1. “4-D” Color-Coded Performance Management

2. © 4-D ® Systems, 2000-2009 #2 Social Context and Imminent Change 1.Teams at work (and families) have rules about which behaviors are OK, and which are not. These (unwritten) rules govern the team social context 2.Flawed team social contexts cause failures (and overruns). –“4-D processes” manage team social contexts, thereby managing team performance risk 3.Moreover, unprecedented change is imminent, driven by end of cheap energy, crushing debt, and climate change -Prepare yourself now for these challenges: -A tougher job/competitive environment, and -A greater reliance on local community. -See “Simple Survival” at NASAteambuilding.com Everything in the “4-D System” is grounded in human principles and needs common to all contexts.

3. © 4-D ® Systems, 2000-2009 #3 Origin of This Work “There was a leadership failure.” Hubble Space Telescope launch--April 1990 Chapter 1: Think You Can Ignore Social Contexts? Actually, a flawed “social context” put good people in a bad place. Hubble is in its 20 th year of operations as one of mankind’s greatest achievements.

4. © 4-D ® Systems, 2000-2009 #4 The 4-D Coordinate System 3) Intuitor 1) Emotional2) Logical 4) Sensor Ch 3: The “4-D System:” A Simple Tool to Analyze Team and Individual... Deciding Information The right coordinate system can change an impossible problem into two really hard ones. The 4-D organizing system has two essential functions: 1)It analyzes complex team and leadership characteristics into simple manageable components; and 2)It aligns all 4-D processes (assessments, workshops, and coaching) around the fundamental four dimensions.

5. © 4-D ® Systems, 2000-2009 #5 The Four Dimensions & Colors Cultivating=People & values: Growing  “Green” Visioning= Creativity: Blue Sky  “Blue” Directing=Process first: Control  “Orange” Principle: The four Dimensions are grounded in fundamental human processes, and effective teams and leaders must address all four. Including= Relationships: Conflict  “Yellow”

6. © 4-D ® Systems, 2000-2009 #6 Coloring Behavioral Norms and Contexts Mutual Respect & Enjoyable Work Willing & Energizing Collaboration Authenticity & Aligned, Efficient Action High Trustworthiness & Efficiency Sustained, Effective Creativity Seeing “Magical” Solutions Outcome Focus with no Blamers or Victims Clear and Achievable Expectations Want this context? Express Authentic Appreciation Address Shared Interests Express Reality-based Optimism Live 100% Committed Appropriately Include Others Keep All Your Agreements Resist Blaming & Complaining Clarify Roles, Accountability & Authority Make these behaviors habitual! Chapter 4: The 4-D Assessment Process

7. © 4-D ® Systems, 2000-2009 #7 Repetition Drives Adult Learning Assessments use multiple repetition within each cycle, to make the eight behaviors habitual: 1) Individuals performing assessments on line: See the rationale for, and examples of, the eight behaviors; See the standard for behavior excellence; and Reflect, then evaluate the team behavioral norm relative to the standard. 2) During the team leader’s managed discussion of the assessment report; See, and think about the assessment results; Observe the team leader’s and team members’ reaction to the results; Participate in the conversation about the results and development of action items. 3) Track and participate in action item implementation.

8. © 4-D ® Systems, 2000-2009 #8 Using Team Context for Individual Development Is your team misaligned like this one? Directing Dimension Visioning Dimension Cultivating Dimension Including Dimension Directing Dimension Visioning Dimension Cultivating Dimension Including Dimension Team Development Assessment Process Focused on eight fundamental behaviors

9. © 4-D ® Systems, 2000-2009 #9 Ch. 6: Who’s on the “Bus” (Your Team)? Blue “architects” for start-ups and early phase projects Orange “managers” for manufacturing and late phase projects “Personal side leaders for the largest and most complex teams, and diversity Principle: Unless you have the right innate personalities on your team, you will fail and never know why. In 1905, Carl Jung posited that we are each born with an innate personality, like handedness.

10. © 4-D ® Systems, 2000-2009 #10 Managing Context to Manage Performance Tom Sam Amy Ed Fred Harry Jack John Barack Al George Jim Tom Sam Amy Ed Fred Harry Jack John Barack Al George Jim Need “Greens” and “Yellows” to lead large, complex teams. Need “Blue” Visioning leaders (architects) for the formulation phase. Creative, driven to be the “best.” Need ”Orange” Directing leaders for the implementation phase. Plan the work, work the plan. Chapter 6: Using the 4-D System to "Color" Your Personalities Free PowerPoint slides at NASAteambuilding.com

11. © 4-D ® Systems, 2000-2009 #11 (50% for an aerospace firm.) Plan, organize, direct, control. Reality & Outcome Commitment Appreciate & Share Interests Include & Keep your Agreements Direct Response- ably Competent or Incompetent Manager? 70% Data from Measures of Leadership, Leadership Library of America, Inc., West Orange, N. J. (1990). & Millikin-Davies "An Exploration of Flawed First-line Supervision". Doctoral dissertation. University of Tulsa, Tulsa. My management has no vision. I’m not included & don’t trust management. I don’t feel valued by my management. Lock the doors What % of managers are named incompetent? Chapter 6: Using the 4-D System to "Color" Your Personalities What’s the take-away here?

12. © 4-D ® Systems, 2000-2009 #12 Successful and Failed PMs Project Manager “A” Jim Odom Chapter 6: Using the 4-D System to "Color" Your Personalities How would you assess the 4-D capability of potential hires?

13. © 4-D ® Systems, 2000-2009 #13 Part III: 4-D Diagnostics – Color-coding Your Team Context Chapter 6: Using the 4-D System to “Color” Your Personalities Chapter 7: Using the 4-D System to Analyze Team Cultures Chapter 8: Incoherent Project Mindset Colors? Update Your Resume Cultivating Including Visioning Directing

14. © 4-D ® Systems, 2000-2009 #14 Your Culture—Another Aspect of Context “In a fight between you and the world, bet on the world.” – Franz Kafka “In a fight between you and the culture, bet on the culture.” – 4-D Systems Where’s the lead? ? ? ? ? Chapter 7: Using the 4-D System to Analyze Cultures How 4-D is it? Match Customer’s lead? = Download Free PowerPoint slides at NASAteambuilding.com

15. © 4-D ® Systems, 2000-2009 #15 Project Mindset Coherent Across Stakeholders? “Orange” Cost “Orange” Schedule “Blue” Performance Risk “I wanted to explain why some project managers are fired when cost goes from $400M to $410M and others get medals for projects that go from $400M to $750M.” --John Casani, Project Manager, JPL Chapter 8: Incoherent Project Mindset Colors? Update Your Resume

16. © 4-D ® Systems, 2000-2009 #16 Chapter 8: Incoherent Project Mindsets? “Cost” driven by a political community concerned about the opportunity costs of overruns. “Performance” driven by a user community invested in maximizing knowledge. Stakeholders Chapter 8: Incoherent Project Mindset Colors? Update Your Resume Stakeholders

17. © 4-D ® Systems, 2000-2009 #17 5: DIRECTING DIMENSION  Any Drama-states you need to process?  Any unclear Roles, Accountability, or Authority agreements? 1: DEFINE THE PROBLEM/SITUATION: Situation you want to resolve:________________________________________________________ Outcome you are committed to realizing: _______________________________________________ Your “Red” limiting Story-lines:_______________________________________________________ Your “Green” empowering Story-lines: __________________________________________________ Your expression of appropriate emotions: _______________________________________________ Context Shifting Worksheet (“CSW”) 3: INCLUDING DIMENSION  List everyone you need to Include to succeed:  What implicit or explicit agreements have you broken that you must now process? 2: CULTIVATING DIMENSION  What can you authentically appreciate about the other party or the difficult situation?  What do they want that you can want for them also? 4: VISIONING DIMENSION  What uncomfortable reality must you confront to create the Outcome you want?  The % level of Commitment your chosen Story- lines and expressed Emotions support: Specific Actions/Requests you will now take/make: ______________________________________ _____________________________________________________________________________ Ch. 11: Manage Emotions to Manage Team Energy Ch. 12: People Need to Feel Appreciated by You Ch. 13: Mine the Gold in Your Shared Interests Ch. 14: People Need to Feel Included by You Ch. 15: Building Trustworthy Contexts Ch. 16: Reality-based Optimism Ch. 17: Your Team Can’t Afford Drama Ch. 18: Don’t Put Good People in Bad Places Also, Ch. 17: Your Team Can’t Afford Drama Ch. 16: 100% Commitment Ch. 10: Green Story-lines Lift Performance Ch. 10: Red Story-lines Limit Performance

18. © 4-D ® Systems, 2000-2009 #18 5: DIRECTING DIMENSION  Any Drama-states you need to process?  Any unclear Roles, Accountability, or Authority agreements? 1: DEFINE THE PROBLEM/SITUATION: Situation you want to resolve:________________________________________________________ Outcome you are committed to realizing: _______________________________________________ Your “Red” limiting Story-lines:_______________________________________________________ Your “Green” empowering Story-lines: __________________________________________________ Your expression of appropriate emotions: _______________________________________________ Context Shifting Worksheet (“CSW”) 3: INCLUDING DIMENSION  List everyone you need to Include to succeed:  What implicit or explicit agreements have you broken that you must now process? 2: CULTIVATING DIMENSION  What can you authentically appreciate about the other party or the difficult situation?  What do they want that you can want for them also? 4: VISIONING DIMENSION  What uncomfortable reality must you confront to create the Outcome you want?  The % level of Commitment your chosen Story- lines and expressed Emotions support: Specific Actions/Requests you will now take/make: ______________________________________ _____________________________________________________________________________ We are in a tough $1B competition and must win Our competitor is cheating, it’s hopeless. Social context management  program success ?? Support each other in not blaming customer when frustrated Flow RAAs (e.g. design reviews), meeting customer desires Process broken agreements, Tell the truth about thermal & propose collaboration, verify customer roles Weakness in thermal design ++ To WinGood contract, happy customer, sanity Victim Anxious (Scared-group)  Excited (Glad) Nothing Science results. Program success None 100% to Customer & Program success The fair & open process Missed some deadlines Just usManagement, their sponsors

19. © 4-D ® Systems, 2000-2009 #19 NASA Team Results Summary Planned reassessments, on the intellectual foundation of workshops, are your most efficient development tools. Chapter 5: NASA's 4-D Teambuilding Results Bottom Quintile n =198 NASA 7'08 1st Assessment 2nd Assessment 3rd Assessment 4th Assessment We grouped the 198 teams with multiple assessments into one of five quintiles. The image below is the ~40 teams beginning in the bottom quintile.

20. © 4-D ® Systems, 2000-2009 #20 The Most Important Chart I’ve Seen Teams using 4-D processes increased their average efficiency with every Reassessment! Chapter 5: NASA's 4-D Teambuilding Results Bottom Quintile < Ave. Quintile Average Quintile Teams,First and Following Percentile Ranks > Ave. Quintile Top Quintile 53% 66% 70% 75% 66% 71% 76% 80% 72% 75% 79% 83% 77% 81% 84%90% 198 NASA Teams

21. © 4-D ® Systems, 2000-2009 #21 Systemic Performance Improvement ~10% of NASA engaged ~20% of MSFC engaged Average NASA First TDA scores up 10% Ave MSFC 1 st TDA scores up 20% Chapter 5: NASA Results and What You Might Expect Correlation is not causality. Is there another test? Annual increase in first team assessments ~participation!

22. © 4-D ® Systems, 2000-2009 #22 Now What? Begin by reading How NASA Builds Teams –This is necessary, but not sufficient You need to add at least Team Development Assessments (TDAs) to stimulate behavioral change. –“Where attention goes, power flows.” You have three options: –Use the free version at NASAteambuilding.com Then self-manage your assessment –Purchase them from a 4-D Network Member Access deep expertise with the 4-D System –Become a 4-D Network Member Download the process at NASAteambuilding.com Free workshop slides and Assessment Management Dashboard We bill you $100 for each delivered assessment report We waive the fee for those with no capacity to pay and academia

23. © 4-D ® Systems, 2000-2009 #23 Closure Never doubt that a small group of thoughtful, committed citizens can change the world. Indeed, it’s the only thing that ever has. - Margaret Mead, Anthropologist