the axioms and propositions. These sources are noted elsewhere in this appendix. For example, Principle 2, on purposes and hierarchies, is supported by the idea of different purposeful activities, the need to pursue a strategy, the elements of a system matrix, and Axioms and Propositions 4 (hierarchies) and 6 (meanings and levels of words). Frequently Used Descriptions of Planning and Design* Planning Design Larger scope Smaller scope Open-ended Specific Low potential to model High potential to model the solution the solution accurately Continuing process over time Limited to a short time period Ends are variable Ends are given Abstract/social Physical/individual Program-oriented Project-oriented Deals with future needs Deals with immediate needs Mixed technical and non- technical Technical Longer time horizon (over 3 years) Shorter time horizon (less than 3 years) Time-and process-oriented Space-and artifact-oriented Innovative Allocative Larger number of people affected Smaller number of people affected Higher risk associated with decisions Lower risk associated with decisions Policy and strategic organizational levels Tactical and operational organization levels Fewer well-defined out- comes More well-defined outcomes ______________________________________________________________________________ *Each line of description represents the two opposite perspectives on a continuum. Examples of Perspectives on and Characteristics of P&D P&D IS 1. A process 2. A process for determining appropriate future action through a sequence of choices 3. Rationalism or systems analysis
- 26. 4. Selectively applying science and technology to attain an end result 5. Advanced or strategic decision making 6. The link between knowledge and organized action 7. Bringing about or guidance of change, or improvement, whether in quantitative terms (growth or diminution), qualitative alterations, or both 8. Creating models and forecasting, most often mathematical or statistical models in computer simulation 9. Applying dynamic systems principles, such as causality, probability, vitality (maintaining continuous life), coordination, and creativity 10. Social systems design, from ecological and "whole" systems (e.g., law, ekistics, macroeconomics) to arranging technical and human resources in formal organizations (e.g., organizational development) 11. A philosophical synthesis of social process knowledge, whether called incrementalism, psychology, societal guidance, organizational behavior, learning systems, political science or experimental evolution 12. The preparation of plans for long-term concepts, medium-term programs, and short-range operations 13. Current decision making with future alternatives (opportunities and threats) as the guides 14. Specifying and simulating a desired future and identifying methods of reaching it 15. A philosophy and attitude for contemplating and acting on the future 16. Disaster avoidance by revealing future opportunities and threats 17. Characterized as involving a data structure, a set of operators to apply to variables, a set of objectives, and constraints to achieve a goal, and a procedure to generate a set of solutions 18. "An elegant balance of the need to act and the need to reflect" ______________________________________________________________________________ Creating and Maintaining Interest in the Search for Change More than job security and gains sharing may be necessary: What can activate the internal interests of each individual for them to learn techniques and methods to search for change? Actions of others can only provide stimulations which we hope will catalyze and mobilize the inner impulses and drives toward searching. One view of motivation provides an intensely internalized perspective that deals with "bodily conditions, activity, emotion, stress, reinforcement, instinct, self-actualization, homeostasis (balanced equilibrium), hedonism (affective), sensitization-and anticipation-invigoration, mechanisms, and psychoanalysis." Another view describes many determinants: money, fringe benefits, promotion, supportiveness, group acceptance, effective behaviors of respected people, and ego involvement. A third view deals with intense communication, organization-wide recognition of individuals, participation in problem identification, employee goal setting, and frequent involvement in P&D scenarios. Maintaining the interest of people is challenging. The hierarchy of needs intimates that people will seek "bigger" levels once smaller ones are effectively attained. As an individual is successful in the P&D improvement of, say, the particular work setting, greater control of it and larger systems are the next P&D focus. Policies to maintain interest therefore move into substantive issues of involvement in decision making about their own jobs, responsibility delegation, advancement, personal growth, and involvement in P&D of bigger systems. Not everyone will take part in such P&D, but the opportunity must be available for all. Maintaining interest also represents a policy position of the organization to eliminate the usual stress-induced, on-again, off-again improvement efforts (typical of these are cost reduction programs, productivity improvement efforts, energy conservation programs) and instead maintain strong pressures for searching all of the time. Literally dozens of ideas fit this category: * Publicity efforts, such as monthly "motivational" posters, descriptive material that emphasizes that eliminating jobs is not eliminating people, newsletters and article reprints that present "good" P&D
- 27. results, and the telephone number IDEA (4331) people can call if questions arise or they have an idea. * A departmental bonus program, or competition for the name of the search effort. * External public relations to demonstrate how the organization is using a modern P&D approach for decreasing costs, increasing productivity, and developing total citizen usefulness. Speeches, advertisements, sales talks, newspaper articles, luncheons, and announcements on envelopes and statements are part of this idea. * Special events, such as recognition dinners, progress reports, lectures and seminars, motion pictures, prizes for "project of the month," letting the family of an employee share in the pride of the results of the P&D activities, and distributing small novelty items (desk pen holder, tie clasps, pens and pencils, paper weights, message holders, etc.) with a message. * Contracts between manager and each person regarding expected P&D results. A contract between an individual and a helping P&D professional is the equivalent for one-on-one projects. * Give performance information to people on a regular and frequent basis. They will be in much better position to keep their own search behavior up to date. Results Obtained from Each P&D Project and Search for Betterment Individual project measures (increase in number of customers served, costs per unit produced or served, wait time, degree of acceptance, etc.) and some type of aggregation of the measures to portray "total" effects for a time period, usually a year, are the focus of this first level. Aggregation type factors are of many types. For example, productivity improvement efforts usually aggregate measures of material utilization, outputs of people's efforts and skills, resource (machines, tools, money) utilization, and customer/client satisfactions and/or demands for the products or services. Each of these four measures can have several other factors for sublevel aggregations. Using data for these factors from the year's P&D projects helps to audit and review this level. Another example is the aggregation of life-cycle cost measures. These could assess the effect of the past year's projects on products or systems as well as carry effectiveness ideas beyond the organization into use, disposal, recycling, and environments factors. A P&D program effort is obviously not the only organizational activity that impacts on these figures, but they are still the essential ones that P&D projects are seeking to influence. Other aspects of solution-finding and implementation endeavors to review are: How are the basic P&D philosophies being used? Are project design efforts, as an illustration, really developing ideal systems? How ideal are they, or how much do they get into advanced technology or ideas? Some gross and overall measures of these questions could include questionnaires, external assessments, interviews, and so on. Project reports should be reviewed on a sampling basis to assess the performance of P&D teams: How many projects are started and proposals made in a given period of time? How many were accepted by the organization? Are changes being installed as soon as possible after they have been propose( and accepted? How did the cost estimate of a proposed solution compare with it's later actual cost? What is being done to give credit to individuals and groups for outstanding results? Such recognition helps to provide continual interest in P&D. Are the supervisory staff members active in getting their people and themselves into P&D activities? Is any sort of achievement review being made of individuals, workshop groups, project teams, or other departments? Performance Effectiveness of P&D Efforts Quantitative and qualitative factors are involved. The quantitative factors are often closely related to what happens in the actual systems or solutions. But solution results are not always a direct measure of P&D performance since so many other organizational factors (e.g., good supervision, good purchasing, favorable policies) influence the solutions. At any rate, some possible quantitative measures of P&D performance include: * Increased savings or benefits in real-world operations that resulted from P&D projects. Year-to-year actual and percentage increases in economic savings as a result of the projects. * Percentage economic savings per P&D staff person.
- 28. * Ratio of time and person hours taken on projects to the beginning estimates of time and person- hours. * Absentee and voluntary turnover rates of P&D personnel. * Ratio of P&D costs to economic savings. * Ratio of actual to budgeted P&D expenditures. * Ratio of P&D professionals' total time to time spent in meetings and communications with real- world personnel during projects. * Percentages of milestone times and costs met within, say ± 5% of estimates. * Number of contacts about and amount of time spent on monitoring solution performance after implementation. * Rating scale evaluation of each P&D professional in terms of individual performance on most of these factors. * Effectiveness in managing time. * Number of continuing education seminars and meetings attended per P&D professional on topics of organizational pertinence in all three areas of I&K. A specific organization should not use survey generalizations from similar organizations as the only basis for auditing internal activities. One hospital, for example, had a radiology department with a productivity level 43% above the average of many hospital: If next year's amount is 39%, a comparison with the generalization still looks fine, but a comparison with last year's amount in the specific hospital is far more important. Quantitative factors will seldom be the only ones to consider. The quality of relationships is often the most important factor for the future. Some qualitative factors of P&D performance (even though some "measures" are found by questionnaires and interviews) include: * Degree to which organization senses real purposes and goals are being met. * Morale, motivation, and attitude of P&D professionals. * Ease of working relationships between real-world units and P&D professionals. * Image of P&D professionals in eyes of the organization. * Sense of professionalism and performance orientation in doing P&D projects and presenting results. * Ability to incorporate within projects and solutions only needing advanced and diverse areas of knowledge in P&D and in the locus content area. * Minimization of political gamesmanship and connotations of "us" insiders and "you" outsiders. * Ability to respond to emergency needs. * Willingness of real-world units to seek P&D and program services. * Ability to explain informally and in educational sessions the total P&D concept. * Degree to which operational units feel a P&D project is a cooperative effort, not just a display of P&D professional expertise. * Degree to which P&D programmatic efforts give operating units and personnel a better mode of "thinking" about problems, customers, and objectives. Some of this audit and review (or performance auditing) might be conducted, say annually, by internal auditors, outside CPAs, consultants, or management teams from other areas. Transmittal of Solution and P&D Performance Effectiveness Information to Top Management and the Whole Organization This is necessary to assess how well organizational objectives and goals are being met. A P&D group too often believes it is being effective by, for example, establishing more measurements and developing more models, whereas the real needs are being largely ignored. Properly summarizing the measures from the first two levels and including pertinent anecdotal and qualitative references are the major forms whereby this information can be transmitted for top management's evaluation of P&D efforts. The P&D program or unit should seek to relate these factors to
- 29. top management's directions, goals, and objectives. Thus, some additional factors ought to be assessed at this third level: * Proportion of top priority P&D problems that were completed. * Amount of acceptance by top management of the priorities for P&D projects proposed by the P&D unit. * Degree to which expectations of P&D set up by top management are being met. * Proportion of P&D projects in locus content areas that concern future conditions, satisfactory existing conditions, and unsatisfactory existing conditions. (The former two should be increasing as the latter one decreases.) * Degree to which P&D changes and improvement are being reflected in the budget for each profit, cost, or departmental center, and whether planned, progressive P&D improvements are built into long-range budgeting. * Success in obtaining budget commitments for speculative P&D projects in developing new solutions, encouraging technological innovations, and funding research and development projects recommended by P&D projects. * Amount of assistance to the organization in increasing profitability or discretionary income, flexibility, sense of organizational identity, amelioration of organizational strain growth and development of human resources, search for change as stability, survival, control over or forecasting environmental conditions and uncertainties, employee satisfaction, reliability of product or service, and creative and innovative behaviors. One other idea is possibly part of this level. Sunset laws (in government) or concepts (in other organizations) proclaim that a system will be automatically abolished on a given date (three to seven years after inception of the system) unless a mandate is given to extend it. This would be done only after the whole effort were scrutinized as if it had no budget at all. Some Problem-Solving Approaches Fatalism Contingency methods Conceptual to scientific to solution modeling Systems analysis Gestalt-cognitive Heuristic Bounded rationality MBO-management by objectives Experimentation Trial and error Measurements Mathematical modeling Flip a coin Appeal to higher authority Political Contextual reasoning Analogies and metaphors Discuss with others, dialectical process Information processing Analysis of facts Organizational development Logico-positivist
- 30. Rational actor Scenario testing ______________________________________________________________________________ The necessity of enlarging the parameters of the rational approach is clear: "We must replace all narrowly formal conceptions of rationality by a broader functional one. This need involve no rejection of rational inquiry, rather it involves a reanalysis of the nature and content of rationality." This philosophical perspective has been given scientific credibility by recent left/right brain discoveries in neurophysiology. There appear to be "two modes of thinking, verbal and nonverbal, represented rather separately in the left and right brain respectively." The left hemisphere "appears to operate in a logical, analytical and computer-like fashion. It's language is inadequate to the complex synthesis achieved by the right." The forebrain combines both into decision making. Several taxonomies of parallel ways of knowing have been developed on the basis of these discoveries. One of these is particularly interesting because it coincides almost exactly with the difference between affective and rational approaches: Left Right ______________________________________________________________________________ Intellectual Intuitive Convergent Divergent Digital Analogical Propositional Imaginative Linear Nonlinear Rational Affective Sequential Multiple Analytical Holistic Objective Subjective Given these philosophical and scientific perspectives as well as the obvious fact that human beings use all three approaches (the chance, the affective, and the rational) it would seem that new integrated approaches are called for. In response to this need a number of total approaches have been suggested, including heuristics, bounded rationality, gestalt, cognitive, and "doubting and believing" games. The difficulty with most of them is that they do not go far enough (e.g., bounded rationality still emphasizes quantifiable measurements), or they are operationalized only for very small problem-solving situations, such as laboratory-administered puzzle tests. One exception is the concept of "doubting and believing games," each of which incorporates the idea of a method for finding solutions or uncovering "truth." The doubting game approach to problem solving emphasizes arguing and a rigid reductive rationality method: problem definition, problem analysis, presentation and evaluation of alternatives, and solution detailing. Doubting forces one to poke holes in ideas, tear apart assertions, probe continually, and be analytical. The "doubting" game view of rationality makes a person feel "rigorous, disciplined and tough minded; and if he refrains from playing the doubting game he feels unintellectual irrational, and sloppy."
- 31. The believing game creates an entirely different mindset. In it, a person believes all assertions; to refrain from doubting is the first rule. "By believing an assertion we can see farther into it. But this is only possible by inhibiting the doubting game. If we had started to doubt we would have found so many holes in the premise we would have abandoned it." The games are interrelated and each contains elements of the other. But although they are complementary, that is, problem solving requires both, they cannot be played simultaneously. To do so "can only result in more muddling." This points to an important aspect of a total approach. Although it must be a synthesis of all approaches, the elements emphasized will depend on the purposes and objectives of the particular problem-solving situation. For example, careful development of generalizations in research requires an emphasis on the doubting game. But planning and design, as we will show later, requires the believing game in order to engender "breakthrough" solutions. Some Conventional P&D Approaches (Mainly Strategies) I Architecture Massive briefing (collect all information that in any way might be useful) Select key features Synthesize a solution II Business planning* Evaluation of environmental trends Determination of opportunities and threats Establishment of corporate philosophy Setting of corporate objectives Generation, evaluation, and choice of strategic alternatives Portfolio balancing of alternatives III Engineering design Problem identification Problem definition Studies Proposed alternative solutions Evaluation and decision Implementation IV Machine and hardware systems design Establish problem areas Determine exactly the nature of the problem Collect pertinent information Break down and study information Assemble the analyzed information into various configurations Study the merits of each possible solution and select one Sell the chosen solution V Organizational development Diagnose social system(s) Set boundaries of analysis Specify design objectives Choose a scientific model Develop questionnaire Analyze data Select a design Implement selected design
- 32. Evaluate change VI Personal counseling Describe problem Analyze factors Search for causes Develop alternatives to avoid causes Select desired alternatives Test some desired alternatives Implement behavior change VII Planning and Programming Record current approach Identify problems Discover core of problems Evaluate alternatives Choose new plan VIII Systems engineering and analysis Identification of major problem determinants Development of causal submodels Development of predictive macromodel Development of subsystem/subproblem interfaces Development of subproblem-solving instruments Carry out empirical validation exercises Develop macrosystem model IX Policy analysis Problem formulation Issue analysis Issue filtration Final assessment ______________________________________________________________________________ * Strategic, operations, capability, and development planning illustrate similar phrases. Set Up a Planning or Design Structure The "problem as stated" is checked to be sure it is a P&D one. This is most easily done by developing a purpose hierarchy that lists, from smallest to largest, the purposes that the organization or client and P&D professional believe need to be achieved by "searching" for a solution to the problem (la on the timeline scenario). Many specific statements are usually identified (e.g., design system, analyze conditions, develop specification, determine the state of the art). Selecting the purpose level in the hierarchy determines what purposeful activity is involved. If the selected level is related to "create or restructure," then it is most likely P&D. If it isn't, then the appropriate purposeful activity scenario should be followed. The same result might be obtained by proceeding to develop the P&D system for the now-assumed P&D problem. If the selected purpose is not P&D, the group could proceed to set up the solution-finding structure for whatever purposeful activity is involved. This step now designs the P&D system which, when implemented, will do the P&D work on the selected problem. Both P&D efforts are obviously related because the functions/purposes of the P&D system in a hierarchy must always lead to the functions/ purposes of the problem-project.
- 33. A P&D system or structure for P&D is similar to project management and control groups used for years in construction and large research efforts. There are several reasons why developing a P&D system represents a rather important breakthrough for P&D: the increasing amounts of money required for many projects; longer time between the start and finish of a P&D effort; greater amounts and sophistication of technology available and usually needed; need to stimulate creativity early in and throughout a project; and the large number of people (citizens, experts, financial officers, etc.) involved in most projects. Some interesting factors can be considered in developing a P&D system. First, every P&D project, regardless of size or number of times the solution will be used, theoretically needs a P&D system first. Planning a vacation, designing your house, and developing your educational plans could benefit from developing a P&D system. But even though the incremental benefits may seem to be small, "thinking" in P&D system terms leads to considering right at the start many factors necessary for eventual solution utilization. A project with "maximum certainty" of implementing whatever solution developed (e.g., a vacation, house plans) is not likely to need a P&D system. "Maximum certainty" can be envisioned for a project if a single P&D professional is involved with a "single user, who anticipates using the system for a very definite purpose which can be specified in advance with great precision. Including the person who will maintain it, all other parties affected by the system understand and accept in advance it's impact on them. All parties have prior experience with this type of system ..." As the amount of risk in each of many factors increases, the need also grows for a P&D system. Second, a project should not import the P&D structure of another project. This premise applies even for a well-established product design department, corporate planning group, health planning agency, or architectural firm. Although the same P&D system may appear to be useful over and over, each project should be treated as an opportunity to redesign the P&D system. Different people are often involved and they need the opportunity to design their own P&D system. Third, put an emphasis on the whole P&D system, not just, for example, on the protocol (cell 19), controls (cell 4 and 22 as illustrations), input information or forecasts (cell 7), or organizational structure (cell 25). Fourth, a P&D system can be developed for a full program of continuing P&D efforts, for each project within a program, or for independent ad hoc projects. 1. Who should be involved in planning the P&D system? The idea is to start a project or group toward being most effective. In general, the key decision makers, resource controllers, influential persons, implementers, people in the field, and adopters are included. 2. Provide time for developing the P&D system. Organizations differ in their understanding of what P&D is, what P&D skills are, motivation for P&D, climate for change, information base, top executive commitment to P&D, and assignment of P&D responsibilities. A poor level of understanding means more time is needed to develop the P&D system than a good level. Conversely, too much time should not be allocated to this step because people will believe their efforts are being diverted from the "real" problem. 3. Follow the basic strategy pattern in designing the P&D system. This allows people to question their assumptions (purposes of the P&D system), express feelings of tension and conflict in a positive way (purpose hierarchy, develop ideal P&D systems, seek a target P&D system for regularity conditions), and generate overall support for the project. In other words, the unfreezing process is started. 4. Several outcomes are expected from this step. One outcomes sets the terms of reference and measures of effectiveness for the P&D project. Another outcome is a strong mandate for the effort from key decision makers and influentials. A third is the allocation of resources that effectively balances the time/cost trade-off (i.e., accomplishing the same project outcomes in less time usually costs more). A fourth is the appointment of the P&D person to "operate" the P&D system along with the others who form the design group, project team, task force, commission, blue ribbon committee, or whatever may be selected. A fifth is the completion of the specifications of the P&D system for the particular situation (see items 5, 6 and 7 below). Sixth, the Planning and Design Approach scenario, as tailored for implementation, is documented for the specific project.
- 34. 5. The protocol, network, or set of stages for the whole project is developed. As noted, the protocol for a P&D effort is unique. The names of specific departments and people should be used, and the specific proclivities (forms, meeting arrangements, frequency of reporting, etc.) of the decisionmaker(s) should be utilized. A frequent addition to usual project protocols is a beginning stage on organizational preparation for the P&D effort. The degree of readiness for change varies from group to group. 6. A timeline with milestones to fit the protocol, stages, and phases is set up. Definitive review points for decision makers and other influentials are included. The milestones express explicitly what results, approvals, and updates the group expects at specific points in time. Milestones are most frequently based on estimates of an activity's start, duration, and access to P&D resources. People and equipment "loading" charts also encourage a realistic focus. Expected jointly performed activities are usually scheduled approximately. A P&D project needs continual assessment to provide the organization with the chance to extend, keep, or reduce the effort's commitments, and maintaining and updating schedules. Delays, unexpected snags in development, unusual "people" questions, and so on can easily affect the accuracy and precision of time/cost resource estimates. A bar chart or graph, tree diagram, and/ or network with critical path are three techniques that are often used to represent a project timeline. 7. Resources needed to implement the P&D system are estimated. Commitments are obtained for at least the first several milestones. Cost estimates of a P&D system are based on the project's complexity or organizational technology (variety of problems considered, number of organizational units, prospective number of functional components, etc.), nature of the problem (abstract versus concrete, etc.), documentation amount and type required at the end of the project, and sectoral location (public sector projects often cost more than the "same" type in private organizations). Changes in resource amounts are quite likely to be needed at several points in a P&D project, and these should be included as milestone reviews on the timeline. 8. Measures of effectiveness of the P&D effort itself should be established. In addition to the obvious factors related to the quality of the solution, which will be identified in step ld, other factors are effective utilization of P&D person-hours, attitudes of the organization's people after contacts with the P&D personnel, motivations to seek continuing change, and so on. Many advantages occurs when a P&D project is started with a group of decision makers and influentials developing the P&D system itself. Such a group: * Allows catharsis to take place in a positive vein. Human perceptions, feelings, stresses, tensions, and emotions cause individuals to present their biases and positions. Following the basic strategy pattern regarding the P&D system does not force them to defend their previously stated assumption. A production control expert in the "facilities study group" noted earlier forcefully stated at the beginning of the two-hour meeting that the essential function of the group was to collect detailed information about the magnitude of the production shortfall. Yet he was the person who 15 minutes later labeled that function as very small and helped expand the hierarchy to arrive at the selected level. * Expands as far as possible the words and often overly restrictive terms of reference that may be initially stated by client, contract, or other managers. * Provides people with an illustration of a success with the strategy. Those not previously involved with P&D have an opportunity to try out and learn the strategy in a relatively unrisky situation. * Incorporates rather "automatically" the policies, legitimization, sense of urgency, commitment to resolve conflicts, technology levels, reward structure, communication channels, and management style of the top people involved. * Determines forms of intervention that are most likely to succeed. The uniqueness of each situation means a specific set of beneficial actions and behavior can be planned rather than simply occur. * Establishes commitment among those who must authorize and supervise a project. The "real" client is very likely to be established. A mandate developed from this process for the opportunity present in the problem is very likely to generate enthusiasm and motivation to proceed.
- 35. * Forms the basis for win-win condition, the belief that a solution can be found. Differences of opinion can be a strength when a preliminary P&D effort is completed. Possible dissonances are surfaced before they become a crisis. * Starts effectively the implementation process. Commitment of decision makers, methods for coping with natural conflicts and different personality traits and types, and joint activities to cope with uncertainties greatly enhance and promote eventual implementation. * Promotes confidence in the P&D effort because milestones are review points where cutoff and go- ahead decision responsibilities can be exercised. In addition, including a postproject audit to assess why and how success or failure occurred is easier because the trail of P&D activities is well identified. The P&D system is itself “self-designing” and capable of handling the unexpected. * Recognizes “politics” as part of any P&D effort. Arriving at an implemented solution means concern about leadership, influence, power, expertise, fiscal control, and so on, right from the start. * Needs little time to design an initial P&D system. The “facilities study group” did it in just two ours. A day was needed for the network management system, a project anticipated to take one and a half to two years to complete. The benefits/costs ratio for the deliberate “delay” in developing a P&D system is thus very high. Concepts of Idea Generation Whether called creativity concepts, guides to creativity, methods of developing ideal systems, brainstorming, or concepts of developing innovations, the purpose remains the same: develop many ideas for achieving the selected and bigger purposes. Very little is known about how the brain develops ideas or creative alternatives. Many studies have reported on personality characteristics of those who were creative, organizational conditions that spawned many ideas, group dynamics that fostered creativity, and other topics that report about past creative or idea generation situations. But these do not usually offer prescriptions for generating many ideas or being creative, let alone explain how creative ideas are generated. The “bisociation” version of what happens in the human mind when purposeful and creative ideas are forthcoming is probably the most reasonable prescriptive method suitable for Phase 2. Bisociation postulates that ideas occur in the human brain when two thoughts, two concepts, two models, two “things,” two abstractions are mentally forced to intersect. Ideas, creative and purposeful, emerge, whether or not the idea can be traced back to the forced relationship. Nor does it make much difference to P&D if an idea can or cannot be related to two specific items. A prescriptive version of bisociation asks that a person think of two planes “floating” in space, each one representing one of the two items. Then the forced relationship between the two can be visualized as the line along which two planes intersect, along which the idea is somehow structured and turned to cognizable form. One of the planes or items is the selected purpose. The secondary plane concerns the concept, or thought, that is forced to intersect with the primary purpose plane. The two planes are “forced” to intersect many times, each time with a different thought item, technique, or concept forming the secondary plane. The forced intersection can thus benefit from different perspectives juxtaposed with the purpose plane. The major items that could comprise the secondary plane are noted elsewhere in this appendix. Moving from what the individual mind does to what conditions help a group generate ideas leads to the following suggestions for improving creativity. Most of these are even more effective than the studies
- 36. indicate if used with this strategy. For example, “avoiding criticism” of an idea is far easier to accomplish when seeking ideal systems for achieving a selected purpose than trying to eliminate existing “faults.” A believing game environment also helps to continually encourage creative ideas. What good is it to develop unusual and innovative ideas when the organizational climate is not willing to try to exploit them? Suggestions for improving group creativity include the following: * Criticism is ruled out when ideas are being generated. Judgment and assessment of ideas occur separately, in Phases 3 & 4. * Freewheeling is encouraged, however wild the individual ideas may appear. Talk in believing game frame of reference. Fantasies are encouraged. * Different creativity techniques should be used to suit the different forces that stimulate different people. * Attempts are made to build upon an idea to combine and improve it. Piggybacking helps. Ask “what if?” * Organizational openness, trust and team orientation are encouraged. * Top-level commitment and policies conducive to searching for continuing change and improvement aid creativity. * Be persistent to achieve purposes. * Get participation of other people in applying principles. * Involve someone not connected with the project. * Consider brain resting. * Record all ideas. Knowing the “right” problem or purpose to achieve opens immense possibilities for finding an innovative solution if the action now focuses on what is best or most ideal. What is the way of achieving the purpose if we could start “from scratch?” Dealing with purposeful “best” alternatives immerses those in the P&D system in ranges of ideas that are quite likely to produce significant implementable solutions. Such a “real” solution could not be installed today until further developments rendered it feasible. Contemplative ideal systems present visionary and utopian challenges: How can the metal be made to shrink more as it cools? How can the product be distributed automatically? How can a correspondence curriculum be made to work? As the result of a comtemidiative ideal system proposal in computer networking the theories of that system were marketed successfully. Transactional Analysis A practice called transactional analysis, is where a transaction “consists of a stimulus by one person (the Agent) and a response by another (the Respondent). The response, in turn, becomes a new stimulus for the first person to respond to.” A transaction thus describes the behavior of people. “Behavior is best understood if examined in terms of ego states.” Three ego states or “coherent systems of thought and feeling manifested by corresponding patterns of behavior,” are identified as the Parent, the Adult, and the Child. The Parent ego state is mainly made up of behavior copied from parents or authority figures. “It is simply a constant and sometimes arbitrary basis for decisions, the repository of traditions and values, and as such it is important to the survival of children and civilizations. ... The Parent ... is not a completely fixated ego state since it can change over time. Thus a person’s experiences can add to or subtract from his Parent’s repertoire of behavior.” The Parent ego state is divided into the Nurturing (permissive and protective) Parent and the Critical (prejudicial) Parent. These two subdivisions of Parent are each divided into OK and Not-OK parts: “When a person is in his OK Nurturing Parent, his voice will usually be warm, comforting, nurturing, and his facial expression and bodily posture relaxed, open and accepting.”
- 37. The Not-OK Nurturing Parent, however, is over-protective, enveloping, engulfing. The things done by a person acting in his or her Not-OK Nurturing Parent are negative in that they do not increase the self- esteem of the person to whom they are given; they weaken it. The terms “OK” and “Not-OK” relate to existential positions. It is especially important that a P&D professional should not ‘come on’ as a Not- OK Nurturing Parent. “The OK Critical Parent criticizes constructively, both when the criticisms are directed internally, at oneself, and externally, at others.... The Not-OK Critical Parent criticizes out of need to ‘put down’ or ‘discount’ others. These criticisms are usually unjustified, and are often projections of problems or defects onto others. “The Adult ego state appraises it’s environment and calculates it’s possibilities and probabilities. The Adult deals with facts and options.” “The Adult is the problem solver. Rational and objective, it provides clear thinking and analysis-fundamental skills in managing people .... an objective consideration of Parent and Child feelings, attitudes, possible prejudices.” The Child ego state is based on the premise that “each person carries within himself a little boy or a little girl, who feels, thinks, acts, talks, and responds just the way he or she did when he or she was a child of a certain age.” Two aspects of the Child ego state are Free (or Natural) Child and the Adapted Child. In turn, the Adapted Child may be either Complaint or Rebellious. In the healthy person all three of the ego states, Parent, Adult, and Child, are available for use and there is a continuous process of checking and counter-checking between them, shifting from one ego state to another. The following summarizes the ego state contributors to behavior: Ego-State Contributions to Behavior What the What the What the Parents Does Adult Does Child Does Nurtures Processes inform- Invents Criticizes mation Expresses Restricts Takes objective curiosity Judges action Acts on impulse Blames Thinks, then acts Acts selfishly Encourages Organizes Loves Supports Plans Imagines/brain- Solves problems storms Estimates risks Acts belligerently Ferrets out assumptions Complains Source: the re- Source: the emer- Source: the best lationship between gence of independent and the worst of your you and your parents thinking in early life young self and its subsequent development
- 38. With proper training and practice, a P&D professional would be able to recognize, by visual and verbal signals, various ego states of participants and know what to expect. People use a great deal of imagery through gestures and metaphors. Just as important, P&D personnel would be able to monitor the appropriateness of their own ego state behavior. They would know, for example, when their Rebellious Child had been “hooked” by a participant’s Critical Parent, or when they were “coming on” from the wrong ego state for giving permission and protection for the group’s Free Child to be creative, and were instead actually stimulating the member’s Not-OK Rebellious Child. Indicators of Ego States Body Language and Gestures Expressions Vocal Tone Parent indicators Looking down over rim of “You should.. Harsh glasses. Pointing an accu- ..you ought.. Judgmental sing finger. Hands on hip, ..you must..” the head leaning or strain- “Why don’t Soothing ing forward. Patting on the you ...” back. “Stay loose” Indignant “Be cool” Commanding “Don’t tell Comforting me ...” “You disappo- int me.” “You always..” “Poor thing..” “I’ll protect you...” Adult indicators A straight, relaxed stance. The offer of Relaxed Slightly tilted head. Appea- alternatives Assertive rance of active listening. and options. Somewhat Regular eye contact. Confi- Use of the deliberative dent appearance. five W’s* in Self-assertive questioning. We & ours, not I & my. “Aha, I see” “I see your point” “I recogni- ze ...” “How do you feel about..?” Child indicators Forlorn appearance. Droop- “I want..” Appealing ing shoulders. Withdrawal. “I wish..” Complaining Pursed lips. Scowling. “Wow.” Nagging Skipping. Hugging. Twinkle “I should..” Indignant in eyes. “If only..” Cheerful “Did I do Protesting okay?” Grumbling “One of these Mumbling days..” Sullen
- 39. “It’s not fair..” “It’s not my fault..” “Oh boy!” ______________________________________________________________________________ * What, when, where, who, why. The concept of strokes is a unit of recognition. By our giving strokes to others we show, and they perceive, our recognition of their existence. Strokes may be verbal or non-verbal, and may be negative as well as positive. Also, strokes may be either unconditional or conditional. There are four basic categories of strokes: (1) Positive unconditional strokes, such as “I like your attendance just for your being present.” (2) Positive conditional strokes, such as “I will appreciate your presence if you do this well.” (3) Negative conditional strokes, as when someone says “If you do that I will not respect you.” (4) Negative unconditional strokes like “I can’t stand the sight of you.” “The best strokes are positive unconditional and positive conditional; that is, recognition for being and recognition for doing. The worst strokes are negative unconditional strokes. However, the most terrible thing of all is to get no strokes. This situation is intolerable, and when it occurs people often set up situations so that they get negative strokes, because negative strokes are better than no strokes.” The following factors directly related to behaviors are not exhaustive nor mutually exclusive. They portray a wide variety of considerations in practicing behaviors favorable to searching for change or establishing an ego state pattern: * Trust and Supportiveness One person can believe what another says. Actions of one person or group are treated with credibility and integrity by others. Supportiveness. “Suspiciousness is absent in interpersonal relationships.” A good history of labor-management relations may indicate such trust. * Open Communications Share diverse types of information, including knowledge about the problems facing the unit. Set up a “hotline,” monthly or so meetings to discuss problems, high-reward suggestion systems, and so on. * Conduct toward P&D and Change Develop a sense of control over the process of P&D changes by following the timeline scenario. Especially recognizing the realities of people and organizations as the initiating conditions. * Organizational Flexibility Do individuals and groups look for the need to change, is there openness to experiment, is a potential for change and improvement maintained, is there high level commitment to human resource development as well as to effective product/service development? * Understanding Appreciate different personality types, interests, and capabilities of individuals and how each may need an individual “system” or effective psychological climate (especially if highly skilled, professional, scientific, etc.). Adapt to the group’s psychostructure, sense of cohesiveness, balance of positions, and interdependence. Patience above all is critical to an understanding behavior. * Leadership Continued personal learning is an effective behavior and is frequently arranged for all personnel. Another is reducing the politics and gamemanship that could sap efforts from the search for change, and the minimization of “power” plays and resulting inequities. Leadership for searching activities minimizes it’s own sense of loss of power by sharing and delegation to motivate others. Power may still be an effective behavior with external
- 40. groups if a test is needed, if the solution has minimal or no room for compromise, or if rapid implementations needed. * Promote Personal Growth of Personnel Provide continual opportunity for expanding the knowledge of all people, by participating in P&D projects, sharing goal development and evaluation, and treating all people equitably. People get “room to search,” can form a good self- concept, and develop self-esteem through such growth possibilities. * Use Groups or Teams Every solution involves several people who can influence the utilization of solutions as well as the search for change. Group projects foster this utilization and search, and provide means for giving employees some centrality to work processes in addition to their other “lives.” * Be Alert to Emergent Needs Whenever one need is satisfied or a problem is solved, another need emerges. The most “perfect” solution in everyone’s eyes today will give way to some dissatisfaction or new need tomorrow. These can be the catalysts to arranging for continuing change and improvement (ACCI). Phase 1: Determine Purpose Level A Select P&D project from original, betterment, or correction requirements B Set up P&D system structure C Expand purposes into hierarchy(ies) and select needed purpose(s) D Identify measures of effectiveness for selected purpose(s) E Determine functional components (primarily for large or complex systems) F Select components) if E was needed; return to C Phase 2: Generate Purposeful Alternatives (Ideal Systems) A Develop ideal systems that would eliminate the need for selected purpose level. What ideas achieve a bigger level purpose? B Develop ideal systems for achieving the selected (and bigger level) purpose by applying creativity processes C Develop ideal systems for achieving the selected (and bigger level) purpose that eliminate the need for any assumed limitation. D Develop ideal systems for regularity conditions. E Develop ideal systems by reviewing list of purposes from Phase 1 to select suggestions contained therein.
- 41. F Develop ideal systems that must satisfy only one measure of effectiveness, focusing on each one, one at a time, as if it were the only objective. G Review the list of ideas generated. For each clearly unachievable idea, develop proposals for the nearest approximation that is close to being feasible. Phase 3: Devise Feasible Ideal Solution Target (FIST) A Identify regularities for the target. B Separate ideas into major alternatives and incorporate as many component ideas as possible into each alternative. C Provide more detail for each major alternative to ensure workability and allow assessment of effectiveness. D Identify each major alternative as contemplative or feasible. Review contemplative categories with experts to determine their present feasibility. E Select feasible ideal system target (FIST) for regularities by evaluating the major alternatives with measures of effectiveness. F Make FIST more ideal and as operational as possible. G Save other ideas. Phase 4: Develop and Detail the Recommended Solution A Develop alternatives for FIST components that will incorporate needed irregularities, exceptions, and conditions while staying as close as possible to the FIST. B Estimate performances, outcomes, and consequences of each alternative to assess effectiveness and incorporate possible self-correction methods. C Select the workable solution that is to be recommended for adoption or for approval. D Formulate plans to get final approval of the workable solution. E Develop details of the solution as far as needed to permit it’s installation or movement to next stage of protocol. Use elements and dimensions of solution framework. F Review the recommended solution framework with knowledgeable people to assure it’s implementability. ______________________________________________________________________________ Estimate Performances, Outcomes, and Consequences of Each Alternative
- 42. Additional detailing of these alternatives should really precede any effort to estimate performances and consequences. This will provide greater assurance that they are workable, suitable, and "proper" (anticipate effects on people, cope with undesired outcomes, etc.) before estimates and assessments of utility are obtained. Getting operational details is a procedure already discussed in previous sections, so we will proceed directly to the estimation purposes of this step. The accuracy and precision of these estimates are likely to be greater than those in step 3E but not as great as the measurements needed in Phase 5 for the eventual operators and supervisors of the system. Several techniques may be considered for developing the estimates. They are listed in the purposes/ functions referencing under the following headings: Analyze job methods and motions Appraise/assess investments Appraise/assess alternative options/plans/policies/programs Appraise/assess systems Collect data and/or information Describe/establish/measure relationships Estimate budget and dollar requirements Evaluate alternatives Measure errors Getting the variety of estimates needed-performance, consequences, labor needs, learning and progress curves, reliability, benefits, advantages, cash flow and costs (direct, indirect, capital), time, outcomes-for each alternative to the FIST may be done by comparing what has been needed with similar types of activities or objects, for which historical data are available. But it may quite often require a study or data collection process. The basic strategy pattern can be used to design the needed information/data collection "system." Experience in many projects using the basic strategy pattern for information gathering leads to five ideas: 1. Keep asking what the purpose/function of the information collection system is Even if the purpose is necessary when information gathering starts, a group of specialists can easily get side- tracked. Also, continually assess if the specific information or measures being sought must be obtained so accurately. 2. Seek an ideal system target to guide information collection At least the principle of zero data collection should always be a guide while information-gathering systems are being developed. Ask if subjective estimates will suffice. Ask if a few measures rather than many will suffice. And so on. 3. Ascertain the representativeness of the population basis and the sample of data for the function to be achieved "Good" data about the wrong set of conditions or population are useless. The period of time over which sampling data are collected must also represent the desired framework. Starting with an unrepresentative basis can almost never be corrected by any type of prediction or forecasting, the main need in this phase. 4. Accuracy of data to be collected should reflect only the needs of the decision to be made, not usual statistical presumed confidence levels This is often a question of sensitivity. What impact will a lack of data or of accuracy have on the decision to be made? If a slight error affects the decision, then greater accuracy or more data are needed. Would the decision be modified if the data were, say, negative? This idea emphasizes the value of roughing out the form of the estimates needed, simulating the values to be obtained, and manipulating the information in a hypothetical fashion to determine the questions where accurate decisions need to be made. 5. Get people involved in providing estimates as well as in obtaining information Those involved in the project or real world can help and be helped toward eventual implementation by being a part of this process.
- 43. Organizing information about each alternative in a system matrix format (Axiom 8) is an effective way to identify what estimates and other specifications may be needed. It can also pinpoint where specific trade-off conditions require consideration among the alternatives (greater federal centralization in network management must be balanced against the need for a fast response time when a problem occurs) and where more or less measurements may be needed. Some operations research and optimization techniques may be needed within (how many servers will minimize wait time) or between alternatives (make, buy, or lease) to provide suitable estimations. Formulate Plans to Get Final Approval Developing the approval plan may lead to additional needs from a previous phase or step: The proposed solution may need to be clarified; related more closely to the abilities of current and possible available personnel to carry out the solution if it were installed; integrated more carefully into the organizational behavior and reasoning patterns; matched with the feelings and levels of felt stress and tension; translated into a more thorough installation plan (training, involving others in P&D at local levels, purchasing-see Phase 5); and structured to provide motivational commitment to see the solution through the usually difficult installation and into full operating status. Several factors appear helpful in considering the documentation or report that is usually needed after a project is completed. It will certainly enable good subsequent reviews and evaluations to be made: 1. Documentation or a report has a rhetorical purpose (inform, stimulate thought, persuade, and induce action) that is different from the technical purpose of the project (design, explore, formulate, solve, etc.). 2. A report is usually addressed to the primary decision-making and transmitting audience. People or units affected by and who implement recommendations are addressed by reports, if necessary, in Phase 5. 3. A report should address the perspective of the reader, usually from the specific to the general. The basic strategy pattern can summarize what happened in the project in some cases. 4. Redundancy selectively included will allow differing audiences to find what they need. 5. Reports in the form of working papers should be submitted at several points during a project. They help move perception of people along the timeline and raise questions at an early point. 6. A report submitted by the project team is better than one submitted by only a P&D professional. 7. Justify the recommended solution in terms of it's advantages over what may exist, or over other alternatives that were not selected if nothing now exists. Benefit/cost ratios should be prominently displayed, along with what should be done about any proposed personnel changes-reductions, retraining, severance with high pay, or relocation. 8. A description of the FIST should be included as the target toward which the recommended system is aiming. Betterment dates for the FIST and the solution can be suggested. 9. Explain why the FIST is not being recommended in it's entirety. The decision maker(s) may well find that a limitation perceived by project team members or managers really does not exist, thus leading to a better solution. Also, include comments about follow-up on FIST components not now being recommended, and about research projects set up to investigate the contemplative ideal systems. Getting approval of a proposal almost always involves a comparison of it to other proposals or present activities in the organization or community. A capital expenditure request is one of several, a new federal-state management board is one of several usually political alternatives the agencies have available, and a curriculum proposal is faced with many creative alternatives that the concerned people know about. The resulting, inevitable bargaining or negotiations almost always concern matters of much broader scope and interfaces than the actual proposal itself. An outstanding benefit/cost recommendation may thus become a pawn or chip so that a rejection now may have nothing to do with the intrinsic merits
- 44. of the proposal, irrespective of how well it's benefits and positive features are spelled out and presented orally and in writing. Not all of the reasons decision makers provide to explain a rejection or request for modification will satisfy a project team, but the people should understand the nature of the negotiation process and why the continual joint relationships with real-world people is so essential, starting even with initial legitimization of and resource commitment to the project. The process of getting approval illustrates why many P&D projects are aborted at this point. New products, proposed buildings, changed information systems, improved curriculum and education ideas, and proven health care measures are often forgotten from lack of resources, if not outright disapproval. Sanctioning of the proposal should, however, be far more likely when the Planning and Design Approach timeline perspective is utilized. Review Solution Details with Others to Assure Proposal Workability A wide variety of questions arises from general considerations of what constitutes a review as well as from the statements of uncertainty and inquiry raised by the decision maker(s) in the approval step. The following questions are only a sample of all that may need to be asked: 1. Can the recommended system be brought closer to the FIST? Can the FIST even be improved? Additional small changes in specifications should be made before installation to avoid the reaction, "Why weren't all the changes installed at the same time?" or "If you don't have time to do it right, when will you have the time to do it over?" 2. Are needed specifications included in the recommended solution? Will it actually work? P&D Principle 11 is operable here. Perhaps all specifications should not be included so the people working in the system will have some flexibility. 3. What components and subsystems need testing? What type of testing would be effective? 4. Should priorities be set up or redone for the next stages of the protocol? What effort over the next five years should be allocated to the major P&D projects? Which components of the recommended solution should be installed first? 5. Who should be responsible for actual installation? The following are some useful ideas: Let the P&D project team supervise the installation; set up a more permanent transition management group; give the responsibility to operating and supervising managers directly in charge of the solution after installation. 6. Should other organizations, departments, groups, associations, adopt the solution, or should they start their own P&D project? The latter is usually preferable, but many large organization require standardization on certain policies, systems, and the like. 7. What possible conflicts can be anticipated? What actions need to be taken to minimize or eliminate their impact on achieving successful implementation? 8. Have users/customers/clients/recipients/citizens been involved and/or informed, so that reactions can be adequately considered? 9. What sensitivity does the set of specifications have in relation to desired workability? Who should do the review and how might they proceed? This sampling of review questions indicates that a similar breadth of resources may need to be utilized for effective accomplishment of this step: a. People involved in the operation of the system, but not involved in the P&D. These people may be found at all levels, from top management to supervisory and operating level personnel. They can participate at this point by going over each phase of the strategy as if it were being followed for the first time.
- 45. b. Workshop groups and project teams. The original P&D group could "review" by approaching the solution as a betterment project. c. Separate review committee. Various personnel, such as foremen, associate administrators, board members, supervisors, workers, and technical staff, although previously consulted, could constitute such a committee. d. Outside audit committee. Consultants could even be used. e. Evaluator with principles and stimulator list items. An internal or external "inspector general" is good, especially when a group has been relatively isolated during P&D. f. Submit the proposal for approval. This is an effective and critical review or "trial ballot," especially with some flexible-minded units, such as health systems agencies and corporate planning departments. g. Have another staff person use the system pyramid to probe the feasibility and workability of all functional components. The time needed for this step may appear to be delaying the P&D effort. The critical criterion for judging whether or not to formalize this review and how much time to allocate to it is the amount of evidence needed to "move" the perceptions of the real-world people toward accepting the workability and benefits of the recommended solution. Many previous meetings of key decision makers and representatives of constituencies may mean less time is needed in this step. The larger, the more complex or the more people affected by the solution (highway location, computer system, school assignments, social welfare, procedure, etc.), the more likely is the need for a thorough review. Structuring Function Statement and Hierarchies QUESTIONS FOR FUNCTION EXPANSION 1. What are we really trying to do when we perform this function? 2. What higher-level function has caused this function to come into being? 3. Why is it necessary for this function to be performed? GUIDES FOR DEVELOPING A FUNCTION HIERARCHY 1. Start with the perceived needs of the group or organization. 2. Select the initial statement for the function hierarchy based on it's uniqueness to the originating system. One way to start a function expansion is to create a list of many possible functions, and then choose the one with the smallest scope as the starting function. A small function theoretically elicits a fewer number of ideas regarding how it might be accomplished than would a larger or more profound function. 3. Make functions prescriptive and specific but nonlimiting, using only a few words. 4. Write function statements in active verb-noun forms, which implies complete states rather than changes in states. 5. Exclude qualifying adverbs and adjectives from function statements, such as "reduced," "improve," and "increase." Locational modifiers may be needed (e.g., measure temperature of human body). 6. Proceed in small rather than large increments (jumps) when expanding functions into a hierarchy. 7. Select statements for the hierarchy from a list of possible functions or generate additional functions as necessary. 8. Make each function statement a bigger level function of the function preceding it and of the originating project, program, or system. (One way is to generate many ideas about the possible next level, and choose the smallest.)
- 46. 9. Construct the hierarchy in terms of function or purpose rather than sequence of activities or explanations. 10. Choose the most regularly occurring function if more than one are likely candidates for the next bigger level. 11. Relate functions to the organizational unit or audience of concern. 12. Expand functions well beyond any possibility for the selected function level. 13. It should actually be possible to design a means or system that can achieve the selected function without reference to some other need or function. Questions and Guides for Identifying Subpurposes or Functional Components * What are the functional components or subpurposes of ___________________________? Insert the selected purpose in the blank space. The question, with each functional component, is continually asked. * What linkages are relatively fixed between the purpose level and it's component subpurposes? * What minimal number of constants make up the function/purpose level? * What minimum set of subpurposes or functional components, when each one is achieved and coordinated with the others, will effectively have achieved the selected level? * What minimal number of subpurposes will be likely to remain present throughout the time horizon of the purpose level? * Are possible sets of functional components of similar scope and significance? * Is each pair in a level of functional components relatively independent? Or does one conflict with or overlap the other? * What criteria might help align possible function components, equal "size" components, number of people or organizational units per component, minimum numbers of components? * Would mathematical decomposition or partitioning be useful? Some measurable criteria might be cost, saturated information links, minimal information flow between clusters (functional components), connectivity, or the ratio of the number of links at a node to the maximum number possible, and relational or reachable matrices based on linkage needs and transitivity conditions (if A is bigger than B, and B is bigger than C, then A is bigger than C). * Can other features such as probability of occurrence and risk factors help separate components? * Can questionnaires, Delphi technique, or nominal group technique be used, especially for systems not yet in existence where subjective opinions are needed? * Might function sampling (instead of activity sampling) of "stable" -type functions (high likelihood the functions will remain during the longest possible time horizon of the project) give "importance" factors to the components? (A nurse walking, for example, is recorded not as walking, but as the purpose the nurse seeks to accomplish as a result of the walking, such as administer medicine, record blood pressure, or obtain a treatment tray.) Guides for Detailing 1. Be sure a specification is accomplishing the achievement of purpose/function 2. Specify only the critical minimum amount of detail, and let people in the system add what remains 3. Include multiple modes of achieving purposes and objectives whenever appropriate 4. Put information and control requirements at points close to the origin of difficulty and where actions can be taken 5. Include transitional and changeover specifications 6. Schedule into the details the effort for planned betterment design 7. Determine if the specifications) make sense to readers and users of the solution
- 47. 8. Provide complete, operational, decomposable and nonredundant specifications 9. Relate specifications to performance expectations (costs, time, life cycle, quality of work life, etc.)
- 48. Provide More Detail for Each Major Alternative Each P&D effort will need different degrees of detail. All that should be sought is the amount needed to assure the organization that each alternative is workable and to assess sufficiently it's performance in terms of the measures of effectiveness so that all the alternatives can be compared. The stage of the protocol for which the strategy is being applied affects the amount of detail needed. The amount is far less for the feasibility study stage than for the stage of developing construction plans for bidding; for determining marketing policies than for locating warehouses; for the overall degree curriculum than for the fourth unit in Course 345; for determining user's information needs than for the flow process in developing computer programs. The system matrix (Axiom 8) can guide how each alternative is probed to determine what details are needed. Certain factors (purpose hierarchy, selected function level, measures of effectiveness, some human agents etc.) may remain the same for each alternative, but the remaining cells can provide more than enough stimuli for questions whose answers are needed to insure workability and estimate performances. Other guides are available to help provide the level of detail needed here: 1. Adhere to basic principles, ideal system concept, regularities, and so forth. The question to ask is: How can an ideal system be developed from the major alternative idea using this principle? 2. Incorporate some exceptions. The question to ask is: How can the "ideal', system alternative stay the same while incorporating this particular exception? One particularly good exception to inquire about concerns the control dimension. These questions are usually detailed after the fundamental parts of the alternative are detailed, but control details often go hand in hand literately with fundamental ones, so that workability and effectiveness might be better assessed. 3. Identify significant and sensitive parameters or variables. The level of detail needed in this step should only involve determining whether a system's workability is contemplative or feasible. Parameters, variables, and other measures of effectiveness can also be reviewed at this point to determine if dynamic considerations ought to be considered in place of the usual static measures. Each measures of effectiveness can be used in a series of questions: "How much detail is needed for the effectiveness of alternative 1 on measure A to be assessed?" Then on measure B, and so on. Then the same questions are asked for each of the other major alternatives. 4. Many types of models could be used to provide details (see the secondary purposeful activity of modeling on page ____). When combined with the system matrix, these techniques and an initial "testing" of the alternative to it relates to other systems (interface dimension), how it might respond to disturbances, new knowledge, and normal operating changes, and what types of organizational consequences might be anticipated. 5. Play the believing game with each major alternative. Believe the first major alternative is the FIST, then ask, "What is needed to do to make it work?" Then believe the second major alternative is the FIST and ask the same question. Continue with all of the alternatives. Other guides useful here can also help in all detailing activities in Phases 4 and 5: 1. Be sure a specification is accomplishing the achievement of the purpose. 2. Specify only the critical minimum amount of detail, and let people in the system add what remains. 3. Include multiple modes of achieving purposes and objectives whenever appropriate. 4. Put information and control requirements at points close to the origin of difficulty and where actions can be taken. 5. Include transitional and changeover specifications. 6. Schedule into the details the effort for planned betterment design. 7. determine if the specifications) make sense to readers and users of the solution (especially Phases 4 and 5). 8. Provide complete, operational, decomposable and nonredundant specifications.
- 49. 9. Relate specifications to performance expectations (costs, time, life cycle, quality of work life, etc.). Many questions naturally arise as such detailing is underway. Every question should not necessarily lead to an information gathering project. Instead, each question should first be assessed to determine if answers are needed at this point to achieve the purpose of this step and the Phase (to select a FIST). Test, Simulate, or Try Out the Solution Will the proposed solution work and actually achieve the purposes? Nothing in Phase 4 guarantees this. Nor does great amounts of experience answer the question. Therefore, in this step methods are sought to ensure workability, adequacy of achieving the selected purpose, completeness of specifications, effectiveness, stability, and efficiency. Many additional questions concern the solution and it's components: Will the physical equipment perform as designed? Can purchased parts, materials and input information perform as designed? Will people in the client or user world provide the information and insights needed as the system operates? Will output items effectively achieve the purpose (avoid an early glamour treatment which so enamors individuals that they fail to recognize that the purpose itself is not achieved, clearly defined, or even necessary to appropriate for the circumstances)? Can the human agents perform according to the solution specification? Finding the answers now, before installation, will permit modifications at the most propitious time. It is not even too late to discover that the solution concept is unworkable. Testing is a system that can be designed with the Planning and Design Approach. The test system needs purposes, measures of effectiveness, alternatives, regularities, a FIST, and so forth. The following procedures are some of the frequently occurring testing systems: 1. Experiments Use the research approach, especially in betterment projects where some time is available, to test a hypothesis on which a key part of the recommendation is based. Will people be able read the cognitive signs in the time available? Will workers be motivated by a methods improvement buy-back incentive? 2. Physical Models These are usually reduced-scale (sometimes enlarged, as in an atomic model) versions of an actual physical item. A pilot plant is a full-scale but less comprehensive version of a process activity. So is an inexpensive mock-up of an operation workplace, or the preparation of a prototype product. Layout and flow diagrams and two- and three-dimensional models are possible substitute test methods. Actual construction of only one workplace may be desirable for cases that will require many similar workplaces (e.g., airline reservation positions, maintenance activities, nursing, cashier stations in department stores). 3. Simulation Performed with or without a computer, simulation usually provides estimates of solution performance (the number of individuals, pieces of equipment, or items of inventory). It can explore various configurations (layout of facilities, flow of people and things, mix of products, component specifications). The usual computer-based mathematical or statistical simulation models range from a very specific situation (to define the number of beds in a hospital in a hospital postanesthesia room) to the economic or system dynamics of whole firms, urban areas, and world growth. However, symbolic paper-and-pencil models such as a multiactivity chart can simulate shifts of work among people and machines to "test" various methods. 4. Make Simple Changes in Existing Systems A solution involving a slight rearrangement of equipment, tables or workbench forms, or methods, may be tested by simply making the changes. The original conditions can be replaced if the procedure does not work. 5. New Machinery Tests of expensive machinery would be desirable, but such equipment usually cannot be borrowed. Perhaps a test could be done in the manufacturer's plant. Another "test" is to visit other organizations that have similar equipment. If no equipment test is possible, other techniques, such as simulation, should be utilized.
- 50. 6. Scenario Writing By forcing the preparation of a description of what would happen if the solution were used, a group or individual can "visualize" future conditions. This utilizes experiences, intuitions, and commitments of the people in a form of the believing game. 7. Negotiation, Role Playing, and Other Behavioral Activities This is the active form of scenario writing. 8. Pilot Demonstration or Field Test This is similar for nonhardware solutions to the physical models, prototype, and pilot plants noted in 2. It is usually limited to a few departments (people, departments, locations, etc.) and periods of time. 9. Optimization and Theoretical Calculations Similar to computer simulations, optimal conditions for physical items can often be tested on computers (vibration frequencies, material usage, stress concentrations, etc.). This uses, when possible, known theories and principles in physical, mathematical and statistical fields. 10. Quality Audit An independent group conducts a review of the proposal (especially solutions that are nontechnical, policy based, or procedural) to assess workability, acceptability, degree of improvement, achievement of performance specifications, ability to interfere satisfactorily with other organizational activities, and so forth. The approach to the evaluation purposeful activity might be fruitfully considered. 11. No Test Possible There may be many reasons why a solution cannot be tested: not enough time; a one-time system (e.g., fireworks show); the procedure does not lend itself to testing (e.g., social policies, course curriculum); involves too many people (e.g., urban renewal); and not enough money. In such cases, "testing" should be considered in step 4F. Phase 5: Install the Workable Solution A Test, simulate, or try out the solution B Set up installation/transition schedule (phase-in and overlap times, etc.) C Develop procedures for presenting and "selling" the solution D Prepare operational resources (equipment orders, location presentation, job descriptions, department specifications, train or shift personnel, etc.) E Install solution (or proceed to next stage of protocol) F Provide close monitoring to follow-up on and solve operational problems G Establish operational performance measurements to provide operators/managers with norms H Evaluate performance of installed solution in terms of current goals, objectives and purposes I Establish timeline for planned betterment change of the installed solution J Aggregate performance data for all projects to report on P&D professional results Set Up Installation/Transition Schedule Set Up Installation/Transition Schedule More than cold deadlines and due dates are involved. Any actual installation creates disequilbrium, strains, uncertainties, role conflicts, and disruptions to ongoing activities, irrespective of how completely
- 51. the previous phases have been carried out. Such personal and organizational dysfunctional symptoms may be dealt with in different ways: parallel operation, where the old is operated concurrently with the new to greatly increase the likelihood of operability of the new; phase-in sections or parts from either the beginning or end of the proposed system as a balance between likelihood of operation and total costs; complete installation or "cold turkey" change over a weekend or night (President Jimmy Carter's normalization of diplomatic relations with mainland China in December 1978 was an example of this); and pilot testing the whole solution in one location of several very similar locations. With each of these installation concepts must go internalized questions that the host organization must answer: What inducements, rewards, or incentives will be used to "move" people not involved with the P&D effort toward acceptance and implementation? How can as many people as possible participate in preparing the schedule? How and by whom will conflicts among various people and groups be resolved? What education in the approach should accompany solution descriptions? How will members of the organization be kept informed on what is occurring, both favorable and unfavorable developments? The next step also addresses these questions. Setting up an installation schedule means expressing in detail what was general in the original project timeline. For many P&D projects (physical or hardware design, moving into a new house) this detailing is most likely all that is needed. The installation process for most projects, however, is affect by two difficulties. The first is that people at all levels of an organization may play one or more "games," even after they agree that a particular solution is desirable. They delay, if not scuttle, the installation. The second is "that the character and degree of many implementation problems are inherently unpredictable." Playing games during installation is both a conscious and a subconscious response. It is subconscious to the extent that people react automatically to the changes because of the individual and organizational realities defined elsewhere in this appendix. For example, the "not invented here" factor can surface at almost any time, even with excellent participation by many. This may cause the "massive resistance" game to become operational because several people are very likely not to be completely informed about all of the development details. The games may take several forms: "(l) ... Massive resistance...or refusal or defiance [by those] in a secure enough position to do so,...(2) tokenism…or an attempt to appear to be contributing...publicly [to implementation] while privately conceding only a small ('token') contribution,... (3) procrastination in making [a] contribution or substituting a contribution of inferior quality,...(4) bureaucrat playing reputation,... (5) deflection of goals,...(6) not our problem,...(7) keeping the peace (piece),...and (8) end play" or taking a set of actions that ostensibly achieves the purpose being sought but in a way which "protects" existing perceived power/authority/fiscal control arrangements. Other games take on many forms-strikes, slowdown, high turnover rates, high number of grievances, joining a union, and so on. All such games ,[divert] resources, especially money,... [deflect] policy goals,...[resist] explicit...efforts to control behavior administratively,...[and dissipate] personal and political energies...that might otherwise be channeled into constructive action....[Thus] the three principal perils [are]...underachievement of stated objectives,...delay, and excessive financial costs." Delay is the principal peril because the other two are probably it's consequence. Delay can, of course, occur as a result of uncontrollable "legitimate" factors: A vendor ships a machine or product late, a price increase or decrease from external sources causes a reassessment, a large number of actors or systems are included in the sequence of approvals of actions needed, or a natural disaster occurs. The delays of concern here stem from organizational, societal, and other human sources. The more games the actors play, the lower is the probability of a successful implementation. This is the foundation of the second difficulty: Implementation problems are unpredictable. Because delay may be considered synonymous to "perpetual procrastination,....effective resistance or obstruction," it takes on a purposive character, resulting in playing games in addition to reflecting a pathology. Thus, an installation schedule needs far more than slack time for natural (external) occurrences of delay. It needs to incorporate appropriate considerations for the whole range of factors that cause delays. The timeline and work program depicting a realistic time and cost installation schedule are the usual manifestations of this step, incorporating the major events, related activities, and person(s) responsible for each activity. A written scenario can also help to interrelate the people and groups that impact on
- 52. certain activities and influence certain events/decisions. These characteristics can be incorporated in a schedule which is thus likely to be realistic because it considers "the problems of social/entropy (incompetency, variability in the objects of control, and coordination), dilemmas of administration (tokenism, massive resistance, procrastination, monopoly conditions, deterrence, incentives, etc.), diversion of resources, deflection of goals, dissipation of energies, and delays." Time and costs can be allowed to find methods of motivating and inducing people to contribute and or otherwise overcoming the games. At the very least, time for "delays" that are likely to arise can be incorporated. Perhaps an extra event or two could be built into the schedule for negotiations, group actions to provide collective support, revising priorities, instituting better control of installation activities and events, arranging top level support, introducing incentives for cooperative effort, adding efforts to look and listen for delaying activities, appealing to authority, or otherwise "fixing the game." These factors should not detract from the first need to identify the critical events and activities for the actual installation of the solution. It is very embarrassing and destructive of P&D credibility to do well at the art of game fixing and then have a "technical" failure of the actual solution. Developing an installation/transition schedule might thus be a sizable P&D project in itself. Treating it as such leads to the major suggestion for "how" to set it up: Follow the PDA approach, or at least the basic strategy pattern, for this step. Prepare Operational Resources The virtual impossibility of being prescriptive about this step is illustrated by comparing two widely different solutions. What human, physical, and informational resources need to be prepared (1) for installing (constructing) a $120 million medical center, and (2) for implementing a seventh grader's self- designed plan for studying a required book to read? People must have the skills, abilities, and other knowledge to be able to actually do the required installation. All of the materials, equipment, information, customer/client acceptance and human agents necessary to operate the installed solution must be ready before it can be successfully implemented. The elements and dimensions of the system matrix are a reasonable basis on which to portray the scope of the installation system. The following are only partial in number and suggestive of this scope: Inputs Introduce customer/clients/users to new ordering/information/monetary requirements, order new forms, get new material specifications and quality levels, set up bills of material, establish continuing attitude survey of users, prepare patients for new reception and admission procedures, establish line of credit for operating funds, and so on. Outputs Set up financial accountability methods, measure quality of product/service in users perception, get regulatory clearances for services/products, organize distributors for new advertising campaign, and so on. Sequence Hire equipment movers to change layout, prepare locations for control information to be obtained, prepare advertising materials, determine optimal allocation methods the supervisor can use, set up methods for tagging these products distinctively, and so on. Environment Change to new organizational structure, develop the political support for continued operation, set up departmental operating rules, prepare for letters "smoothing" the way, arrange for new organizational design, and so on. Human Agents Train personnel for new assignments), transfer/hire new personnel, set up job descriptions, establish and evaluate performance requirements, train troubleshooters to handle difficulties in the operational condition, obtain professional services needed, and so on. Physical Catalyst Order new equipment, order refurbishing of tooling, change location of dials on work surface, obtain comparisons of equipment specifications, and so on. Information Aids Update maintenance manuals, prepare interpretive regulations, set up implementation manuals, reprogram the software for the monitoring activities, and so on.
- 53. (Note that almost each one of these items can be considered a small P&D project, where the basic strategy pattern could be used: Design or plan a system to introduce customers to ordering requirements, establish continuing attitude survey, set up financial accountability methods, train personnel, etc.) The sequence of these activities should be fairly well established by the installation schedule and the procedures for presenting and "selling" the solution. Several items can be occurring concurrently, with layout changes taking priority, for example, over information or system modifications, while both are going on. Both may also be higher priorities than, say, modifying the organizational structure or developing new product designs, while some work is still being started on the latter two. Prioritizing and precedence establishing techniques are noted elsewhere in this appendix. Many decisions about and compromises of the recommended solution will be required as preparations and the remaining steps are under way. Refer continuously to the purpose hierarchy, measures of effectiveness, major alternatives and components regularities, FIST, and other P&D information to aid in making the decisions. These information resources provide choices on the basis of long-term effectiveness and workability.
- 54. Establish Timeline for Planned Betterment Change Every solution undergoes normal operating changes of even minimal sorts as time goes on. Most of these usually represent ideas of individuals to fit their own proclivities (tape down a switch, tape a note of instructions on the file cabinet, organize files differently, build a bookshelf at the back of a desk, etc.). Most of these are the individuals way making sure the system works. Some improve the solution and it's operation, while others lead to deteriorating performance and even subversion of the solution. The evaluation step should detect the latter conditions so that a correction P&D effort can be organized to handle the unsatisfactory existence. The timeline for betterment P&D effort relates primarily to improving a satisfactory solution condition, as gauged by performance compared to norms. The first way of accomplishing this is to be punctual about follow-up on changes that are found to be necessary as the solution is being installed. Delay in getting them incorporated can cause poor habits to form in the operation of the system. A second way is to schedule short time periods (say, three to six months) for audit and review of performances for the purpose of determining if small changes might move the solution closer to the technically attainable measures noted in step 5G. Operating and supervising personnel are nominally responsible for doing the audit and review. P&D personnel can at least provide continued assistance with all parts of the organization in getting good results. The third way is to schedule a completely fresh P&D project. This would occur every two, three or more years, but would approach the system as if it didn't exist. This would be done even if all the measurements indicate that the solution is completely satisfactory. The best time to develop changes in a system is at the height of it's success (Axiom 5). Programmatic aspects are discussed elsewhere in this appendix. The idea is to search for a new FIST and recommended solution to determine if there is enough difference between what exists and the new recommendation to make it worthwhile to install a change. A forth way produces an updated FIST, yearly for instance, suitable for year t2, even as changes are being instituted today to move the installed solution closer to the FIST for year tl. A FIST that describes a renovated downtown area in a medium-sized city five years from now should be updated every two or three years to keep abreast of changing community needs, even as the area is now being modified in accordance with the recommended solution derived from the current FIST. A key reason for emphasizing continual changes and betterment scheduling is to provide a "happy but dissatisfied" atmosphere. Attaining an attitude of continual improvement induces the tension psychologists and organizational behaviorists claim needs to exist for arriving at successful changes. Unsatisfactory condition create their own tensions, so betterment efforts need scheduled events as a start toward building the tensions for a search for change. Establish Operational Performance Measurements Step 5E started the transition of the solution to an operational status. This step virtually completes it by providing the norms needed in the operating and supervising purposeful activity. Every effective organizational entity requires performance measurements and norms. Consider operational requirements for continuously doing the following: * Adjusting equipment and people needs. * Estimating when machines and other equipment items need maintenance or replacement. * Determining how work can be subdivided to achieve a balance of job enlargement, skill utilization, and minimum delay time. * Establishing the size of a crew for a particular operation. * Estimating costs for submitting bids for special products or quantities. * Determining the selling price of to-order products and services. * Establishing task measures for employees to guide their work performance.
- 55. * Obtaining and updating control limits for quality assessment techniques and performance measurements output evaluation. * Preparing budgets. Many organizations have some data that could be used as performance measurements (e.g., elemental time standard data, standard costs per machine, historical records). Many norms, however, will need situation-specific data that can be collected as the solution is being implemented. In many cases, estimates developed with the people involved are quite sufficient. The agreement on an estimate is very often all that is needed to create an effective stimulus for accomplishing that level and more. Performance measurements for the whole solution or it's components are based on the measures of effectiveness from pervious phases. They are expressed in various units: time per output, time per element, time per work component, output units per minute (or hour), number of citizens served per week, dollars per transaction, percentage of machine utilization, per capita complaints, productivity index, percentage of material utilization, hours of direct labor, cost per unit, and so on. Two measures may be paired as a check and a balance. When one gets better, the other should not get worse. Some examples of check-and-balance pairs are percent efficiency and percent downtime; percent weight utilization and number of rejects; percent of direct labor and amount of indirect labor. Picking any set of measures will involve trade-offs among criteria-accuracy compared to understandability, measurability compared to rigidity of conformance to organizational goals, process measures compared to outputs/results modeled. A performance measure should be expressed as an expected value (mean, mode, minimum, etc.) with it's associated variability and confidence levels. Variability limits are psychologically desirable for operators and managers who already know that each performance cycle will not take an exactly identical time (Axiom 7). All parts of the performance measure need updating periodically as part of the operating and supervising purposeful activity. A performance measure must be associated with a well-defined activity, artifact, or outcome. An individual or group should be able to influence the real-world represented by the measure, it attains greater accuracy and precision (less variability) the greater the specificity of the underlying reality phenomenon to which it is associated. Compare the accuracy and precision of possible performance measures for a regional planning unit in a developing country with that for a winter road-salting program for a northern city in the United States. In addition, the frequency of occurrence of a phenomenon influences accuracy and precision needs. A three-hour performance measure for the activity of preparing a course syllabus once a year can tolerate far greater variance than the number of radios produced in an hour in a factory. Many techniques are available to collect and organize performance information so that a norm or performance measurement can be established. Performance measures should be consistent among comparable jobs, tasks, departments, and so on. They need to be congruent with the organization's goals. This means that the measurement processes "program" needs a periodical audit and review. A betterment design project, say, once every year or two, is one way of doing this. A control model based on, for example, number of complaints per week, is another that is based on the control strategy. A third way is to follow the approach for the evaluation purposeful activity. Because a performance measure is always tied to a well-describe phenomenon (job, department) there is a tendency to treat the phenomenon as rigid. But good P&D encourages continuing improvements in the phenomenon, even though this affects the performance measures with updating. Several methods may be considered in hand ing suggested improvements in the system: * Place the idea in the suggestion system. * Let the person or group with improved output continue with the old performance measure for a specified period of time (i.e., earn whatever is possible, if on incentives) before changing the performance measure(s). * Utilize nonfinancial incentives, such as newspaper and other publicity, to provide psychic attention rewards to the individual or group.
- 56. * Institute a merit increase for the individual. * Determine the effective savings for a specified period of time, such as six months, and pay the operator that amount, then change the performance measure. * Provide a methods incentive. An increase beyond, say, 140% performance, means an incentive payment to the operator and a change in allowed times, or performance measures. * Determine if increased frequency of the phenomenon activity signals a need for improving the accuracy and precision of the performance measure. Performance measurements should motivate people and thus create favorable human attitudes and performance. Three key essentials for doing this are purposes, societal values, and P&D objectives, which should guide the establishment and use of performance measures (such measures are never precise- Axiom 7); people should know how the measurements are developed, and they should know as quickly as possible their results as they operate the system or solution. The measurement process is also a major source of error. All measuring instruments or methods to ascertain the quality of an attribute of a phenomenon produce errors as a result of the interactions of the attributes) being measured, the inadequacy of the definition of the attribute(s), the individual(s) doing the measurement, and the specific measuring method. The error occurs whether the instrument is a micometer with one-millionth of an inch of accuracy for measuring steel bars or a questionnaire for obtaining expert opinion. After a certain point of accuracy and precision has been reached, marginal increments in effort and cost to get more measures return very little in reducing errors and may be ineffective. Some basic ideas about measurements may help establish guides for effectively attaining the P&D purpose at hand with whatever accuracy or precision is needed: 1. Increasing the amount of emphasizing, or improving measurements P&D projects may lead to some short-term benefits, especially if the extant measurements are few in number and poor in quality. 2. Long-term emphasis on accuracy and increased amounts of measurements as a means of "seeing" where trouble exists usually produce poor results. The measures focus inward and are often arbitrarily assigned, there is a tendency to ignore as unimportant problems for which measures are not available, and problems where measures are difficult if not impossible to obtain are avoided and said not even to exist. 3. measurement is primary to scientists for developing theories, but is secondary to P&D professionals for finding solutions. Our society has seriously erred in mimicking for all problems the scientists' need for accurate measurements. It has adopted only the first part of Lord Kelvin's maxim: "When you can measure what you are speaking about, and express it in numbers, you know something about it.." The second part, which is ignored, shows that Kelvin's interests, however, were in science. It promotes measurements for the advancement of scientific knowledge through the luxury of ignoring whatever cannot be measured. 4. A measurement focus leads to rejection of useful ideas from other fields (behavioral sciences, philosophy, political science), the omission of which, interestingly, is not measured as a cost by the measurement devotees. 5. Most measurement techniques do not take advantage of available statistical technology that might minimize misconceptions and reduce the amount of data collected. 6. Measurement is used as a threat and as an excuse because it often overawes people, which eventually causes them to avoid, divert, and fight it. Often, when one set of measures does not work, the experts claim that it is the fault of the measures, not of the expert, and all that is needed are better measures. Predictions are obviously influenced by these types of errors, some more than others. Hard sciences, such as physics and chemistry, have a high degree of accuracy and precision (yet still exhibit uncertainty), geology and biology have less, and sociology and political science have the least. None are able to project the emergence of new attributes and properties. Prediction capability regarding a
- 57. phenomenon varies over time, just as the occurrence of a predicted event may not have the same impact when it actually occurs as was originally projected. This Axiom, number 6, explains why any number used in P&D must always be associated with a reality that is described in words. Because both word meanings and measurement techniques are variable, the number is subject to many interpretations. For example, what does "zero" mean? "When people speak of zero they apparently mean different things. ...In the case of scientific analysis, zero has changed. A few years ago analytical methods might have indicated the absence of a particular chemical in a test sample. Today, with better analytical methods, that same sample would show the particular chemical present; we no longer have the zero we had a few years ago." NOT AT COMPLETELY ALL ASSURANCE OF WORKING ON THE RIGHT PROBLEM 0 10 MINIMIZE FUNCTIONAL FIXEDNESS 0 10 ASSURE RIGHT AMOUNT OF INFORMATION HUMANS CAN PROCESS 0 10 MINIMIZE DATA COLLECTION AND MAXIMIZE KNOWLEDGE UTILIZATION 0 10 ABILITY TO ASSESS CONSEQUENCES OF RECOMMENDATIONS 0 10 CLOSENESS OF RECOMMENDED SOLUTIONS TO FEASIBLE IDEAL TARGETS 0 10 QUALITY OF RESULTS 0 10 LACK OF DEFENSIVENESS OF PEOPLE 0 10 GROWTH POTENTIAL AND EDUCATION OF PEOPLE 0 10 FAVORABLE ATTITUDES TOWARD CHANGE 0 10 ANTICIPATE EXTERNAL CHANGE AND SEEK FEEDBACK 0 10 Profile work sheet to determine effectiveness of planning & improvement efforts in an organization.
- 58. Questions for Evaluating Each Possible Course of Action* 1. Does the course of action you plan to follow seem logical and reasonable? Never mind what anyone else has to say. Does it make sense to you? If it does, it is probably right. 2. Does it pass the test of sportsmanship? In other words, if everyone followed this same course of action, would the results be beneficial for all? 3. Where will your plan of action lead? How will it affect others? What will it do to you? 4. Will you think well of yourself when you look at what you have done? 5. Try to separate yourself from the problem. Pretend, for one moment, it is the problem of the person you most admire. Ask yourself how that person would handle it. 6. Hold up the final decision to the glaring light of publicity. Would you want your family and friends to know what you have done? The decisions we make in the hope that no one will find out are usually wrong. ______________________________________________________________________________ * Distilled version of Harry Emerson Fosdick's six-point test for telling right from wrong. The author of distilled questions is unknown. Weight 1 2 3 4 5 6 1 3 2 1 3 2 4 1 1/2 5 4 Scales of value (criteria) threshold level ones are eliminated) (Those that remain after "no-go" and below 6 1 7 9 8 6 Total Decision worksheet The Setting
- 59. Functions to Be Accomplished within Each Factor Pursuing the P&D strategy - 115, 116, 117, 118, 119, 122, 124, 125, 181 & 185 Project selection - 52, 121, 130, 137, 148 & 213 P&D system structure - 84, 87, 102, 119, 137 & 138 Problem formulation - 17, 24, 25, 28 & 77* Measures of effectiveness - 144, 160, 250 & 258 Creativity-idea generation - 125, 150, 155 & 302 Regularity-conditionals - 116, 149, 320 & 321 Target - 148 & 151 Recommended solution - 77*, 162, 165 & 198* Approval - 162, 168 & 175 Installation plan - 171, 172 & 196** (MPC) Preparation for operation - 166 & 175 Performance measures - 37, 87, 140, 177 & 318 Turn-over to operators - 171, 295 & 269 Interrupt-delay - 173 & 174 Specifying and presenting the solution - 84, 85, 86, 87, 88, 89, 90, 102, 153, 193, 198, 201, 202 & 323 Purpose Inputs Outputs Sequence Environment Human agents Physical catalysts Information aids Involving people - 40, 207*, 213*, 215, 224 & 233* Decision maker I Decision maker 2 Influential I (elected) Influential 2 (business) Expert 1 (internal) Expert 2 (external) Worker I (internal) Worker 2 (external) P&D professional role I (sequence) P&D professional role 2 (human agents) Group process role 1 Group process role 2 Group process technique I Group process technique 2 Meeting condition 1
- 60. Meeting condition 2 Using information and knowledge - 240*, 244, 251 & 255 Theory of P&D-axiology - 240 & 241 Theory of P&D-philosophy - 240 & 241 Theory of P&D-epistemology - 240 & 241 Theory of P&D-history 240 & 241 Theory of P&D-pedagogy 240 & 241 Information and knowledge in P&D I - 253 Information and knowledge in P&D 2 - 259 I & K in locus content area 1 - 255 I & K in locus content area 2 - 256 Procedural Reliance Information Teams - 315 & 323 Utilizing what is available Developing new I & K Verifying the I & K Modifying the I & K Arranging for continuing change and improvement - 264 Readiness factors assessment - 269 Project betterment Favorable behavior Organizational policy 1 Organizational policy 2 Institutionalized program - 264 & 295* Structure Education Workshop groups Project team P&D development and research Program audit Other purposeful activities - 8, 40 & 46 Operate and supervise Evaluate Research Learn
- 61. Summary The timeline is a representation of the theory of P&D. It is placed here in a separate major category for further developments because it has a unique potential for portraying what goes on in actual P&D efforts. The categories above illustrates an overall format for displaying what happens during a project. The amount of time spent on each of the possible scenario functions listed in the left-hand column can be obtained by a review of minutes and logbooks, tape recordings of meetings or "thinking aloud" by P&D people, self-recordings, or direct observations. Notes about what is actually being done (what techniques, model, people, dimension or element of a system matrix, and so on) at each time can be placed on the form. Models depicting intensity of efforts along the timeline may even emerge. Then, measures of the dependent variables, and solution implementability and quality (e.g., creativeness, built-in change, costs, effectiveness) can be obtained (by means of expert judgment, actual cost, time to implement, reliability, etc.) to serve as a basis for testing all sorts of hypotheses concerning the many "independent" variables in a P&D scenario. Several other timeline representations may also be tested with data in the form of the categories above from many projects. The rich variety of forms the timeline data may take for research as well as operational purposes is illustrated by the use of path analysis to trace influences on the dependent variables, major nodes or events through a network model to portray various P&D activities in relation to major events (nodes), and decision tree to sketch out alternatives at each choice point in time. Other types of research can also use the timeline data of the categories mentioned above for developments: Correlation, multiple regression, computerized search processes with rather minimal partitioning to identify likely influential variables, and multiattribute utility assessment could seek significant impacts on project selection, P&D system format, problem formulation, measures of effectiveness, and so on. Scenario-time information can thus provide gestalt perspectives as well as interaction and causal/reciprocal relationships of components and the total P&D scenario. In-depth Investigations of these Sections Using a graph with time as the abscissa and, say, "number of required criteria,, as the ordinate, plot and compare how long various techniques take in getting a group to develop solution ideas that address all criteria or measures of effectiveness for a project.
- 62. The Problem Format Problem Substantive Doubt, uncertainty, matter or question perplexity, difficult, desire Primary Locus Values Measures purposeful (see text for examples) activity* Societal level Encourage individual betterment Objectives Goals Enhance Achieve (incomplete) - increase, (Add specific human dignity greater effectiveness decrease, improve, quantities in maintain, maximize, specific time recover, minimize, etc., periods to the Attain better quality the following as objectives.) of life appropriate: Purposeful activity level (illustrative, not complete) Self-perservation and survival Stay healthy. Economic self-sufficiency. Mortality. Morbidity. Incidence of of the species Security and safety. Social well-being. disease. Severity of disease. Personal survival. Tranquility. Self- Health status index of individual. actualization. Individual civil liberties. Job satisfaction. Labor mobility. Self-determination. Physical warmth and Unemployment rates. Inflation rate. protection. Provide community service. Population/food level. Housing Individual growth. Prepare for post- condition. Birth rate. (These are industrial society. Domestic and usually included as objectives in foreign tranquility. other purposeful activities _________________________________________________________________________________________ * Several secondary purposeful activities may appear one or more times within a primary one: Make a decision: maintain a standard of achievement (control): resolve a conflict: develop creative ideas: establish priorities: observer model, or abstract phenomenon: practice or exercise: and focus land motivate individual efforts. None of these can be achieved without reference to a primary purposeful activity--make a decision about what, model a phenomenon when for what purposes, be creative about what, and so on. Summary Recognition of the values aspect of a problem has important implications for planning and design. 1. Developing clearly stated values, objectives and goals in a specific situation clarifies decision making. Trade-offs can be shown and their impacts understood. 2. Understanding that the idea of values includes objectives and goals moves P&D from only vague "motherhood and apple pie" type statements toward specific criteria and measurable goals that seek to operationalized basic values. 3. Values clarification enables participants in a P&D effort to understand one another, reducing the disruptive potential of hidden agendas. It leads toward a collective sense of the purposes of a particular P&D effort, significantly influencing both solution and implementation. 4. Acknowledgment of the values aspect precludes the "objective" stance of the P&D expert. It incorporates subjectivity and human concerns. It removes P&D efforts from the realm of narrow disciplines and techniques. It forces the solution measures to transcend the merely quantifiable and to incorporate critical subjective factors. (No one has or probably will set the worth of a human life. Amounts calculated from, say, the number of prisoners released in Cuba for an American "payment," are meaningless for all P&D purposes.) Because P&D solutions affect so many people as well as the environment it is crucial that solutions reflect larger social values.
- 63. 5. This appendix began with the assertion that there is no such thing as an "objective" problem. Instead, some thing or situation is perceived as a problem or need because of purposeful human activities, motivations, and aspirations. Because planning and design professionals seek to solve problems, the definition of what a "problem" is must become the basic starting point. A problem or need has a values aspect and a substantive one. The former includes the values, objectives, and goals implicit in human purposeful activities and those specific to a particular problem locus. The substantive aspect includes both types of problems-operating and supervising, research, planning and design, learning, or evaluation-and the problem locus. The locus is the specific what, when, who, and where of particular situation. Also, this appendix which illustrates the formulation of the concept called "a problem," provides people with the opportunity to clarify what type of problem they confront, the specifics of the problem, and the values and measures associated both with the type of problem and the specific situation. It suggests to the problem solver an appropriate solution- finding approach and is a critical beginning to ensuring that the "right problem" will be solved. The Concept of a Problem Purposeful Activity Level Primary Purposeful Activity* (of Values) Objectives Operate and supervise a specific solu- Ensure equity. Administer fairly. Operate and supervise a specific solu- tion or system at its “good” design or Maintain adaptabilty to tion or system at its “good” design or desired specifications environment. desired specifications
- 64. ______________________________________________________________________________ * Several secondary purposeful activities may appear one or more times within a primary one: Make a decision: maintain a standard of achievement (control): resolve a conflict: develop creative ideas: establish priorities: observer model, or abstract phenomenon: practice or exercise: and focus land motivate individual efforts. None of these can be achieved without reference to a primary purposeful activity--make a decision about what, model a phenomenon when for what purposes, be creative about what, and so on. Ideas Involved in the Societal Value of Achieving Greater Effectiveness (a) Greater productivity, increase the results of utilizing any resource such as person-hours, or getting the same results with less cost or time (b) Increased efficiency, a component of productivity; minimize costs and waste of human, information, physical, and environmental resources (c) Improved profits or return on investment (or assets or equity) for private sector organizations or apparently increased discretionary income for nonprofits (hospitals, museums) (d) Improved services per dollar, or the same services for fewer dollars (e) Improved quality of products, services, R&D results (utility, pleasantness of services, ease of effort, reduced waiting time, pluralism of solutions, etc.), and increased degree to which necessary purposes are achieved (f) Increased market share or target population served (g) More built-in and continuing change within any solution (h) Improved relationships with various constituencies, such as customers (clients), suppliers, community, and labor representatives (i) Improved capacity to increase quantity of goods and services, including reindustrialization, retrofitting of old facilities, and remanufacturing or recycling of artifacts that are considered worn out
- 65. Ideas Involved in the Societal Value of Attaining a Higher Quality of Life (a) Peace among nations, elimination of aggression, international and national order, minimization of conflicts among groups (b) Standard of living, including improved or optimum food and clothing, attractive housing, vacations, health status, recreation, number of work hours per week, general pleasantness and sociability, diets, medicines and vitamins, length of life, and labor-management relationships (c) Cost and level of health care delivery in all situations (accidents, diseases, prevention, etc.) (d) Transportation and mobility systems (e) Security in retirement and in the face of misfortune, such as floods, tornadoes, hurricanes and sudden accidents (f) Enforcement of laws (g) Defense of country (h) Full employment (i) Physical ease in work, including the household (j) Availability of leisure time and resources, such as community recreation facilities, swimming pools, art museums, music, parks, and theaters (k) Good environment concerning air and water pollution, waste disposal and landfill sites, esthetically pleasing highway surroundings (1) Concern for those less fortunate, including neighbors and developing countries Ideas Involved in the Societal Value of Enhancing Human Dignity (a) Each human has inherently unique capacities and qualities that should be respected as long as the uniqueness of others is also untrammeled (b) Each person has many rights and freedoms: vote, speech, assembly, and freedom of thought and beliefs (religion, politics) (c) Additional private time permits the pursuit of the unique activities that provide recognition, art, self- respect, culture, pleasure, and identification of individual sources of inner well-being and guidance (d) We place a high value on each human life (e) Features recently attained attesting to societal concerns for human dignity: Improved safety regulations Opportunities to learn for learner's sake alone or Greater individual justice to satisfy curiosity Work humanization, quality of working life efforts, and corporate democracy Corporate bill of rights for workers (free expression, security, protection regarding malfeasance, speedy and public hearing, due process, etc.) Engineering awareness of the technology-human dignity idea Societal concern with the mentally ill, retarded and aged Relocation and retraining by organizations of workers when technological changes reduce the need for them Questioning by science and society of permissible limits to and proper conditions for experimentation with human beings and animals Enhancement of individual privacy and freedom of information
- 66. Some Indicators of Progress in Theories of and in P&D Criterion or Indicator Conventional P&D Approaches Recommended P&D Approach Definition of Mixture of undefined factors (goals, Substantive content or pur- problem difficulties, types) poseful activities and values/ objectives Nature of P&D Similar to any type of problem One of seven purposeful act- problem ivities. P&D is creating restructuring situation- specific solution Definition of an Highly variable; many say research Five features in holism of P&D approach method, others say decision making (pursuing a strategy, specify- communication, creativity, group ing and presenting solutions, activity, information processing, involving people, using infor- problem solving, search, uncertainty mation and knowledge, and and variety reduction, technology continuing change and improve- transfer ment); all five intertwined with rational, affective, and chance behavior into a total approach Before-after snapshot perspective Timeline scenario, selective and iterative Orientation Assign project to a professional "to Develop a P&D structure for or direction dive into" finding solution of reasoning Doubting game Believing game, and flexible Delve into what exists Think purpose, what ought to be accomplished Use details about what exists as Purpose hierarchy(ies), regular- guide to finding solution ities, and target are guides to finding solution More recorded information is better Minimum collected data, use (exacerbates information overload) what people know, identify need- ed data Accept problem as given Use hierarchies to find what ought to be worked on; no one knows in advance when a break- through may occur Reductionist: simple parts better Holistic: all parts must be viewed from total view Solution-finding What are others doing? Find solution to fit unique situation Patch up or satisfying Know target as basis for
- 67. recommendation One solution for everything and Regularity first, then plura- everyone listic and multichanneled Limited number of alternatives Many alternatives sought, considered creativity encouraged Nature of Limited, internal scope Best possible for conditions solutions Discrete (problem is solved, now Built-in changes identified and forget it) continuing search started Tradition-oriented or what has Innovative, exploratory, worked before; or apply advanced for unusual ideas and future technology just because it's avail- changes as well as workability able or let nature of circumstances dictate appropriate technology Incorporate details based on what Use system context and solution intuition suggests framework Outcome usually measured by cost or Outcome assessed by costs, quantified cost/benefits quality, satisfactions of use of operators of solution Role of Overcome their resistance Deal with purposes, hierarchy, ideal systems, etc. to avoid defensiveness Confront people with collected infor- Start with people's perception mation that shows how the problem and expand; do not overload is their fault (creates defensiveness) with information Groups get in the way Groups needed and selected at beginning to lead to implement- ation; continue to give all opportunity to take part even if not attend early meetings Keep "them" happy and off our backs People can grow and learn; can identify own needs and interests Tell people what change to make People make a change when they help design it Passive attitude to improvement, Continual internal and external wait until crisis arises search for change, seek signs of disturbances, new technologies Role of Expert, measurer, modeler, or the Facilitative in nature, with 36 professional designer possible roles, including mea- surer, etc. Rigid if someone else suggests Flexible "creative" idea Closing quickly on a solution Open as long as possible Solitary Involve many Completed when plan/design presented Implementation with built-in change is temporary end of project
- 68. Techniques Use latest sophisticated models and Know all techniques and use when used analysis strategy shows they are needed Quantitative factors and objectivity Qualitative factors and subjec- are most important tive concepts are often most important A focus on one or two techniques as Only the intermixed five fea- the heart of P&D (e.g., computers, a tures within the timeline group process, decision support sys- scenario govern: all techniques tems, creativity, multiattribute may be usable as appropriate decision models, gaming or simulati- on, conflict resolution) Description definitions of the word Prescriptive definition of "sys- "system" tem" to handle all types complexities and interrelation- ships Communications Final report plan/design is all that Continual interchange with perspectives is needed real world at all stages phases Power plays and political arrange- All factors included along ments determine whether solution timeline, plus group is commit- is accepted ted to and understands the solution, so support is signi- ficantly increased Take-it-or-leave-it solution view Recommended solution is already a back-off position from FIST, so group knows other positions to accept that still leave open a future path to the FIST Minutes or meeting summaries concern Minutes include alternatives and actions or decisions selected one, widely distributed to give others the opportunity to get involved Report is a standard format Any type of format, including reports Basic premises Almost always unstated; usually Explicit assumptions about pur- the P&D approach takes form of technological impera- poseful activities and total tive, data collection to start, approach, presentation of axioms rationality, unbiased decision and corollaries, propositions, makers, hierarchical authority, and and corollary propositions, all
- 69. so on, most of which explain all of of which explain and support the the above entries in this column above entries in this column; effectively combines rational, affective, chance, incremental, mixed scanning, etc., approaches Solution/plan/design is answer Implement as creative a solution as possible with built-in changes P&D resources should be allocated P&D resources must be justified without accountability and methods sought to better utilize them Use solutions from elsewhere-don't Find solution for the unique "reinvent the wheel" situation-make sure a wheel is needed before using it ______________________________________________________________________________ Various Names for P&D Outcomes Artifact Plan Curriculum Program resolution Design Public policy Drawings Recommendation Equipment Reply Equipment request Set of operating procedures Feasibility study Staffing pattern Guidance advice Statement Information system System Institution Target Organization structure Tool Piece of legislation Work methods Summary Planners and designers seek similar ends. Their primary function is to create and restructure situation- specific solutions. The three objectives of this purposeful activity are: to maximize the effectiveness of recommended solutions; to maximize the likelihood of implemented solutions; and to maximize the effectiveness of P&D resources. These common objectives unify over thirty diverse P&D professions. These professions also experience problems in achieving the objectives because of a number of P&D predicaments: absence of an agreed-upon theory of P&D; the declining quality of P&D solutions; limiting and self-defeating P&D role definitions; less-than-favorable image of the P&D professions; the fact that P&D is faced with and contributes to huge data overload: and the poor relationships among the P&D professions.
- 70. Characteristics of the Different Levels of P&D Levels Actions Policy Statements of purposes and objectives, guidelines for specific actions and plans at other levels (5 to 7)* Strategical Broad plans or courses of action that represent a means of accomplishing a particular purpose within the policy guidelines (3 to 5)* Tactical Specific plans or designs that are usually the implementation, transition, and intercommunication links between strategic plans and operational designs (1 to 3)* Operational Detailed designs that prescribe specific actions of specific people at specific points in time (O to 1)* ______________________________________________________________________________ * Relative time spans of discretion. A company board of directors may do P&D on a basis of 5 to 7 years, top management 3 to 5 years, middle management 1 to 3 years, and firstline people 0 to 1 years. What the board considers operational P&D, the first-line supervisor will consider policies of 5 to 7 months, the foreman 3 to 5 months, the lead person I to 3 months, and the worker 0 to I months. A homemaker may consider food policies on a 5- to 7-week basis, the family shopping trip on a 3- to 5- week basis, the fill-in shopping 1 to 3 weeks, and daily meal schedule 0 to 1 week. Criteria Used to Select the Content of Approaches (a) The effectiveness of the approach in achieving the desired results of the specific purposeful activity (b) Potential in fostering creativity and innovativeness (c) Ability to decrease the time spent on converging on the results (specific how to methods) (d) Effectiveness in utilizing all resources (time, money, people, energy) (e) Clarity in identifying points at which critical decisions are needed (f) The ease with which people at all levels are involved (g) Ease of learning the approach (h) Probability of leading to implementable solutions (i) Reliability or reproducibility of results (j) Capability for easy monitoring of approach (k) Adaptability to and flexibility for different circumstances (i) Ability to consider related societal and environmental factors (m) Appropriateness for all sizes, types, and sponsors of problems (purposeful activities) (n) Opportunities to minimize (balance costs of getting data with costs of inadequate accuracy and precision) and effectively utilize the kind and quantity of data collected (o) Capability of minimizing the uncertainty level in decisions The Operating and Supervising Approach Maintaining a "good" system is the primary objective of this purposeful activity. This is the responsibility of administration or management. The literature suggests many approaches to operating
- 71. and supervising: expectancy theory; leadership and motivation; contingency theory; human relations; management by results communications, objectives, performance measures, allocation, exceptions, or forecasting, or so on; conflict resolution; systems theory; and so on. Many approaches are algorithmic (very specific steps or procedures to follow) in nature (e.g., when to reorder materials, how to schedule work hours, what sample size to choose). The management literature does not however, establish different approaches for the different types of problems or purposeful activities it identifies, such as planning, organizing, operating and controlling. The operating and supervising approach synthesizes these different ideas into five factors, and treats the ideas in the literature as if they applied only to operating and supervising purposes. The Planning and Design Approach An equally large number of P&D approaches are proposed in the literature. However, the planning and design approach represents a synthesis of what "outstanding" P&D professionals do and how research on human perceptions can apply successfully. Most of the P&D methodological literature suggests other methods and ideas, but this appendix explains why the approaches of respected P&D professionals and different interpretations of research form the basis for the remainder of this appendix. The Evaluation Approach Evaluation is a relatively recent arrival on the formal purposeful activity scene, yet is developing an extensive literature. Evaluation approaches are illustrated by efforts in technology assessment, appraisal paradigms, audit trails, ombudsman offices, and accountability. Business audits are an early form of evaluation. Most evaluation ideas relate to the values and objectives identified at the time a system or solution was installed: at that time, measures of performance or people's impressions about the performance of the system, artifact, or service program are obtained to serve as the base for assessment of achievement. Some methods contain long lists of questions (not necessarily divided into factors in a total approach) or resolve around experiments or pilot projects. Rationalism seems to govern most approaches, although affective considerations are increasingly voiced. The Research Approach Various specific methodologies (e.g., experimental, philosophical, theoretical, longitudinal, action synthesis, taxonomical) can be a part of the approach shown elsewhere in this appendix. This is not totally surprising when you consider the various outcomes expected from the purposeful activity: generalizations, previously unknown relationships, causes, and forecasts and predictions. Even though objectivity is a supposed attribute of the research strategies and of "science" in general, the other factors demonstrate their relativity and even prejudicial aspects. Subjectivity, or at least culturally conditioned ideas, form the basis of this as well as the other approaches. After all, research problems are always defined subjectively. The Learning Approach The theory of learning is really in it's infancy, even though humans have always been learners. It is currently believed that cognitive, affective, and psychomotor skills are involved in learning. The available principles are mostly summarized in this appendix and are stated in a way to help accommodate a variety of learning styles.
- 72. The five-factor approach for each purposeful activity can be expected to promote continual change and improvement. But the approach ideas already available lay the groundwork for better solution finding and implementation. The five-factor approaches encourage exploration of alternatives and flexibility. They create an atmosphere of openness and interaction among people, and enable the individuals involved to become better problem solvers in all spheres of their lives. Selecting the appropriate purposeful activity helps to avoid the difficulties expressed in the old adage that "organizations waste more time and money on doing the wrong things efficiently than they ever could on trying to do the right things, even if inefficiently." Determining which purposeful activity is involved improves effectiveness and performance by using an approach that focuses on doing the right things before trying to do things right. Summary An approach is composed of principles and modes of actions. It creates a mindset and methodologies for problem solving. There are numerous problem-solving approaches, but they are variations on four basic ones: do-nothing, chance, affective, and rational. Do-nothing can be dismissed because this appendix assumes humans do want to solve their problems. (1) The chance approach focuses on the importance of the accidental in problem solving and life in general. (2) Affective approaches stress intuition, insight, feelings, and divergent thinking. (3) Rational approaches are characterized by linear, systematic, methodical processes. Each has merit, and serious flaws. Some are more applicable to specific human purposeful activities than others. A total approach synthesizes them into five factors integrated along a time line: pursuing a strategy, specifying and presenting the solution, involving people, using information and knowledge, and arranging for continuing change and improvement. This basic structure is then specified for and adapted to each purposeful activity. Chart
- 79. Summary The application of techniques (modeling, regression analysis, statistics, sampling) is a variant of the measurement approach. It assumes that the knowledge generated by applying several techniques to a problem will lead to solutions. Sometimes applying a technique is deemed to be the solution, for example, management by objectives in federal agencies. In addition, there are single method problem-solving approaches. Their advocates often claim universal appropriateness for their particular method. One example is the Diamond Model. It begins with problem recognition, proceeds by conceptualization to development of a conceptual model, then by modeling processes to develop a scientific model, and then by 'model solving" to arrive at a solution. The final step is implementation of the solution in the problem situation. Strategies for Secondary Purposeful Activities I. To make a decision (in any stage, phase, or step in an approach) 1. Establish measures of effectiveness (scales of value or criteria) related to the purpose of the decision 2. Establish the weighting or importance of each 3. Determine decision rules that will be followed 4. Measure the amount of each criterion present in all alternatives being considered and estimate the probability, if necessary, of the alternative being workable and implementable on the basis of the criterion 5. Combine by multiplication the measure, weighting, and probability of each criterion for each alternative 6. Select alternative based on decision rule II. To maintain a standard of achievement (control) 1. Identify key factors in the system (see values and measures dimensions) that must be controlled in order to achieve the intended overall result 2. Specify the basis for establishing performance standards for each key factor (forecasts, budgets, standard costs, turnover ratios, evolution by clients, delays) 3. Define the information-the accounting records, operating data, on-site studies, statistics-that must be accumulated to measure status and performance 4. Establish a reporting structure and sequence that identifies performance in each control area, signals trends, relates causes and effects, and identifies results by responsibility under the plan of organization
- 80. 5. Compare measurements obtained with desired values, to determine significant variances 6. Take action to correct significant variances, on the basis of available alternatives or by returning to one of the fundamental purposeful activities III. To resolve a conflict 1. Each party develop a purpose hierarchy, starting with conflict topic, and seek agreement on selected level and related goals 2. Each party develop many ideal solutions to achieve selected purpose (IV) 3. Each party develop feasible ideal system target 4. Develop agreement for common target (I) 5. Additional negotiation on how close settlement can come to target (expand resources, stimulation of people, alter positions, etc.) 6. Implement settlement IV. To develop creative ideas 1. Select stimulators (checklists, creativity principles, hierarchy of purposes, analogies, morphological box, etc.) related broadly to purpose for which creative ideas are sought 2. Follow bisociation concept of mentally forcing the plane for purpose to intersect with the plane of stimulator idea 3. Use regularity concept (more frequently occurring or important conditions) to stimulate the mind by focusing on only one condition 4. Involve all levels of personnel affected by the ideas to be developed 5. Stress freewheeling, no-criticism, piggybacking, effective group processes, quantity of ideas, and involvement of people 6. Break creativity activity into two or more sessions (hibernation or brain resting) V. To establish priorities 1. Determine purpose and goals that priority list will help individual or group to achieve 2. List present and future activities that need to be done 3. Identify the vital few activities that are most important (ranking, couplet, matched pair, Pareto's emphasis curve, etc.) VI. To make a model of a phenomenon 1. Break down the phenomenon into simpler ones 2. Establish a statement of model objectives 3. Seek analogies 4. Consider a specific case (with quantifiable values if possible) 5. Establish symbols 6. Record the obvious 7. Enrich factors and abstractions, simplify all features VII. To practice or exercise a skill 1. Determine the attribute or skill in which proficiency is desired 2. Establish overall objectives to be attained 3. Set up ten to twelve time intervals and establish the proportion of the objectives to be attained at each time point (a progress curve) 4. Repeat desired activity (including known corrections) 5. Measure performance (II) 6. Take steps to change if performance is unsatisfactory (lessons, reduce or increase pace, get observer) VIII. To focus and motivate individual efforts 1. Develop performance measures and objectives for function(s) to be achieved and output(s) to be produced* 2. Design and install methods for the individual and the organization to monitor performance with these measured performance 3. Establish a system of rewards meaningful to, and understandable by, the employees on the basis of measured performance
- 81. 4. Provide the resources needed to accomplish the objective 5. Reward performance on the basis of formal organizational objectives; allow growth rewards based on higher-level objectives not included in the formal measurement system: rewards should be timely, and the incentive system should emphasize reward over punishment ______________________________________________________________________________ * In many cases, the people for whom the objectives are being set participate actively in these steps. Summary The decision to do something about a problem automatically gives rise to the question of how this something is to be done. The key word is how-how to proceed, how to formulate a problem, how to seek and implement solutions. How means explicit and predictive methods, not simply a set of exhortations. It means providing, for example, specific techniques for transforming a problem as stated into a statement of the right problem, not merely proclaiming, "Be sure you formulate the problem correctly." How must address all aspects of an approach: determining the problem type and locus, the timing sequence for problem-solving activities, who should be involved, what group of techniques will be most effective, methods for ensuring continuing solution change and improvement, and so on. Selecting P&D Project(s) (If Needed in Step 1A)*
- 82. Group Realities
- 83. Many of the preceding generalizations are applicable to groups, although group realities tend to be more complex. Groups are not simply the sum of many individuals profiles. They have their unique chemistry, resulting from a myriad of individual reactions and interactions. This appendix will provide background and references regarding group interactions and techniques to facilitate them. Some characteristics of groups are presented with the same caution as previous generalizations: * People in groups play different information processing roles: instigator, listener, court jester, nice guy. * Sometimes the loudest and most frequent speaker dominates a group to the detriment of the group effort. * People in groups respond to messages they agree with and tune out information they don't agree with. * Groups tend to take risks only in the direction of the average pregroup disposition. Group-think can result, negatively affecting solution quality. In any group, there is always enough information so that, through careful selection and manipulation, any position can be supported. Group interaction is further complicated by the characteristics of the organization (company, city, etc.) from which these groups are drawn. The following statements suggest some of these characteristics. Again, one must proceed with caution because organizations differ significantly as a function of the number of employees, budget, purpose, history, management attitudes, political perspective, decision- making processes, and so on. Each environment in which P&D is attempted is thus unique and may be different next year from now. 1. A high degree of inertia afflicts organizations with regard change. Inertia is a consequence of self-protection. Self-protection results in reduced risk-taking and a concentration on self maintenance. Government executives, for example, often display maintenance rather than task-oriented behavior. They occupy themselves with averting potential political threats rather than with government effectiveness. Fear of risk taking means that organizations do not consider fundamental changes "because usually there are circumstances which preclude them from doing anything very different from what they are already doing." Self-protection also leads to organizational overstructuring. Government and business share this tendency. One example is the dramatic drop in the ratio of armed service personnel to admirals and generals since World War II. The result is that many managers each protect his or her fiefdom, making real change highly unlikely. Indeed such managers may even be the source of the problems, but uprooting them is next to impossible. Surely, then, the actions of conventional P&D strategies retard efforts to overcome inertia, maintenance behavior, fear of risk taking, and self-protection. Even individuals who may not instinctively have these proclivities are forced to adopt them when they are confronted by a P&D professional following conventional strategies. 2. Organizations tend to hire people similar to those already there. This influence often reduces the opportunity to obtain competing creative ideas, and establishes similar risk-taking propensities as already exist in the organization, either aversion to or affinity for. Such ingrown tendencies lead to avoidance of the real problems as if they didn't exist, rather than attempts to solve them. The organization's purposes become narrowly defined as a result. Conventional P&D then compounds this narrow perspective by analyzing and subdividing an already limited problem-as-stated. An organization's past performance tends to indicate future actions. This is certainly to be encouraged if the organization has the breath, diversity, creativity, and other features requisite to continuous improvement. Unfortunately, this is not often the case. Although organizations pay lip service to the need for creative, resourceful employees, in actual fact the incentive structure and "tribal ways," as one consultant put it, reward standardized thinking and conformity. 3. A lack of effective communication plagues organizations. A number of factors thwart effective communication. They include rigid authoritarian decision structures, lack of formal and informal
- 84. channels or employee input, and myths of organizational policies and performance. The results are personnel grapevines, rumor mills, divided loyalties, and often seething resentments. P&D professionals need to be concerned about the communications environment and other "readiness factors" when starting a project. Otherwise the P&D effort may be disrupted by hidden agendas and personal rivalries. Summary Some specific activities or methods to involve people can be suggested based on these important motivational beliefs: a Ask questions. The questions can be about where you are in the steps of the basic strategy pattern. These are nonthreatening. b An informal "team" could operate during, say, a usual lunch grouping, an organizational athletic meeting, or a community's weekly service club meeting. Such groups have many other purposes and activities, yet the meeting represents an opportunity for asking positive and nondominating questions. c Set up a one-time meeting with people who might have constituted a good long-term project team had it been possible to get one established. One meeting of about 35 people was called to develop a statewide plan for getting school districts to set up a balanced unified learning approach demonstrating the relationship between ecological systems and human systems. Staff people were able to carry on with small group meetings and individual interviews. d Similar to c is the one-time meeting to plan the P&D system with the basic strategy pattern, as illustrated elsewhere in this appendix as well as Appendix - D. Interrelated Ideas about Involving People in P&D*
- 85. ______________________________________________________________________________ * On the basis of P&D approach activities (Column A) and the level of participation in the organization (Column B), one or more items are selected from each of the other three columns. Some research and applications evidence is available to guide selections (see text). + Most techniques are listed by purpose. ++ Techniques that do not require a group to actually gather together for meetings. The Level of Organizational Participation Column A in the chart on the previous page includes items from other scenario features (e.g., program of change and improvement, develop support for the solution), and excludes the internal steps of the phases. This helps portray the range of purposes that can help identify whom to involve. A more complete Column A would be the timeline of actual stages and steps developed for the specific project. The static generalizations in the literature about the relatively constant group of people to involve in projects should be viewed very skeptically because the purposes of the many steps are to varied. Trying to get many people involved in a P&D project can backfire if the organization, for example, has a pattern of authoritarian processes and style. This is not to say some simpler participation methods could not be used (see specific methods a and b on page __ ), but rather that determining the types of people and how they will become involved is going to depend on the levels of participation and involvement still existing in the organization. It is difficult to imagine, for example, how workers and first-line supervisors in an autocratic-type organization will ever get involved in meetings to design a new manufacturing facility. Identifying the level of organizational participation is not necessarily easy. Some measures of this are managerial style, organizational climate, readiness for change, or level of involvement. Column B lists overlapping levels or styles on the general scale, from no participative climate to completely participative climate. A particular level that "describes" an organization is at the very best a generalization that incorporates information on the behavior and morale of individual people, each of whom is different and possibly in conflict with others, in terms of style, objectives and values (Axiom 7, etc.). No statement of an organizational level is a predictor of the specific style or participatory character of a given division, group, project team, and so forth. In addition, time-variant characteristics impinge on a selected level. A person, department, and surrounding circumstances may well change over time in one direction or the other (e.g., the owner/entrepreneur relatively autocratic style gives way to collaborative management). Furthermore, the purposes and objectives of an organization are not directly correlated with it's participatory style or that of it's subunits. One hospital does not have the same level of participation as another with supposedly identical size and services. One tool-and-die department does not operate with the same managerial style as another. Nor will one project team or permanent P&D group operate with identical levels of participation at all times. The following are brief descriptions of the participation level in Column B.
- 86. None Participation and involvement do not occur. People express surprise if the "boss" ask them a P&D- type question. People are paid to "work," not "think." Decisions are made by the managers and their staffs, including P&D professionals who consider the manager's role to consist of making decisions to "send down." Workers, customers, clients, etc. (in Column C) and interviews, worker attitude surveys, referenda, etc. (in Column D) are unlikely to be considered with this level. Persuasive Autocracy Some recognition that an effort of "selling" the project or the solution is considered and incorporated "if there is time and money." Consultative Responsible managers ask others many questions and seek to obtain as many ideas as possible. Yet establishing criteria, weightings, and details is left entirely to managers. Reactive Control Assuming that the current solutions or systems are basically satisfactory, the organizations do get others involved with measuring, comparing, and assessing the performance in relation to what is desired. Citizens groups, regulatory boards, peer review, and so on, are means whereby participation is obtained. Policy formulation matters only occasionally arise along with operational and control matters. Bargaining More adversarial or at least structured formal involvement is built into normal operations. Stereotypic views of this level usually consider only interacting group meetings as the group process (Column D), but many others could be used. Anticipatory Control The organization consciously scans the horizon to become aware of possible future occurrences. Large groups can get involved through reporting intelligence that could indicate developments. They could also develop alternatives for responding and "controlling" the future. Joint Determination Relatively continuous interchanges of ideas between those charged with the responsibilities for operating a system and those working in the system. Although decisions are usually joint, a mandate or agreement usually does not exist. This means management operates in this style because we think it is desirable while workers have no assurance of it's continuation. Many other stakeholders also may not be included in the participatory effort. Supportive Collaborative efforts are likely to be more formalized, with some decision responsibilities spelled out (e.g., advisory group, citizen's commissions). Permanent Workgroups Regularly meeting employees and managers (usually during working hours) seek to solve all types of problems that emerge in any area of concern. Illustrations include productivity or quality circles of 8 to 15 people in each department of a plant, boards of visitors, health planning agencies, improvement committees, and so forth. Complete Self-determination is carried out by joint worker/management board of directors, or several joint groups share key decision-making responsibility (budgets, new products, acquisition/divestiture, personnel policies and practices, etc.). The related continuum of participation in planning in a country starts with little if any participation, if only the central government does the planning. Other markers on the continuum would be ministerial or sector participation, regional governors, city/town heads, community leaders, and all citizens. Some explanation is needed about the frequently used word group (any two or more people set up to meet informally or formally) in relationship to a P&D question or assignment. A group is not always needed in P&D, but these characteristics of groups should be considered whenever a project is organized (i.e., the P&D system is designed):
- 87. Purposes and Objectives of a Group P&D level involved (policy, strategic, tactical, operational), clear, valid, flexible, capable of changing, internally or externally developed, measures of effectiveness for group activity. Source of Legitimization and Reporting (Purpose and Inputs) Degree of support, ability to terminate or extend, degree of autonomy, to whom is group responsible. Membership (Inputs) Relation to P&D level (policy, etc.), how each became member of group (appointed, self-interest, etc.), degree of leadership each seeks to exert, relationships with other members and appointing individual or selecting group. Procedures and Participation Patterns (Sequence) Communication modes, positions of individuals (executives, workers, mixed, etc.), formal and informal operating methods, format of real-world interchanges, openness and permissiveness (see Column B), ability to act as a unit, nonverbal methods of communication. Atmosphere and Cohesion (Environment) Freedom and friendliness, frankness of discussions, willingness to speak up, ability to operate effectively as a team, operation under crisis, commitment to purpose. Timeline Commitments (Measures of Sequence) Interrelationship of all aspects into time schedule, standards of group operation (on time, rules of order, etc.), cost of P&D, external audit control of group. Subdivision Modes of Organization (Environment) Functional components, issue-based, persons interested in the specific arrangement, coordination mechanism among subdivisions. Leader or Facilitator (Human Agents) Degree of control, P&D professional as facilitator with member as chairman (depends somewhat on P&D level involved), source of decision making. Physical Resources Available Computer terminals, condition of physical meeting facilities. Information Resources Available Library and database facilities, expert-knowledge persons, accessibility. A permanent P&D group (group for product development, curriculum design, long-range corporate or regional planning) needs some other characteristics: team-building skills, contingency decision methods for switching roles on occasion, and modes of interrelating with other organizational groups charged with operating and supervising responsibilities (e.g., executive office of the company president, academic dean's council, employee's work group on production problems, hospital administrative council). Ad hoc task or temporary groups can be set up within an organization or to reflect community or cross- organization needs. They enable an organization to react fairly quickly to new needs or to obtain a relatively independent P&D effort. They can often perform without disturbing normal operating and supervising responsibilities and regular activities. Either type of group can provide a greater variety of perceptions and reasoning patterns, creativity views, and communication channels. "Ownership" of the solution is promoted to help ensure acceptance and implementation. Better-quality solutions with fewer errors are developed. New "leaders" or managers are given a chance to "try out" as chairperson of a group, and individuals are able to assess their own interests in a wider variety of settings. There are disadvantages to groups: Conformity may be socially advanced for lower-quality solutions by even powerful minorities. The risky-shift phenomenon may infect a group. Some groups tend to settle too quickly on a solution. Some avoid even high-quality ideas once a tentative solution has been accepted. Individual goals and "hidden agenda" may push toward "winning" in the group rather that
- 88. toward a better solution. Self-prominence may motivate some rather than organizational benefits. Some disagreements on project or substantive topics may lead to personal animosities that manifest themselves in attack, silence, or resignation. Some different techniques (Column D) may be used if the group is geographically dispersed with insufficient funds for people to travel to a meeting. The People to Involve The variety of people who ought to be involved, in terms of their roles and positions, is almost always large, whether or not they are in the group per se. Some should be included in the whole project, most at various points in time (Column A). In addition, many people in and outside of the organization may have an interface relationship with the project area. They may need to accept the solution, change behavior, bargain for scarce resources, understand the solution, authorize a loan, and so on. Whom to involve is thus very critical. How much to involve them is also critical, up to and including "getting in bed with them." Each human is involved in several activities each and every day-work, transportation, parental, religious, social, civic, marriage, and so forth. Each one involves roles and produces problems with different purposes. Each activity has an impact on the others. To assume that a factory worker, for example, will deal with an organizational P&D project on it's "objective" merits only without considering the other personal roles is foolish. Column C refers to the roles a person plays in relation to a specific P&D project. The same person is very likely to play another role in other P&D purposeful activity projects in the same day or week. Even a person's percent of time in each category will vary over time. Today's expert may be tomorrow's manager, today's activist tomorrow's politician, today's worker tomorrow's union leader. In general, the variety of roles and skills needed for a P&D project should be identified before individuals are considered. Then, the various possible roles of each individual should be listed to determine where a person could be utilized in more than one role and where other roles of the person potentially conflict with the needs of the effort. A person selected for a "citizen" or "consumer" role in a health care planning council may not be effective because a job assignment concerns selling medical supplies. Even a "small" project will need several roles, all of which need to be blended over time. A person now working in the system is a "craftsperson" at the job, however mundane (janitor) or esoteric (cooker of electronic computer chips). They contribute quite effectively because thoughts about purposes and ideal systems have most likely crossed their minds many times. Such a person has often contributed ideas that would, if implemented, eliminate the person's job. With a focus or effective implemented solutions, such involvement becomes an essential of good P&D. The modern-day expert is considered the possessor of arcane, abstruse, and esoteric knowledge that can overwhelm the nonexpert, irrespective of it's veracity. Discussions tend to shift from the user's perspectives to those of the experts. The P&D strategy is thus crucial because following it can keep the breadth of alternative options open as long as possible before arriving at closure. Most of the roles listed in Column C are self-explanatory. A comment or two may be needed regarding the entry "Personal Qualities -Autocratic/Participative/Permissive, Personality, etc." People at any level have different styles or "amounts" of realities. None of them are easy to identify for a specific individual, but some "show" up more easily than others. A mixture of amounts of these personal qualities is certainly desirable in a group to provide broad perspectives and balanced views. People who are to fulfill these roles may themselves have different characteristics, irrespective of their "personal qualities." A person with experience may be a desirable participant, regardless of personal qualities. Some will be-must be-clients needing the service, owners, or a concerned manager commissioning the project. Some will be selected by "outsiders," such as the chamber of commerce and the citywide labor organization selecting their representatives to a mayor's task force. They cannot be omitted, irrespective of imbalance or lack of experience. This real world gives greater poignancy to the concepts embodied in the timeline scenario. Obviously, though, there are desirable characteristics that should guide the selection of people if there is a choice:
- 89. Commuicative Flexible Experience Cope with information Motivated Good image of P&D Persistent Good judgment Intelligent Abstract/reality Sensitive Respected in usual Compatibility Values the problem role Good interpersonal skills locus Willing to work Opportunity seeking Aware of need for P&D Willing to listen Willing to do share of Willing to express Persuasive work views Respected by peers Civil to others Credible Productive Tolerant of others Respectable personality Tolerate ambiguities Still, the major criterion for selecting people should always be proving the probability of arriving at an effective (and innovative) implemented solution while effectively using all P&D resources. This almost always means that "social homogeneity as a selection criterion…[and] social conformity as a standard for conduct" are inappropriate for a good P&D group. Several guides identified in many research and experimental projects can help a P&D professional and an organization in putting together a "good" P&D group when this is possible. Because membership in many groups cannot be set up on the basis of "good" guides, adaptations may need to be made in the strategy, group techniques, information used, continuing change concepts, and so on. Group Size Seven plus or minus two is advised. More than 11 or 13 tends to restrict interchange because people do not listen, hide and do not speak, form small coalitions, or make speeches. Aggressiveness of a few predominates, the chance for consensus and a quality solution decreases. Fewer than five is usually too small for adequate representation and dynamics. Groups with odd-numbered membership promote productivity, avoid coalitions, and generally result in effective outcomes. Name of group Many are possible, but local conditions and word meanings (Axiom 6) should govern. Some frequently used terms include project team, task team, design group, venture team, P&D committee, P&D circle, planning unit, and "X-system" planning team. Representation All roles, key actors, and skills regarding the real-world locus and values should be present. Convergent and divergent thinkers, bureaucrats and freethinkers, all should be included. Heterogeneity is to be sought, for this increases the information base collectively available in the minds of the people. It also increases the creativity and number of ideas as well as the likelihood of eventual acceptance of the solution. It may cause some problems in communications because of jargon and may force limits on the space in which a solution might be found. Some difficulties may arise because of people of different status being in the group (e.g., top management, technical staff, line managers, workers in locus area). Several of the group process and meeting ideas can ameliorate these difficulties, helping the group to learn together while aiming toward a solution. Longevity People should be sought for ad hoc groups who are likely to stay with the organization through installation. Commitment and Cohesiveness The position held by a person might very well indicate that the incumbent ought to be included. But if the person is not interested or has no philosophical commitment regarding "doing something" to find solutions, then why include that individual? Expansion and Contraction A core group may be selected for service throughout the project or for the permanent P&D function. The members would seek content area experts to add, say, in Phase 2, decision makers in Phase 3, technical people for detailing in Phase 4, and operating people for installation in
- 90. Phase 5. A permanent group (e.g., corporate planning committee, hospital long-range planning committee) would operate in the same way, expanding and contracting as needed. Involving such people can also include sending them meeting minutes, a core member informing them occasionally in person, listing them in a Delphi set of questionnaires, sending them a regular newsletter, and/or interviewing them on a regular basis. Another version of expansion occurs when several other groups are needed for each of the functional components developed in Step IF. The core or overall P&D group continues to coordinate the other groups. The functional component groups proceed to do P&D until their work is integrated into the overall plans, or they may stay in existence until installation is complete. In other words, groups are dynamic and need constant change. A P&D group itself could well be replanned every year or so. Many people get new positions or assignments that significantly influence their effectiveness and interest. Others may just lose or change interest as certain steps or phases are completed. A method should be set up for replacing such people and bringing in new people. Actually selecting the people is a decision-making process. The following are some general criteria: * Fit the level of P&D involved. Even though a company worker might be involved with policy-level formulation, perhaps a representative of workers would fit better. * People internal to the organization who feel the "tension" or difficulties are likely to be motivated to seek a solution. * Original, betterment, or correction needs. * People usually external to the system who form a pressure group (of consumers, clients, etc.) urging changes. * Nature of the project. This may vary over time, starting with, say, a correction design need, but becoming bigger through purpose expansion. * Time available for the P&D effort. Less time may mean more people. * Importance of convincing others before implementation can take place. A large decentralized organization where a solution influences many may require more people with geographic links. * Stakeholder representation. Several considerations illustrate this: who pays for the project, who will gain (lose) financially from a solution, who affects implementation, and so on. * Importance of the quality of the solution. Higher-quality solutions need broader sets of experts and knowledgeable people. * Range and credibility of skills available internally and externally. * Leadership abilities of possible chairman and/or P&D professions. * Variety of affective human characteristics: ego involvement, individual and social aspirations, propensity for risk and for conflict, attitudes toward change, personality type, political and value sets, and so on. * Ability to recognize the need for changing the group membership. For example, if the selected level in the purpose hierarchy is bigger than initially expected, the members should be willing to drop out and/or ask others to be involved. Furthermore, the need for various human abilities decline (knowledge, technical skill) or grow (estimation, communication) as the strategy phase proceed. * Person(s) who know where information can be found or inexpensively obtained. * Amount of resources available for the P&D staff and other support for the group effort. * Widely distributed influentials. * Accord with legislative mandates. Identifying likely candidates can often be accomplished by asking five or more people in key positions in the organization (community, region, P&D locus, etc.) to nominate people who satisfy these criteria. A person's name appearing on, say, 30 to 50% of the lists, is a likely member of the group. This technique also communicates the need to and establishes a resource for ideas in key people. A chairperson is often named in advance. This selection is critical. The chairperson must keep a group "moving" in coping with the almost enviable short timeline for the effort. The chairperson should be neutral regarding what solution may emerge, and ensure that all ideas are aired, even when personal predilections are challenged. Too often, group members feel they are being cooped into accepting what
- 91. the chairperson has already decided. This should not be the case for a P&D effort. Calling a group together to design a presentation, training, or orientation system for a previously developed P&D solution is a legitimate activity (strategy Phases 4 and 5). A good chairperson would also learn something about the background and interests of each P&D group member before the first meeting. Other criteria for selecting a chairperson include the ability to keep the group from tangential issues; understanding when to suggest consultants, experts, aides, or sounding boards; ability to gauge which questions, components or aspects are critical; ability to be given status and mandate support; capabilities as a communicator (listener, speaker, enthusiasm); understanding of rules (for running meetings, yet capable of "bending" the rules when the group senses it needs to do so); and a sense of humor. The P&D professional is often a staff person to the chairperson and group, very often conducting significant portions of meetings so that the various strategy steps and techniques are utilized effectively. On some occasions, the P&D professional is the pseudochairperson, setting up the meeting agenda (always in consultation with the key people who collectively might constitute the equivalent of a chairperson) and generally conducting the meetings on behalf of the group. The roles of a P&D professional are the subject of the concluding section of this appendix. The Group Processes and Techniques A group is arranged to achieve certain aims, and it should do so in the most effective manner possible several overall ideas are therefore germane. First, having a group does not necessarily mean that meetings will be held. Several techniques (Delphi, opinion polling, telephone conference, interactive TV/computer processes) let groups "meet" without the meetings. Second, one or more of the Column D group process techniques can be used individually or together in a meeting. Several may be used sequentially (e.g., nominal group for purposes, brain writing for ideal systems, gaming for major alternatives). In addition, each technique, as described in most of the literature, must be adapted to fit the PDA scenario. Almost all are presented in conventional terms, for example, to probe for problems or difficulties or barriers, instead of purposes or ideal systems or regularities. Third, the techniques can "mix or match" with one another and with various groupings of people. The nominal group technique, for example, would divide a large group of, say, 40 people into four is usually random. However, the small groups could be organized by roles (users, politicians, operators/workers of current systems, etc.) if each role-type feels it's point of view must be sharpened. Or they could be organized by personality type (sensation-thinkers, intuition-feeling, sensation-feeling, etc.) if a variety of ideas for a step is desired. In general, though, coalition formation (e.g., users, politicians) should be avoided; getting a diverse group to work together is, after all, a key objective for P&D. Fourth, a technique is always insufficient unto itself. It must be tied firmly to the other considerations shown elsewhere in this appendix. The question to ask or the purpose to be achieved is often far more important than the technique. Using a nominal group technique to elicit assumptions concerning how to convert reading research results into classroom instructional procedures is virtually certain to elicit many statements about a wide variety of present conditions of reading instruction. Asking the group instead to determine purposes/functions of reading instructional procedures is far more likely to get the group to identify what really needs to be accomplished in hierarchical terms and how these might be creatively achieved. Good group techniques by themselves will not necessarily be effective, just as participation by itself is not effective without concern for how the questions are posed. Many techniques and models not included in Column D could be used in group modes. Some are discussed elsewhere in this appendix: couplet method, purpose hierarchy construction, regularity development, and solution framework. Others in this appendix (interpretive structural modeling, activity matrix, utility assessment, scenario writing) could also become the basis of a group process. Many techniques are interwoven into the strategy being followed along the timeline. For example, a nominal group might be used to develop a list of purposes, an interactive discussion (normal open
- 92. interchange) with the couplet method to select the smallest scope statement to start the hierarchy, and a completely interactive discussion to do the expansion, all in the first meeting. Then a partial nominal group (silent generation of rankings) to select the purpose level and shared participation to generate measures of effectiveness might constitute the second meeting. Interviews with individuals to generate possible ideal systems would precede a third meeting, which would involve an interacting group discussion of the interview results to add more ideas, and so on. Using a group and "having a meeting" thus require serious consideration about "how to do it." In addition to the techniques in Column D, there are some additional guides for conducting good meetings. For example, one set of ideas says that there are six aspects of a group meeting: communications, role of each member, leadership and authority, group needs and aspirations, decision process, and inter-group issues. Summarizing and adapting all these ideas for P&D purposes results in the following guidelines for the leader (group chairman or P&D professional): * Stick to a previously distributed agenda where topics are purpose oriented. Many research projects show structured group activities are far more effective and take no more time than unstructured groups. * Err toward covering a little too much on an agenda for the available time rather than too little. Parkinson's Law does seem to hold: the work expands to fit the time available. An attitude of parsimony does tend to prevail even though all may not be accomplished. * State on the agenda how long the meeting will last. * Within each agenda topic, control only the process, not the content. Be a gatekeeper: give everyone a chance to contribute by a leader-arranged round-robin process, call on nonspeakers, use techniques that assure everyone's participation (e.g., nominal group, brain writing), and statement of meeting rules of order. * Start with statement of expectation of achievements by end of meeting. * Inform group of developments since last meeting. Use displays. Individuals responsible for interim activities should inform others of progress. * Summarize what the meeting has accomplished, what is to be done and by whom before next meeting, and what the next meeting will concern. * Use majority voting only as last resort when differences are pronounced enough so that consensus is not really possible. Use the telephone to get information. * Be enthusiastic about the group's work if you expect the group to be interested and enthusiastic. * Put any P&D decision that narrowly achieved a majority on the agenda for the next meeting as a means of surfacing new information, obtaining ideas from experts and persons with other roles in the organization, heeding warnings of moral and ethical consequences, and getting greater group concurrence. * Reiterate as needed the overall strategy and total approach within which the meeting's agenda topics fit so as to reinforce the holistic perspective as a basis for P&D decisions. "Listen with your whole being." Because continued practice of the approach will reinforce behavior patterns of individuals for other projects, emphasize purposes/functions for all deliberations and decisions. Check and recapitulate to assure broad understanding among members. * Avoid spending too much time on a conspicuous idea or the first alternative, and look for other alternatives and broadening information. Avoid the dangers of "groupthink" pressures toward conformity and uniformity. * If possible, have someone other than a group member take minutes, to be circulated before the next agenda is distributed. Record ideas initially in the way an individual states them. * Avoid handing out material at the meeting not previously reviewed by the group. This may be difficult to adhere to because the nature of P&D causes new information to appear at short notice. * Adhere to time limits and set up future activities on a timeline basis.
- 93. * Maintain some flexibility so informality is not cut off when group members seem to need it for building openness, creativity, and trust. Discussion can be encouraged if a hot topic arises affecting the P&D project, even outside the agenda or from outside the group. Avoid self-censorship. * Recognize that each group is different. Some start as a collection of individuals, an affiliated group from the same organization, supporters of a movement, or class or level of worker. Each should design it's own "system." * If status (organizational level, experience, power, reputation) is highly variable, talk with the high- status people before the meeting to get expressions of willingness to have equality of treatment in the group (advocate first-name basis for everyone; avoid introduction of any status symbols such as "expert" or "doctor"; avoid criticism of ideas during idea generation steps; seat people at random or alphabetically rather than by position or representation). * Conflicts that arise should be put into a win-win form that aids rather than disrupts the P&D process. Creativity can emerge from conflicting viewpoints. For example, move to bigger level purposes in the hierarchy, get each person to express the other person's position so it is acceptable to the other one, focus on achieving the purpose and the P&D results rather than on defeating a person, give all people all information to avoid coalition formation, and take a little more time rather than moving directly to voting. This appendix contains a strategy for conflict resolution (number III) that might also help in P&D groups because it seeks to design a solution to the conflict. * Refer to supporting evidence for the axioms and propositions if a person promotes early on the solution the P&D group should support, emphasize the difference between believing and doubting games, remind the group that purposes come before solutions, and so on. * Be alert for problems and difficulties. Some people may act bored, attendance may be low, some people may attack the chairman (self-interest is always present in individuals), time always seems to run out, there is a lack of team skills and respect, facilities are not good, people have mistaken expectations, people think material presented is too complex, and so on. One difficulty that has arisen in PDA projects is the frustration a person or two on occasion feels about not being able to install the FIST right away. Referring them to the continuing change factor and getting them involved in installation actions may help alleviate this "interesting" development. * Wait at least three seconds after completing a question, even if there is complete silence, before saying anything else at all. Continued talking or only a short delay after asking a question minimizes greatly the likelihood of responses. * Be neutral in responding to member's ideas. Avoid saying, "OK," "good," "great idea," "fine," and so on. Additional questioning and probing stimulates more and better responses because people do not become subconsciously smug and satisfied as they would with the complimentary words. Overall perspectives about how information and techniques might be generally utilized are presented elsewhere in this appendix. The Meeting Conditions More often than not, conditions surrounding a meeting do make a difference. One hospital, for example, had just been refused a request by the state for a rate increase. A program to reduce costs and increase productivity while maintaining good quality of care was necessary. Two or three people from five different constituencies were asking to attend a meeting to initiate the program: trustees, administration, medical and nursing staff, union, and former patients. The board chairman was meeting chairman. Three of my colleagues were invited to discuss how the program could get started. Several seemingly trivial decisions had to be made regarding the meeting conditions. Where should it be held? A corner of the cafeteria was selected because it represented "neutral" turf. What seating arrangement should be set up? A large square was formed from several tables so people could sit on all four sides in a nonconfrontational mode. How should people be identified during the meeting? Name place cards, 6 by 9 inches and printed on both sides in advance of the meeting, would be placed in
- 94. wooden blocks in front of each person. How should seating be arranged around the table? If nothing were done in advance, it is virtually certain that the three union representatives would sit together, three trustees together, and so on. Coalition formation would be encouraged too early. Instead, the named place cards were set up on the tables in advance so that all representations were mixed. Other meeting conditions and features were also considered and incorporated-reduce noise by using sliding partitions, optimize amount of light by setting tables near the window, and keep temperature at 70 to 72 degrees to encourage staying awake. Some research suggests certain wall colors and textures as being soothing or stimulating. Physical appearances can also convey stillness or inertia rather than a P&D desired movement and stimulation. The amount of space per person should also be sufficient for the purpose of the meeting. Column E contains many items, from which several are almost always selected. Some items are always present (amount of light, heat, noise, ventilation, etc.), and their inclusion in Column E conveys only the need to check these factors prior to a meeting. What seating would avoid mixing smokers and nonsmokers? Ventilation (none is a poor condition), for example, should be checked to determine whether some can be provided, or whether drafts can be avoided. Utilizing the Five Considerations of the Table Shown Most desirable would be information on which categories of Columns C, D, and E should be selected for the project's status (Column A) and the organizational participation level (Column B). The chart below illustrates such a possible set of relationships. If such relationships were available for each step of a project, most of human parts of a P&D system could be quite thoroughly developed. In actuality, such a level of knowledge will not be available for some time. Yet portraying the form of the desired structure, such as those listed in this appendix, does show how the table in this section can be used to provide guides for effectively involving people. But for many, even most, organizational situations (companies, city or federal departments) and almost all P&D projects in non-organizational settings (regional planning, architecture, development planning, policy analysis), complete freedom in setting up and running a P&D group doesn't exist. What is to be done if 19 people are and must be involved? What if several executives in a group just do not like the "childish" silent recording parts of the nominal group process? What type of P&D group will be organize if top management is not very open and runs things fairly autocratically? There is no way for the guides (and the concept of the chart below) to predict exactly what is needed. The tables of this appendix thus presents only stimuli for developing the people involvement in the P&D system and for adapting actual P&D activities to specific circumstances as the project progresses. The payoff for considering these table's guides as the P&D strategy unfolds can be immense. It will be difficult to sidetrack a solution when it is developed by and/or known to many individuals and influential opinion leaders beyond the decision makers and those "in power." Legitimacy for a solution is developed when many partake in it's development. Successful implementation occurs when "a large number of people collaborate to invent solutions that are their own making and which have their own endorsement." Especially significant is to keep those in the real world "jointly" interactive with whatever group or individual is responsible for the project. Those in a P&D group, even part-time from the same real world, become part of the P&D world for that project and become afflicted with the P&D equivalent of the Hawthorne halo effect, which can blind people into believing that only their idea is good. The rest of the real world is not so affected and needs jointly to be involved. The following is an illustration of this:
- 95. Possible utilization (illustration) of integrated ideas about involving people in P&D A. Approach B. Level of C. Roles of D. Group E. Meeting activity organizational input procedures conditions along participation people timeline Protocol Users stage F Supportive Conference room Phase 1C Clients 2. Interactive Round table 1. Nominal On site Persons now working in system A possible organization for a P&D department of ACCI
- 96. THE UNITARY SYSTEMS THEORY INFRASTRUCTURAL PROCESS and CHART OF PROCEDURES THE NETWORK PROCEDURAL GUIDES GENERAL CONTRACTOR OF NETWORK OPERATIONS DIRECTOR OF PLANNING, DESIGN, and IMPROVEMENT ASSISTANT AREA ASSISTANT AREA ASSISTANT AREA DIRECTOR OF PLANNING & DIRECTOR OF TECHNICAL DIRECTOR OF RECORDS DESIGN APPROACHES & RESEARCH PERSONNEL RESOURCES SYSTEMS STAGE ONE SYSTEMS STAGE TWO SYSTEMS STAGE THREE (DETAILED ECA INDUSTRY (TOTAL ECA SUPPLY) (DISTRIBUTION OF FINAL DEMAND) DISTRIBUTION) TECHNICAL ORGANIZATIONAL RESEARCH into P&D P&D Professionals area no. 1 P&D Professionals area no. 2 P&D Professionals area no. 3 SPECIALISTS DEVELOPMENT QUESTIONS (e.g., Manufacturing or Matrix (e.g., Distribution or Matrix (e.g., Implementation or Matrix Organization Project A) Organization Project B) Organization Project C) INFRASTRUCTURAL AUTONOMOUS AGENT COLLEGIATE ANALYSIS & DESIGNING DATABASES IMPLEMENTATION SYSTEMS SYSTEMS PHYSIOLOGICAL SYSTEMS SOCIOLOGICAL PSYCHOLOGICAL PERSONNEL ORGANIZATIONAL APPROACHES APPROACHES SCIENTIFIC APPROACHES PERFORMANCE PERFORMANCE DATABASES EVALUATIONS EVALUATION PERSONAL CONCEPT ORGANIZATIONAL AUDIT and PROGRAM OF FIT CONCEPT OF FIT REVIEW COST DATA POLICY STATUS STANDARDS DATA MANPOWER STATISTICS INFORMATION SYSTEMS DATA PROCESSING APPROACHES PLANNING APPROACHES APPROACHES COMPLEX SYSTEMS COMPANY FINANCIAL MANAGERIAL PROFILES SUBJECT DATA SHEETS PM IN PM IN PM IN MATERIAL PM IN HUMAN PM IN CLASSIFICATIONS PM IN HOUSING PM IN ACCOUNTING PM IN HEALTH PM IN TEXTILES PM IN AGRICULTURE PM IN EDUCATION PM IN LAW TRANSPORTATION ENTERTAINMENT RESOURCES RESOURCES COMMUNICATIONS RIPDA & NO RASPSD & NO RIEWA & NO RRA & NO RSSS & NO RPII & NO RLNGMP & N0 RDSR & NO RDSP & NO RESSD & NO RSPL & NO RRPI & NO GLOBEMAN 21st SYSTEMS CONTROL NET MAP ECONOMIES OF JEL CLASSIFICATION BIT FAR-TERM DMSO VERIFICATION WEB SITE MEMORY NOVEL WWW STRATEGIC TIERRA PROJECT EIL: TOVE MANUAL CENTURY VISION & MONITORING SEQUENCES NETWORKS SYSTEM STRATEGY & ACCREDITATION STRUCTURE ORGANIZATIONS INTELLIGENCE LITERATURE RETRIEVAL BETTERMENT SCHEDULES ENVIRONMENTAL SEGMENTATION COMPETITIVE RESOURCE MONITORING SCANNING CONCEPTS STRATEGIES ALLOCATION IMPLEMENTATION MPS MPS MPS MPS MPS TEMPORAL PARIETAL LOBE OCCIPITAL LOBE MEDULLA & PONS FRONTAL LOBE LOBE STATEMENT OF OPERATIONAL P&D DATABASE PROCEDURAL PROCEDURAL OPERATIONS DUTIES SYSTEM STRUCTURING IMPLEMENTATION MPCS EXPANSION KEYNET SYSTEMS PROJECT OPERATIONS CONTROL THEORY HUMAN FACTORS RESEARCH THE PROBLEM FORMAT and it's STRATEGICAL FOUNDATIONS PSOS METHOD IDIAP CONFERENCES & MSDLC PHASES PHASES CONGRESSES ANALYSIS OF DATA MATHEMATICS and WORK LOAD CNSLINST 9OOO.ID FORMAT STATISTICS ASSIGNMENTS 1 2 3 INFORMATION MANUFACTURING DISTRIBUTION SYSTEMS SYSTEMS SYSTEMS GEOMETRICAL ALPHANUMERICAL STRATEGICAL DATABASE SYSTEM DATABASE SYSTEM DATABASE SYSTEM PROCESS CONTROL RULE-BASED NEURAL NETS THEORIES STRUCTURES DISTRIBUTED WEB GENETIC ALGORITHMS SEMANTIC NETS BROWSERS PLANNING & DESIGN PLANNING & DESIGN PLANNING & DESIGN PLANNING & DESIGN PLANNING & DESIGN PHASE ONE PHASE TWO PHASE THREE PHASE FOUR PHASE FIVE PERSONAL SYSTEMS MIDRANGE TRAINING MAINFRAME TRAINING CLIENT/SERVER TRAINING PERSONAL/BUSINESS TRAINING SOLUTIONS SOLUTIONS SOLUTIONS SOLUTIONS TRAINING SOLUTIONS SYSTEMS SERVICES SYSTEMS SERVICES SYSTEMS SERVICES SYSTEMS SERVICES SYSTEMS SERVICES PHASE ONE PHASE TWO PHASE THREE PHASE FOUR PHASE FIVE SYSTEMS SYSTEMS SYSTEMS THEORY THEORY THEORY 5A - 5L 1 - 12 S1 - S5 (L) BACKWARD CHAINING SEQUENCES HUMAN AGENTS, FUTURE (36) Summary
- 97. Should searching and Arranging for Continual Change and Improvement become part of some other department, such as management science, budgeting, corporate planning, information systems, productivity services, industrial engineering, or administrative systems? Yes, if the other department entails broad rather than narrow concepts. No, if they are technique-oriented rather than real- world/continual-change-directed. Be careful of the "Department of Blank") myth. Too often an organization sets up such departments to which it's executives can point with pride to show how progressive the organization is, but they are not really committed to ACCI and little gets done. Can a program be set up as a "collateral P&D organization" parallel to the "operating organization"? In effect, almost ever one operates and supervises in their existing organization, but "puts on a P&D hat" on a regular basis, perhaps with a different group. The Illustrative Stimulators for Developing Measures in Particular Projects Business Organization Resource utilization (efficiency), innovation/adaptiveness to environment, morale, goal achievement (effectiveness) Another Version for Business Market share, return on investment, amount of sales, cost reduction expectation, number of customer complaints, material utilization, absenteeism and turnover rates, timing of new product introduction, cost of grievances and industrial disputes, productivity ratios A Hospital View of Performance Interface relationship (minimize patient delay prior to admission, number of community educational programs, score on community attitudes toward and reputation of hospital), staff and patient satisfactions (comfort level, staff morale, consideration of social as well as medical condition of patient, information supplied to patient and family), efficiency of operation (minimize length of stay, medical staff time utilization, material utilization, cost per service), effectiveness of operation (mortality, morbidity, readmittance numbers, community awareness levels) Engineering Design Go-no go (physical laws, nature with or without physical laws), societal laws (Constitution, standards of technical associations, codes of communities), safety standards (underwriter's laboratory, insurance companies), resource availability (materials, energy, equipment and/or capital, labor), amount of capital and operating costs (reliability, maintenance, quality), and marketability Appropriate or Intermediate Technology Utilization of renewable energy resources, labor intensiveness, use of locally available materials, comparability with local labor skills, simplicity of installation and maintenance, use of decentralized technologies, satisfaction of local needs, environmental soundness, durability of solution User Benefits in Environmental and Architectural Design Conformance of user requirements to environmental form on basis of facilitating behavioral needs (overall, functional, operational, stimulus, spatial, and contingent), physiological maintenance (support, climate, hazards, and physical endurance), perceptual maintenance (consonance, operational, and sensory), and social facilitation (territoriality, organizational orientation, convergence, social isolation, and social accommodation) Urban Planning Economic, environmental, political, and social considerations. Additional stimulators: impact on organizational structure, degree of value agreement, need for coalition develop ment, impact on resource allocation, technical difficulty, and level of environmental stability Summary
- 98. Complexity is a relative matter. Several criteria, such as total cost, number of output items, number employees, size of area, and number of locations, may be used. A system may be considered large or complex if one person or group would be unable to do P&D alone, or if the cost of and the number of people now involved in or contemplated for the solution are rather high. Limited P&D personnel resources may also indicate that components are required for suitable priority and allocation. Selecting Measures of Effectiveness for Purpose/Function Level (Step 1D)* _____________________________________________________________________________ * Many items in column 1 may be organized by one or two of the smaller number of items in column 2, and a selection made by one or more of the still smaller number of items in column 3. (A) See ___________ about references for these techniques. (B) Also see ___________ for some details. (C) Also see ___________ for some details. See characteristics or criteria for M of Es in accompanying text. Making the P&D Approach Operational I
- 100. Making the P&D Approach Operational II Relationship of Readiness Factors and Programmatic Efforts in a Search for P&D Changes. The idea of estimating the range of program completeness from the rough measures of readiness is portrayed above. All of the curves represent hypothetical but mostly supportable relationships. The relationships portrayed are not and will likely never be highly reliable, thus are not useful for predicting the type of program to set up. Some illustrative interpretations about the types of programs identified along the ordinate in the chart above should help depict their range. Position A: No efforts Changes occur by "accident," as, for example, when equipment required to replace a 25-year-old machine much better. People in these organizations are often told when making an improvement suggestion, "Forget it, we're doing just fine. Besides, you are paid to work, not think." Position B: Random An occasional idea is tried, but ideas are not encouraged or sought. Position C: Crisis A special P&D or improvement effort is mounted to counteract a crisis (budget cut, price competition, sudden availability of materials), but the organized effort is dropped when the crisis fades. Position D: Positive Attitudes People search intuitively for possible P&D opportunities and this is encouraged. Or a "sharp" manager or top executive does seek and find continuing P&D opportunities, but usually finds it difficult to explain to other how it is done. The people get frustrated because they may not know how to proceed, and the manager gets frustrated because the others don't produce comparable results with their positive attitude. Position E: Department of _______________________ Commitment is translated to a department of ________________________ staffed with professionals of the current rage in techniques or solutions: organizational development, operations research, work measurement, policy analysis, computer information systems, and so on. If you are a manager facing the real problem of, say, increasing costs per unit, what is the likely response you get from the various specialists? The work measurement person will say: Measure more of the work, increase the number of jobs on incentives, gives yourself greater control
- 101. of the labor content. The operations research person will say: Build a mathematical model of cost relationships and get the optimum relationships. The industrial engineer will say: Flowchart the whole process and reduce the number of handlings, storage points, inprocess inventory items, etc. The organization development person will say: Provide team skill training to employees, have them meet to work out the problems. The value analysis person will say: Go over each component to reduce the material costs. The quality of work life person will say: Enrich jobs, lower the level of decision-making. The systems engineer will say: Do interpretive structural modeling and input-output analysis to determine the best information system for immediate diagnostic results for the manager. And so on. Whose advice do you take? Or, if you believe two or more should be put together, should you be the person who tries to bring together the various technique competitors? P&D professionals, after all, are supposed to help organizations achieve their objectives, not achieve P&D technique use. This position also occurs in large and complex political entities. Position F: Improvement Program Usually separate from P&D (long-range planning, product design, information systems) but does coordinate techniques, focus on real-world problems; seeks to develop human resources, yet uses conventional approaches. Position G: Complete Institutionalized PDA Program Seeks the same objectives as F but with the holistic perspective of the five intertwined factors. The Difficulties Found in Organizations Trying to Set up Quality of Working Life Programs throughout the Whole Network * Regression in the pilot project * Poor model for change because the initial project lacks either visibility or credibility or involves significantly different technology * Confusion over what is to be diffused * Higher management can botch up the way they formulate and communicate the diffusion policy * Inappropriateness of labels employed * Deficient implementation * Lack of top management commitment and junior opposition * Bureaucratic barriers of vested interests and existing organizational routines * Threatened obsolescence of staff groups [and] first-line supervision * Self-limiting dynamics of the "star-envy" phenomenon * Shift in the reward structure with payoffs for pioneers providing a better benefit-risk picture than for subsequent users * Early participants feeling special and superior * Rivalry among those engaged in work restructuring * Leaders skirmish with superiors and staff become aggressive in asserting their correctness and thus hurt their careers Summary The history and behaviors of the organization (network) will influence the amount of commitment to or readiness for implementing an institutionalized program. Putting together rough indicators of readiness for a program not only will lead to the most effective program for the network, but may well avoid the difficulties found in organizations when they try to diffuse, for example, work restructuring or quality of working life principles throughout all divisions and sections. These difficulties are virtual paraphrases of the explanations people offer for why individual project solutions are not adopted. To the extent that developing a program is a P&D project that should follow the P&D scenario, these difficulties can be minimized by considering the level of readiness as part of step 1b, the design of the P&D system that will be put into place to then design the institutional program.
- 103. PART II The Description of Operational Duties The Immutable Timeline
- 104. H Static, Snapshot View o F K How It Will Be - Information obtained from Politicians Dreamers Activists Unionists Puris ts (Economic, Behavioral, Philosophical, etc.) I How It Was - J How It Is - E Information obtained Information obtained from from studies in Biblical References Sociology Archaeological Studies Psychology Anthropological Studies Economics Philosophy Legal processes Written Documents Behavior Pres + n00 Medicine Biology Pres + 200 G O Approach To Understanding The Future Affective Utopian Leap Actively Maintain Status Quo Historical Analogy Scenario Writing Pres + 100 Drift Along Rational Extrapolation Conventional Planning Chance Total Future Five Intertwined Factors That Reflect The Other Approaches 2000 D L 1850 Present B rma Th e Pres - Past F (n-2),000 N Approach To Understanding Pres - The Present (n-1),000 Operate and Supervise Evaluation Research Pres - n,000 C M Approach To Understanding The Past A Research Retrospection Mythology Learning Historic al formulations The timeline basis for understanding change. Time is irreversible. It cannot be slowed or accelerated. It is an excellent illustration of infinity. Time is. It represents, simplicity in being, yet vast mysteriousness in it's infinity. Cosmic time, through space- time, discontinuities, quarks, or whatever, are simple once astronomers and physicists discover the relationships. But humans will not plan or design changes in terms of cosmic time. The grand concept of chronological time is the only basis for understanding P&D. "Time has no divisions to mark it's passage.... It is only we mortals who ring bells and fire off pistols." Humans define time quantities (hours, minutes, seconds). We refer to concurrency or simultaneity of activities or events during a period of or at a point in time. We develop quantitative measures allocating blocks of time to an activity, and seek ever more accurate measures of each block. We seek it's statistical variances, sequencing, changes, adaptabilities, natural cycles (half-life, circadian), and interdependencies. We seek predictions of conditions, activities, and events in terms of some future time horizon, "a
- 105. boundary which moves back as we move toward it and separates the foreseeable from the unforeseeable." With these and other sophisticated "attributes," the simple basis and the resulting profound implications of time appear to be forgotten if not ignored: Axiom 1 A continuous (rather than discrete) timeline is the fundamental basis for understanding the past, present, or future of any phenomenon. The immutability of time is surely undeniable. The implications about time as the basis of understanding a phenomenon can explained with the previous chart. Item (A) in the chart is a timeline representing the chronological passage of time. (B) arbitrarily locates the present (second, minute, hour, day, week, month, or whatever unit), which automatically defines the past and the future. The units used to subdivide time determine what constitutes a short or long time horizon. This afternoon's weather forecast might consider three days a medium time horizon, this quarter's budget in a manufacturing company might consider five years long range, this year's futurist projection might consider biological research in the year 2000 as middle range, and too today's hospital census, 30 days might be short range. The matrix (or any other desired modeling format, such as a formula, picture, prose, poetry, drawing, or graph) at (C) is a symbolic representation of the conditions of the phenomenon of interest (e.g., food sources, construction methods, political structure) at a previous point of time. (D) similarly represents current and (E) future or proposed conditions. Other matrices (or desired models) could be developed at any other points (F and G, for example) to describe the phenomenon's status at those particular times. Each phenomenon description thus far is static (H). Information about past conditions of the phenomenon comes from various sources (I), depending on the particular time scale. Most descriptions represent a limited perspective about the phenomenon for a block of time, a scrapbook of several snapshots, thus omitting knowledge already available about that point of time, but not considered pertinent to the description of interest. Names or labels are associated with the blocks of time as if the people then had no daily chronological concerns: Dark ages, Middle ages, Industrial Revolution, and so forth. We even become nostalgic about the scrapbook and it's snapshots. Other sources (J) usually lead to static descriptions of the present, while others (K) typically lead to predictions of static conditions at a point of time in the future. Names are assigned to the blocks of time represented by such snapshots or scenarios of the future as if the condition will emerge as a fait accomplished and people between now and then will have no daily chronological concerns. Some of these names are postindustrial society, electronic communications age, ecological humanism, Marxist communism. Some descriptions escape the static view by developing a themata or historical time perspective about a particular issue (farm implements, science, heritage of an organization), set of issues (civil liberties and political forms) impact of a "great man" (L). Everything is speculative after the present, irrespective of the firmness and certainty people assign to the prediction or snapshot of conditions or outcomes. Much more certainty can be ascribed to short-range projections (e.g., number of heart attacks per 100,000 population next year) than to those with long time horizons. The degree of confidence associated with a prediction for the future thus depends on the time horizon involved, the phenomenon of concern, the perception of the frequency with which changes occur (when the length of time for which current specifications are valid diminishes, time seems to be accelerated), and the degree to which the phenomenon is embedded within something else that is staying mostly the same. Any change in the future obviously arises from some aspects of the past and present, and these ties, even if they are below the threshold of awareness, are the major ingredients of these factors for assessing confidence. Static snapshots of a particular phenomenon in the future are seldom appropriate for finding workable solutions, despite the tendency people and organizations have for fixing them. Most often, the snapshots are assumed to be "right," offering little to support the view and conclusions of their creators except the latter's exhortations. Even explaining the snapshot in terms of it's larger "whole" is omitted. In addition, individuals and organizations are usually presumed to know how to move from the snapshot of what exists today to the scenario of tomorrow's desired solution. In most cases, this is not known, greatly decreasing the probability that the solution will ever be realized.
- 106. Why little confidence should be placed in these assumptions, and thus any snapshots, is explained by recognizing several reason ing flaws: (1) those predicting the snapshot adopt a posture of selling a "right" solution rather than solving a problem; (2) society, organizations, or individuals cannot agree on which snapshot to move toward because so many solutions are being "sold" as the answer; (3) little thought is devoted to working with people within their realities in moving toward a better future; (4) reaching the status described by a snapshot is assumed now to be sufficient, and thus the proposed solution omits it's own continuing change and improvement; and (5) previous snapshots of, say, over three-year futures have a dismal record. Merely proclaiming that a solution could be technologically achieved (e.g., a computer kitchen in the year 2000) does not mean it should be done. Moreover, snapshot protagonists or futurists appear to justify their actions by the fact that historians usually select a particular block of time or singular events in the past for their snapshots. That is, describing food distribution around 1000 BC is really someone's selectively defined snapshot of interest. Therefore, the reasoning goes, why not just select any future point for a prediction (2000 is a favorite, as if that year has particular magic)? Furthermore, a snapshot of the past creates the impression that conditions existed as described for the block of time (years, decades, months, etc.) and then suddenly jumped to the conditions of the next snapshot, say from 1000 BC to 250 BC In reality, the phenomenon was dynamic in the real world; it progressively changed (by plan or not) from year to year (month to month, etc.). "Fixed concepts may be extracted by our thought from mobile reality; but there are no means of reconstructing the mobility of the real with fixed concepts." Thus, understanding the future and achieving implementation of effective and innovative solutions require more than just snapshot. We must continue to imagine the future and dream, but change is occurring on a day-to-day basis and can be ignored, resisted, or guided. A timeline perspective of change is needed to guide change toward positive workable results. A tomorrow, a next week, a next month should not and cannot be ignored by believing that the present can be automatically converted at some time into an available snapshot of the future. A major danger in such a belief stems from the inability of the many specialists doing future projections (e.g., health, manufacturing, education, transportation) to incorporate even closely related ideas. This axiom interestingly shows that the timeline approach is also as crucial to studying data distribution in the past as it is to changing it in the future. The approach to understanding the past (M on the chart) is stymied by the possibility of reversing the timeline. The approach reinforces present-day interpretations of or lessons to be learned about incompletely reported previous events. ("Lessons are all so one-dimensional and unambiguous and slick...."). Research is the usual approach to developing snapshot generalizations of the past. Learning is also an approach for those seeking to acquire the knowledge of already available understandings of the past. Retrospective stories or scenarios, legends, and mythological reports are techniques to aid in learning. Understanding the present (N) can likewise involve several approaches. Research about the present is the most frequently considered approach, but it too produces snapshots, all too frequently of a present that has become the past by the time they are completed. Evaluation is an approach that compares present results with previous desires and objectives, thus approximating a snapshot of the present. It also often includes acting suggestions that presumably will produce greater conformity with past objectives (which may be obsolete). Operating and supervising approaches maintain present activities to achieve objectives set in the past, while hopefully creating a change of climate to accommodate future activities and objectives. The approach (O) for understanding and changing the future of a phenomenon is well covered in the beginning of this appendix. The need for a different P&D approach is underscored again when the various approaches noted at (O) and their relationship to the timeline are considered. Who in 1945 would have extrapolated, for example, telephone signal transmission into a laser beam in flexible glass cable in 1980? Who wants to rely on the utopian leap technologist who insists on doing something simply because it can be done, or on the visionary or dictator, benevolent or otherwise? And those who actively seek to avoid an improvement just because there is some risk ignore the often greater risks of not changing. Who want just to drift along into whatever develops from the many pressures of these other futurists?
- 107. Axiom 2 Humans perform purposeful activities that influence and are influenced by the time- variant objectives and goals they seek to attain. This axiom puts purposeful activities and values into a timeline framework. Individual and group realities also fit into the timeline framework because their importance and presence have an inherent tendency to change over time. What society was willing to accept as "minimum" living conditions a relatively short 50 or 60 years ago is intolerable today. The timeline version of human objectives is often portrayed in a life-cycle perspective attributed to almost all products, solutions, and systems: Creation, development, growth, decay, and death. The last part, death, can also reflect modifications of or additions to what previously was considered a good solution or set of human objectives. A life cycle also contains smaller cyclic waves of emphasis and quiescence. The values of humans may be the least variable part of their realities and beliefs. Those values that persist over a long period are said to be "enduring beliefs. [There are] two major categories of values....; namely, instrumental values (defined as modes of conduct such as honesty, competence, courage, self- actualization, and responsibility) and terminal values (defined as end-states of existence such as inner harmony, freedom, and equality). "Making changes among people with firmly rooted values requires the timeline axioms as the basis for understanding how perceptions can be moved toward "the availability [and] desirability of a mutually acceptable solution, ...cooperation rather than competition .... [and] the views of others as legitimate statements of their position...." In the meantime, disturbances, new knowledge, and normal operating changes are occurring in the real world, which is performing a variety of purposeful activities. These continuing occurrences have some bearing on the problem previously identified and affect the perceptions and behavior of the people in the organization. If the purposeful activity (P&D) world works on it's own, as so often happens, then the people there are having their perceptions changed regarding the problem assigned to them and are obtaining insights into and enthusiasms for solutions that are not shared by the real-world people. When a solution is then recommended to the real-world people, the stage is set for the solution's rejection. The organizational people also have a different perception of the problem than when it was set up, and they lack a "feel" for the solution that those following the approach developed. Those following the purposeful activity approach lack an understanding of the subtle day-by-day changes that influence the real world, and their perception of a solution may no longer concern what is now viewed as the problem by the organization. Is it any wonder that so much conflict and nonadoption of recommendations occur at this point? The timeline axioms identify how this impasse can be minimized or eliminated. The purposeful activity world must be continually interrelating with the real world, day by day, week by week, and so on. This allows the perceptions and behavior of those in each world to be modified and adjusted to accommodate the realities and knowledge of the other. Such positive behavior can change values, as sociologists and anthropologists are demonstrating. Adherence to the timeline axioms increases significantly the probability that it will take less time to arrive at the implementation of a recommendation, and that more recommendations will actually be put to use.
- 108. Alternatives Alternatives 1- 1 2- A 2 1- 3 2- B 4 1- 3- 5 D 2- 1- 6 3- 2- C 7 1- 8 2- 9 E 3- 10 4- 11 12 13 1- 14 F 2- 15 16 1- 17 2- 18 3- 19 G 4- 5- 20 6- 21 22 1- 23 H 2- 24 3- 25 1- 26 I 2- 27 28 Letters are 29 assigned to 30 31 system 32 components 33 Illustrative form process chart of a FIST The Time Interrelationships of the Solution Framework and Strategies Phase or Status of Project Solution Framework (SF) Step Expected Outcomes (illustrations of specifications that are developed) “EMPTY” SF 1C Purpose/function/hierarchy Fundamental dimension of purpose and selected level Some future and interface dimensions of purpose 1D Measures of effectiveness Values and measures dimensions of purpose, also some control Some values and measures dimensions of outputs 1E, 1F Functional components Several system matrices, one per component Priorities for components in overall SF purpose element 2 Ideal systems Each component matrix and the overall SF repeated as many times as there are ideas. At least start with sketches of possible operational timelines and structures Each matrix with an idea serves as a “straw man” 3A Regularities Overall SF with input, output, sequence, or other element entries in fundamental, measure, or control dimensions 3B Major alternatives for FIST One system matrix for each major alternative “straw man” (and for each functional component), each one containing all of the previous specifications. Desired levels preferred. 3E Select FIST SF with broad details for most cells. Desired outputs only. 4A Alternatives for FIST compo- FIST SF repeated with additional details, one for each nents to accommodate irregu- alternative larities 4C Selected recommended solution SF with more specific details. May have separate SF for
- 109. each multiple channel for irregularities. How to cope with undesirable outputs. 4F Test and evaluate recommended SF with still more details, working drawings, and specs, etc. solution 5G Completed project SF with documentation details plus future dimension re: betterment review and changeover. “COMPLETED” SF
- 110. 1998 1999 2000 System Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb elements Environment (land) Defoliation Gypsy moth Constant Concurrent pest factors Public /political pressure Pest surveillance Information storage and sharing Line Evaluation Comprehensive gysy moth Environmental considerations Comprehensive gysy moth activities program proposal (Updates) program proposal Intervention Operations planning Training Public information Joint groups Administration Federal government management State agencies and policy Local government Private owners Resources Continuous system planning and design Planning Federal and design State Federal Research and State development Independent 28 Oct 99 Fields
- 111. F V M C I F P D1 D2 D3 D4 D5 D6 I D7 D8 D9 D10 D11 D12 O D13 D14 D15 D16 D17 D18 Input to data entry system is controlled S D19 D20 D21 D22 D23 D24 by data verification E D25 D26 D27 D28 D29 D30 (B I ) editing system HA D31 D32 D33 D34 D35 D36 PC D37 D38 D39 D40 D41 D42 "Accounting" System (Tabulation of all Incoming data- P IA D43 D44 D45 D46 D47 D48 F interfaces with data C1 entry system) I O V C7 C2 S C13 M C8 E C19 C3 C14 HA C25 C C9 C20 C4 PC C31 C15 C26 I IA C37 C10 C21 C32 C5 C43 C16 C27 FUT C38 C11 F V FUT C22 C33 C6 C44 P Data Entry System B1 B2 B3 B4 B5 B6 C17 C28 C39 C12 I B7 B8 B9 B10 B11 B12 C23 C34 C45 C18 Laboratory "System" O B13 B14 B15 B16 B17 B18 C29 (not of primary C40 C24 concern in this B19 B20 B21 B22 B23 B24 C46 S design project) C35 C30 B25 B26 B27 B28 B29 B30 C41 E A1 A2 A3 A4 A5 A6 C36 PURPOSE B31 B32 B33 B34 B35 B36 C47 C42 A7 A8 B38 A9 B39 A10 B40 A11 B41 A12 B42 INPUTS B37 C48 B43 B44 B45 B46 B47 B48 OUTPUTS A13 A14 A15 A16 A17 A18 SEQUENCE A19 A20 A21 A22 A23 A24 ENVIRONMENT A25 A26 A27 A28 A29 A30 HUMAN AGENTS A31 A32 A33 A34 A35 A36 Statewide Data Classification and Storage System PHYSICAL A37 A38 A39 A40 A41 A42 CATALYSTS INFORMATION A43 A44 A45 A46 A47 A48 AIDS FUNDA- VALUES MEA- CONTROL INTER- FUTURE MENTAL SURES FACE Systemswide data classification and storage system. The Relationship of Activities to Structural Levels Level I Intervention (broad-scale) Personal surveillance Regional operations planning Public communications Concurrent personnel Environmental-considerations National P&D Intervention Logistics Evaluation and information Local operations planning Public communications management Local environmental-planning State and regional P&D Research and Development Local environmental- Training Resources considerations Quarantine activities Policy recommendations Logistics Evaluation and information System-wide coordination Local public communications management Local planning & design Research and Development Resources Level III Level II Personal surveillance (broad-scale) Concurrent personnel (broad-scale)
- 112. Illustrative Manufacturing Stimulators Based Only on System Elements 2 and 4 STIMULATOR LIST 2: INPUTS What ideal input specifications can you design for the purpose/function by considering: New material Strong material Scrap One-time carbons Another material Punched cards Packaging Light-gauge material (also heavy-) Frill elimination Supplier performing additional work Standardized parts Strict specification of incoming quality Purchased items Auxiliary materials (oils, etc.) Parts manufacturing Reverse of cause and effect Size of part Number of output components Positioning devices Quantities shipped No parts redundancy Palletized loads Received size (length, width, etc.) Quantities packaged Shelf life Enlarged parts Shape Packing rearrangement Finish specifications (colors, etc.) Prepack to specifications Tom inside out Acceptance sampling Product design to eliminate a material Analogy with completely different system Packing material Piggy-backing of one input with another Nontangling parts Programmed instruction Weight of parts Time to obsolescence Modular construction Composite materials Standardized forms Parts redundancy Small parts STIMULATOR LIST 4: SEQUENCE What ideal sequence specifications can you design for the purpose/function by considering: Order of performance Requirements for preceding and succeeding jobs Combination jigs Continuous flow processing Physical processing technique Handlings People receiving form or report Relocation and rearrangement of operations One operation into two Two or more operations Rebalance of work Large quantities Scrap handling procedure Omission of operations Lot size Number of steps Operation in another department Resource allocation Performance during machine time on another Piggy-back of one sequence with another job Two operations into one Dispatch of material from central point Unit loads Number of steps Magnetic circular fields (microscopic) or New equipment bubbles in metal No parts redundancy No controls Electronic devices Control established sooner or later Process more than one at a time New processing techniques (list several)
- 113. Real-time response Programmed instruction Services (air, gas, water, etc.) Homogeneous activities Sensors Digital control Microfilm Parts redundancy Additional package uses Computer-aided design and manufacturing Sliding, rotating, and fixed parts Requirements for succeeding jobs Alikes and unlikes Work while parts are in transit Location of performance Reverse order Training of operator Steps in best order Multispindle setups Performance after more operations than at present Two operations at one place Proper point for verification Material changes (see "input" list) Number of controls Combination machinery or equipment In-process inventory Reprocessed scrap Direct shipment Operation(s) on another machine(s) Location of storage Correct performance or method on previous jobs Analogy with a different system Heuristic decision process Regenerating answers with logic Slack in critical and other parts Shipment from storage Delegation of authority and decision making Span of control Electronic teaching devices Inventory levels Telemetering Site requirements Modular construction Reports directly to worker Computer-based education Department size Level of decision making Principles for Designing Ideal Systems 1. Eliminate the need for the purpose 2. Specify one low-cost input 3. Specify one low-cost output 4. Put related knowledge/experience/information together when action is needed 5. Use automatic techniques-automation, electronic data processing, and so on 6. Deal with variances at point of origin-adaptive control 7. Utilize 100% of each resource 8. Deal with regularity factors before exceptions 9. Consider only one measure of effectiveness or behavior to be reinforced SUMMARIES STRATEGIC DATA SHEET Unit operation: _____________________ Subunit: _____________________ Inputs: Main functions: Outputs:
- 114. Element Unit Physical Regularities Physical Irregularities Additional Information Size: Weight: Shape: Material: ____________ ____________ ____________ ____________ From: Handling method: Quantity/run: Total weight: Safety code Frequency: ____________ ____________ ____________ ____________ ____________ Time: Setup: Duration: Safety code ____________ ____________ ____________ Space: Operation: Storage: ____________ ____________ ____________ Inspection: ____________ Facilities: Workplace: Storage: Tools: Utilities: Machinery: Information sources: ____________ ____________ ____________ ____________
- 115. ____________ ____________ ____________ To: Handling method(s): Quantity/run: Total weight: Frequency: ____________ ____________ ____________ ____________ ____________ Skills, etc.: Human resource ____________ development Quality of working life Chart(s) Sketched layout(s) ____________ An adaptation of the System Matrix for a Manufacturing Company THE LOGIC PROGRAMMING (GOL) SHEET Unit operation: _____________________ Subunit: _____________________ Inputs: Main functions: Outputs: Element Unit Physical Regularities Physical Irregularities Additional Information Size: Chart Type(s) Weight: Internal Measurement(s) Shape: Situation(s) Material: Concept(s)
- 116. ____________ ____________ ____________ ____________ From: Network (Applicable Formats) Handling method: Inference Engine (Chaining Sequence) Quantity/run: Inference Engine (Search Strategy) Total weight: Performance Measurement(s) Safety code Frequency: Formula Configurations ____________ ____________ ____________ ____________ ____________ Time: Timeline Configuration(s) Setup: Lesson Plan(s) Duration: Timeline Format Safety code Operation: Procedure(s) ____________ ____________ ____________ Space: Search Pattern(s) Operation: Procedural Chart Type(s) Storage: User Database(s) and/or Section Code(s) ____________ ____________ ____________ Inspection: Error Checking Procedures ____________ Facilities: System Operator(s) Location Workplace: Ergonomics Storage: Network Internal Database System(s) Tools: Software Procedures Utilities: Software Type(s) Machinery: Computer System Type(s) Information sources: Subsystem(s) ____________ ____________ ____________ ____________ ____________ ____________ ____________ To: User(s) Handling method(s): Inference Engine (Chaining Sequence)
- 117. Quantity/run: Inference Engine (Search Strategy) Total weight: Performance Measurement(s) Frequency: Formula Configuration(s) ____________ ____________ ____________ ____________ ____________ Who: Skills, etc. - The Dictionary of Occupational Titles Human resource ____________ Flow Chart(s) Sketched layout(s) ____________ The Manufacturing, Planning & Control Format (The System Matrix)
- 118. Timeline ____The Real World (RW)_____ (The organization, community, admission procedure, materials distribution system, product, XYZ department, etc.) The Total P&D Approach Pursuing Specifying Involving Using Arranging for the P&D and people information continuing strategy presenting (p=role of P&D and change and solutions professional) knowledge improvemnt (entries are (entries (entries (entries il ustrative il ustrative il ustrative il ustrative only) only) only) only) A problem is Substantive difficulty 1 New 1 Begin betterment project with 1 locus or desire opportunity or new planning cycle Problem Develops a purpose Decision makers, Purpose Policies re: Jointly 1a situation hierarchy for finding eventual hierarchy participation, a solution. implementers security, etc. If selected level p-facilitators not P&D proceed to appropriate scenario RW decides 2 Design P&D Administrator, Education P&D system Whole solution specifications affected people strategy if necessary, finding p-chairperson, policies for structure trainer projects Jointly 3 Do purpose Purpose Clients, users Hierarchy Change behavior expansion hierarchy affected people nominal groups toward bigger Phase p-facilitator couplet purposes 1 Disturbance Review 4 Select function Selected Affected people, Decision matrix Commit jointly purpose users resources statement p-conflict resolution RW approves measures 5 Set up measures Values and Administrator Utility measures, Fit into of effectiveness measures of p-measurer recent research budget dif iculty or projections desire Jointly 6 Identify Functional Technical, managers System pyramid, Relate to functional components, p-modeler prioritize other P&D components overall projects structure Normal Review 7 Generate ideal System matrix Experts, people Creativity Relate to operating jointly systems elements, in system recent ideas, previous change solution p-facilitator, nominal group targets formats participant Phase 2 Prioritizing, Relate to 8 Identify Measures People in system interview other regularities of elements p-facilitator, surveys projects measurer Disturbance P&D present 9 Synthesize major Fundamental, Experts Comparative Possible ideas to RW alternatives values and p-designer estimation long-term measures betterment dimensions schedule Phase Normal 3 operating change RW decides 10 Select feasible Specifications Administrators, Simulation, Relate to ideal system for each major managers, affected decision matrix measures of target (FIST) alternative people effectiveness for regularities p-reviewer Jointly 11 Incorporate Revised Experts Creativity, Relate to irregularities measures of p-facilitator, technical other substantive effectiveness designer information projects New knowledge and technology Jointly 12 Develop Measures, p-modeler, Cost and detail Search out Phase recommended control, designer estimation information 4 solution interface do R&D dimensions Normal operating change RW approves 13 Develop Presentation Decision Decision Educate decision presentation format, maker(s) matrix makers for format and approval system p-boundary continuing obtain approval specifications spanner charge Review Future Key managers Train 14 Set up implemen- Equipment, jointly dimension p-facilitator specifications people tation schedule for purchase Jointly 15 Develop procedures Presentation People Organizational Establish search for presenting and system involved behavior behavior, policies initializing solution specifications p-advocate, and programs trainer P&D facilitates 16 Install the Solution p-facilitator, Graphics, Schedule solution documentation opinion leader, computer betterment innovator programs Phase 5 Normal Jointly 17 Monitor Performance p-reviewer Control Audit and operating Managers responsible for performance reports techniques review change operating the plan or solution 18 Gather data from Progress/ Administrator(s) Significance Report to several projects problem p-manager of tests, regression board/ for reports reports P&D department analysis advisory committee Jointly 19 Implement Future Affected people Tickle file Continuing follow up dimension p-manager improvement charges workshop in department Disturbance Operate and supervise 1 New 1 Begin betterment project opportunity or new planning cycle RW seeks improvement Evaluate 1 2 Design P&D solution finding structure
- 119. Strategy Information Flow and Decision-Making Processes Illustrative Step Number (Decision Making Generate Tasks) Ideas about 1 P&D projects or areas P&D project or area P&D projects or areas (e.g., noisy, quiet, 2 P&D system structures future) P&D system structure P&D system structures (e.g., advisory, 3 Project protocols task force) Work program, network, P&D stages Project protocols (e.g., feasibility, and milestones 4 Purposes/functions of project topic preliminary design. detail design) Initial purpose/function Purposes/functions (e.g., pick smallest scope) Purpose hierarchy(ies) 5 Purpose/function hierarchies Purpose/function hierarchies Purpose level 6 Focus purposes Focus purposes (e.g., criteria to determine likely candidates) Set of measures of effectiveness 7 Measures of effectiveness Measures (e.g., values, utilities, preferences) Set of functional components (return to 8 Functional components Functional trees or system pyramids step 4 for each functional component) 9 Techniques for stimulating Techniques (e.g.. nominal group, Creativity techniques ideal system suggestions stimulator lists) 10 Regularity conditions Regularities (e.g., candidates for various Set of regularities words in the purpose/function level) 11 Ideal system suggestions Major ideal system categories Feasible ideal system target (candidates for becoming FIST) Set of solutions close to FIST 12 Components for irregularities Major FIST changes Recommended solution 13 Details for irregularity and Components needing detail Approval system exceptions solutions Methods Installation plans 14 Methods for obtaining approval Installation plans Set of training and follow-up 15 Installation plans and schedules Methods specifications 16 Training and follow-up methods Measures (relate to step 7) Set of performance measures system 17 Measures of system performance managers can use Reporting methods Report method 18 Reporting methods about meeting Date and schedule for planned expectations on project Betterment dates and schedules betterment 19 Planned betterment dates and schedules The Details about Pursuing the PDA Strategy
- 120. Phase 1 Determine Purpose Level A. Select P&D project from original, betterment, or correction requirements. (1.) B. Set up P&D system structure. (2.) C. Expand purposes into hierarchy(ies) and select needed purpose(s). (3.) D. Identify measures of effectiveness for selected purpose(s). (5.) E. Determine functional components (primarily for large or complex systems). (6.) F. Select components) if E was needed. Return to C. (4.) Phase 2 Generate Purposeful Alternatives (Ideal Systems) A. Develop ideal systems that would eliminate the need for selected purpose level. What ideas achieve a bigger-level purpose? (7a.) B. Develop ideal systems for achieving the selected (and bigger-level) purpose by applying creativity processes. (7b.) C. Develop ideal systems for achieving the selected (and bigger-level) purpose that eliminate the need for any assumed limitation. (7c.) D. Develop ideal systems for regularity conditions. (8a.) E. Develop ideal systems by reviewing list of purposes from Phase 1 to select suggestions contained therein. (8b.) F. Develop ideal systems that must satisfy only one measure of effectiveness focusing on each one, one at a time, as if it were the only objective. (8c.) G. Review the list of ideas generated. For each clearly unachievable idea, develop proposals for the nearest approximation that is close to being feasible. (8d.) Phase 3 Devise Feasible Ideal Solution Target (FIST) A. Identify regularities for the target. (Be.) B. Separate ideas into major alternatives and incorporate as many component ideas as possible into each alternative. (9a.) C. Provide more detail for each major alternative to ensure workability and allow assessment of effectiveness. (9b.) D. Identify each major alternative as contemplative or feasible. Review contemplative categories with experts to determine their present feasibility. (9c.)
- 121. E. Select feasible ideal system target (FIST) for regularities by evaluating the major alternatives with measures of effectiveness. (10a.) F. Make FIST more ideal and as operational as possible. (10b.) G. Save other ideas. (10c.) Phase 4 Develop and Detail the Recommended Solution A. Develop alternatives for FIST components that will incorporate needed irregularities, exceptions, and conditions while staying as close as possible to the FIST. (11a.) B. Estimate performances, outcomes, and consequences of each alternative to assess effectiveness, incorporate possible self-correction methods. (11b.) C. Select the workable solution that is to be recommended for adoption or for approval before continuing to next stage of protocol. (12.) D. Formulate plans to get final approval of the workable solution. (13a.) E. Develop details of the solution as far as needed to permit it’s installation or movement to next stage of protocol. Use elements and dimensions of solution framework. (13b.) F. Review the recommended solution framework with knowledgeable people to assure it's implementability. (13c.) Phase 5 Install the Workable Solution A. Test, simulate, or try out the solution. (13d.) B. Set up installation/transition schedule (phase-in and overlap times, etc.). (14.) C. Develop procedures for presenting and "selling" the solution. (15a.) D. Prepare operational resources (equipment orders, location preparation, job descriptions, department specifications, train or shift personnel, etc.). (15b.) E. Install solution (or proceed to next stage of protocol). (16.) F. Provide close monitoring to follow up on and solve operational problems. (17.) G. Establish operational performance measurements to provide operators/managers with norms. (18a.) H. Evaluate performance of installed solution in terms of current goals, objectives, and purposes. (18b.) 1. Establish timeline for planned betterment change of the installed solution. (19a) J. Aggregate performance data for all projects to report on P&D professional results. (19b.)
- 122. Summary The details about pursuing the PDA strategy for a project are incorporated in the various steps within each of the five phases of the basic strategy pattern. Providing this detail does not mean that the strategy is mechanistic, or that it involves one step always following another in lockstep fashion. Iterativeness and skipping steps are frequent characteristics of how the strategy used. The Foundations for Planning and Design Sharing perceptions and developing understanding are greatly aided if the project is guided by a more effective P&D strategy or pattern of thought than is generally followed. It's process essentially deals with purposes, the most effective solution or target for achieving the "regular,, conditions of the selected needed purpose, and then a recommended solution for implementation that stays as close as possible to the target while incorporating the exceptions. The iterative and flexible nature of an actual effort are not shown. Iteration is needed because, as time goes along, the P&D effort may at the then current levels of perception, have to repeat phases or steps appearing earlier in the strategy. Flexibility is needed because a project may develop ideas at "7," say, before measures of effectiveness at "5." The reasoning process of the PDA strategy is summarized by the phases in the chart _____ on page of this appendix. 1. Develop a purpose hierarchy (an array from small to large where-in each larger purpose describes the purpose of it's predecessor) from which is selected the purpose(s) the solution should achieve. Measures of effectiveness incorporating the outcome expectations of the client, so that successful achievement of the purpose can later be assessed, are identified for the selected level. 2. Generate ideas, it is hoped creative and ideal ones, that might achieve the selected and bigger purposes in the hierarchy. 3. Group and shape the ideas into major alternatives, from which a feasible ideal solution target is selected. An ideal solution target or "blueprint" considers only the regularity conditions (factors that occur with the greatest frequency or are considered most important). 4. Detail the workable solution or policy that incorporates all necessary irregularities and exceptions, while staying as close as possible to the target. 5. Implement the workable solution, while using purposes and the target as guides for all the minor decisions needed during implementation and in creating a continuing change and improvement attitude. These same strategy ideas are also used to develop the P&D system or planning structure, which carries out work on the project. This step also establishes, especially for complex projects, an overall protocol of P&D project stages (needs assessment, feasibility study, preliminary design) and adjustments of the strategy to fit each stage of the protocol (e.g., develop ideal alternatives before finishing purposes, do several steps concurrently with different groups rather than sequentially). Step 2 is one of the major keys to developing and implementing successful P&D solutions. Pursuing the P&D Strategy Phase 1. Determining Purpose That Should Be Achieved The intent of Phase 1 is to ensure that the P&D efforts seek a solution for the "right" problem, in effect, the right purpose. Rather than just accept
- 123. the problem as stated, which usually implies technological constraints or a semimandate to adopt what someone said was successful in another situation, this phase seeks to enlarge the solution space. This is done by describing several hierarchical levels of ever larger purposes/functions to determine which one should be achieved. The idea of expanding purposes provides a context of functional justification for a problem, a second intent of this phase. It forces continually posing the questions, "What is the purpose of this function, what does it accomplish?" Manifest purposes expand into latent ones. The hierarchical form of the purposes takes cognizance of the needs and values of the organization, emphasizing that merely stating a purpose is insufficient without it's relationship to it's larger purpose in a hierarchy. The vital importance of this phase suggests that a wide variety of methods could help it. First, the PDA team or individual could talk with user/client/worker groups to generate a list of perhaps 30 to 50 possible purposes. Several types of questions are fruitful: What need is fulfilled by the system? Who will use the system and for what reason? What mission should the system accomplish? Various techniques (e.g., nominal groups, Delphi procedure, survey questionnaire) are available to stimulate new purpose statements. Second, start the purpose hierarchy with the most immediate, direct, and unique or smallest-scope function of the problem area as originally presented. If a list of purposes is not developed, start by stating very specifically what the project title means. Expand the first function or statement in small increments into bigger purposes by continually asking what is the purpose of this purpose. Review the statements for a progression of purposefulness, not of time or activity. Purpose expansion takes advantage of the opportunity presented by the problem. It helps greatly to eliminate functional fixedness. Third, establish criteria on the basis of the values and motivations of the organization, for selecting the appropriate purpose level. Some criteria may be potential savings or effectiveness, management desires, project team desires, time limitations, control requirements, and capital limitations. These criteria should reflect why the organization is allocating resources to do the P&D project. A bigger level will tend to be selected if the organization is willing to commit greater resources. The trade-off between bigger and smaller levels involves both pushing for the biggest or most needed level, which may be more extensive and complicated, and formally evaluating all the criteria which may lead to a "safer" or smaller level. The result accomplishes a third intent of this phase: get group agreement and commitment on what the project is to accomplish. Measures of effectiveness (objectives and goals) for the selected purpose level might now, because of a bigger system level, be significantly different from those originally considered. The importance of those measures becomes apparent when their many uses in the remainder of the strategy are reviewed: (1) idea stimulators in developing broad statements of potential solutions; (2) criteria for selecting the Feasible Ideal Solution Target (FIST); (3) criteria for selecting the workable, recommended system; and (4) the basis for developing the performance measures for the newly installed operating solution. Frequent meetings and individual interviews should be scheduled with managers, people working with the current system, clients or customers, financial officers, and so on as various parts of this and the remaining phases are thought to be completed. These interchanges are necessary in giving those not on the project team an opportunity to contribute and often "approve" what has been done. The project team can proceed with greater confidence that it is on a track leading to real implementation of significant and innovative changes. Phase 2. Generate Potential Solution Ideas This phase should free the P&D team or individual of it's prejudices and limitations, and should lead toward a desired innovative, yet feasible, solution. This requires that as many creative ideas as possible be developed prior to selecting a solution. Creativity must sometimes be stimulated in people. Experts are not the only, nor always the best, source of ideas, but they could be involved as stimulators, detailers, and later evaluators of ideas. Many creativity processes can be used (bisociation, analogies, morphologies, stimulator lists, etc.). Working individually or in groups, people can also create new thoughts by building on the insights provided by the selected and bigger purposes. Ideal systems not tied to achieving needed purposes are almost always useless, and certainly will not facilitate implementation of anything. Sparks of ideas of other people and those that are brought to them help as well, as will concentration on specific elements of a system, such
- 124. as inputs: How can we ideally combine these two inputs? The measures of effectiveness developed in Phase 1 are also idea stimulators: What is the most ideal way of achieving the selected purpose if only objective n were the measure of effectiveness? What ideal ideas would emerge to accomplish only one regularity condition? What ideal systems for a bigger purpose level would eliminate all or part of the selected function? The desire is to generate many ideas, not to detail them nor to evaluate or criticize them. Important questions that would have to be answered if an idea were to be used should be noted, but not addressed now. Regularities are used primarily to help select the target solution. Regularities represent those factors about the selected purpose which are most frequent or important, or "constant" through the time horizon being considered for the purpose. High levels of innovativeness and creativity are possible by developing a target system for regularities. It is very difficult to develop creative ideas that will fit all conditions and factors. People quickly discard ideas that do not "fit" all of them, settling in effect for the worst possible situation as the governing influence in solution finding. Phase 3. Select a Feasible Ideal Solution Target (FIST) In addition to the selection of the target for regularity conditions, this phase also identifies contemplated but presently infeasible solutions. They are used to stimulate research and development for the period far beyond the time horizon of even the FIST. The ideas from Phase 2 are reviewed to determine which have potential as a major solution and which are components that may fit into several major solutions. Following this review, more detail is prepared to give each major idea some form, so likely solutions can be evaluated, while an attempt is made to incorporate needed component ideas. This knowledge will allow the ideas to be divided into contemplated and presently feasible systems. Contemplated systems are reviewed with experts to determine eventual feasibility (which may be sooner than the P&D people think) and to set up a continuing change direction for the system. The FIST should be selected from among the feasible solutions for regularity conditions. It represents what we could do if we started all over again for the regularity conditions. It most likely embodies a dominant theme or basic principle or two. The selection is based on the measures of effectiveness developed in Phase 1. They are likely to include cost, reliability, availability, political acceptability, simplicity, and adaptability to future changes. Thus, the target system that suited regularity conditions has been modified to incorporate the exceptions. The recommended solution stays as close as possible to the target system "way" of having things done. Phase 4. Develop the Recommended Solution This phase develops a workable solution that stays close to the FIST but incorporates components to handle the necessary exceptions or irregularities. The resulting solution tends to preserve the benefits of the FIST for the regularities while incorporating close to "optimal" components for accommodating the irregularities. Such pluralistic and multichanneled systems do not attempt to force everyone into a single mode of operation. Several considerations arise in this phase. One is to determine how the irregularities or infrequent demands can be incorporated without drastically altering the target. A simplified application of this same basic strategy pattern is suggested. That is, what is the purpose hierarchy for irregularity a? What are some ideal systems? and so forth. A second consideration is the choice of how and where the FIST is to be modified to cope with the irregularities. An installed solution cannot be all things to all people. If the loss in utility to the primary purposes is greater than the gain for secondary ones, then the modification should not be accepted. It is better, for example, not to include large amounts of data in a computer database just to satisfy infrequent requests. Adjunct systems, perhaps manual, might better be designed for these secondary requirements. Testing of various ideas is usually done physically, by simulation, through discussions, or using other techniques. Another consideration often concerns the documentation needed for a solution. Significant detail is needed in some projects so that the various parts of the system can be understood and the workability of
- 125. the whole can be assured, or to permit bidding to take place. Other projects may only need people's understanding and agreement to proceed. A fourth important consideration in this phase is to get approval of or agreement to install the recommendation. Applying the basic strategy pattern to the "project" of presenting, getting approval of, or obtaining funding for the recommendation is another illustration of good P&D. Phase 5. Install the Recommended Solution Nothing in the previous phases guarantees that the system will work. Experience alone is insufficient to determine a system's adequacy for achieving the desired purpose, reliability of performance, completeness of specification, and effectiveness and stability in the face of real-life input and operating conditions. The intent of this phase is to intelligently install, adequately measure the performance of, and advisedly plan future changes in the solution. Testing those specifications, components, or policies that need it is intended to resolve five questions: (a) Will the forms, equipment, and arrangements function as expected? (b) Will irregularities be handled reliably and satisfactorily? (c) Will the output or results satisfactorily meet the needs of the citizen/user/client? (d) Can the human elements needed to operate the system perform satisfactorily? and (e) Will the integrated system do the job as expected under real-life conditions? Answering all these questions is difficult indeed. But these are the types of questions that need to be reviewed in this phase. The changeover and installation of a solution are P&D projects in themselves, for which the basic strategy pattern can be followed. Training personnel, monitoring installation activities, measuring performances of the newly installed solution, and evaluating whether or not values are being initiated and measures of effectiveness are being met are aspects to include. Summary P&D projects require a wide variety of specificity regarding the strategy. Several methods of operationalizing a strategy are presented in ever increasing detail, enabling a P&D professional to select what is appropriate: 1. The assumptions, axioms, and propositions put the reasoning pattern into believing game form. 2. The basic strategy pattern is identified as the following: determine needed purpose, develop many (ideal) ideas or alternatives to achieve the purpose, select a feasible ideal solution target (FIST) for regularity conditions, detail a recommended solution that stays close to the FIST, and install the solution. 3. Most projects will require a series of iterations of the basic strategy pattern for each stage of an overall protocol that can itself be developed by following the basic strategy pattern. 4. Each step can be viewed as a decision process of generating alternative ideas for accomplishing the step's purposes, organizing them, and selecting the preferred solution. The PDA strategy provides the skeleton to which the other four features describing a total approach must fit and adhere. Although each other feature is often discussed without particular attention to strategy, each has less than it's potential impact if it is tied to the conventional strategy. For example, the benefits of participation are often negated by an unstructured or conventional strategy because such a strategy generates defensiveness among those involved. Or the power of a systems model is turned inward by a conventional strategy because of it's essentially descriptive or reductionist emphasis. The PDA strategy or modus operandi alone produces significantly better results than the conventional strategy. Research with health planners and architects treating the strategy as an independent variable shows that the purpose-design view produced better results, technically, or produced equally good results in less time. A survey of manufacturing companies also showed that strategies beginning with a purpose
- 126. or function view produced more economic benefits per program staff person than conventional ones. Even with such result pursuing the PDA strategy should include the positive perspectives of the four features. The research results simply indicate that, for those P&D situations where mainly the strategy is needed, significantly better results can be obtained with a purpose-design orientation. Some Illustrative Protocol Stages from Various P&D Fields Engineering Products Needs analysis, feasibility study, preliminary design, detailed design, production, distribution, consumption, and recycling Education Processes and Packages Awareness of problems and available solutions, commitment to resolving the problem and adopting a solution, changeover process, refinements of solution and implementation, and renewal of commitment to changes Policy-making Macroplanning Determine level (biosphere, individual resource, regional/composite, localized/individual, impact component), select problem(s), identify knowledge related to problem, develop technical methods, establish political methods, and take action Systems Engineering Program planning, project planning, system development, production, distribution, consumption, and recycling Operations Research/Systems Analysis Initial structure of the problem, sensitivity of system objective to subsystem performance, cost effectiveness considerations, and allocation of resources to subsystem activities: three steps in each stage (Do statement, data sources, analytical approach), and four elements in each step (context, cost, absolute effectiveness, and relative effectiveness of sensitivity) Organizational Planning Policy, strategic, tactical, and operational Architectural Functional Programming Strategic planning, action planning, project preplanning, select procurement process, project definition, design, detailed construction, contract documents, procurement, construction, space planning and interior design, move in, operation and maintenance, and ongoing evaluation Multilevel Approach Decompose the problem into subproblems, then into sub-subproblems, and so on; solve the simple problems and recombine into full solution National Procedural Management System Plan the P&D system (including the remaining protocol stages) to be put into operation, develop a comprehensive procedural management system, plan the approval system, detail design, install recommendations, continuing P&D structured Planning-Design Continuum Plan long-run direction (coordinative, adaptive, comprehensive) for future needs, propose general action alternatives, design short run specific solutions for current needs, and propose specific time-limited low-risk alternative Social Systems Design Diagnosis, input analysis and output, implementation, and evaluation Health Planning Needs formulation, project formulation, project proposal, organizing the implementation, control of implementation, and agency(ies) assumption of program City Planning Plan Preparation Goals; local, regional and national perspectives; alternative futures and review; plan elements; concept sketches and review; priorities for plan components; draft plan and review; sectoral plans; issues and review; master or sketch plan
- 127. Medical Procedure or Drug Original idea and modification, knowledge must exist or be developed, funds for experimental work, data to journal, reader response, confirmation, idea enters intellectual sphere of clinicians, initial clinical trial, application to Food and Drug Administration, publication of clinical papers, approval, wide-spread use, further refinements, public acceptance, continuing search for improvement Making the P&D Approach Operational for Computerized Thinking (Strategical Format) Functions to Be Accomplished within Each Factor Pursuing the P&D strategy Project selection P&D system structure Problem formulation Measures of effectiveness Creativity-idea generation Regularity-conditionals Target Recommended solution Approval Installation plan Preparation for operation Performance measures Turn-over to operators Interrupt-delay Specifying and presenting the solution Purpose Inputs Outputs Sequence Environment Human agents Physical catalysts Information aids Involving people Decision maker I Decision maker 2 Influential I (elected) Influential 2 (business) Expert 1 (internal) Expert 2 (external)
- 128. Worker I (internal) Worker 2 (external) P&D professional role I (sequence) P&D professional role 2 (human agents) Group process role 1 Group process role 2 Group process technique I Group process technique 2 Meeting condition 1 Meeting condition 2 Using information and knowledge Theory of P&D-axiology Theory of P&D-philosophy Theory of P&D-epistemology Theory of P&D-history Theory of P&D-pedagogy Information and knowledge in P&D 1 Information and knowledge in P&D 2 I & K in locus content area 1 I & K in locus content area 2 Procedural Reliance Information Teams Utilizing what is available Developing new I & K Verifying the I & K Modifying the I & K Arranging for continuing change and improvement Readiness factors assessment Project betterment Favorable behavior Organizational policy 1 Organizational policy 2 Institutionalized program Structure Education Workshop groups Project team P&D development and research
- 129. Program audit Other purposeful activities Operate and supervise Evaluate Research Learn The System Elements 1. Purpose The mission, aim, need, primary concern, or function of or results sought from a system. The purpose is the contribution made to or necessary for a larger system in the hierarchy(ies). A purpose is what the system is to accomplish, with no emphasis on how it is to be accomplished. 2. Inputs Any physical items, information, and/or human beings on which work, conversion, or processing takes place to arrive at the output(s). Physical items could be coils of steel, powdered plastic, money (the actual currency and coins), the mark-sense punch card, the sales order form, and so on. Information could be a bank account balance (printed on a piece of paper), whereabouts of the president (secretary's explanation), number of toasters ordered (sales order form), amount of production on machine 472 (orientation of iron particles on a magnetic tape), history of the conflicts between key managers (perceptions in the minds of people), etc. Human beings relevant in this context could be sick people entering a hospital, a housewife shopping at a grocery store, a family wanting house plans, a student attending a college, an overweight person visiting a reducing salon, etc. A combination input is the return of previous outputs of the system. For example, a large system for manufacturing airplanes includes the reentry of each airplane for major periodic maintenance. A patient may reenter a hospital after having been discharged. User information about product performance serves as new input to the product design system. Every system requires at least two of the three types of input A manufacturing system, for example, will require information about alloy, tensile and yield strengths, gauge, and width to accompany the physical input of a coil of steel. A patient entering the system of a hospital represents human (previous medical history and symptoms), and physical (personal belongings) information inputs. A system which is a board of directors meeting needs inputs of information and humans. 3. Outputs Desired (and undesired) physical items, information, humans and/or services (response, event, policy, reaction, safety level, correction, etc.) which result from working on or converting inputs. Desired outputs achieve the selected and bigger purposes by adding net value to the inputs. Undesired outputs include such things as dislocations, pollutants, scrap, and trash, for which provisions must be included in the system specifications. Outputs also include substantive properties, performance, and physical or chemical characteristics of the output when actually being used. For example, the dynamic characteristics (cornering, power pickup, shock absorption ability, or acceleration) of an automobile output are a part of output itself. 4. Sequence The conversion, work, process, transformation, or order and cycle of steps or events by which the inputs become the outputs. The basic steps are the essential "unit operations" or identifiable changes in the state of the inputs which lead to their transformation into outputs. Additional steps include causal bonds, movement, storage, meeting, decision, and control, which enable the unit operations to take place. Parallel channels for processing different inputs are often included, along with various connective points to interrelate the channels.
- 130. 5. Environment The physical and sociological (psychological, legal, political, economic) factors or ambiance (as the French call it) within which the other elements are to operate. These are always changing. Many are usually outside the influence of the system itself, yet others can be modified or specified for the system. Physical or "climatic" factors include temperature, humidity, noise, dirt, light, colors of machines and walls, and so forth. Ecological physical factors "outside" the system include spatial aspects, accessibility, and shapes and relationships in the design of the physical facilities and equipment. Sociological factors include the state of technology within which the organizational unit operates, the cultural and historical determinants of attitudes, and the society's economic conditions. More specific factors concern the attitudes of the managerial and supervisory personnel, morale and "reality" disposition of working forces, the operating controls and rules for personnel, and the social interactions and communications of the people involved. Sociological environment forms the larger context of externalities which "own" or "set the stage" for the system. The Japanese, for example, do not build factories or plants with an entrance on the northeast side, the devil’s gate. The managerial style and organizational structure sets another environmental factor: autocratic, paternalistic, bureaucratic, permissive, diplomatic, or democratic 6. Human Agents Human beings on differentiated levels who are aids in the steps of the sequence, without becoming part of the outputs. Human agent activities or methods to aid in the sequence include the whole range of human capabilities: talking, writing, expending energy in manipulating controls and/or changing input items, reasoning, performing dexterous tasks, decision making, evaluating, learning, creativity, and acting as a diligent monitoring and sensing device. Human beings are either inputs and outputs (patients in a hospital), or human agents (nurses). Overlap exists in most cases, for example, as patients can be human agents aiding other patients, and nurses can be inputs into the cafeteria system. 7. Physical Catalysts Physical resources that are aids in the steps of the sequence without becoming part of the outputs. Typical items are chalkboards, machines, vehicles, chairs, computers, filing cabinets, energy, buildings, tools, jigs, automatic devices, paper, lubricating oil, projector, desks, self-measuring sensors, and pallets. A chicken on an egg farm is a physical catalyst. Each of these illustrative items could be a physical catalyst in one system, or input or output in another system. A computer, for example, may be a physical catalyst in an accounts payable system, an input in a maintenance system, and an output in a production system. 8. Information Aids Knowledge and data resources that help in the steps of the sequence, without becoming part of the outputs. Computer programming instructions, equipment operating manuals, maintenance instructions, standard operating procedures for human agents, and policy manuals are typical information aids. These may also be inputs and outputs in other systems. On occasion, an expert consultant, media advisor, or corporate legal advisor could embody the role of this element. Summary Systems can vary in size. Thus, bigger levels in the hierarchy of systems incorporate smaller systems, which are subsystems or components. Because a hierarchy is often a size-based order of systems, with no superior- inferior relationship implied, a vertical channel of systems can be extended for the area of interest. Each system shoo the related horizontal or parallel systems, either within or outside the organizational unit. System levels do not always correspond with organizational divisions. Each system is thus a complex set of interrelated elements. The basic set defines the broad purpose and values of the larger entity or organizational unit within which the system does or will exist. Each system
- 131. achieves an end. Thus, the purpose, function, or result sought from a system is the first element, and each system has at least one purpose. Each system receives physical, informational, and/or human items from smaller, larger, and parallel systems to process into a desired state that will achieve it's purpose. Therefore, every system has inputs. Each system provides physical, informational, and/or human items or services to it's smaller, larger, and horizontal systems. These outcomes represent the means whereby the purposes of the system are achieved. Therefore, each system has outputs. Similarly, five other elements can be developed from this Axiom: sequence, environment, human agents, physical catalysts, and information aids. The words used for names of elements are unimportant and can vary, whereas the ideas represented by each are critical. System Dimensions 1. Fundamental This dimension must exist or no others can be specified. It is the identity or context of a system. Also referred to as the existence, real-life, or manifestation dimension, it concerns tangible, overt, observable, physical, and/or basic structure characteristics. It includes the basic "what-who-how- where" specifications, along with associated quality levels. It states specifically the intensity, degree to which the specific condition is distinguishable from others, and/or the operation of each element. Determining the specific fundamental attributes is what the P&D approach seeks to accomplish, so that the conditions thus identified can be implemented. Many terms describe the specific numbers, descriptions, drawings, and so on, including specifications, parameter variables, estimates, relationships, properties, characteristics, and identifications. 2. Values This is the situation-specific form of the values part of this appendix. It also embodies and enlarges on the "satisfy" part of Axiom 8 by stating both the solution values and the human values (disposition to behave in certain ways). Motivating beliefs, human expectations, global desires, ethics, equity, and moral concerns can be ascribed in some form to each element. The most global values are likely candidates for the purpose element. Other descriptions concern how people and organizations "feel" about desirable results in specifying each element: preferences, basic (unyielding?) or important assumptions (e.g., democratic society), concern with societal life and civil liberties, disposition to a behavior, pleasures, productivity, justice, concern with individual life, relevance, sensitivities, preferred modes of conduct, involvement of others, essential beliefs, sentiments, convenience, human dignity, willingness to shape societal acts and conscience, emphases on successes rather than failures and wrongs, comprehensiveness, safety, and cultural or esthetic properties. Values could thus be said to capture the "standards" that a solution is expected to continue. Perhaps the most important benefit of the values dimension for each element is the forced review of what the value standards are and how they need to be part of the solution and the decisions in selecting the solution. "On all sides," one sees evidence today of cop-out realism-ostensible efforts to be sensible in dealing with things as they are but that turn out to be a shucking of responsibility.... It is now possible to assess the effect of [the] legalization [of off-track betting and the numbers game].... New York State itself has become a predator in a way that the Mafia could never hope to match.... Millions of dollars are being spent by New York State on lavish advertising on television, on radio, on buses, and on billboards. At least the Mafia was never able publicly to glorify and extol gambling with taxpayer money...[Also consider the] cop-out realism [in] dealing with cigarette-smoking by teenagers and pre-teenagers. Special rooms are now being set aside for students who want to smoke.... The effect of [the] supposedly 'realistic' policy is to convert a ban into benediction. By sanctioning that which [people] deplore, they become part of the problem they had the obligation to meet... The function of [value] standards is not to serve as the basis for mindless repressive measures but to give emphasis to the realities of human experience.
- 132. 3. Measures Measures change the values dimensions into particular objectives and operational goals. They embody the "achieve" part of Axiom 8, and concern how much and when, including what is needed to overcome entropy. Measures in general concern effectiveness, time, performance, cost and other factors of importance concerning the fundamental specifications. They are indicators of the success of the eventual solution. They include any associated confidence limits. The word objectives identifies the specific categories, units, verifiable indicators, scales, factors of merit, criteria or parameters that are considered the important measures. Forecasts, financial matters and quantitative factors are almost always included. They should conform to what people consider useful for attaining the values and fundamental dimensions, but should also be clear, capable of being measured, reproducible, unequivocal in interpretation, and as accurate as needed. Some typical measures are cost per month, time per service or output per hour, reject rate, reliability life, expense ratio, and profit per year. Goals assign specific amounts and time and/or cost factors to each objective. Assume that one value is "Improve safety record in the department." An objective might be "decrease accidents," and a goal "reduce monthly accident rate by 30% within a year." Here is another illustration: the value is to improve manpower services; one objective of several is to increase placements of disadvantaged people; one goal of several would be to increase by 25% per year the number of disadvantaged placements. No number of objectives or goals will ever capture exactly what is meant by the specific values. In addition, some goals will be set by external groups, such as the standards or threshold levels defined by the Bureau of Standards, Underwriters Laboratory, Environmental Protection Agency, Consumer Product Safety Commission, and American National Standards Institute. 4. Control Control comprises methods for ensuring that the fundamental, measures, and even value specifications are maintained as desired (at or within limits around a specified condition) during the operation of the system. Dynamic control of each specification involves (a) making measurements of the performance of the specification as the solution or system is in operation, (b) comparing the actual measurements to the desired specification, and (c) taking actions to correct significant deviations if necessary, through human corrections, automated response, advance modifications of equipment, or by changing a desired specification, or planning and designing an overall improvement. A significant deviation between performance and desired specification is interpreted as meaning that the error of taking action when none is really needed is minimal compared to the error of not taking action when it should be taken. All three parts of the control dimension may be carried out within the system itself, or any one or more may become the responsibility of another system or group. Government regulations illustrate one form of external measurement, comparison, and/or corrective action. Licensing, accrediting, peer review, receiving room inspection, customer surveys and complaints, board of directors review, and outside auditing firms are also possible outside controls. Cost control, waste control, internal audits, and productivity improvement programs illustrate major efforts that may be designed into a solution or activated after implementation. On the other hand, all three parts of the control dimension may be an integral part of the fundamental and measures dimensions of a particular element. For example, a part produced by a machine may be inspected by the operator, or inspection may be done automatically. The effectiveness of corrective action is judged by measuring the extent to which actual performance recovers to the desired specification level. Correction is measured by stability, as when the significant differential disappears as elapsed time increases; accuracy, or closeness of recovery to desired specification; lag time, or speed of response to the action; and performance oscillations as the control-reaction-control-reaction cycles take place. 5. Interface The interface constitutes the relationships of the fundamental, values, measures, and control specifications to other elements and to other systems. Some illustrations of interfaces are inspection of materials received from a vendor, the impact of a changed grading system on parents, shared services with other hospitals, and government reporting regulations related to personnel actions. Illustrations of intrasystem interfaces are process control interactions with human agents, physical
- 133. catalysts, and information aids. Some of these cause difficulties with element specifications and vice versa. Interface dimension specifications help in the avoidance of difficulties in getting a system to operate well by anticipating and assessing consequences of negative and hostile interactions. What additional or how much less work will result for other system? What costs will the other system incur? Can the other system be modified to let this system be implemented, or even to have the other system take advantage of the ideas? Perhaps a substitute or add-on "technological shortcut" might be located by such searching for interfaces. What possible disturbances and forces from other systems (lobbying, special interest groups, oil embargo, supreme court decision) will impact on this system (delay service, increase cost)? Can a model (differential equation) express the interrelationships of the factors or variables? How does the P&D professional or team interact with managers/administrators, users/clients/customers, people working in the current system, and so on? Are there cause-effect research results describing how one factor (element or dimension) changes as another varies? 6. Future Anticipated changes in each specification of the other five dimensions at one or more points of time in the future. The future dimension defines the growth, learning rate (evolution, homeostasis) or decay of the specifications. Forecasts of all types (e.g., social attitudes, costs, weather, population) express possible "future" specifications. Also included are specifications on how the specific element dimension is to get to the anticipated stage (a transfer function). The arrival at the desired stage may be planned (obsolescence or gradual termination). May be due to learning and duration, or may require a new P&D effort. Sunset laws and zero-based budgeting illustrate two broad ideas for describing how arrival at the future point might be accomplished. Combining this corollary with Axiom 8 forms the system matrix or morphological box shown on the first page of this section. It represents the prescriptive, universal, and understandable definition of the word system. Different words can be used to represent the same ideas as the elements and dimensions. One version in policy making, for example, uses these elements: purpose-relevant reference system, inputs, outputs, structure and process, and operating, information, and human communication requirements. These are detailed by the following dimensions: physical, values, measures criteria, analysis procedures, elemental interfaces, model interfaces, systems interfaces, and anticipated changes. Another version of the system matrix is shown in next graph on the following page to portray the time component aspects of the future dimension. The lines denoting the cells in the first and second charts are not firm divisions, for there are both overlapping and interrelationships among the cells. Each cell, rather, connotes the major thrust of the element/dimension intersections. The representational matrix provides an orderly way of denoting all possible types of information to consider in specifying a system. Not all elements or dimensions need to be specified in a particular system. Nor is it necessary to have the same amount of information in each cell. The amount can range from an empty set to some large, almost infinite number of models or sets of data. Similar or identical accuracy is not required for the information in each cell. The system matrix is very seldom, if ever, used in exactly this form as a basis for recording information needed in designing a system. The questions raised by probing what specifications should be developed for each cell are almost all- inclusive. They number far more than the usually suggested who, what, why, where, when, and how. They are also much more specific than the usual questions because more than the 48 questions the matrix appears to suggest a available. In addition to the 16 fundamental and values dimension questions, there are at least 16 measures dimension questions about the fundamental and values specifications, 24 control dimension questions, 32 interface, and 40 future, or a total of at least 128 system view of each system matrix cell.
- 134. P I O S E SYSTEM ELEMENTS HA f e PC d c IA b a URE F V M C I F F UT DIMENSIONS
- 135. FUNDA- MEA- INTER- MENTAL VALUES SURES CONTROL FACE FUTURE PURPOSE B INPUTS OUTPUTS SEQUENCE FUNDA- MEA- INTER- MENTAL VALUES SURES CONTROL FACE FUTURE ENVIRONMENT PURPOSE HUMAN AGENTS PHYSICAL CATALYSTS INPUTS INFORMATION AIDS OUTPUTS D SEQUENCE C ENVIRONMENT HUMAN AGENTS PHYSICAL CATALYSTS A INFORMATION AIDS A system view of each element. FUNDAMENTAL OUTPUT MATRIX F V M C I F P I O S This can be repeated E for any cell of this matrix, HA PC or of this matrix IA F V M C I F P I O S E HA PC IA A system view of each system matrix cell. Picture a system matrix B behind the output element of, say, a planning system matrix A. C and D illustrate this graph further. Or consider a matrix behind the control dimension. Such a control system view illustrates how evaluation and control systems are secondary to a primary system. A system view of an element could be continued ad infinitum, like the picture of a woman on a box of cleanser holding a box of the cleanser with a picture of a woman holding a box of cleanser with a picture of a woman holding a box of cleanser with a picture... An actual project illustrates how the graph in the previous section can structure the interrelationships: The national economy of a country is system A, the transportation system would be B behind the sequence element, the highway system C beneath the physical catalyst element of B, a road system D behind the output element of C. The graphs on the previous page demonstrate that infinite numbers of system matrices can be conceptually projected "forward" or "backward" (chaining sequences) in space from any reference system matrix. This is theoretically correct, thus providing "complete" prescriptiveness, universality, and understandability. In practice, only a few (three or so) matrices in one direction or the other are all that are encountered. These graphs provide operational methods, however, for a project of any complexity to consider simultaneous P&D of interdependent units as means of avoiding the weak links in the whole system.
- 136. Summary Six dimensions can specify the precise conditions for each element in a specific situation: (1) fundamental existence characteristics; (2) values, beliefs and desires; (3) measures to assess accomplishment of fundamental, and value dimensions; (4) control or dynamic methods of ensuring achievement of fundamental, values, and measures specifications; (5) interface relationships of fundament values, measures, and control specifications with other systems and other elements in it's system; and (6) future existence or desired changes and improvements that can be foreseen in fundamental, values, measures, control, and interface specifications. The number of dimensions is not fixed, for some can be divided into two or more attributes. Measures, for example, could be listed as an objective dimension and a goals dimension.
- 137. The P&D System Model Dimensions
- 140. Summary A client's perceptions, priorities, and understanding of a problem start to change almost immediately after the P&D effort begins. The influences which cause this are noted in this appendix as "disturbance," "normal operating change," or "new knowledge and technology." The problem itself may be changing, or it's importance may diminish or increase, or other entities may "move" unpredictably. Most of these changes initially are imperceptible, but they still alter the individuals awareness of the organization or community. As more changes occur, the client's world itself becomes different, and the perception of a project's scope and context can be dramatically modified.
- 143. The Investigative Information Systems (The Team Organizer Profile) Phase One I. Collect and/or Organize Performance Information, Collect Data and/or Information, Identify New Product Quality, Analyze Job Methods and Motions, Identify Project Opportunities, Identify (Product) Opportunities II. Analyze Projects, Appraise/Assess Projects, Analyze Project Impacts On Society III. Measure Project Progress and Performance, Establish Project Schedules and Basis for Measuring Progress and Performance IV. Appraise/Assess Systems, Analyze Systems V. Identify Problems, Overlaps, and Conflicts, Identify Management Styles, Approach Problems VI. Weight Criteria or Factors, Rank Alternatives, Organize Al natives, Categorize/Classify Alternatives, Establish Priorities, Identify Regularities VII. Provide Graphic Representations, Preserve an Image, Portray an Order of Events, Plot and Analyze Data about the Performance of an Existing Installation Phase Two
- 144. VIII. Rate Conditions, Describe/Establish/Measure Relationships, Evaluate Interpersonal Relationships, Performance, and Effectiveness of an Organization IX. Analyze Alternative Options/Plans/Policies/Programs/Contingencies/Functions, Develop and Analyze Structure X. Generate a List of Possible Purpose/Function Statements Phase Three XI. Estimate Budget and Dollar Requirements, Determine Human Ability and Skill Requirements for Tasks, Predict Future Conditions, Detail Proposed Solution Phase Four XII. Generate Alternatives/Ideas, Develop (Enhance) Creativity XIII. Produce Consensus, Stimulate Creativity of People Phase Five XIV. Involve People, Inform and Involve Citizens XV. Test Impact of different Values of an Attribute/Parameter/ Variable XVI. Analyze Investments, Appraise/Assess Investments, Analyze Policy Setting and Decision-Making Variables, Appraise/Assess Alternative Options/Plans/Policies/Programs/Contingencies/ Functions, Evaluate Alternatives, Measure Errors Techniques and Models in P&D The marvelous ability of humans to develop symbols, signs, and abstractions has led to a huge number of models, techniques, and tools. Most were proposed for the analysis and research methods of conventional P&D approaches. Yet most of them can be converted into valuable aids for all five factors of the total P&D approach. All of factors in the P&D scenario need the abstracting and estimating assistance models and techniques provide. This section provides a broad introduction to such techniques models, and tools by means of: * A listing of some of the available techniques by purposes or functions to be achieved in P&D * A listing of techniques by cell of the P&D system matrix * Some selected references containing descriptions of many of the techniques LISTING OF SOME AVAILABLE TECHNIQUES, MODELS, AND TOOLS BY PURPOSES/FUNCTIONS TO BE ACHIEVED
- 145. Analyze Alternative Options/Plans/Policies/ Programs/Contingencies/Functions Contingency analysis Contingency tables Function analysis diagram Gaming Goals-achievement analysis Implementation, planning, and control technique (IMPACT) Judgment analysis technique Judgment policy analysis Mathematical model Mathematical programming technique Multiattribute utility (MAU) models Nominal group technique Planning council Planning, programming, and budgeting system (PPBS) Queuing theory Utility assessment Value analysis Voting technique Zero-base budgeting (ZBB) Also see Appraise/assess alternative options/ plans/policies/programs/contingencies/ functions Analyze Investments Break-even analysis Mathematical model Operations research Optimization Performa cash flow analysis Risk analysis Also see Appraise/assess investments Analyze Job Methods and Motions Control charts Critical incident technique Job evaluation Maintenance chart Operations chart Process chart Productivity circles Relationship (Rel) chart Simultaneous motion (Simo) chart Task analysis Task timeline Time study Training Work measurement Analyze Policy Setting and Decision-Making Variables See Analyze investments Analyze projects
- 146. Analyze systems Appraise/assess investments Appraise/assess projects Appraise/assess systems Analyze Product Quality See Identify (Product) opportunities Analyze Projects ABC analysis (Pareto model) Critical path method Feasibility studies Gantt chart Map of activity and thought chains (MATCH) Management operations systems technique (MOST) Mathematical model Milestone chart New business project screening summary Network analysis Precedence diagram method Program evaluation and review technique (PERT) Purpose network analysis Resource allocation and multi-project scheduling (RAMPS) Risk analysis Also see Appraise/assess projects Analyze Project Impacts on Society Cost-effectiveness analysis Cross-impact analysis Delphi Environmental impact statements Multiattribute utility (MAU) models Nominal group technique Planning balance sheet analysis Social cost-benefit analysis Utility assessment Voting technique Analyze Systems Curry's model Decision worksheet Decision tree Function analysis diagram Gaming Gravity model Index numbers Linear models Mathematical model Mathematical programming technique Opportunity identification Optimizing model
- 147. Path analysis Physical model Planning balance sheet analysis Planning council Planning model Planning, programming, and budgeting system (PPBS) Queuing theory Recursive programming model Relative space model Resource constrained scheduling heuristics Simulation model Value analysis Zero-base budgeting (ZBB) Also see Appraise/assess systems Appraise/Assess Alternative Options/Plans/Policies/ Programs/Contingencies/Functions Contingency analysis Contingency tables Failure analysis Function analysis diagram Gaming Goals-achievement analysis Index analysis Indifference curves Judgment policy analysis Measurement model Multiattribute utility (MAU) models Needs analysis Nominal group technique Pair comparison Planning council Planning, programming, and budgeting system (PPBS) Probability assessment Program planning method Psychological scaling Subjective probability assessment Utility assessment Utility theory Variance analysis Value analysis Voting technique Appraise/Assess Investments Cash flow model Expected free cash flow model Financial investment appraisal Profit/volume (P/V) analysis Return on investment Risk analysis Sensitivity analysis Appraise/Assess Projects
- 148. Cash flow analysis Critical path method Demand analysis Impact analysis Input/output analysis Map of activity and thought chains (MATCH) Multiattribute utility (MAU) models Network analysis New product early warning systems Observation model Pair comparison Precedence diagram method Program evaluation and review technique Purpose network analysis RAMPS Resource constrained scheduling heuristics Risk analysis Appraise/Assess Systems A fortiori analysis Cost-benefit analysis Cross-impact analysis Decision worksheet Environmental impact statement Gaming Pair comparison Planning balance sheet analysis Planning council Planning, programming, and budgeting system (PPBS) Relative space model Replacement model Resource constrained scheduling heuristics Sensitivity analysis Simulation model Social cost-benefit analysis Utility theory Value analysis Zero-base budgeting (ZBB) Approach Problems Case histories Conference Counter-planning Delphi Digraphs Function analysis diagram Feasibility studies Flow chart Group process technique Interviews Meetings Negotiation Nominal group technique
- 149. Project teams Purpose expansion Questionnaire Task force Workshops Categorize/Classify Alternatives Abstract dimensioning Classification Control charts Data dictionary Fuzzy sets Hierarchical clustering Index analysis Multiattribute utility (MAU) models Pair comparison Partitioning Person-card sorting technique Task timeline Utility assessment Collect and/or Organize Performance Information Case histories Cash flow analysis Control charts Critical incident technique Delphi Flow chart Gantt chart Histograms Learning curves Multiattribute utility (MAU) models Management operations system technique (MOST) Nominal group technique Progress function Time study Training Work measurement Also see Analyze job methods and motions Collect data and/or information Identify new product opportunities Collect Data and/or Information Activity sampling Attitude surveys Case histories Central location testing Charrette Checklist Citizen referendum Climate analysis Computer graphics Counter planning Critical incident technique Data base system
- 150. Delphi Ends-means chain Environmental impact statements Interviews Job interviews Learning curves Managerial grid analysis Media-based issue balloting Meetings Numbering/identification schemes Nominal group technique Observation model Opportunity identification Questionnaire Standard data, charts, tables, and equations Standard operating procedures Telecommunications Telephone polling Time study Training Use testing Wage scale Work measurement Workshops Describe/Establish/Measure Relationships Cause/effect assessment Computer graphics Correlation analysis Data dictionary Data transformation Digraphs Dynamic model Factor analysis Fault-tree analysis Flow chart Interaction analysis Interpretive structural modeling Mathematical model Modeling Network analysis Oval diagrams Pareto analysis Physical model Planning model Profit/volume (P/V) analysis Purpose network analysis Statistical model System matrix Tree diagram Detail Proposed Solution See Analyze job methods and motions
- 151. Analyze systems Collect data and/or information Describe/establish/measure relationships Determining human ability and skill requirements for tasks Involve people Predict future conditions Provide graphic representations Determine Human Ability and Skill Requirements for Tasks Aptitude test Critical incident technique Information content analysis Interviews Job evaluation Operation chart Performance/time measurement estimate Role analysis Task analysis Therblig chart Training Tree diagram Work measurement Develop and Analyze Structure Computer graphics Critical path method Interpretive structural modeling Network analysis Precedence diagram method Program evaluation and review technique System matrix Develop (Enhance) Creativity Bisociation Brainstorming Delphi Nominal group technique Morphological analysis Person-card sorting technique Synectics Also see Generate alternative/ideas Establish Priorities See Categorize/classify alternatives Organize alternatives Rank alternatives Rate conditions Weight criteria or factors Establish Project Schedules and Basis for Measuring Progress and Performance Activity line balance evaluation (ABLE)
- 152. Gantt chart Learning curves and progress functions Line of balance (LOB) Management operations systems technique (MOST) Milestone chart Network analysis PERT/cost Precedence diagram method Resource constrained scheduling heuristic Task timeline Estimate Budget and Dollar Requirements Budget Cash flow analysis Expected free cash flow model Planning, programming, and budgeting system (PPBS) Zero-base budgeting Also see Analyzing investments Evaluate Alternatives See Analyze alternative options/plans/policies/ programs/contingencies/functions Analyze investments Analyze job methods and motions Analyze policy setting and decision making variables Analyze product quality Analyze project impacts on society Analyze projects Appraise/assess alternative options/plans/ policies/programs/contingencies/functions Appraise/assess investments Appraise/assess projects Appraise/assess systems Evaluate Interpersonal Relationships, Performance, and Effectiveness of an Organization Auditing Force field analysis Index analysis organization mirror Organizational sensing Role analysis Training Generate a list of Possible Purpose/Function Statements Brainstorming Brain writing Function analysis diagram Nominal group technique Purpose expansion Also see Generate alternatives/ideas
- 153. Generate Alternatives/Ideas Analogies Bisociation Brain resting Brainstorming Brain writing Case histories Charrette Citizen advisory committee Conference Counseling interviews Delphi Dialectical process Fishbowl planning Focused group interview Forced connections Interviews Judgment analysis technique Meetings Morphological analysis Nominal group technique Productivity circles Purpose expansion Questionnaire Random selected participation groups Synectics Team building Telephone polling Use testing workshops Identify Management Styles Attitude survey Auditing technique Interviews Managerial grid analysis Questionnaire Identify (Product) Opportunities Abstract dimensioning Central location testing Employee panels Focus group testing New-product early warning system Opportunity identification Product/service life cycle analysis Substitution analysis Use testing Identify Problems, Overlaps, Conflicts Bisociation Brainstorming Data dictionary Delphi
- 154. Group process techniques Interviews Meetings Morphological analysis Nominal group technique Person-card sorting technique Purpose expansion Questionnaire Also see Approach problems Identify management styles Identify Project Opportunities See Analyze projects Identify (product) opportunities Identify Regularities Classification Person-card sorting technique Priority setting System matrix Also see Weight criteria or factors Inform and Involve Citizens Citizen honoraria Drop-in centers Fishbowl planning Group process technique Judgment policy analysis Media-based issue balloting Meetings Negotiation Ombudsman Open-door policy Planning balance sheet analysis Planning council Public hearing Involve People Activity matrix Brainstorming Conference Delphi Interpretive structural modeling Judgment analysis technique Judgment policy analysis Nominal group technique Opinion polling Planning council Planning model Productivity circles Program planning method Scenario writing Telecommunications Utility assessment
- 155. Value analysis Also see Inform and involve citizens Measure Error Control charts Sensitivity analysis Variance analysis Measure Project Progress and Performance See Establish project schedules and basis for measuring progress and performance Organize Alternatives Classification Couplet comparison technique Data dictionary Data transformation Decision tables Fuzzy sets Hierarchical clustering Hierarchical structures Intent structures Logical framework Numbering/identification schemes Objective tree Person-card sorting technique Program planning method Purpose expansion Psychological scaling Scaling, subjective Scheduling model Specification listing System pyramid Team building Plot and Analyze Data about the Performance of an Existing Installation Budget analysis Control charts Index values Learning curves and progress functions Variance analysis Predict Future Conditions Adaptive Forecasting Budget Contextual mapping Control charts Cross-impact analysis Demographic forecasting Econometric model
- 156. Forecasting Index numbers Learning curves Markov chain New-product early warning system Operations research Path analysis Performance measures tally PERT/cost Probabilistic system dynamics Probability assessment Product/service life cycle analysis Progress function Queuing theory Resource constrained scheduling heuristic Regression analysis Regression forecasting Reliability theory Risk analysis Role playing Sales force composite Scenario writing Scheduling model Simulation model Smoothing Sociological projection technique Subjective probability assessment Substitution analysis Technological assessment Technological forecasting Time series analysis Trend analysis Preserve an Image Computer graphics Data dictionary Graphics Modeling Photographs Physical model Planning model Portray an Order of Events Critical path method Decision tables Delta charts Flow chart Gantt charts Interpretive structural modeling Machine-loading charts Maintenance charts Milestone chart Network analysis Operations chart PERT/cost
- 157. Precedence diagram method Process chart Program evaluation and review technique Resource constrained scheduling heuristic Specification listing Task timeline Produce Consensus Arbitration and mediation planning Group process technique Judgment analysis technique Meetings Negotiation Nominal group technique Ombudsman Team building Voting technique Provide Graphic Representations Computer graphics Decision tree Delta charts (cell 19) Digraphs Flow chart Graphics Graphy theory Histogram Influence diagram Intent structure Interpretive structural modeling Network analysis Objective tree Oval diagrams Partitioning technique Performance measures tally Physical model Policy graphs Progress function Purpose network analysis System pyramid Templates Tree diagram Also see Preserve an image Portray an order of events Rank Alternatives Contingency analysis Cost effectiveness analysis Goals-achievement analysis Multiattribute utility (MAU) models Measurement model Nominal group technique
- 158. Pair comparison Scaling, subjective Social cost-benefit analysis Utility assessment Value analysis Rate Conditions Delphi Job evaluation Multiattribute utility (MAU) models Questionnaire Time study Also see Weight criteria or factors Stimulate Creativity of People See Develop (enhance) creativity Test Impact of Different Values of an Attribute/ Parameter/Variable A Fortiori analysis Scenario writing Sensitivity analysis Weight Criteria or Factors Nominal group technique Questionnaire Subjective judgment Utility theory Voting Also see Rate conditions LISTING OF TECHNIQUES BY CELLS OF P&D SYSTEM The techniques and models listed in each cell illustrate some that may be useful in accomplishing the functions of the cell. Others may well be applicable, but the following listing is an appropriate stimulator: (1) Purpose, fundamental. Brain writing, couplet comparison technique, ends-mean chain, intent structures, interviews, map of activity and thought chains, multilevel approach, needs analysis, nominal group technique, objective trees, purpose expansion, relationship chart, relevance trees, sensitivity analysis, scenarios, semilattice tree, surveys, system pyramid. (2) Purpose, values. Brainstorming, climate analysis, dialectical process, ends-means chain, intent structures, interviews, objectives tree, questionnaire, utility theory. (3) Purpose, measures. Budgets, correlation analysis, financial investment appraisal, Gantt chart, index analysis, indifference curves, interpretive structural modeling, measurement model monthly operating statement, needs analysis, nominal group technique, objectives or goals survey, objectives pyramid, Planning, Programming, and Budgeting System, profit/volume analysis, return on investment, single-factor and multiattribute utility assessment, subjective probability assessment, subjective 0-100 scaling, variance analysis. (4) Purpose, control. Annual report of P&D system activities and achievements, board of director review, budget control sheets, control charts, data transformation, external peer evaluation, influence
- 159. diagram, management style questionnaire, participative review and control, Planning, Programming, and Budgeting System, trend analysis, value analysis, worst/best case analysis, zero-base budgeting. (5) Purpose, interface. A fortiori analysis, arbitration and mediation planning, cause/effect assessment, correlation analysis, cross-impact matrix, digraphs, ends-means chain, graph theory, hierarchical structure, influence diagram, intent structures, interaction analysis, interpretive structural modeling, intersectoral analysis, negotiation, objectives tree, ombudsman, opportunity identification, policy graphs, purpose network analysis, relationship chart, sensitivity analysis. (6) Purpose, future. Each of those in cells 1-5. Conditional demand analysis, extended scenarios, futures research, objectives tree, profits progress (learning function, sociological projection techniques. (7) Inputs, fundamental. Budgets, conditional demand analysis, contingency forecasting, demographic forecasts monthly operating statements and balance sheets, nominal group technique, partitioning techniques, questionnaire, regression analysis, technological forecasting, telephone polling, time series analysis. (8) Inputs, values. Brainstorming, dialectical process, group process technique, interviews, questionnaires, sociological projection technique, utility assessment, and utility theory. (9) Inputs, measures. Budget, checklists, cost-benefit analysis, cost-effectiveness analysis, data transformation, information acquisition preference inventory, judgment analysis technique, judgment policy analysis, measurement model, planning and control technique, preference ordering, psychological scaling, sampling theory, sensitivity analysis, simulation, statistical model, subjective probability assessment, subjective scaling, voting techniques. (10) Inputs, control. Attitude surveys, board of directors review, budget, checklists, citizen honoraria, control charts for human involvement measures and for information quality and quantity norms, control method, correlation analysis, data base system, employee panels, external peer evaluation, focus group testing, a fortiori analysis, Gantt charts, group process technique, influence diagram, operational games, organization analysis, planning and control technique, program planning budgeting system, probability assessment, productivity circles, questionnaire, replicate information collection, role playing, sensitivity analysis, simulation, statistical model, task force, team building, telephone polling, use testing, value analysis, worst-case analysis, zero-base budgeting. (11) Inputs, interface. Interface with outputs: charette, computer graphics, correlation analysis, drop-in centers, fishbowl planning, input-output analysis, media-based issue balloting, meetings, open- door policy, public hearing workshops. Others: arbitration and mediation planning, cross-impact matrix, influence diagram, interaction analysis interaction matrix, inter-sectoral analysis, interpretive structural modeling, negotiation, ombudsman, profit/volume analysis, system pyramid, technology assessment. (12) Inputs, future. Each of those in cells 7-11. Conditional demand analysis, contextual mapping, extended scenarios, forecasting, futures research, new-product early warning system, opportunity identification, progress ("learning") function for quality and quantity measures of effectiveness, regression forecasting, simulation, social indicators, technology assessments and forecasts, time series analysis. (13) Outputs, fundamental. All available ones are possible as output representations, but a sample of them includes computer graphics, drawings, drop-in centers, fishbowl planning, hotline, input-output analysis, intent structures, interpretive structural models, media-based issue balloting, meetings, open door policy, oval diagrams, photographs, policy graphs, pro forma balance and operating statements, public hearing, public information program, scenario, system matrix, system or semilattice pyramid, workshops. (14) Outputs, values. Brainstorming, dialectical process, intent structures, questionnaires, sociological projection technique, utility assessment. (15) Outputs, measures. Benefit-cost analysis, break-even analysis, budget, correlation analysis, data transformation, a fortiori analysis, measurement model, PPBS, product or service life cycle analysis, profit/volume analysis, progress functions, psychological scalings, reliability theory, sensitivity analysis, simulation, subjective probability assessment, variance analysis. (16) Outputs, control. Budget, cause-effect analysis, central location testing, checklists, control charts, control model, correlation analysis, counter planning, data transformation, decision matrix,
- 160. employee panels, financial investment appraisal, influence diagram, return on investment, simulation, tables reporting variance to norms, use testing, worst case analysis, zero-base budgeting. (17) Outputs, interface. With inputs: computer graphics, correlation analysis, drop-in centers, fishbowl planning, input-output analysis, media-based issue balloting, meetings, open-door policy, public hearing, and workshops. With other elements: arbitration and mediation planning, cause-effect analysis, charrette, cross-impact analysis, diagraphs, environmental impact statements, fault tree analysis, impact analysis, influence diagram, interaction analysis, intersectoral analysis, negotiation, new business project screening summary, ombudsman, policy graphs, PPBS, profit/volume analysis, system or semilattice pyramid, and technology assessment. (18) Outputs, future. Each of those in cells 13-17, plus additional techniques in cell 12. (19) Sequence, fundamental. Because the P&D system sequence involves all aspects of time-based P&D, all of the techniques could be involved, especially the change principles. The following just illustrate the differing types for each phase: 1. Delphi, forecasting techniques, function expansion, purpose hierarchy, intent structures, oval diagrams, semi-lattice, system pyramid, tree diagrams. 2. Analogies, bisociation, brain resting, brainstorming, brain writing, dialectical process, morphological box, search for diverse sources of options. 3. Cash flow analysis, causal diagram, cost effectiveness analysis, decision matrix, DELTA chart (decision, event, logic, time, activities), feasibility study, financial investment appraisal, flowchart, goals-achievement matrix, input-output matrix, layout-diagram, multilevel digraph, operations research, optimization, pair comparison, Pareto analysis, return on investment, scenario, social cost benefit analysis, system matrix. 4. Same as 3 plus contingency analysis, cost-benefit analysis, decision tables, forecasting, multiple attribute utility assessment, parameter analysis, program planning method, simulation. 5. Same as 1, 2, 3, and 4 plus control charts, questionnaires (cells 21, 22, 23). (20) Sequence, values. Brainstorming, dialectical process, group process technique, questionnaires, and utility theory. (21) Sequence, measures. Activity balance line evaluation, break-even analysis, budget, correlation analysis, data transformation, decision tree, Gantt chart, life cycle phasing, line of balance, management operations systems technique, measurement model, milestone chart, network analysis, operations chart, PERT or critical path method (manual or computerized), PERT/COST, precedence diagram method, process chart, RAMPS, statistical model, subjective probability assessment, timeline budget for phases, variance analysis. (22) Sequence, control. Activity balance line evaluation, activity matrix, budget variance analysis, client/user/citizen/ P&D peer review panels, contingency/worst case analysis, control charts, correlation analysis, data transformation, decision tables, DELTA chart, Gantt chart, influence diagram, line of balance, management operations systems technique, milestone chart, network analysis, operation chart, PERT/COST, PPBS, precedence diagram methods, process chart, RAMPS, scheduling model, simulation, statistical model, task force, zero-base budgeting. (23) Sequence, interface. Arbitration and mediation, cause/ effect assessment, change principles, contingency tables, correlation analysis, cross-impact analysis, decision tables, digraphs, force field analysis, improvement program, influence diagram, interaction matrix analysis, interface event control, intersectoral analysis, multiple criteria utility assessment, negotiation, ombudsman, policy graphs, scenarios, subjective probability assessment, surveys. (24) Sequence, future. Each of those in cells 19-23. Some newer techniques are emerging: computerized Delphi, contingency forecasts, a fortiori analysis, parameter analysis, technological forecasting, worst-case analysis. (25) Environment, fundamental. Causal diagrams, community attitude survey, Delphi, demographic analysis, dialectical process, dynamic model, gaming and simulation, goals program analysis, intersectoral analysis, interviews, matrix structure, organizational climate analysis,
- 161. organizational sensing, oval diagrams, parameter analysis, productivity circles, project teams, preference ordering, scenarios, semilattice pyramid, telephone polling, tree diagrams, utility assessment, volunteer group status. (26) Environment, values. Brainstorming, climate analysis, dialectical process, questionnaires, technology assessment, utility theory. (27) Environment, measures. Budget, bureaucracy level analysis, cause/effect assessment, climate analysis, correlation analysis, counts and/or ratios of public attendance at P&D meetings, data transformation, demand analysis, econometric models, factor analysis, frequency of P&D system meetings, frequency of updating "pulse" of external environment aspects, magnitude of external pressure, management grid analysis, measurement model, network analysis of P&D system, PPBS, regression analysis, rigidity versus openness analysis, role analysis, statistical model, subjective probability assessment, variance analysis. (28) Environment, control. Budget, climate analysis trends, control charts, control model, correlation analysis, critical incidence review, data transformation, influence diagram, P&D peer review, PPBS, statistical model, utility assessment, zero-base budgeting. (29) Environment, interface. Arbitration and mediation planning, cause/effect assessment, correlation analysis, demographic analysis, digraphs, environmental impact statement, factor analysis, fault-tree analysis, force field analysis, graph theory, human development continua, impact analysis, influence diagram, ISM, interaction analysis, intersectoral analysis, interviews, negotiation, ombudsman, organization mirror, organizational sensing, policy graphs, regression analysis, role analysis, surveys, technology and managerial control analysis, tree diagrams, trend analysis. (30) Environment, future. Each of those in cells 25-29. Adaptive forecasting, contextual mapping, demographic forecasting, forecasting, Markov chains, probabilistic system dynamics, regression forecasting, sales force composite, smoothing, sociological projection technique, substitution analysis, technological forecasting, time series analysis. (31) Human agents, fundamental. Attitude tests, contingency analysis, creativity techniques (analogy, morphological box, bisociation, brainstorming, brain writing, etc.), interviews, nominal group technique, ombudsman, oval diagrams, personality tests, personality type analysis, role analysis, semilattice pyramid, scenarios, subjective probability assessment, task analysis, task force, wage scale. (32) Human agents, values. Brainstorming, dialectical process, group process technique, questionnaires, utility theory. (33) Human agents, measures. Activity sampling, aptitude test, budget, correlation analysis, critical incident technique, data transformation, external examiner to assess performance, financial plans, Gantt chart, historical time/cost data in P&D, information content analysis, job evaluation, measurement model, performance measures tally, PPBS, progress functions and learning curves, quality of working life autonomy, salary versus job education curves, statistical estimation, statistical model, subjective probability assessment, user satisfaction surveys, variance analysis, wage scale, wage surveys, work measurement. (34) Human agents, control. Aptitude test, budget, contingency analysis, control charts, control model, correlation analysis, counseling interviews, critical incident technique, critical path method, data transformation, Gantt charts, influence diagram, organizational analysis, peer review, PPBS, performance appraisal, RAMPS, regular retraining courses, semi-annual sample tests or games, statistical model, task force, team building, training, zero-base budgeting. (35) Human agents, interface. Arbitration and mediation planning, cause/effect assessment, correlation analysis, counseling interviews, cross-impact analysis, decision tables, digraphs, educational curriculum formats, group processes techniques, influence diagram, interaction analysis, interactive computer languages, intersectoral analysis, ISM, negotiation, ombudsman. (36) Human agents, future. Each of those in cells 31-35. (37) Physical catalysts, fundamental. Flow path diagrams, layout drawings, nomographs, photographs, physical and mathematical equations describing operating characteristics, physical model, specification listing, templates, three-dimensional models.
- 162. (38) Physical catalysts, values. Brainstorming, dialectical process, group process technique, questionnaires, utility theory. (39) Physical catalysts, measures. Break-even analysis, budget, cash flow analysis, correlation analysis, cost benefit analysis, cost-effectiveness analysis, data transformation, downtime distribution, machine-loading charts, maintenance network, maintenance schedule graph, measurement model, PPBS, progress function, queuing models, social cost-benefit analysis, statistical model, subjective probability assessment, and variance analysis. (40) Physical catalysts, control. Activity sampling, budget control sheets, control charts, control model, correlation analysis, critical path method, data transformation, influence diagram, interview surveys, maintenance charts, PPBS, RAMPS, replacement model, statistical mode, utilization indices and charts, value analysis, zero-base budgeting. (41) Physical catalysts, interface. Arbitration and mediation planning, cause/effect assessment, climate analysis, contingency analysis, correlation analysis, cross-impact analysis, digraphs, graph theory, influence diagram, interaction analysis, interaction matrix diagram, intersectoral analysis, ISM, negotiation, ombudsman, semilattice pyramid, telecommunications. (42) Physical catalysts, future. Each of those in cells 36-41. Modeling of conferences based on technologically advanced physical catalysts, technology assessment, technological forecasting. (43) information aids, fundamental. Abstract dimensioning, analysis of variance, career path analysis, case histories, charts, computer graphics, contingency analysis, continuing educational path, decision tables, decision trees, drawings, expected free cash flow model, graphics, graphs group process techniques, hierarchical clustering, histograms, information content analysis, information flowcharts, lattice theory, mathematical and statistical tools (correlation analysis, factor analysis, histogram, Laplace transforms, risk distribution, variance, etc.), mathematical model, mathematical programming technique, modeling, performance/time measurement estimate, physical model, probability assessment, programming languages, recursive programming model, risk analysis, simulation languages, software in structures and packaging, standard operating procedures, system pyramid, time study, utility theory. (44) Information aids, values. Brainstorming, dialectical process, group process technique, questionnaires, utility theory. (45) Information aids, measures. Activity sampling, budget, cast flow analysis, computer simulation, contingency analysis, correlation analysis, cost-benefit analysis, cost-effectiveness analysis, data transformation, decision tables, downtime measurements, fault analysis, forecasting, a fortiori analysis, measurement model, morphological analysis, objective tree, PPBS, probability assessment, sensitivity analysis, social cost-benefit analysis, statistical model, subjective probability assessment, surveys, time between request and response, variance analysis. (46) Information aids, control. Auditing technique, budget, budget control sheets, control charts, control model, correlation analysis, critical path analysis, data base system, data transformation, decision tables, decision trees, flowcharts, forecasting, Gantt charts, influence diagram, PPBS, priority setting or voting, replacement models, RAMPS, standard data charts and tables, statistical model, utilization indices, value analysis, zero-base budgeting. (47) Information aids, interface. Cause-effect matrix, computer graphics, contingency analysis, correlation analysis, cross-impact matrix, digraphs, a fortiori analysis, influence diagram, interaction analysis, interaction matrix diagrams, intersectoral analysis, ISM, negotiation, ombudsman, parameter analysis, programming-computer interaction analysis, sensitivity analysis, survey questionnaires and interviews, telecommunications. (48) Information aids, future. Each of those in cells 42-47. Computer programming research, computerized Delphi, cost-benefit analysis, forecasting, gaming, and subjective probability. Summary Many possible developments tie a P&D need directly to another of the purposeful activities. An example would be a requirement to develop methods for determining which purposeful activity is
- 163. involved when trying to solve a problem, or one to determine indicators of when a P&D project needs a sub-project dealing with another purposeful activity. Many additional topics arise when the interrelationships of the secondary purposeful activities are considered. An example of this would be to investigate the differences in effectiveness of creativity approaches within the different primary purposeful activities. The words research and development associated with P&D means humans will be involved in experiments and data collection. They cannot be treated in the classical experimental sense of "factors" to control beyond the simplest concepts (years of experience, degree, salary, etc.). "The required control is not only formidable but downright immoral." Different methods for R and D have been noted previously. The Build Plan or Objectives (Mission or Goal Statements) A. Environmental Scanning 1. Social and political trends a. Demographics b. Moral Values c. Education d. Regulatory Pressures 2. Capital markets analysis a. Capital Asset Pricing Model b. Capital Structure c. Ask How Estimate d. Value Analysis 3. Macroeconomic trends a. Systematic Risk b. Value Curve for Signal c. Value Chain and/or Stream d. Economics of Scale 4. Industry structure studies a. Industrial Organization b. Industry Capacity c. Industry Importance Graph d. Industry Segment e. Industry Structure f. Industry Life Cycle 5. Competitor analyses a. Competitive Force b. Competitor Configuration c. Competitive Strategy d. Competitive Position B. Developing and Modifying a Corporate Strategy 1. Corporate goals
- 164. a. Corporate Culture b. Corporate Stakes c. Corporate Strategy d. Corporate Brands 2. Concept of fit a. Concept of Assembly b. Concept of Management c. Organizational Structure d. Integrating System 3. Concept of assembly a. Organizational Hierarchy b. Measurement Systems c. Incentive Systems d. Planning Hierarchy e. Planning Process f. Resource Allocation Process 4. Concept of management a. Differentiation Strategy b. Functional Areas of Fit c. Entry and Mobility Barriers d. Formula Fit C. Establishing Different Goals for Business Units (Alternatives) 1. Identity business units (Segmentations) a. Buyer Groups b. Business Cycle Profiling c. Business Plan and Policy d. Business Interrelationships 2. Assess contributions to information and for economic values a. Business Systems Analysis b. Cost of Capital c. Financial Leverage d. Capital Structure 3. Alternative or subroutine goals for business units a. Strategic Leverage b. Shared Experience c. Strategic Business Unit(s) d. Strategic Beachhead D. Developing Competitive Strategies for Business Units 1. Identify current strategy (Reverse implied assumptions) a. Required Return
- 165. b. Operating Policies c. Competence Profile d. Strategic Audit 2. Generate alternative strategies (Analyze environment industry structure's intra-industry structure) a. Buyer Power b. Supplier Power c. Relative Costs, Prices and Utility d. Fix-To-Value Added Ratios 3. Select optimal strategy and determine operating policies to carry out a. Build Plan b. Operating Leverage c. Operating Unit d. Operations Research E. Reviewing Competitive Strategies 1. Consistency test a. Critical Path Method b. Cost Analysis c. Price to Performance Ratio d. Input-Output Analysis 2. Contribution to economic and/or informational values a. Decision-Making Process b. Decision-Making Unit(s) c. Decision Trees d. Value System and/or Chains 3. Ongoing monitoring a. Structural Analysis b. Structural Factor c. Critical Path Methods d. Value Chain for System 4. Reports a. Linkage b. Market Signal c. Measurement System d. Mission Statement(s) F. Resource Allocation 1. Financial resources a. Capital Intensity b. Capital Structure c. Cash Flow d. Cash Trap 2. Human resources a. Employees
- 166. b. Sub-contractors c. Consultants d. Labor Organizations 3. Information resources a. Information Brokers b. Governmental Sources c. Written Materials (Books and/or Database Hard-copies) d. Media Systems (News or News Associations) G. Determining Incentives 1. Set performance measures a. Measurement System b. Management Through Objectives c. Game Grid d. Gap-Based Planning 2. Evaluate performance measures a. Cost Dynamics b. Growth Value Leverage Matrix c. PIMS Program d. Gaming H. Monitoring Implementation 1. Software procedures a. Regression Analysis b. Seven-8 Framework c. Strategic Condition Matrix d. Strategy Audit e. Uniqueness Driver f. Systematic Risk g. Unsystematic Risk h. Value Added Advantage for Analysis i. Planning and Design j. @ Functioning k. Macro Structuring l. Problem Formatting 2. Grids, matrixes and flow chart systems a. Brainiac b. Pie Structures (5 Area Phases) c. Bar Charts (Report Structure) d. Decision Flow Chart Grid e. Consultation Grid f. Strategic Condition Matrix g. Pie Structures (Report Structure) h. Brainiac Wave Length Flow Charts i. 5 Area Phase Bar Charts j. Macro Flow Chart System k. Legends
- 167. l. Total System's Integrated Color Chart Systems m. CAD Systems n. CAM Systems o. Anatomy Charts and Diagrams Summary The charts, diagrams and procedural formats shown in this part of Appendix F, are designed and formatted for use by the Technical Support Units of Nascent Applied Methods & Endeavors in order to provide the System Matrix of this system with a structure, by-which all processes and procedures can be verified as to it's accuracy and form of implementation. PART III The Description of the Database System Involving Planning and Design
- 168. The Characteristics Of Information & Knowledge (I&K) Everything is fluid and changing in nature (Axiom 1, 6, and 7). So too is I&K itself. A myth of science (people can observe and model identically the same event or phenomenon when each person has the "same" frame of reference, concept structure, emotions, personal values, and training) has long been exploded and dismissed in discussions of physical as well as social realities. Epistemological studies show the shift from the view of I&K generation as the search for "truth" to the view of it as the development of functional models that serve a purpose now and will be changed or modified in time. What is "factual" I&K is inextricably entwined with human perceptions of it's framing at particular points in time. So too it is unlikely that what follows can be treated as definitive "characteristics." As I&K changes in amount and content, so will any listing of characteristics. Structure Humans continually seek to put the vast amount of I&K into taxonomical or categorical forms as a reference source, whether for P&D, other purposeful activities, or for any particular locus content area. The following criteria categories about structure are helpful for using I&K to achieve P&D purposes: Raw Data Observations, measurements, specific incidents, research calculations, interviews, questionnaire returns, exemplary practice and so forth. "No data are truly 'raw.' Every record [of an even or object is] subjected to editing and transformation either by man or by his instruments." Descriptive Extractions from and embellishments on raw data, organized sets of elements and dimensions, equations, research results, analysis results, explanatory, summary, "factual," "understanding" and so forth. A description of any phenomenon should include it's particular perspective, value set, or assumptions. Comparative Evaluative, criteria-based descriptions and relationships, policies compared to actions, index values, abstraction or pattern compared to reality or matter ("shape of an ocean wave as contrasted to the that composes it,...shapes of letters on this page as contrasted to the ink and paper... ), survey of literature, evaluations of I&K in one project or program compared to others (e.g., methods for dynamic control of projects, tests on emissions of auto engines), technological solutions or equipment available for certain problems (e.g., pump water, remove metal, count units, make scientific calculations), and so forth. Predictive A wide variety of formats (models, equations, mapping, graphs, monographs, path analysis, charts, scenarios, etc.) to calculate or arrive at the amount or condition of a "dependent" variables), given the amount or condition of one or more "independent" variables. The data for the independent variables are aggregated from several instances, so that the amount of the dependent variable is an estimate of an
- 169. aggregate, not a good prediction of an individual case (Axiom 7). Cause-and-effect relationships, extrapolations, "recurring regularities," useful estimates or statements about the future, forecasting and sensitivity when identical conditions are assumed, anticipated responses when the conditions are changed, and so forth. Normative Consequences of a prediction, thus identifying factors that need to be "changed" if the desired prediction is to occur. This puts purposeful and human concerns at the core. Available evidence (data, descriptions, comparisons, predictions) thus needs exploration concerning it's solidity, finality, practical significance, sensitivity, consensus among experts, and amount of contradictory evidence. Many techniques seek to provide normative insights: contingency-based games, technology assessment, risk analysis, computer simulation, sensitivity analysis, and scenario writing. A normative structure is difficult to obtain except in some physical situations (Axiom 6 and 7). Presumptive Experience and wisdom are often the only data base "structure" available. Hardly a structure in the formal sense (rationality), presumptive I&K illustrates that affective and even chance aspects influence "hard" areas, such as data and information. Other words also explain this category: speculation, heuristics, guess and test, theorizing, intuition, hunches, and feeling. It deals with human concerns. Although this I&K "structure" is least likely to be sought while doing P&D, it is probably most widely used. A predictive or normative insight, for example, may be needed to determine how downhill skiers will respond to the new safety program regulations, but even after one or more user surveys, someone or a group will presume a set of responses. Unfortunately, most presumptions at the broad or societal levels tend to be "false bad news," a condition to consider in P&D and to be guarded against as a regularity. Although predictive and normative structures are preferred for P&D, very little I&K is so arranged. Descriptive and comparative structures, along with P&D-initiated collection of raw data, are usually converted into usefulness by presumptive structures. Useful I&K in predictive and normative forms is most often related to physical phenomena. A Few Ways of Describing I&K in Locus Content Areas 1. List of journals and publications 2. Basic disciplines (a) Literature, history, culture, semantics, art (b) Mathematics, science, philosophy, history, humanities (c) Professional fields 3. Subdivisions of basic disciplines Example: mathematics: calculus, statistics, topography, etc. 4. Subdivisions of each P&D profession 5. Specific topics not wholly in a discipline or subdivision (a) Organization develop- (i) Paints ment (j) Welfare recipients (b) Chronic diseases (k) Abilities of twins (c) Academically gifted (1) Parasite control students (m) Steel (d) Appropriate technology (n) Flowers
- 170. (e) Logic chips (o) Tax laws (f) Single-parent families (p) Roofing (g) space capsules (q) Arithmetic ability (h) Moon rocks (r) Advanced technology (s) And so on 6. Synthesis of disciplines to focus on specific area or problem (a) Improve reading ability of children, not just cognition or phonics research (b) Develop long-range plans for public television, not just past programming and citizen's interest (c) Design a gear for a drive shaft, not just mechanics of force and materials, but also lubrication, manufacturing process, and group technology (d) Improve the quality of working life, not just results of worker production experiments, economics of supply of materials, replacement patterns of customers, etc. 7. Categories in specific organizations: Budget, equipment performance capabilities, standard costs, market patterns, personnel attitudes, contingency events, competition, political environment, management style 8. The Department of Labor Dictionary of Occupational Titles 9. Taxonomies (a tree structure or system pyramid) (a) Illustration: Environmental policy and management, subtopics of ecosystems, resources, environmental deterioration, elements of ecomanagement, and social bases for ecomanagement or the three initial categories (and subcategories) of access (b) Illustration: Impact of buildings on the health and lives of people: Researchers (monitoring, retrieval, processing, service), practitioners, (translation, dissemination, service) and systems planners (augmentations, synthesis, and management) Some Sources of I&K in Locus Content Areas NASA (National Aeronautics and Space Administration) -- Industrial Applications Centers-Universities of Connecticut, Pittsburgh, Indiana, New Mexico, and Southern California; Research Triangle Park, North Carolina OECD (Organization for Economic Cooperation and Development)--Publications office; various books and periodicals on 17 world economy and related subjects NTIS (National Technical Information Service of the U.S. Dept. of Commerce)--Abstracts, newsletters reporting government sponsored research and development, reported in 26 different weekly issues, in topic areas such as agriculture and food, building industry technology, chemistry, electrotechnology, medicine and biology, natural resources and earth sciences, physics, and transportation ERIC Centers (Education Research and Information Centers)--At several universities, each one for a particular I&K field (e.g., higher education, counseling and personnel services, languages and linguistics) National Library of Medicine-Several automated information retrieval systems for medical care; characterized as "electronic handbooks" NSF Centers (National Science Foundation)--For specific technological areas (materials, thermodynamics, controls) and particular models/techniques: chemical engineering models at University of Houston, Design Research Center at Carnegie-Mellon University, mathematics education processes at Education Development Center in Newton, Massachusetts, continuing education in specific engineering topics through Project PROCEED at Massachusetts Institute of Technology
- 171. Professional societies and trade association--Business/trade periodicals: Wall Street Journal, Journal of Comparative Psychology, Investment Surveys, Medical Economics, Printer's Inc., Management Science, Industrial Marketing, annual reports and so on. Intensive computer and heuristic models--Human skeletal movements, finite analysis for structures, for example U.S. Patent Office Information synthesis and data files--e.g., The World Future Society has a Guide to Information Sources as well as listings of books, cassettes, games, and learning materials in The Future: A Catalog of Resources; The Research and Development Interpretation Service of the National Institute of Education publishes synthesis volumes such as Research within Reach: For Reading Educators; The National Center for Health Services Research publishes Announcement, a bimonthly journal on it's research activities; private firms publish newsletters on specific technological subjects Other government agencies--Trade with China in Department of Commerce, wind machine technology in Department of Energy, Bill Status Office in U.S. Congress, cost-of-living information, locations for retirement, and conservation policies at Department of Interior Handbooks, thesaurus on particular topics (hopefully user-oriented), loose-leaf notebooks on specific topics such as taxes, and so on Specific organization or company computer-aided design data bases (e.g., highway and bridge, water treatment, building structures, automated assembly, electronic layout) Proceedings of conferences and seminars of all professional societies, research agencies, universities, thinktanks, and so on Vendors Customers Consultants, technical staff, research and development department Unpublished reports in the organization Computer Technology is Providing Significant Assistance Computer (and programmable calculators) make available a wide range of aids for I&K in P&D: Layouts and space representations Computer-aided drafting Partitioning Micro and Macrosimulations Risk and cost compilations Computer graphics and visualizations Digitizing photographs Automated data path design Mathematical programming Network formulation and review Design verification (with standards) and documentation Interfaces with data bases for I&K in content areas (e.g., engineering, architecture) Interactive displays, graphics, routings, and scheduling Fault-tree assessment Hierarchical modeling Project control management and scheduling
- 172. Three-dimensional representation of motions of human limbs as various actions take place and forces are applied. Many specialized computer aids are developed within these categories for specific fields or locus content areas: linear programming in chemical processing, partitioning in building physical systems, optimization of electronic circuits, simulation of power system networks, cost minimization of transformer design specifications, fault-tree assessment of nuclear control structures, and hierarchical modeling of urban spaces. Many computer-aided design techniques are interactive, to allow people involved with the projects to take some part in the technical aspects of developing P&D specifications. Quite valuable to a project is the rather quick response to the "what if" type of questions many people ask. The key words are aids and assistance. Even for the areas mentioned above, computerization is often viewed as a mixed blessing at best and downright debilitating at worst. Communications within the P&D world are far too often concerned with impressing professional colleagues, causing unnecessary and complicated techniques to be used. Simple tools are better for both professional exchanges and for exchanges between RW and P&D worlds. Technical needs constitute the basic criterion for deciding whether or not to use complex techniques; the elitist view of professionals is not a good criterion, for it can destroy good opportunities for communicating, explaining, and helping to seek effective and implemented solutions. I&K in P&D should help all to ask questions, provide listening capability, exchange interpretations, activate creativity, initiate catharsis, and otherwise orchestrate and facilitate the flow of the total P&D approach-which is the essence of communication. Techniques to Foster Generation of Purposeful and Ideal Alternatives and Ideas This appendix includes only a few of the techniques researchers in the field of creativity propose. Many depend on the evidence that unstructured word lists help people to generate ideas. Some explanation of word lists are as follows: 1. Synonyms Develop or use a list of words related (they may even be antonyms) to each major word or phrase in the selected purpose statement (a thesaurus is helpful). Use each one, one at a time, as the secondary plane to intersect with the purpose plane: "How could we possibly achieve (purpose x) by means of (synonym/antonym y)?" 2. Principles Almost every P&D profession, content area, or locus of a project has a set of principles that are felt to describe desirable and ideal conditions or solutions. This is a sampling of an almost infinite number of such types of principles: Plant layout Warehousing Machine and tool engineering Production processing Packaging Cybernetics Automation Anthropometric measurement Computer systems Electronics devices Organization design Job design Office layout Student learning Materials handling Appropriate technology Instrument design Human factors Accident prevention Product design Forms design Information handling Counseling Physiological distress
- 173. Production processing Ergonomics Motion economy Chemical processing Inventory control Urban planning Other titles are often assigned to such principles: checklists, laws, theories, precepts, maxims, guidelines, ideologies, and postulates. This appendix and others are a form of principles for developing ideal systems. Another form lists key words that have been found useful: adapt, modify, magnify, minify, rearrange, reverse, substitute, invert, combine, and so on. Principles and other formats are used one at time as the secondary plane to intersect with the purpose plane: "How could we possibly achieve (purpose x) by means of (principle/law/precepy/checklist item y)?" 3. Stimulator Items or Checklists Each P&D profession or locus/subject area has many specific illustrations of previously successful ideas or solutions that can be turned into stimulators or products for developing alternative ideas for the specific P&D project. One excellent format for organizing such experiences is the system matrix model (Axiom 8). Part of this appendix shows the arrays that might be put together for just two of the eight elements in a manufacturing setting. Other attribute listings dealing with desired properties or features is another version of a checklist. 4. Analogy and Metaphor If an individual or group knows about an innovative solution in a completely different field (personal, direct, symbolic, or fantasy analogy), use it as the basis of the secondary plane. Or try to turn what is strange into something familiar or vice versa. or select a completely different field in which the same type of purpose may be needed and develop alternatives for that field, then use the solution from the second field as the basis for adaptation in the initial field. Synectics is a "problem solving process" that builds on the analogy method. The first version of analogy is the most frequent form of generating ideas: "How could we possibly achieve (purpose x) by means of (analogy y)?" 5. Dictionary Words Thumb through a dictionary and pick out a word at random, then pose the same question: "How could we possibly achieve (purpose x) by means of (dictionary word y)?" This is a lot of fun for any group. 6. Free Association A variant of the dictionary word method, this method borrows from some of the others. A reversal might look at smaller purposes in the hierarchy as the secondary plane (instead of the "frontal" attack of using larger purposes only), and a lateral move might be an analogy or stimulator item. Both are represented in thinking about how to accomplish the "opposite" purpose, or piggybacking on another idea and thinking about it's "opposite." 8. Imaging or "Future Perfect Thinking" Use of the measures of effectiveness as the secondary plane to visualize what the solution might be if that measure were achieved "completely." Then use each measure in the same way. Both the measures and the images serve as stimulators to determine how that future might be reached. 9. Scenario Writing This technique can be used at two levels, first to write out the scenes of what is desired, and, second to write out the actions needed (administrative "moves," resource acquisition, possible "games" of people, etc.) to implement the first scenario. 10. Morphological Analysis A morphological matrix, box, tree, or array are other terms that represent the essence of this technique. Various values, dimensions, examples, characteristics, conditions, properties, or attributes of a relatively independent variable become the columns, while the aspects of another variable constitute the rows. Each cell is used as a forced relationship between the two variables to generate ideas. The two variables can be one or more of several sets available in the strategy or the organization: purpose hierarchy and measure of effectiveness, inputs and outputs,
- 174. regularities and functional components, business strengths and industry attractiveness, levels of people involved and values, product mix and markets served, and so on. 11. Group Techniques Delphi, nominal group, brain writing, telephone conferences, and individual interviews are just some of techniques that are useful in generating ideas, used alone or in conjunction with most of the other techniques. Asking each group member to generate ideas away from a meeting to bring to the group is also quite effective. 12. Small Groups Focus on Different Purpose Levels Set up groups of at least two people. Each group is assigned a purpose statement from the hierarchy, one group the selected level, a second group the next bigger purpose, and so on. Each group is to develop ideas to achieve it's assigned purpose, and can use any creativity techniques it desires. 13. Other Techniques Many other techniques are similar to those mentioned here: "What's good about it?", list of aphorisms, spin-off, search and discover (find solutions out there), looking at one thing and seeing another, planned ignorance, fantasy exploration, concept transformation, juxtaposition method, advocate method, crossing the senses, are good examples. Lists of slogans or thoughts that are displayed are general stimulators.
- 175. Information & Knowledge of Planning & Design I&K of P&D involves topics that describe major parts of an educational program for almost every P&D professional as well as sets the stage for P&D operational aspects: Axiology: goodness or value in [P&D] phenomena, with special regard to the relations between technical, economic, moral and aesthetic values; Philosophy: language of discourse on [P&D] moral principles, [processes governing thought, and metaphysics]; Epistemology: nature and validity of ways of knowing, believing and feeling in [P&D]; History: what is the case, and how things came to be the way they are, in the [P&D] area; Pedagogy: principles and practice of education and the [P&D] area. I&K in P&D also includes topics that describe other major parts of an educational program for almost every P&D professional and also sets the stage for P&D operational aspects: Praxiology: [efficient action within P&D] techniques, skills and judgment applied in a given area Language: vocabulary, syntax and media for recording, devising, assessing and expressing [P&D] ideas; Taxonomy: classification of [P&D]phenomena; [and] Metrology: measurement of [P&D] phenomena, with special emphasis on the means for ordering or comparing nonquantifiable phenomena. Summary Knowledge, information, and models aggregate data that can be used cost-effectively in P&D if each aggregation includes statements about it's relative inability to predict an occurrence or performance value of a future specific instance or case, emphasize the importance of it's integration with the other four P&D factors, and is presented with accuracy and precision values to reflect past and present conditions.
- 189. The Lesson Planning Database Sheet I. Developing instructional materials and databases for a particular set of data definition ranges. a. Prepare curriculum documents that bring all aspects of each training system/course into readily usable form. b. Make sure that basic curriculum documents include a course outline for each instructional block and a program of instruction for each training system/course. c. Subject each program of instruction to a thorough review for format, organization, currency and adequacy of content. d. Each program of instruction (situation) should contain the following data: (1) Title and/or other identification (2) Date(s) of indication(s) (3) Scheduled length in weeks, days, or hours (4) Purpose or problem to be implemented, solved or deviated (5) Overall performance (learning) objectives in terms of anticipated behavior, working conditions, and performance criteria (6) List of course attendance prerequisites (7) Training locations) (8) Instructor requirements (training aids and operating equipment) (9) Equipment requirements (training aids and operating equipment (10) Space requirements (by type, capacity, and number) (11) A list of duty/task performance requirements, stated in the form of required behavior, working conditions, and standards (12) A list of training performance objectives in terms of duties, tasks, and job elements (13) A list of required reference materials (14) A list of evaluation instruments (15) The sequence of instruction(s) by lesson plan title and number e. Each procedural lesson plan (detailed concept) should contain the following elements: (1) Title and/or other identification (2) Date(s) of review and approval (3) Time allocation in hours and minutes (4) Primary and (where applicable) secondary instructional strategy(ies) (5) Type and size of classrooms), shop(s), or laboratory facilities required (6) Evaluation strategy(ies) (7) Number of instructors and assistants/investigators needed or involved (8) A list of all required training aids and other types of equipment or procedures (9) A list of specific references for students/trainees (10) A list of references for students/trainees (11) A list of references for instructors (12) A list of required student/trainee supplies or equipment (13) A list of student/trainee handouts to be distributed (outlines, advance sheets, programmed materials, etc.)
- 190. (14) Transportation requirements, including vehicles (or other means), schedules, and locations (15) Names and signatures of lesson-plan preparers), reviewer(s), and approver(s) (16) An appendix consisting of a copy of each student/trainee II. The database structure upon which Section One (I.) data shall be structurally or organizationally manipulated. Functions to Be Accomplished within Each Factor Pursuing the P&D strategy (The Conceptual Format) Project selection (Phase One) P&D system structure (Phase One) Problem formulation (Phase One) Measures of effectiveness (Phase One) Creativity-idea generation (Phase Two) Regularity-conditionals (Phase Two) Target (Phase Three) Recommended solution (Phase Four) Approval (Phase Four) Installation plan (Phase Five) Preparation for operation (Phase Five) Performance measures (Phase Five) Turn-over to operators (Phase Five) Interrupt-delay (Phase Five) Specifying and presenting the solution (The Numerical Format) Purpose Inputs Outputs Sequence Environment Human agents Physical catalysts Information aids Involving people (Nascent Applied Methods & Endeavors) Decision maker 1 Decision maker 2 Influential 1 (elected) Influential 2 (business) Expert 1 (internal) Expert 2 (external) Worker 1 (internal) Worker 2 (external)
- 191. P&D professional role 1 (sequence) P&D professional role 2 (human agents) Group process role 1 Group process role 2 Group process technique 1 Group process technique 2 Meeting condition 1 Meeting condition 2 Using information and knowledge (Database Operations) Theory of P&D-axiology Theory of P&D-philosophy Theory of P&D-epistemology Theory of P&D-history Theory of P&D-pedagogy Information and knowledge in P&D 1 (Subsystems) Information and knowledge in P&D 2 (Reports) I & K in locus content area 1 (Internal Databases) I & K in locus content area 2 (External Databases) Arranging for continuing change and improvement Readiness factors assessment (Measurement Techniques) Project betterment Favorable behavior Organizational policy 1 (Personal Systems) Organizational policy 2 (Social Systems) Utilizing what is available Developing new I & K Verifying the I & K (Investigative Information Systems) Modifying the I & K (Managerial Applied Numerical Format M.A.N.) Institutionalized program Structure Education Workshop groups Project team P&D development and research Program audit (Performance Evaluations) Other purposeful activities Operate and supervise Evaluate
- 192. Research Learn ________________________________________________________________________ Timeline model for recording research data about a P&D project scenario. Functions to be accomplished within each factor vary from project to project.
- 193. Suggestions Arising from the System Matrix* to Enhance Another Solution Framework
- 194. PART IV The Statements of Strategic Procedural Structuring
- 195. Some Other Organizational Programs with Aspects of an Institutionalized ACCI Program Name and Brief Description of Alternative Program ANNUAL IMPLEMENTATION PLAN Health systems agencies are required to have a long-range health systems plan for ensuring quality and accessibility of health services in the area being served. An AIP is prepared annually to focus on practical and manageable goals and objectives for the year. Priorities are set for each item within broad functional areas after many people from the area served by the HSA have been involved. COLLATERAL ORGANIZATION "A parallel, continuously coexisting organization [has] norms differing from those usually in force, [is] used to identify and solve apparently intractable problems, and is carefully linked to the 'regular' organization. No new people are required." D. E. Zand, "Collateral Organization: A New Change Strategy," Journal of Applied Behavioral Science, Vol. 10, No. 1, January-March, 1974, pp. 63+. CORPORATE PLANNING Usually a five-year time horizon is used, Second year from now updated for quarters, one year from now for monthly budgets. Tends to be extrapolative and done by planning staff and managers. Can cover all elements and dimensions of the "corporation system," but usually focuses on financial ratios and monetary measures. COST CONTAINMENT Deals with goals for reducing or maintaining costs of all line items in a budget or of all products/services. Infrequently seeks to get cost-cutting commitment that goes down six, seven, eight levels. Often set up on basis of fine-tuning measurements to provide control of costs. Many techniques are promoted for doing cost cutting: work measurement, charts, forms control, operations research modeling, computer analysis, statistical analysis, etc. See Productivity improvement program. MANAGEMENT BY OBJECTIVES A yearly cycle consisting of definition by management of Organizational goals, delegation of prioritized goals down the hierarchy, manager and subordinate agreement on the subordinate's performance contract, implementation of all the contracts in a hoped for one-for-all and all-for-one helping relationship, and review of results to determine whether contracts should be changed. Some programs become overburdened with mechanics and paperwork, and focus only on short-term precise individual measures. MANAGEMENT of OBJECTIVES "The work of an organization is not the sum of many individual [operating and supervising] tasks, but is instead the achieving of an array of specified objectives, and these, whether they are ongoing or change objectives, usually require the Coordinated contributions of several individuals in different departments.... The organization's objectives and functions can be coordinated contributions of several individuals in different departments.... The organization's objectives and functions can be coordinated In a grid ... which then becomes the organization. [The former are] change [or] D. Sherwin, " Management improvement objectives [and the latter] functional performance [or] of Objectives," Harvard performance maintenance objectives." D. Business Review, Vol. ;4, No. 3, May-June 1976, pp. 149+.
- 196. MANAGERIAL GRID People orientation and production orientation are effectiveness in attaining each rated from 1 (very little) to 9 (very much) for each individual. A 9,9 goals, and quality of score is the desirable climate, and movement toward this point on the grid working life, 14 attributes of is made through training to improve the appropriate skills. Often new designs are: "systemic combined with Organizational Development. structure and roles, organizations would MATRIX MANAGEMENT Projects draw personnel on temporary basis permit most of these t from needed internal and external functions. A strong project manager or as open systems, P&D professional handles all aspects of the project, after which all of the design by joint personnel return to their functional unit. A third dimension on activities or optimization, organizational organizational service has been included in some cases. uniqueness, stated organizational become OPERATIONS RESEARCH/MANAGEMENT SCIENCE Although incorporated in a re- originally developed in the concept of Multidisciplinary project teams, values or current OR/MS usually relies on seeking improvements through philosophy, quality of preprogrammed models and mathematical modeling of operations. working life as an essential objective, comprehensive ORGANIZATION DEVELOPMENT Planned efforts managed by the design. executives to increase the Team building, training, multiple effectiveness and health of the group and the organization through behavioral science. Attempts to move toward collaboration rather than competition among parts of an organization. Controls are interim managerial process on the way toward open communications and trust. A change agent is usually responsible for intervening with the problems of the organization PRODUCTIVITY IMPROVEMENT PROGRAMS Can range from equivalent of a program on ACCI to a series of measurements that are widely disseminated in the hope the numbers will encourage productivity increases. Many individual techniques are proposed: New pay plans, supportive participation, flexible work hours, job enrichment, etc. Usually involves a committee (cost effectiveness, productivity improvement, etc.). See Cost containment. PROGRAM-PLANNING-BUDGETING SYSTEM See text. QUALITY OF WORKING LIFE Improving job satisfactions of workers by increasing the autonomy of each person's and group's work arrangement, maximizing their control of decisions, enriching scope of responsibilities and skills needed through job enrichment, continual learning, democratic processes, and providing healthy and safe work places. Results are projected as employees satisfied from work itself, social integration, positive impacts extending to family and community. SOCIOTECHNICAL DESIGN OF ORGANIZATIONS To achieve institutional survival and adaptability, economic survival, institutional The Related Aspects Continuous. Uses target and Possible Resource ideas. Gets managers in ACCI committed. Deals with total organization. Long-range "target." People involved. Yearly updates for detail (no set dates to update target). Priority setting. Focuses on results, albeit only monetary, which tends Similar to workshop groups with different representation. Operate and to be short-term-oriented. supervise is different from Planning and Design. (Note: could conceivably be the whole program.)
- 197. Mutual development of goals could develop team spirit. Because two different purposeful activities are recognized, the arrangements for handling change and improvement are very close to an institutionalized program. Two values are recognized. Individual abilities to mesh the two are developed Project teams and their responsibilities are stated to avoid two "bosses." Develops some open communication. (Note: could conceivably be the whole program.) The Related Aspects and Possible Resource ACCI Name and Brief Description of Alternative Program in roles, self-maintaining social units, flat structure, participation, minimal status differences, make large small, iterative evolutionary development, and minimal critical specifications." L. E. Davis, "Evolving Alternative Organization Designs: Their Sociotechnical Bases," Human Relations, Vol. 30, No. 3, 1977, pp. 261-273. VALUE ANALYSIS ENGINEERING Although starting with functions and a limited version of Cost/value ratio. a function hierarchy, a thorough analysis of present costs is made in preparation for assigning so much cost that ought to exist for the value of the component. Almost completely associated with products and components, efforts are underway to apply the same cost/ value relationship in any type of system or service. ZERO-BASE BUDGETING See text.
- 199. PART V The Graphical Representations Of Procedural Implementation
- 200. An Engineering Design Solution Format* ASPECTS OF SOLUTIONS The engineer's objective in solving problems, in getting answers, is to meet the client's or supervisor's needs, and to help himself to do so. He is searching for practical, timely answers to real problems, which, in the cases that concern us, he has never dealt with or solved before. These new problems, we suggest, should be converted by the act of modeling into familiar form and size, leading toward progressively more and more useful and realistic answers as the fidelity of the model iteratively improves in use. VARIETY OF MODELS Models are generally classified under three names: Iconic: It specifically looks like the original. Analog: It specifically behaves like the original (obeys the same laws of action). Symbolic: It compactly and abstractly represents the principles of the original. PURPOSES AND POWER Iconic A. Visualize: Enlarge, shrink, emphasize sense of texture and shadow, show aesthetics. B. Establish relationships: Rank, order, proportion, arrangement. Observe the interactions. C. Synthesize: Make a whole out of parts. D. Communicate and record: With self, clients, subordinates. Analog A. Simulate performance: Operate in the desired mode and in real or artificial time. B. Determine numerical results: Check quantitative interactions. C. Employ various phenomena: Suggest new areas of investigation D. Interchange variables and parameters, at will. E. Use one piece of equipment (analog or digital computer) to solve many varieties of problems. Symbolic A. Use maximum generality in attack on problem. B. Economize effort: Use symbolic shorthand for attributes and operations. C. Lead to numeric outcomes, to explicit functional relations. D. Use methods of mathematics geometry, and other logics. E. Solve many problems economically: Use only pencil and paper. LAWS INVOLVED Iconic
- 201. A. Scaling ratios: Lines, areas, volumes. B. Laws of projection, geometry, etc. C. Rules of seeing: Limitations both by physiology and by dramatic effect. Analog A. Equivalence of the differential equations, or other equation of behavior. B. Dimensional homogeneity C. Rules of similitude. Symbolic A. Self-consistent axioms and laws of the logic used: Numbers, functions. etc. LIMITATIONS Iconic A. Limited number of variables: 1, 2 or 3 (dimensions). B. Optimization generally done visually. C. Limited by the engineer's conceptualizations. Analog A. Fidelity of assumptions: Simulation increases probability of correct answers. B. The range of the specific equipments available. Symbolic A. The fidelity of assumptions: Answer must be tested. B. Solving-power and skills of the engineer or mathematician. ________________________________________________________________________ Criteria for Evaluating Models Criteria Describer 1. Relevancy Does the model describe the policy context? 2. Distortion Is there a bias between the model and the reference system? 3. Structural Is the model design based on internally consistent principles? integrity 4. Reproducibility What is the model’s "track record" for replicating historical data? 5. Tractability Is the model easily utilized? 6. Accessibility Are the model’s input and output familiar and intelligible? 7. Flexibility Is the model design capable of undergoing change? 8. Common Are the model’s forecasted results offensive to basic intuition? sense 9. Credibility Is there consonance between the model build and the policy-makers? 10. Efficiency What are the costs associated with operating the model?
- 202. Example Some aspects of usual cyclic behavior and life cycle of a system. Maturation is a good time to begin a betterment P&D project, which is one way of reducing the severity of the cycle. This is a representation of the marketing principle, "The best time to start development of a new product is at the peak of success of the old one." This chart was prepared by W. J. Waikoe.
- 203. Future existence obviously means the real-world system is nonexistent, but is being developed or planned. As soon as a human conceives an idea or need-policy, object, political structure, combinations, etc.--it is in a future existence condition. An idea often results from the knowledge-push concept and a need from the market-pull view. Another illustration is the one- time system for constructing a building, moving, a political campaign, approval of a recommendation, or setting up a task force. Any single or multiattribute criterion may be used to measure a satisfactory condition. Once a minimum or threshold level of the criterion is defined, satisfactory or unsatisfactory conditions at a particular point in time are identified. "Satisfactory" often means stable, homeostatic, profitable, cost-justified, adaptive, and market-leading. Positive or better-than-expected performances based on the desired norms usually identify a system as satisfactory. "Unsatisfactory" has the opposite set of characteristics--unstable, problem-ridden, unprofitable, costly, nonadaptive, and market-lagging-but also connotes crisis conditions that are "value- or life-threatening" (going bankrupt, agency funding stopped, possible loss of an election, wrath of citizens on an issue, or any type of natural disaster). External conditions (new emission standards, minimum levels of insulation, competition, poor reading ability of high school graduates, etc.) may generate another determinant of an unsatisfactory situation. In one sense all systems are unsatisfactory because more progress along the spiral values can always be sought by challenging outworn decisions. Similarly, certain characteristics of a system mean that an unsatisfactory condition always exists. For example, no system ever becomes completely an "ideal-seeking system...which, on attainment of any of it's goals or objectives, then seeks another goal and objective which more closely approximates it's ideal.... An ideal- seeking system is necessarily purposeful, but not all purposeful entities are ideal-seeking...It has been repeatedly observed that 'without ideals man's life is purposeless."' The idea that all systems are unsatisfactory adds weight to the need to consider a planned betterment review of every solution. Considering what happens to each condition of existence as time goes on gives rise to some other interpretations. First, many claim that the future will repeat the past. Surely, the rate of changes and improvements will remain high. What is nonexistent today will be satisfactory tomorrow, and what is satisfactory today will be unsatisfactory tomorrow. The repetition of physical history- rotation of the earth, sunspots, tides--is a desirable future based on the past, but this falls outside the range of P&D concerns. Humans have always sought betterment, and significant change has occurred (communications, transportation, social welfare). P&D embodies the past in a future by always considering all three conditions of existence. Second, the often seriously stated assumption that if something is working well, it should be left alone, must be countered. Assuming that a satisfactory condition will always stay that way flies in the face of the first interpretation. Good P&D seeks to maintain satisfactory levels by arranging for continuing changes and improvements. Third, cyclic behavior concerns well-known expectancies of periodic oscillations around the basic performance and trend levels. If the periodicity is fairly long, one may conclude that the system is in satisfactory condition if the performance at that point in time exceeds expected levels, and in an unsatisfactory one if performance is below expected levels. Fourth, a system's life cycle starts with an idea, concept, need, or invention, then is followed by initiation, development or refinement, successful attainment, maturity, decay, and death. Not much is known about predicting the parts or phases of a specific life cycle of a system, such as it's time of existence, rate of change from one stage to another, heights of performance, point of maturation, and so on. Cyclic behavior during a life cycle is most noticeable at maturation, but it is present, although frequently masked, during other parts of the cycle. Satisfactory conditions are usually thought to exist as growth occurs up to and including maturation, although this is far from certain. Many unsatisfactory conditions may exist during growth, just as decay and death
- 204. stages may occur in well-planned satisfactory stages. The chart above portrays one illustrative scheme interrelating cyclic behavior and the life cycle. Fifth, the validity of the axiom holds over long periods of time. A table or a painting, for example, can be considered in satisfactory existence now. They will, however, deteriorate into unsatisfactory physical existence over a very long period of time. In addition, the attitudes of people toward, say, a building, it's environmental context, and the motivations leading to it's construction could vary over a much shorter time period back and forth between satisfactory and unsatisfactory conditions. Such interpretations reinforce the time perspective of this axiom. Classifying the condition of a system today is no assurance of what it will be after even a short period of time. Arranging for continuing change and improvement can influence in desired directions the performance of a system. Physical and social research has established that both natural and organizational entities tend toward disorganization, at least in terms of the measures that define unsatisfactory existence. (Although "things [may] tend to become more orderly if they are left to themselves," the orderliness could most likely occur at unsatisfactory existence levels.) the second law of thermodynamics deals with this unsatisfactory existence concept as it relates to gases and uses the term entropy. Energy and effort (negative entropy) are required to avoid this tendency toward disorganization in both natural and organizational entities. A satisfactory organization should use energy and effort to seek changes for the better. Conversely, some quite satisfactory organizational structures have survived by seeking new opportunities for achievement when their original purpose was accomplished (the Tuberculosis Association changed it's focus to lung diseases, the March-of-Dimes shifted it's emphasis from polio to birth defects). Applying energy (negative entropy) will by itself start to char things and tend to make everything around less stable. The immediate results appear to replace order by chaos, which is painful if energy infusion is pursued ineptly. Good operating and supervising approaches are one mode of coping. Knowing that the tendency to disorganization exists should stimulate P&D people to provide negative entropy at the appropriate time, especially in planned betterment conditions at the peak of success of what exists. "One way of mishandling a problem is to behave as if it did not exist, [or to treat it with] terrible simplification ....[There are two consequences,] acknowledgment is [considered] madness or badness; and...the problem... [is] compounded through it's mishandling."
- 205. Depiction of the emergence of a P&D problem. Although many problems appear suddenly or just "walk in the door," many take time to emerge as possibly deserving of P&D attention. Note that planned betterment P&D between to and t1 would be most desirable. Other problems that may be quite important may not "walk in" nor be perceived as emerging. Summary Possible problems (or symptoms) that organizations and individuals may identify to start P&D include the following: Competitors are reducing product prices. Hospital costs are rising at over three times the inflation rate. A person perceives that others are getting promoted faster because of better educational background. Several farmers are worried about a lack of grain storage and handling facilities. A group of citizens is unhappy about the lower achievement of their children in school, etc.
- 206. Planning and design strategy. Developed by J. C . Thomson, Jr. This chart summarizes the phases of the basic strategy pattern. The abscissa is roughly time-related; real projects require highly variable amounts of time for each phase. (Experience shows 25 to 35% of the time spent on the first two or three phases and 65 to 75% on the last two or three. Detailing and installation are just more time-consuming.) The curve interrelates the strategy phases, as each one "flows" purposefully to the next. The ordinate reflects the potential for achieving an "ideal" result (creative, great savings, low cost, high level of people commitment, innovative, etc.). The ordinate measures the degree of potential reached for maximizing all the P&D objectives. In Phase 1, determining the real opportunity offered by a problem involves expanding purposes into a hierarchy, exploring purposeful directions, expanding the solution space, and selecting the biggest purpose/function that the project can seek to achieve. Redefining conceptualizations and transcending current problem formulations are consciously attempted. This process lets beliefs, terms of reference, warrants, and charges to be thoroughly explored to assure the work is proceeding satisfactorily. This is facilitated by a group. Implementation questions need answering starting in this phase. This phase pushes the project immediately into a level of high potential for ideal results. It is far more likely than conventional strategies to get groups with members in conflict to establish a basic premise through which solutions can be sought jointly. Large systems are handled by developing functional components, each one of which then requires a purpose expansion. Phase 2 continues this push by utilizing individual and group creativity for what is acknowledged for now to be a needed purpose. As many ideal or "perfect" (in terms of an objective) solutions as possible are developed to widen the choice of alternatives and try to remove any thinking restrictions. The ideas should seek to create a significant difference from current or initially expected levels of performance. If the differential is negligible, the possibilities for action are remote. An ideal solution is a constant guide for continuing change and improvement. This point usually represents the highest potential for ideal results, and the remaining three phases seek to stay as close as possible to this peak. Phase 3 shapes the ideas into possible major solutions that are developed by playing the believing game: How can an idea be operational? The FIST for regularity conditions, selected as this point is slightly lower in potential for ideal results because real (regularity) conditions start the crystallization of a possible solution. Yet it represents an excellent blue-print to guide the rest of the project and stimulate future changes even after a solution is installed.
- 207. Phase 4 works in the necessary exceptions and irregularities while seeking to maintain the good qualities of the FIST. Why discard the excellent FIST that concerns 60% of the conditions because another 5% cannot fit into it? Conventional approaches would search for one channel or method that would handle both the 60% and the 5%. PDA instead utilizes three or four integrated channels for keeping the recommendation as close as possible to the target for each of the major conditions. Phase 5 installation keeps the potential for ideal results high by using the purposes, purpose hierarchy, suggestions for ideal solutions, FIST, and regularities in making the many, often minor, decisions that are necessary as a change or installation is under way. Continual interchanges from the start along the timeline between the P&D world and members of the real world make installation a natural action, rather than a sudden change the P&D world imposes. In addition, the information developed through the course of the project lends itself to seeking continuing improvements in and updates of the FIST itself as well as of the installed solution. Consider, in comparison, how conventional strategies would influence the relationship in the chart above. Gathering data about and analyzing what exists, determining who is at fault, and further probing into the current system greatly restricts or turns negative along the ordinate any chance of a high potential for ideal results. Escaping this trap is almost impossible even with great amounts of effort. Any solution is then usually accepted, an outcome that is hardly conducive to being innovative. Parenthetically, no amount of recorded information about what the existing system does will ever be equivalent to the knowledge and information base contained in the heads of the people involved (operators, clients, customers, etc., even including prospective users not currently involved). Many strategies say that one should be sure the right problem is being worked on without saying how collecting a great deal of data will do this. By using the knowledge of people to develop the purpose hierarchy, generate ideal systems, and so on, the PDA strategy shows how this is best accomplished. People will accept changes they help to generate. This again demonstrates the inextricable intertwining of the five features of a total P&D approach. The basic pattern of reasoning may, of course, be sufficient in quite a few P&D projects. Several steps within the strategy can be accomplished by the P&D professional alone using the basic pattern. Then, there are some P&D professions that deal with one-on-one problems, where the strategy is the major concern.
- 208. Make FIST as Ideal and as Operational as Possible Example Updating the target and bettering the installed solution. Adapted from L. Jakobson, "The Sketch Plan Concept and Its Application to Central Tunisia." Regional Planning and Area Development Project, International Studies and Programs, University of Wisconsin-Madison. November 1980. Two viewpoints explain the first part of this step. The first is simply always to seek an ideal result. Be a thief: Steal what is good from B, C, and D, even though A has been selected. The FIST for regularity conditions should always be viewed, regardless of sources allocated or time available, as constantly subject to being developed to a more "ideal" state. In addition, compromises may have resulted in a "nearest semi-feasible solution" or "somewhat creative" level, which should always be considered open to further improvement. One other consideration may arise, timing of the project. The more innovative the FIST and thus the likely recommendations, the more the client or organization needs to be ready and able to accept it. The PDA timeline scenario addresses this specifically. Yet a deliberate effort may be needed to make certain the real world's perceptions are moved along.
- 209. Outline of a Plan for Hospitals Facts about our hospital Historical background: founding, major additions, major changes in ownership or in health care role
- 210. Trended statistical data for the past 10 years, showing utilization by major departments, room rates, expenditures, income Current medical staff data Trade area served (the geographic area and the people who live in it) Data on competitive facilities in the area Trends, and where they appear to be taking us Society Government Medical developments Health care Competitive plans The hospitals own trends projected ahead five years on the assumption of changes in society, government, medical developments, and health care The stated role of the hospital (also called the mission statement) As it is (or is not) now written As it should be written, recognizing all the facts, problems, strengths, and weaknesses we know about Compared with the stated role of other nearby institutions The strengths of the hospital: what we've got to build on in achieving our ambitions in the next 5 to 10 years Medical staff Nursing staff Facilities Reputation Trade area Management Board The issues to be addressed: the problems we must solve if we are to succeed in our mission in the next 5 to 10 years Medical staff Nursing staff Facilities Reputation Management Board Relationships with other health care facilities Other Alternative planning solutions for the next 5 to 10 years Ideas that might solve the problems Each alternative assessed for cost impact Each alternative assessed for potential results Recommended course of action for the next 5 to 10 years: timing and action Who will do what, and when Who must approve What costs will be incurred What savings will be made What results are expected, and when
- 211. Summary Several health systems agencies (207 over the whole United States mandated to do health planning for their region) produced plans for five years in the future along with yearly plans that specify levels of achievement within certain times for the first priority goals. Thus, the format is a listing of goals with one or more specific objectives for each, one or more sub-objectives for each objective, and one or more recommended actions for the objectives. One plan recently had 19 goals, 41 objectives, 11 sub-objectives for one objective, and 64 recommended actions for 32 of the objectives. 1. To obtain information about the way hospitals nurses spend their working hours 2. To determine how nurses are utilized in hospitals 3. To establish the characteristics add magnitude of the hospital nursing shortage 4. To identify the critical nurse characteristics and skills needed in hospitals 5. To define the needed nurse roles in a hospital
- 212. 6. To relate nursing roles to hospital patient needs 7. To establish a pattern of providing needed nurse role, in a hospital 8. To establish a system of providing needed nursing care to hospital patients 9. To develop a system of providing nursing services that meet the needs of hospital patients 10. To develop a system of providing services in hospital patient care units 11. To have available the services that meet the heads of hospital patients 12. To give patients hospital care 13. To give patients pre-, in-, and post-hospital care 14. To give patients continuing health care services 15. To give patients health care 16. To produce socioeconomically well patients 17. To provide health care to citizens 18. To have a healthy Population Example A simplified version of the function/purpose expansion for the nurse utilization project.
- 213. Example Information flows affecting design. In addition to this information. there is a frequently quoted pattern. Of draftsman time utilization: 35% drawing; 24% away from board; 27% looking up references, reading, clerical; 14%, consultation and thought. Reproduced with permission. S. A. Gregory, see footnote 8. Combination protocols and strategies are often portrayed in flow diagrams and information processing models. The P&D timeline scenario is one illustration of this. Other types are path analysis, information process charts, and information resources and handling models. The chart above shows another version of a P&D approach for manufactured products in a broad information flow format (the box labeled "Design Function" includes no prescriptiveness). This chart illustrates the situation that Phase 4 is supposed to achieve: the details of operator instructions, offers to bid, operating specifications, and optimized conditions that relate plant, machine, and humans. Some protocols and strategies are described to alternate between analysis probing and design synthesis. The initial flow of questions/information is oriented for P&D from design/synthesis to analysis/probing. Information does then flow in the opposite direction when the analysis shows the need for more design. This same initial flow pattern could be said to exist between create and evaluate, ends and means, generate alternatives and select, designer and user, and even believing game and doubting game.
- 214. Quite critical is what each item is concerned with along the timeline: Design and synthesis about what? Analysis and probe about what? The answers to these questions can be put in the information flow perspective for the basic strategy pattern as shown elsewhere in this appendix. One of the earliest motivations for developing an information-flow model was to formalize it with an algorithm of bits and "words" for eventual transfer to a computer. By the early 1970s, this "grand vision" of overall computerized schemes "was abandoned because of the impossibility of incorporating the professional reality" of all features into a P&D approach. Many worthwhile computer aids for P&D steps and sub-steps, however, are described elsewhere in this appendix. More promising than such models are those dealing with psychological processes, cognitive structuring, and learning. They will probably help in the more minute steps of the strategy (how to transform a list of purposes into the initial one starting the hierarchy, how to select the purpose level in the hierarchy).
- 215. Example Process control system. From D. T. Koenig, 'Process Control in a High Technology Impact Heavy Industry Job Shop." Turbine Department. General Electric Company, Schenectady, N.Y.. 18 January 1974. The system matrix can help specify and present specific solutions, such as process control in a manufacturing company. One way is to incorporate at least the values, measures, and control and interface dimensions of the sequence element portrayed in the model. A second way is to treat the "process control" (sequence control) cell modeled above as a system matrix itself-define the six dimensions of purpose of process control, and so on.
- 216. Example information flow relationships for new product planning. From R. G. Hudson, J. C. Chambers, and R. G. Johnston, "New Product Planning Decisions under Uncertainty," Interfaces. Vol. 8. No. I (Part 2). November 1977, p. 90. Decision Support Systems Estimating characteristics of alternatives and proposing some solutions, making decisions in relative standard situations, developing specifications for different sizes of transformers ordered, and issuing titles and licenses for a state motor vehicle department are decision support systems (DSS). Large amounts of I&K and short time response are involved. Graphics, small terminals, individual microcomputers, "natural" interactive inquiry capabilities, and tie-ins to cable TV and telephone satellite communications are technical advances used in DSS. The user/P&D professional/decision maker's insights, style, and judgments are integral, shaping the types of predictive guidelines to include, the nature of questions posed, and the resulting communications output. A DSS accommodates the individuals or small group's assumptions and "myths" about how the specific organization "works." A variety of data bases is usually available to be used as a bas for increasing the scope of questions that might be raised. A DSS is also organized to monitor the user/decision maker to suggest update needs.