APPENDIX 3

Summaries of Four Books on Complexity

    SUMMARIES

    FOUR BOOKS ON COMPLEXITY

  • 1976 SOCIETAL SYSTEMS: Planning, Policy, and Complexity

  • 1994 A SCIENCE OF GENERIC DESIGN (2nd Ed.):
    Managing Complexity Through Systems Design

  • 1994 A HANDBOOK OF INTERACTIVE MANAGEMENT

  • 1997 ESSAYS ON COMPLEXITY
    and a tentative plan for another book:

  • 1998 THE WORK PROGRAM OF COMPLEXITY:
    From Origins to Outcomes

    John N. Warfield
    August, 1997

INTERRELATIONS AMONG THE FOUR BOOKS

The book titled SOCIETAL SYSTEMS helps illuminate the other three books. This book contains the mathematical theory of Interpretive Structural Modeling (ISM). Understanding of the ISM mathematical process theory is not required to understand references to ISM in the other three books, but such understanding is required for someone who wishes to write ISM software.

The book A SCIENCE OF GENERIC DESIGN provides a theoretical basis for the practitioner-oriented book A HANDBOOK OF INTERACTIVE MANAGEMENT. The HANDBOOK OF INTERACTIVE MANAGEMENT provides the information that the potential client or practitioners needs to know about the subject. It can be read, without reading any of the other books, in order to learn how to practice Interactive Management (IM). Still anyone who is interested in the theoretical base for IM could benefit from reading all three of the other books, or any one of them singly.

The book ESSAYS ON COMPLEXITY contains 21 essays on complexity, dealing with a variety of research results, ranging from new theoretical developments to specific case studies that illustrate abstract ideas.

The planned addition, THE WORK PROGRAM OF COMPLEXITY: FROM ORIGINS TO OUTCOMES, has been on the drawing board for some time. A very tentative outline is given here to augment the description of the other four books. Since some of the material in this outline has been presented in ESSAYS ON COMPLEXITY, it is already planned to remove that material from WORK PROGRAM, and other changes will certainly be made, as well, as this manuscript progresses toward completion..

John N. Warfield
August, 1997


SOCIETAL SYSTEMS: PLANNING, POLICY, AND COMPLEXITY

A SUMMARY, CHAPTER BY CHAPTER

This book is primarily about methodology for coping with complexity. Conventional techniques for coping with complexity are unsatisfactory. The book is addressed primarily to that audience who will have some capacity to advance the practical use of the methodology, and contribute to its increasing usefulness.

The book introduces the theory of Interpretive Structural Modeling (ISM). Two types of theory underlie ISM. One is the mathematical Theory of Relations, introduced in 1847 by Augustus DeMorgan. The other is behavioral science, as it relates to group processes; which includes contributions from anthropology, sociology, and psychology.

ISM is a process for effective guidance and sequencing of group work aimed at structuring complexity so it can be understood and, therefore, faced squarely. Structuring of complexity may frequently be all that is needed to eliminate complexity.

Early applications of ISM to societal problems are described, and an appendix illustrates why it is needed, to displace ordinary group processes that produce poor outcomes.

John N. Warfield
October, 1995

________________________
John N. Warfield (1976), SOCIETAL SYSTEMS: PLANNING, POLICY, AND COMLEXITY, New York: Wiley Interscience.

SOCIETAL SYSTEMS: Page 1 of 3

Book Component

Primary Questions Raised

Abstract of Component

Chapter 1
Societal Problems
  • Are we living in a time of social crisis?
  • What is the state of the art in solving societal problems?
  • Prominent viewpoints in the early 1970s concerning societal problems are quoted. A process that combines situational differentiation and integration is required to enable appropriate action to be taken to resolve major issues.

    Chapter 2
    The Nature of Collective
    Exploration
  • What is the current state of collective exploration; i.e., group problem-solving?
  • What is required to become effective in resolving complex societal problems?
  • What concept provides a proper scientific basis for a generally applicable theory of complex-problem-solving?
  • Science has not yet adapted methods of inquiry to the need for collective, integrative human effort. For purposes of integration, idea management is a generic concept that requires elaboration.

    Chapter 3
    The Organized Conduct of
    Inquiry

  • What is known about group work?
  • What is the natural group developmental sequence?
  • What are inherent limits to mental activity?
  • How should groups be organized for productive effort?
  • Various results from the study of groups point to directions that can lead to greatly improved group work. Knowing what to avoid in enabling group work may be even more important than knowing what to promote.

    Chapter 4
    Policymaking
  • How has policymaking been viewed by scholars and practitioners?
  • What are the six methods used to study policymaking?
  • What is metapolicy?
  • What constraints affect policy design?
  • How can the effects of constraints be diminished?
  • Policymaking can be greatly improved. A major need is for appropriate metapolicy, i.e., policy for how to make policy. Behavioral constraints, supportive technology, and profiling metapolicy all offer creative directions to improve policymaking

    Chapter 5
    Planning and Management
  • What are the purposes of planning?
  • What should a plan contain?
  • What is the purpose of Unified Program Planning (UPP)?
  • What is Unified Program Planning?
  • What linkages does UPP represent?
  • Four propositions are given for effective management. Methods for integrating a variety of objectives are discussed. Unified Program Planning is defined, as a system that produces a representation involving a set of linked matrix patterns.

    Chapter 6
    Systems

  • Is there any suitable framework for systems engineering?
  • What is the Hall Activity Matrix?
  • What is meant by "Systems Engineering Logic"?
  • What kind of people are "systems people"?
  • A set of views on systems held by prominent people is presented. The Hall Activity Matrix is discussed as a framework for systems engineering. Value system design is described, and requirements for systems thinkers are outlined.

    Chapter 7
    Complexity and Structure
  • What is the nature of structural modeling?
  • What is the purpose of Interpretive Structural Modeling (ISM)?
  • What is ISM?
  • How is ISM carried out?
  • The connection between complexity and structure is discussed, and the value of structural modeling is described. Some mathematical and philosophical background is provided for modeling, and a process chart for Interpretive Structural Modeling is given.

    SOCIETAL SYSTEMS: Page 2 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Chapter 8
    Boolean Algebra, Sets,
    and Binary Relations
  • What mathematics underlies ISM?
  • What is Boolean Algebra?
  • What are Boolean recursion equations?
  • How are Boolean inequalities "solved"?
  • What are sets? partitions? Binary relations? lattices?
  • The theory of Boolean algebra, sets, and binary relations is reconstructed to meet the needs of integration of these mathematical domains with others, by providing rigorous definitions of these concepts that are suitable for integration.

    Chapter 9
    Binary Matrices
    and Matrix Models
  • What is a matrix? binary matrix? Block matrix? relation partition? binary matrix model? reachability matrix? Inclusion matrix? subordination matrix?
  • What is interconnection theory? implication matrix? Inference opportunity? diagonalized matrix?
  • The theory of binary matrices and binary matrix models is reconstructed to meet the needs of integration of these mathematical domains with others, by providing rigorous definitions of these concepts that are suitable for integration.

    Chapter 10
    Digraphs, Digraph Maps,
    and Digraph Models

  • What is a digraph? a digraph model? A hierarchical digraph? a condensation digraph? a skeleton digraph? A Kuratowski graph?
  • How are skeleton digraph maps derived from reachability matrices?
  • The theory of digraphs, digraph maps, and digraph models is reconstructed to meet the needs of integration of these mathematical domains with others, by providing rigorous definitions of these concepts that are suitable for integration.

    Chapter 11
    Structure and
    Complexity
  • What are the basic structural concepts?
  • What difficulties are resolved in the ISM process?
  • What is meant by "going from mental model to structure"?
  • What are "transitive contextual relations"?
  • Basic structural concepts are introduced, and related to complexity. Transitions from mental models to structures are described, and transitive relationships are introduced as fundamental.

    Chapter 12
    Transitive Embedding
  • What is "transitive embedding"?
  • What is the "coupling method" for model construction?
  • What is the "scanning method" for model construction?
  • What is "weighted embedding"?
  • Transitive embedding refers to a process for transforming a collection of individual mental models into group products that reflect the integrated knowledge of the members of the group.

    Chapter 13
    Cycles

  • What are cycles?
  • How is weighted embedding carried out?
  • What are geodetic cycles?
  • Why are geodetic cycles valuable in inquiry?
  • How are geodetic cycles identified?
  • What is a hierarchy of geodetic cycle sets?
  • Cycles are defined, and ways of interpreting them are given. Geodetic cyles are defined, and a mode of computing a learning strategy based upon them is given.

    Chapter 14
    Interpretive Structural
    Modeling

  • What is the major event sequence in ISM?
  • What kind of leadership is needed for ISM work?
  • Which embedding method is best?
  • How are structural models interpreted and amended?
  • Interpretive Structural Modeling (ISM) is presented as a collection of algorithms designed to facilitate group interaction, learning, structuring, representations of patterns, amendments of structures, and interpretation of complex issues

    SOCIETAL SYSTEMS: Page 3 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Chapter 15
    Intent Structures, Impact
    Structures, Coalitions
  • How is ISM particularized to various structural types?
  • What is an intent structure? an impact structure?
  • How are intent structures developed?
  • How can social units be represented?
  • What is coalition analysis?
  • Several types of interpretive structural models are described, and examples of their use are given: intent structures, impact structures, cycles, and integrated structures that support coalitions.

    Chapter 16
    Preference Structures,
    Decision Trees, and
    DELTA Charts
  • How was ISM used in an urban prioritization case?
  • What are decision trees? DELTA charts?
  • What is "naive preference"?
  • Several types of interpretive structural models are described, and examples of their use are given: preference structures, decision trees, and DELTA Charts.

    Chapter 17
    Applications

  • What applications have been made of ISM?
  • What social unit studies have been done?
  • What other methodologies can ISM enhance?
  • Applications of ISM to the study of several problematic situations are presented: child learning disabilities, neighborhood safety, urban system studies, the Sahel region of Africa, and world problems.

    Appendix

  • How does a United Nations case study show the significance of ISM?
  • What does the UN case study suggest be done in the future?
  • Proposals for the Second United Nations Development Decade are criticized, and it shown how these proposals lack structural integrity of the type that could have been provided by appropriate use of ISM.

    A SCIENCE OF
    GENERIC DESIGN

    A SUMMARY, CHAPTER BY CHAPTER

    Generic design refers to the development of outcomes that necessarily are present in the design of anything. Specific design refers to the development of outcomes that necessarily are present for a single design, or for members of a small class of designs.

    When design aims to resolve complexity, the generic outcomes may often affect thousands or millions of people; hence the route to their development should be based in a science that is responsive to the demands of complexity.

    Generic design science is such a science. It incorporates the foundational, theoretical, and methodological components that any science ought to exhibit (if only for purposes of facilitating its integration with other sciences, when aggregation is needed to serve applications). Examples of applications are presented.

    Because it offers transparency, and evaluative criteria, it is well-positioned for assessment and improvement. Because it offers Laws of Design, it gives focus to constraints that will, if allowed to do so, degrade design activity, and lead to disasters of the type mentioned in the early chapters.

    John N. Warfield
    October, 1995

    _____________________
    John N. Warfield (1994), A SCIENCE OF GENERIC DESIGN: MANAGING COMPLEXITY THROUGH SYSTEMS DESIGN, Second Edition, Ames, IA: The Iowa State University Press

    A SCIENCE OF GENERIC DESIGN: Page 1 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Chapter 1

    A Context for a Science of Generic Design

  • What disaster areas and what data show the need for designing large-scale systems instead of installing ad-hoc versions?
  • How might large-scale system design be subjected to discipline?
  • What is the role of science in correcting bad situations?
  • Our society is witnessing the development of very large systems, which are poorly designed and not well understood. A science of generic design will provide for system design and understanding.

    Chapter 2

    Universal Priors to Science

  • What quality-control conditions need to be imposed on all sciences?
  • What theories and/or laws, and/or historical developments enable quality control needs to be identified?
  • What help arises from De Morgan and Peirce?
  • Why is a model of science needed?
  • Universal Priors underpin all science. These are: the human being, language, reasoning through relationships, and archival representation. Every science should account for them explicitly in its foundations in the manner illustrated here.

    Chapter 3

    A Domain of Science Model

  • How should a science be organized?
  • Why should it be so organized?
  • What existing sciences are organized in this way?
  • How will the Domain of Science Model be used to discipline development of generic design science?
  • Every science should be disciplined by the Domain of Science Model, in order to assist in integration among the sciences, and to structure the logic of the sciences for its proper understanding.

    Chapter 4

    Managing Complexity Through Systems Design

  • How does complexity escalate?
  • Why is capability to design critical in managing complexity?
  • What detractors prevent effective design work?
  • What enhancers can enable effective design work?
  • The principal utility of a science of generic design is its contribution to the management of complexity through systems design. Through it, detractors are nullified, and enhancers are incorporated into human behavior.

    Chapter 5

    Foundations of the Science

  • What postulates underlie the generic design science?
  • To what criteria must generic design science be responsive? Why?
  • How can the foundations of a science be evaluated?
  • The foundations of the science include postulates of: the human being, language, reasoning through relationships, archival representation, the design situation, and the design process. Evaluation involves purpose, responsiveness, and utility.

    Chapter 6

    Theory of the Science

  • What are the functions that theory must perform?
  • What is the theory of dimensionality?
  • What is a Representation?
  • What laws and principles are involved in generic design theory?
  • Theory explains key concepts and anticipates the consequences for choice and nature of methodology. Dimensionality of a design disciplines modes of representation and responds to the Law of Requisite Variety.

    Chapter 7

    Methodology of the Science

  • What is idea management? How does it relate to methodology?
  • Why is graphics language important?
  • What processes comprise the Consensus Methodologies?
  • Methodology consists of prescribed process components that are responsive to the demands of complexity. Founded in idea management, methodology involves generation, clarification, structuring, interpreting, and amending. Specific products of methodology are identified and their purposes explained.

    A SCIENCE OF GENERIC DESIGN: Page 2 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Chapter 8

    Environment and Roles of the Science

  • In what environment should generic design science be practiced?
  • What roles should be involved in the practice?
  • What are some locations where the practice has been installed?
  • What does the working environment look like?
  • It is inappropriate to try to work with complexity in ordinary environments. The definition of roles and the working environment makes it possible to plan for success in applying the science of generic design.

    Chapter 9

    Products from the Practice

  • What products accrue from the practice of generic design?
  • What are application structural types?
  • Both tangible and intangible products arise from the practice of generic design. Tangible products include: sets, relationship maps, chosen application structural types, and the mastery of the logic of large-scale systems.

    Chapter 10

    Applications of the Science

  • What kinds of applications of generic design science have been carried out? Where? by whom? With what outcomes?
  • Applications of the science to education, economic development, human service systems, program management, and industrial quality control are described.

    Appendix 1

    Relations, Lattices, Structural Types, Structural Metrics

  • What mathematics underlies the generic design science?
  • Through what means and based on what theory can relational patterns be constructed and interpreted?
  • What are the application structural types?
  • Mathematical concepts associated with the science include: relations, partitions, digraphs, maps, and lattices. Structural metrics make possible comparisons of relative complexity.

    Appendix 2

    A Graphically-Integrated

    Language System

    ! What is a graphically-integrated language system, and why could it be very useful?

  • What are the layers in such a language system?
  • What are the standard symbols that could be used in such a system?
  • A graphically-integrated language offers advantages in representing complexity. Such a language can have well-defined graphic symbols, and layers of representation of differing sophistication.

    Appendix 3

    Consensus Methodologies

  • What are the "Consensus Methodologies"?
  • How were they selected?
  • How are they described?
  • Seven consensus methodologies collectively form a set that is adequate to encompass the requirements of idea management aimed at system design and understanding.

    Appendix 4

    Automation of Documentation

  • How can the documentation of group work be automated?
  • Documentation of group work involving complexity can ultimately be automated by taking advantage of computer assistance in developing and documenting the work.

    A SCIENCE OF GENERIC DESIGN: Page 3 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Appendix 5

    Data from Applications

  • What data are available from applications of the generic design science?
  • What do the data reveal?
  • What Laws arise from consideration of the empirical evidence?
  • Data are presented from a collection of applications, shedding light on what can be expected in applying the generic design science.

    Appendix 6

    Experience in Teaching Generic Design Science

  • Where has generic design science been taught? To whom?
  • What are some representative outcomes from student work?
  • Generic design science and its practice have been taught to college students. Some of the teaching methods and results are presented to show how this science can become part of a design culture in higher education.

    Appendix 7

    Triggering Questions, Relationships, and Generic Questions

  • What are triggering questions, and how are they designed?
  • What are generic questions, and how are they designed?
  • What purposes do these questions serve?
  • How do they relate to the Consensus Methodologies?
  • The careful design of questions offers a very effective way to engage groups in applying the science of generic design. Triggering questions and generic questions are described and examples of them from applications are presented.

    Appendix 8

    Developing a Design Culture in Higher Education

  • Who has studied the development of a design culture in higher education?
  • What were the identified inhibitors?
  • What kind of problematique is involved?
  • What action options are available?
  • What response can be designed to inhibitors?
  • In a workshop on the Greek island of Chios, an international group of scholars studied the idea of developing a design culture in higher education, using the methods of generic design. The results are both analytical and constructive.

    Postscript: Issues and Responses

  • What issues do reviewers see in this book?
  • What are the author's responses to the reviewer-generated issues?
  • What is mean by "open at scale"?
  • Reviewers of the pre-publication manuscript on A Science of Generic Design offered a variety of criticisms of the manuscript. This postscript responds to those critiques to illuminate further the author's views and intentions.

    A HANDBOOK
    OF
    INTERACTIVE MANAGEMENT

    A SUMMARY, CHAPTER BY CHAPTER

    This Handbook presents, for the potential practitioner of Interactive Management (IM), a description of how complexity can frequently be resolved through its use.

    IM is a system of management that is designed for and intended to be used intermittently in resolving complexity in organizations, through group processes augmented by supportive management practices.

    This description of IM is characterized by the following attributes:

    • Well-defined outcomes of its use
    • Specified levels of success that can be used to plan and evaluate the work
    • Three well-defined phases in its application
    • Clearly specified roles and responsibilities attached to the roles
    • Well-defined types of products, from which choices can be made in planning
    • Clearly-defined, thoroughly tested group processes from which choices canbe made for specific applications
    • A well-designed, thoroughly tested, special facility for conducting IM workshops
    • Supporting software (PC-based software that has been used in many places for more than nine years)
    • Detailed description of each of the three Phases: the Planning Phase, the Workshop Phase, and the Followup Phase
    • Evaluation criteria that focus the work and the understanding of IM
    • Comparisons of IM with other widely-used systems
    • Examples of the use of IM, extending over more than a decade
    • Identification of qualified practitioners

    John N. Warfield
    October, 1995

    _________________
    John N. Warfield and A. Roxana Cárdenas (1994), A HANDBOOK OF INTERACTIVE MANAGEMENT, The Iowa State University Press.

    A HANDBOOK OF INTERACTIVE MANAGEMENT: Page 1 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Chapter 1

    What is Interactive Management (IM)?

  • What is IM?
  • When is it used?
  • What is the history of its application?

  • IM is a system of management designed expressly to be used for the management of complexity, in problematic situations that require significant value added in order to succeed. It has been tested in various forms since 1973, and has been applied hundreds of times to many varieties of complex issues.

    Chapter 2

    IM Outcomes

  • What are the three main categories of IM products?
  • What five functions does IM support?
  • What representational pattern types are produced with IM?
  • How is IM work focused?
  • IM is aimed at definition, construction of alternative designs, and choice of a design; all aimed at ultimate resolution of a problematic situation, by reduction of complexity. It produces very substantial learning among the participants, and uses new types of representation tailored to complexity.

    Chapter 3

    IM Success Levels

  • Why is "success" defined for each use of IM?
  • What are the five levels of success from which to choose?
  • How is a success level chosen?
  • Success is most reliably achieved when it has been pre-defined in the light of a particular situation. Five prototypical levels have been defined to facilitate definition. A specific success level should be chosen to provide perspective on the situation, and to help assure satisfaction.

    Chapter 4

    IM Phases

  • What are the 3 phases of IM work?
  • What occurs in the initial meeting between IM staff and a potential client?
  • What is an "IM Broker" and what does this person do?
  • What factors are considered in planning for IM activity?
  • IM is always organized into three phases: Planning, Workshop, and Followup. Agreement on the aims of its use is achieved early between the IM staff and the client, who accepts the demands of complexity as reflected in the IM system.

    Chapter 5

    IM Roles

  • What roles and what role types must be filled in doing IM work?
  • What are special requirements on an IM facilitator?
  • How are the various roles in IM work defined?
  • IM Roles are defined for both the supplier of IM services and the client organization. The roles are designed to achieve specific objectives, and to provide a compatible "cast" for the IM drama. All specified roles must be filled. Role specifications are intended to provide quality control to IM use.

    Chapter 6

    IM Products (Application Structural Types)

  • What are the main tangible products of the use of IM?
  • What distinguishes these types from ordinary structural graphics?

  • The main products of IM are structural graphics, in which shared knowledge is organized into patterns, from which comprehensive interpretations can be developed.

    Chapter 7

    IM Processes

  • What are the primary operations that are carried out with ideas?
  • Why is generic methodology applicable to work with complexity?
  • What IM processes are used, and how?
  • All IM processes aim to assist groups in arriving at consensus interpretations of problematic situations, allowing designs to be put into practice to resolve the complexity. All the process are operations on ideas: the building blocks of analysis and synthesis for all situations.

    A HANDBOOK OF INTERACTIVE MANAGEMENT: Page 2 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Chapter 8

    DEMOSOPHIA Facility

  • What does "Demosophia" mean?
  • What constitutes an appropriate working environment for dealing with complexity? Why?
  • DEMOSOPHIA, the "wisdom of the people", reflects the enabling power of the IM processes to be carried out effectively and efficiently in a facility especially designed to make high-quality group work possible.

    Chapter 9

    IM Software

  • What is ISM?
  • Why does ISM require software?
  • What is the history of ISM software development?
  • What does the GMU DOS-based ISM PC software do?
  • ISM is a computer-assisted process for group structuring of logical patterns aimed at "chunking" component ideas into interpretable patterns that diminish complexity and facilitate consensus. Software assistance is required to construct the patterns. A tested PC version exists.

    Chapter 10

    IM Planning Phase

    (Phase 1)

  • Why is an IM Planning Phase carried out?
  • What are the components of the IM Plan?
  • What are the 3 IM Workshop types?
  • What is a typical duration of an IM Workshop?
  • The IM Planning Phase is intended to clear away conceptual underbrush, so that when precious group time becomes available it is most advantageously used, in order to avoid many dysfunctional practices commonly encountered in group work. An IM Workshop can produce Definition, Alternative Designs, or a final Design Choice.

    Chapter 11

    IM Workshop Phase

    (Phase 2)

  • What are the goals and components of an IM Workshop?
  • What should be avoided in carrying out an IM Workshop?
  • What factors should be managed carefully in documenting an IM Workshop?
  • The essential components of an IM Workshop are described, which are designed to achieve a collection of stated generic goals. This discussion lays a basis for evaluating a Workshop and for an avoidance strategy aimed at preventing major mistakes in the work and its reporting.

    Chapter 12

    IM Followup Phase

    (Phase 3)

  • What should the Client and the Broker consider in doing a Followup Phase?
  • What is typically involved in the Followup Phase after a Definition Workshop? after a Design of Alternatives Workshop?
  • Use of IM should conclude when it is no longer needed. Since intermediate results are usually required to make that determination, the Followup Phase will not be considered in any detail until what has been accomplished is thoroughly understood. Termination, Implementation, or Iteration of the phases is the normal choice set.

    Chapter 13

    Evaluation Criteria

    for IM

  • What should evaluators of IM consider, under what circumstances?
  • What kinds of errors decrease evaluation scores for IM activity?
  • Evaluation criteria strive to help assure simultaneous satisfaction of concerns for: the Client, the Reputation of IM, the Practitioners, the Participants, and Society as a whole.

    Each phase is separately evaluated, depending on the specific success level sought and the type of Workshop being done.

    Chapter 14

    Comparing IM With Methods of Japan

  • What methods commonly attributed to Japan are compared with IM?
  • What five information-quality factors are applied in doing a comparison?
  • What process can be used to produce all seven of the qualitative relational diagrams?
  • The so-called 7-M tools and 7-QC tools often used in Japan are almost never described in terms of any scientific foundation; but rather in terms of "how to do them". Quality Function Deployment is similarly treated. Generic properties are not recognized in this system, so when compared with IM these practices lose some of their glitter.

    A HANDBOOK OF INTERACTIVE MANAGEMENT: Page 3 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Appendix 1

    Executive Overview of IM

  • Can IM accommodate both standardization and flexibility? How?
  • Why should quality-controlled qualitative work precede quantitative work?

  • This Appendix strives to provide, for a busy executive, an overview of IM that is neither highly technical nor highly oversimplified; but rather focuses on criteria for success, factors to consider, types of outcomes to be expected, need for a specially-designed facility, and a success orientation.

    Appendix 2

    GMU ISM Software

  • What software is needed to use the ISM process?
  • What are the 3 major commands that are available, and why are they chosen?
  • What is required to operate the GMU DOS-based PC ISM Software?
  • What steps have to be taken to construct prototypical patterns?
  • Detailed examples of use of the GMU DOS-based ISM PC software are given to walk a potential user through application of the 3 major commands; and to show simple examples of the types of structures produced from each command.

    Appendix 3

    Group Facilitation

  • When is IM facilitation appropriate?
  • What difficulties are commonly encountered by groups that strive to work together in problematic situations?
  • How can science help with group difficulties?
  • How can IM help with group difficulties?
  • What are the attributes of a bad facilitator?
  • How can one become an IM facilitator?
  • IM is normally only appropriate for use in working with complex situations, where group facilitation is essential. The IM Facilitator needs special training in IM, to become aware of what IM strives to accomplish, and to know how IM relates to many difficulties.

    Appendix 4

    Case Study

  • What was done in a typical case of an IM Workshop?
  • How is a Problematique interpreted?

  • In a certain problematic situation, a large set of problems was generated, and the problems were placed in categories for ease of reference. Individual voting identified views on relative importance of problems. Various interpretations reveal benefits gained.

    Appendix 5

    Qualified IM Practitioners

  • What individuals have established their capability to plan and carry out IM Workshops?
  • How can these individuals be contacted?
  • How many years have they been doing IM work?
  • Names, addresses, and years of experience are given for qualified IM practitioners in various countries.

    Appendix 6

    The IM Workshop Plan

  • How can the context, content, and process of an IM Workshop be taken into account in checking an IM Workshop Plan for completeness and quality?
  • What is typically included in an IM Workshop Plan?
  • A check list is given to assess an IM Workshop Plan. A prototype outline for this type of Plan is given, with the relevant terms as defined in Chapter 10.

    REVIEWER COPY, AUGUST, 1997

    ESSAYS
    ON COMPLEXITY

    John N. Warfield
    George Mason University
    Mail Stop 1B2
    Fairfax, VA 22030-4444
    July, 1997

    "...Every work of science great enough to be well-remembered for a few generations affords some exemplification of the defective state of the art of reasoning of the time when it was written; and each chief step in science has been a lesson in logic."
    ---Charles Sanders Peirce (1877), "The Fixation of Belief", Popular Science Monthly.

    "One singular [self]-deception..., which often occurs, is to mistake the sensation produced by our own unclearness of thought for a character of the object we are thinking. Instead of perceiving that the obscurity is purely subjective, we fancy that we contemplate a quality of the object which is essentially mysterious...".
    ---Charles Sanders Peirce (1878), "How to Make our Ideas Clear", Popular Science Monthly.

    "A little learning is a dangerous thing; drink deep, or taste not the Pierian spring: there shallow draughts intoxicate the brain, and drinking largely sobers us again."
    ---Alexander Pope, An Essay on Criticism

    Von Foerster's First Law. "The more the complexity that is ignored, the greater the prospects for fame and fortune."
    ---Heinz von Foerster

    ___________________
    John N. Warfield (1997), ESSAYS ON COMPLEXITY, Published in review form in Fairfax, VA: IASIS

    ESSAYS ON COMPLEXITY: Page 1 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Essay 1

    Technomyopia Threatens our National Security

  • What happens when the government mislabels a work of Ascience@ by substituting a product of tunnel-visioned technologists for it?
  • If this report is illustrative of the Pentagon=s lack of vision and quality control, and of governmental misuse of science in a key area of the national economy, what undesirable outcome can we look forward to in the future?
  • A case study of the Defense Science Board=s 1987 Military Software Task Report shows how poorly productivity and quality of software are being dealt with. Failure to speak to its charge, failure to prioritize its recommendations, failure to produce a consistent report, and failure to recognize key possibilities for using science to improve software design are features of the report. Recommendations for improvement are offered.

    Essay 2

    Some Magnificent
    Academic Trusels and
    Their Social Conditions

  • What is a trusel, and why should anyone be interested in it?
  • What are some examples of trusels, and what kind of negative impact do they have?

  • A trusel is widely perceived to be true, and may be prominent in academic circles, but it is largely useless or possibly of high negative value. Several examples of trusels are cited, and their social impacts are described.

    Essay 3

    The Learning Organization: Its Relevance to Policymaking

  • What has to be done to make policymaking more rational?
  • What has to be done to make the presently faddish concept of Alearning organization@ something that is well-defined and achievable?
  • How would such a change lead to better policies?
  • The presently-popular Alearning organization@, as presented by P. Senge, consists of a set of metaphors that lack substantive definition and process definition. It is shown that Interactive Management provides the necessary definition and process, along with a documented history of application.

    Essay 4

    Widely-Ignored Subtleties that are Critical to Decision-Making

  • What necessary ingredients are absent now from most decision-support systems?
  • Why is it critical to incorporate these missing ingredients?
  • How can these widely-ignored factors be incorporated to provide management support?
  • An integrated process system for management support should reflect the importance of learning, the requirements for framebreaking and remodeling, the common presence of logic cycles, the need for process efficiency, and the organic integration of anthropological, technological, and formal-logical components.

    Essay 5

    Procrustes is Alive and Well and Teaching Composition in the English Department

  • Specifically, what are the key shortcomings in prose that make it unsuitable as a communication vehicle (without augmentation)?
  • What has to be done to prevent people from being forced to use an inadequate communication vehicle on a broad scale?
  • The unsuitability of unsupplemented prose languages

    for representing complexity is demonstrated, and the requirement for an expanded linguistic system is established, in the hopes that the heavy emphasis on prose will give way to more suitable linguistics.

    Essay 6

    Accelerating Productivity of Industrial Organizations

  • How can productivity of industrial organizations be enhanced, by addition of well-designed, proven, processes for working with complexity?
  • To accelerate productivity in industrial organizations that are engaged with complexity, the proven science of generic design and its implementing system called AInteractive Management@ are appropriate. These systems incorporate an integrated response to the Laws of Complexity. Most existing industrial processes are unresponsive to these Laws.

    Essay 7

    Groupthink, Clanthink, Spreadthink, and Linkthink: Decision-Making on Complex Issues

  • How do the four case studies that are heavily documented here illustrate the impact of destructive pathologies that are naturally found in group work?
  • What can be done to overcome the disastrous impact of these pathologies in the future?

  • Four heavily-documented case studies illustrate the heavy impact of individual and group pathologies on the quality of major decisions, involving complexity.

    Both government and industry have made major mistakes because of poor group processes, involving heavy reliance on Aexperts@, and unwillingness to listen to contrary opinion. An example of how an appropriate response to complexity can be made by using a well-designed group process is described.

    ESSAYS ON COMPLEXITY: Page 2 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Essay 8

    Spreadthink: Explaining Ineffective Groups

  • What is Spreadthink?
  • What Laws affect it?
  • What are the major consequences of it?
  • How are existence data obtained?
  • What features characterize Interactive Management Workshops?
  • What are recovery data?
  • Spreadthink: no matter what complex situation is explored or what individuals are involved, their individual views on the situation are "all over the map". Spreadthink is immobilizing

    Essay 9

    Demands of Complexity on Systems Science

  • What is systems science?
  • How do the interrelated Laws of Complexity relate to individuals, groups, organizations, and outcomes of group work?
  • How should the interrelations relate to systems science?
  • Complexity demands that systems science become evaluative and integrative, instead of idiosyncratic and individualistically oriented.

    Essay 10

    Structural Thinking: Organizing Complexity Through Disciplined Activity

  • What evidence shows low productivity?
  • What is a context model of complexity?
  • How does semiotics interact with complexity?
  • How does language interact with complexity?
  • How does modeling relate to complexity?
  • What is structural thinking?
  • What are the benefits of structural thinking?
  • Structural thinking puts over two millennia of thought about formal logic in the service of groups; and thereby enables the divisive impact of Spreadthink to be overcome.

    Essay 11

    Five Schools of Thought About Complexity

  • What are the five schools of thought about complexity? What defines them?
  • How do the five schools differ?
  • Who are the representatives of them?
  • Is one more basic than the rest? Why?
  • Unjustified assumptions or neglect of key aspects characterize four of the five schools of though about complexity. The Structure-Based School is the most fundamental, and the least widely-trumpeted.

    Essay 12

    The Corporate Observatorium: Sustaining Management Communication and Continuity in an Age of Complexity

  • What is an observatorium?
  • Whose ideas are reflected in its design?
  • Who needs one?
  • Why is it needed?
  • The organizational response to complexity is completely inadequate. The organization can use an observatorium to sustain management communication and continuity in an age of complexity. Universities need them.

    Essay 13

    The Wandwaver Solution:
    Creating the Great University (Abstract)

  • What is the Wandwaver Solution?
  • What is a Agreat university@?
  • How is it organized?
  • Why is it organized that way?
  • What justifies that organization scheme?
  • The Wandwaver Solution is a proposal to reorganize the university around up-to-date organizational theory and practice, and to make it responsive to complexity in an age of complexity. The new university design is justified by strong documentation and empirical evidence.

    Essay 14

    Mentomology: Identification and Classification of Mindbugs

  • What is mentomology?
  • What is a mindbug?
  • What are the four types of mindbugs?
  • What are the 25 mindbugs that have been classified to date?
  • Mentomology is the newly-discovered discipline: the study of Mindbugs. Twenty five Mindbugs are described, and some of their consequences are identified. Worst of all, Mindbugs have a habit of appearing in swarms, where their collective impact is devastating.

    ESSAYS ON COMPLEXITY: Page 3 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Essay 15

    A Platform for Sociotechnical System Design

  • Why is a platform (an intellectual base) needed for sociotechnical system design?
  • What is its purpose? Its dimensionality?
  • What constitutes the platform?
  • A new platform for sociotechnical system design is described which, if pursued, is likely to diminish greatly the current high failure rate in large software systems.

    Essay 16

    A Role for Formalisms in Integrative Studies

  • Why should formalisms be used in conducting integrative studies involving complexity? Which ones? Why
  • What formalisms should become prominent? Why?
  • The increasing importance of integrative studies in higher education makes it more vital to rethink such studies. A more embracing rubric is described which takes advantage of computerized formalisms.

    Essay 17

    Twenty Laws of Complexity: Studies in the Abuse of Reason

  • What are the twenty Laws of Complexity?
  • What are their names? Origins? Interpretations?
  • What references support their content?
  • Twenty Laws of Complexity are stated, along with their origins and reference literature. Many abuses of human power of reasoning could be stamped out, if these Laws were taken seriously, and their impact reflected in human processes.

    Essay 18

    The Problematique: Evolution of an Idea

  • What is a problematique?
  • How do problematiques arise?
  • What is the history of the evolution of the problematique?
  • How is a problematique used to assist in unraveling complexity?
  • A problematique is a structural graphic showing how a large set of problems are interrelated. The evolution of this structure is traced from its primitive beginnings with Aristotle to its present computerized format that incorporates hundreds of interrelated syllogisms, providing logical guidance to human planning and policymaking.

    Essay 19

    Readings for Bureaucrats

  • Why do bureaucrats need assistance in continuing their intellectual development?
  • What key readings have been chosen from an extended list, as being particularly relevant to bureaucrats? On what basis were they chosen?
  • From hundreds of documents relative to complexity, a small and very high quality selection is offered which busy bureaucrats could well elect to study to upgrade their philosophies and practices.

    Essay 20

    Seven Ways to Portray Complexity (Abstract)

    ! What available forms of representation are particularly appropriate for representing complexity? What are they?

  • What criteria were applied in choosing them?
  • Thirty years of study has revealed a set of just seven ways to portray complexity that meet rigorous criteria, and which have been tested in industrial and academic applications.

    Essay 21

    A New Index of Complexity:
    The Aristotle Index

  • What is a syllogism?
  • Where did it originate?
  • How does the syllogism get involved with the problematique?
  • How can the number of syllogisms represented by a problematique be determined?
  • Why is the number of syllogisms an appropriate measure of complexity for a problematic situation?
  • Four indexes of complexity have been published, to enable practitioners to establish that a problematic situation is sufficiently complex to warrant the use of processes specifically designed and tested to work with complexity. Now a fifth index, the Aristotle Index, has been added to show vividly why the use of structural graphics is critical to learn how to describe and manage improvements in problematic situations.

    THE WORK PROGRAM
    OF COMPLEXITY

    A SUMMARY, CHAPTER BY CHAPTER

    This manuscript presents what might be called a "first draft of a science of complexity". Complexity is defined as "a state of mind" in which the human mind, having been engaged in trying to understand a system, reaches the conclusion that the effort has been unsuccessful. The induced frustration comes from this experience.

    The definition of complexity reflects the evident truth that if the human being were able to be all-seeing and all-comprehending, there would be no complexity. It reflects the further condition that there are systems which the human wishes to understand, and which are not understood, typically because of constraints upon the human being which cannot be overcome by the individual.

    The quest to overcome the constraints leads into the domain of particpative group work, based in a reinvention of inquiry that is responsive to the demands of complexity. The demands of complexity are connected to 17 Laws of Complexity which are at work in ordinary situations.

    The reinvention of inquiry is largely based in the philosophy of Charles Sanders Peirce (1839-1914), and is organized through a Behavior-Outcomes Matrix, in which the origins of complexity are recognized, and to which the system of inquiry is responsive. One index set of the matrix is behaviorally-founded in terms of constraints on the individual, on groups, and on the organization; as well as on human interaction processes. The other index set of the matrix is called The Work Program of Complexity. It involves four primary components, which are:

  • Description
  • Diagnosis
  • Design
  • Implementation

    These "D3-I" Components seem to be adequate to reflect any human effort to resolve complexity, starting with the description of the system being examined, continuing with the diagnosis of what is deemed to be wrong with that system, continuing with the design of a replacement system, and reaching initial closure, terminating with the implementation of that system. If there exists no system to be described it will be appropriate to describe whatever new system is contemplated. The Work Program can be iterated as desired.

    The manuscript describes the 20 Laws of Complexity, and how these Laws relate to each aspect of the two matrix indexes. The manuscript also identifies 25 Mindbugs, which are responsible for much faulty reasoning, and which promote complexity singly and (more disagreeably) collectively.

    The demands of complexity are diagnosed separately for: higher education, technology innovation, leadership, and systems science. Empirical data are used to reinforce these descriptions.

    Structural thinking, implemented with the aid of Interactive Management, is identified as a principal antidote to complexity, because it has a well-documented historical record of being effective in fulfilling that function.

    Because this book is still undergoing revision, the outlines that follow may be changed significantly before it is completed.

    ________________
    John N. Warfield (1998), THE WORK PROGRAM OF COMPLEXITY: FROM ORIGINS TO OUTCOMES, draft manuscript.

  • THE WORK PROGRAM OF COMPLEXITY: Page 1 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Chapter 1

    Reinventing Inquiry

  • Why is it necessary to reinvent inquiry?
  • What philosopher provided the intellectual basis for reinventing inquiry?
  • What is the Work Program of Complexity?
  • What matrix provides the overview for reinventing inquiry?
  • The Behavior-Outcomes Matrix forms the frame- work for reinventing inquiry. Reinvention is required in order to meet the demands of complex- ity. The Work Program of Complexity consists of these outcomes: Description, Diagnosis, Design, and Implementation.

    Chapter 2

    Exploring the Sea of Knowledge

  • What metaphor captures the present state of inquiry?
  • What presently governs organizational change?
  • What was philosophy, and what has it become?
  • How could revitalized philosophy support organizational change?
  • The foundations of organizational change are found in high-quality philosophical thought, especially of Charles Sanders Peirce. Today's organizational practices are often responsive to superficial, metaphorical rhetoric; but good practice will involve diving deep in the Sea of Knowledge, rather than surfing.

    Chapter 3

    Mentomology: Identification &

    Classification of Mindbugs

  • What is mentomology?
  • What is a mindbug?
  • What are the four types of mindbugs?
  • What are the 25 mindbugs classified to date?
  • Mentomology is the newly-discovered discipline: the study of Mindbugs.

    Twenty five Mindbugs are described, and some of their consequences are identified. Worst of all, Mindbugs have a habit of appearing in swarms, where their collective impact is devastating.

    Chapter 4

    The Nature of Complexity

  • What is complexity?
  • How can it be diminished through learning?
  • What is the role of semiotics in relation to complexity?
  • What numerical indexes characterize complexity?
  • Complexity is a state of mind, arising out of recognition that a system being studied cannot be adequately understood. Once the mind is seen as the site of complexity, it is evident that reduction of complexity depends on learning. Learning must be responsive to demands of complexity. Metrics help categorize the problematic situation.

    Chapter 5

    Structure of Complexity Theory

  • What are the three divisions on the Scale of Complexity?
  • How do the Laws of Complexity interact?
  • How is the Behavior-Outcomes Matrix interpreted?
  • The structure of complexity theory involves an understanding of the 20 Laws of Complexity that have been discovered to date. These Laws can be positioned in the Behavior-Outcome Matrix, where the connection of the Laws to human behavior and to the Work Program of Complexity is established.

    Chapter 6

    Demands of Complexity on Writing and Research

  • What defines the linearity of prose?
  • What defines the parallelism of prose?
  • What attributes are common in problematic situations?
  • What is a nonlinear structure?
  • What is a problematique?
  • How is the constraint of Procrustes eliminated?
  • Prose force-fits analysis and synthesis into linear patterns. Such patterns cannot possibly express adequately the complexity in problematic situations. Research contexts require graphical representations that are tied to logical perspectives.

    Chapter 7

    Case Study

  • Who was involved in redesigning the U. S. Defense Acquisition System?
  • What process was used?
  • What statistics describe the project?
  • What % of problems generated could be resolved by the new design?
  • How was it implemented?
  • What challenge remains?

  • The U. S. Defense Acquisition System has been entirely redesigned . The design program gives a prototypical case study of how to reduce a high level of complexity to the point where a system becomes manageable.

    THE WORK PROGRAM OF COMPLEXITY: Page 2 of 3

    Book Component

    Primary Questions Raised

    Abstract of Component

    Chapter 8

    Outcomes of Systems Inquiry

  • What Laws relate to system description?
  • What Laws relate to system diagnosis?
  • What Laws relate to system design?
  • What Laws relate to implementation of a design?
  • The Laws of Complexity are related to each of the four components of The Work Program of Complexity individually, showing how the Laws impact on these components.

    Chapter 9

    Behavior in Systems Inquiry

  • What Laws relate to the individual?
  • What Laws relate to the group?
  • What Laws relate to the organization?
  • The Laws of Complexity are related to three of the behavioral components of the Behavior-Outcomes Matrix: the individual, the group, and the organization. Constraints are clarified as demands of complexity on behavior.

    Chapter 10

    Complexity and Group Process

  • What Laws relate to process?
  • What demands are imposed on process by complexity?
  • Why does the strain of overcoming complexity fall primarily on groups, rather than on the whole organization or the isolated individual?
  • The Laws of Complexity are related to group processes, showing the demands of complexity on these processes. Many common deficiencies in group processes are illuminated by these Laws.

    Chapter 11

    Spreadthink: Explaining Ineffective Groups

  • What is Spreadthink?
  • What Laws affect it?
  • What are the major consequences of it?
  • How are existence data obtained?
  • What features characterize Interactive Management Workshops?
  • What are recovery data?
  • Spreadthink: no matter what complex situation is explored or what individuals are involved, their individual views on the situation are "all over the map". Spreadthink is immobilizing

    Chapter 12

    Structural Thinking

  • What evidence shows low productivity?
  • What is a context model of complexity?
  • How does semiotics interact with complexity?
  • How does language interact with complexity?
  • How does modeling relate to complexity?
  • What is structural thinking?
  • What are the benefits of structural thinking?
  • Structural thinking puts over two millennia of thought about formal logic in the service of groups; and thereby enables the divisive impact of Spreadthink to be overcome.

    Chapter 13

    Briefs of the Laws of Complexity

  • What are the 20 Laws of Complexity?
  • How are the Laws interpreted?
  • Under what conditions are the Laws applicable?
  • Under what conditions can the Laws be circumvented?
  • What are the origins of the Laws?
  • What references offer further explanation?
  • A "brief" is given for each of the 20 Laws of Complexity, stating the Law, its origins, and references to literature, when available.

    An interpretation of each Law is offered.

    Chapter 14

    Demands of Complexity on Higher Education

  • What are the demands of complexity on higher education?
  • Who creates conditions of complexity?
  • What can be brought to bear on complexity?
  • What criteria can be applied to involve complexity in higher education?
  • How can learning that diminishes complexity occur in higher education?
  • Higher education has been completely unresponsive to the demands of complexity. With minimum reorganization, and the addition of essential infrastructure, the university can correct this situation.

    THE WORK PROGRAM OF COMPLEXITY: Page 3 of 3

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    Primary Questions Raised

    Abstract of Component

    Chapter 15

    Demands of Complexity on Technology Innovation

  • What are the demands of complexity on technology innovation?
  • What philosophies illuminate the nature of change required?
  • Technology innovation must begin to be responsive to the demands of complexity, especially in its representations of technological systems, including software.

    Chapter 16

    Demands of Complexity on Leaders

  • What situational attributes reflect the challenges of complexity to leaders?
  • What types of situations can be identified?
  • How is the Work Program of Complexity enabled?
  • Complexity demands that the leader become a process enabler.

    Chapter 17

    Demands of Complexity on Systems Science

  • What is systems science?
  • How do the interrelated Laws of Complexity relate to individuals, groups, organizations, and outcomes of group work?
  • How should the interrelations relate to systems science?
  • Complexity demands that systems science become evaluative and integrative, instead of idiosyncratic and individualistically oriented.

    Chapter 18

    Summary: Lessons Learned

  • What are the major lessons learned in a prolonged study of complexity?
  • What is the history of the research program?
  • What occurred in the Early Period?
  • What occurred in the University Period?
  • How do lessons relate to scale? to roles? to universities?
  • How fundamental is ISM to coping with complexity?
  • In almost 3 decades of research on complexity, many lessons have been learned that warrant study.

    Appendix 1

    Highlights of Inquiry Re Complexity

  • What books on complexity are recommended?
  • Where are the demands of complexity being met by the use of Interactive Management?
  • What are some example applications, done by who?
  • What relevant bibliographies are available?
  • What relevant papers and reports can be examined?
  • The nature of science is still subject to mammoth confusion. This confusion can be alleviated by study of Charles Sanders Peirce's philosophy of science, and adoption of the Domain of Science Model as an organizing plan.

    Appendix 2

    Other

    To be determined

    To be determined