Establishing Doctrine The Purpose and Intent Of Principles-Driven Decision Making

Establishing DoctrineEstablishing DoctrineThe Purpose and IntentThe Purpose and Intent

OfOf

Principles-Driven Decision MakingPrinciples-Driven Decision Making

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End StateEnd State

““I am therefore committing us to move toward a point where we I am therefore committing us to move toward a point where we anchor our actions and decisions to a well-understood doctrine.”anchor our actions and decisions to a well-understood doctrine.”

Forest Service Chief Dale Bosworth, January 26, 2006Forest Service Chief Dale Bosworth, January 26, 2006

To create an organization guided by well stated doctrinal principles, which

represent the reality of the work, the environment, and the mission. They are

understood and meaningful to every employee and the public at large, and are

the heart of safe and effective mission accomplishment

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Why Establish Doctrine?Why Establish Doctrine?

• Organizational decisions, responses, and Organizational decisions, responses, and contributions must be consistent and contributions must be consistent and responsive to the time, the environment, responsive to the time, the environment, and the missionand the mission– When anchored to foundational and When anchored to foundational and

operational principles:operational principles:• they are freed of the burden of individual biasthey are freed of the burden of individual bias

• impervious to the dominant personalityimpervious to the dominant personality

• resistant to the quick fixresistant to the quick fix

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Why Establish Doctrine?Why Establish Doctrine?• Without the solid anchor provided by Without the solid anchor provided by

doctrine:doctrine:– performance expectations and accountability are performance expectations and accountability are

rule-definedrule-defined

– ““success” and “failure” are measured by the success” and “failure” are measured by the absence or occurrence of bad outcomesabsence or occurrence of bad outcomes

– personal performance is gauged by one’s personal performance is gauged by one’s adherence to or deviation from rules rather than adherence to or deviation from rules rather than by the by the appropriatenessappropriateness of the behaviors and of the behaviors and judgment used to accomplish the taskjudgment used to accomplish the task

– improper behaviors, poor judgment, or the lack improper behaviors, poor judgment, or the lack of critical decision-making skills are seldom of critical decision-making skills are seldom evaluated, and may go unnoticed until they evaluated, and may go unnoticed until they result in a bad outcomeresult in a bad outcome

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What is Doctrine?What is Doctrine?What does it do?What does it do?

• Doctrine Guides Doctrine Guides HowHow we Think we Think– Doctrine is a body of fundamental Doctrine is a body of fundamental

principles evolved from laws, culture, principles evolved from laws, culture, history, and precedence that guides the history, and precedence that guides the actions of an organizationactions of an organization

– It is authoritative but requires judgment It is authoritative but requires judgment in applicationin application

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– Doctrine is taught as “right” behavior… Doctrine is taught as “right” behavior… it is it is mandatory behavior rather than mandatory behavior rather than methodmethod

– It smoothes the path from idea to actionIt smoothes the path from idea to action

What is Doctrine?What is Doctrine?What does it do?What does it do?

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How is Doctrine Different From How is Doctrine Different From Rules?Rules?

• Rules Tell Us Rules Tell Us WhatWhat To Do To Do– They cover those things that senior They cover those things that senior

leadership identifies as too important to leadership identifies as too important to leave to judgmentleave to judgment

– Rules neither require, nor do they Rules neither require, nor do they benefit from interpretation or discretionbenefit from interpretation or discretion

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What about Policy?What about Policy?

• Policy can be viewed as that combination Policy can be viewed as that combination of principles (doctrine) and rules that of principles (doctrine) and rules that guides the fundamental practices and guides the fundamental practices and behaviors of the organization and it’s behaviors of the organization and it’s membersmembers

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How is Doctrine Applied?How is Doctrine Applied?

• Organization Wide – Organization Wide – Principles that Principles that necessarily apply to all employees and necessarily apply to all employees and activitiesactivities

• Staff Area – Staff Area – Principles applying to the Principles applying to the staff area and program in generalstaff area and program in general

• Mission Area – Mission Area – Principles specific to Principles specific to the mission within the staff areathe mission within the staff area

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Are there Different Kinds of Are there Different Kinds of Doctrine?Doctrine?• Foundational DoctrineFoundational Doctrine - applies to the overall mission - applies to the overall mission

of the organization. It is dynamic and responsive to of the organization. It is dynamic and responsive to the mandate of the organization and the the mandate of the organization and the timestimes in in which it is carried outwhich it is carried out

• Operational DoctrineOperational Doctrine – is built upon Foundational – is built upon Foundational Doctrine. It provides guidance for dealing with the Doctrine. It provides guidance for dealing with the dynamic parts of the mission that rely on dynamic parts of the mission that rely on interpretation, judgment, and agility, and is specifically interpretation, judgment, and agility, and is specifically responsive to the requirements of the mission and the responsive to the requirements of the mission and the environmentenvironment in which it is performed. A component of in which it is performed. A component of “Joint Doctrine”, which guides inter-organizational “Joint Doctrine”, which guides inter-organizational actions toward accomplishment of the same missionactions toward accomplishment of the same mission

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Are there Different Areas of Are there Different Areas of Doctrine?Doctrine?

• The Operational EnvironmentThe Operational Environment – – The realities of The realities of the world in which the mission is to be accomplishedthe world in which the mission is to be accomplished

• The MissionThe Mission – – The purpose and need for the The purpose and need for the organization and the activity organization and the activity

• Roles and RelationshipsRoles and Relationships – – Performance Performance expectations and behavioral principlesexpectations and behavioral principles

• Leadership and AccountabilityLeadership and Accountability – – Expectations and Expectations and measures of performance for leaders at all levelsmeasures of performance for leaders at all levels

• OperationsOperations – – Principles that guide actions taken to Principles that guide actions taken to accomplish the missionaccomplish the mission

• Risk ManagementRisk Management – – The purpose, need, and The purpose, need, and emphasis to manage risks associated with the mission emphasis to manage risks associated with the mission environmentenvironment

… … and other areas as neededand other areas as needed

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How will Doctrine Help us How will Doctrine Help us Accomplish our Mission?Accomplish our Mission?

• Doctrine relies upon, and requires Doctrine relies upon, and requires initiative that is concentric with the initiative that is concentric with the fundamental purpose of the organization. fundamental purpose of the organization. “…it’s not a code of standardized “…it’s not a code of standardized procedures but a creative process”procedures but a creative process”

Doctrine is authoritative, but Doctrine is authoritative, but not overly restrictive…not overly restrictive…

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• Doctrine serves to focus the friction (and Doctrine serves to focus the friction (and related decisions) between theory and practice, related decisions) between theory and practice, between real and idealized mechanical between real and idealized mechanical processes. “This [doctrine] will serve both as processes. “This [doctrine] will serve both as support to their judgment and a barrier against support to their judgment and a barrier against those extravagant and erroneous views which those extravagant and erroneous views which are so especially to be dreaded in a sphere are so especially to be dreaded in a sphere where experience is so costly”where experience is so costly”

Doctrine guides proper action Doctrine guides proper action and decision making...and decision making...

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• Because of the difference between what was Because of the difference between what was anticipated and what turns out to be the on-anticipated and what turns out to be the on-the-ground reality, we can only hope to the-ground reality, we can only hope to create the “70% solution”. To invest more create the “70% solution”. To invest more time trying to develop a perfect plan causes time trying to develop a perfect plan causes a loss of momentum and opportunity. a loss of momentum and opportunity. Operating in an environment guided by clear Operating in an environment guided by clear and understood doctrine, the last 30% of the and understood doctrine, the last 30% of the plan is placed into the hands of the plan is placed into the hands of the subordinates, who are expected to exercise subordinates, who are expected to exercise initiative to achieve the leader’s intent initiative to achieve the leader’s intent


Doctrine bridges the gap Doctrine bridges the gap between the plan and the between the plan and the execution of the plan in a execution of the plan in a dynamic environment... dynamic environment...

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How will Doctrine Help us How will Doctrine Help us Accomplish our Mission?Accomplish our Mission?• An organization guided by well understood An organization guided by well understood

and shared doctrine exhibits a workforce and shared doctrine exhibits a workforce with well developed character and initiative, with well developed character and initiative, a workforce that has good understanding of a workforce that has good understanding of the mission of the organization and the the mission of the organization and the intent of its leadership. It relies on sharply intent of its leadership. It relies on sharply honed judgment and decision-making skillshoned judgment and decision-making skills

Doctrine requires workforce Doctrine requires workforce attributes that make the attributes that make the

organization error resistant organization error resistant and efficient…and efficient…

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How will Doctrine Affect How will Doctrine Affect Employees?Employees?

• Doctrinal principles guide decisions and Doctrinal principles guide decisions and behaviors regardless of the task or the behaviors regardless of the task or the environment, yet require discretion in their environment, yet require discretion in their application. application. Every employee will therefore be Every employee will therefore be required to thinkrequired to think

• In order to realize the benefits of principles-In order to realize the benefits of principles-based performance, the organization will need based performance, the organization will need to retool its training and education of to retool its training and education of employees. An escalated focus on leadership employees. An escalated focus on leadership and decision-making, equal to or exceeding and decision-making, equal to or exceeding the emphasis on skills training, is paramountthe emphasis on skills training, is paramount

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• A more visible and objective system of A more visible and objective system of evaluation and certification will be evaluation and certification will be required. Real time evaluation of required. Real time evaluation of performance and decision making will performance and decision making will replace the current tendency to review replace the current tendency to review performance after bad outcomes performance after bad outcomes

• Performance evaluation will be based on Performance evaluation will be based on the quality of decisions in context with the quality of decisions in context with principles, the mission, leader intent, and principles, the mission, leader intent, and environment, and not solely on adherence environment, and not solely on adherence to the letter of rulesto the letter of rules

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How will Doctrine Affect How will Doctrine Affect Employees?Employees?• Personnel will be certified as having Personnel will be certified as having

demonstrated clear leadership qualities prior demonstrated clear leadership qualities prior to being placed in leadership positions to being placed in leadership positions

• Discretion will be given to the level the Discretion will be given to the level the employee is capable to exercise it within employee is capable to exercise it within doctrine-define boundariesdoctrine-define boundaries

• Rules will be limited to those things that senior Rules will be limited to those things that senior leadership believes are too important to leave leadership believes are too important to leave to discretion. There will be a sliding scale of to discretion. There will be a sliding scale of discretion vs. rules in view of experience and discretion vs. rules in view of experience and capabilitycapability

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• Decisions can be made in context with the Decisions can be made in context with the reality of the situation, leader’s intent, and reality of the situation, leader’s intent, and guiding principles. There will be no cookie-guiding principles. There will be no cookie-cutter approach to decision-making cutter approach to decision-making

• Decisions are constrained by doctrinal Decisions are constrained by doctrinal principles and leader intent, in combination principles and leader intent, in combination with rules that require no discretionwith rules that require no discretion

• All actions, decisions, allocations, priorities, All actions, decisions, allocations, priorities, plans, and communications are based upon plans, and communications are based upon fundamental principles tied directly to the fundamental principles tied directly to the organization’s purposeorganization’s purpose

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• Ambiguities in decision-making are Ambiguities in decision-making are eliminated as the work environment and eliminated as the work environment and the job are seen in a clearer contextthe job are seen in a clearer context

• Personal character, heart, will, integrity, Personal character, heart, will, integrity, and honor are all important within a and honor are all important within a principles-based cultureprinciples-based culture

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• Reward is directly related to actions and Reward is directly related to actions and behaviors, and not solely to outcomesbehaviors, and not solely to outcomes

• Consequences accrue to behaviors and Consequences accrue to behaviors and actions, and not solely to outcomesactions, and not solely to outcomes

• Good and bad outcomes are evaluated Good and bad outcomes are evaluated against actions and behaviors, and against actions and behaviors, and individual adherence to a clearer and more individual adherence to a clearer and more meaningful set of rulesmeaningful set of rules

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In SummaryIn Summary• Through the illumination of clear, shared, Through the illumination of clear, shared,

and unambiguous doctrine:and unambiguous doctrine:– decisions and actions will be connected with the decisions and actions will be connected with the

overall mission, and will contribute to overall mission, and will contribute to organizational integration and coordinationorganizational integration and coordination

– communication will be consistent and communication will be consistent and comprehensive, and multiple interpretations of comprehensive, and multiple interpretations of purposes, needs, and desired outcomes will be purposes, needs, and desired outcomes will be eliminatedeliminated

– the value of policy to accomplish the mission will the value of policy to accomplish the mission will be enhanced. Policy, when developed as a be enhanced. Policy, when developed as a combination of guiding principles and critical combination of guiding principles and critical rules, will serve to define the context of decision-rules, will serve to define the context of decision-making rather than confine the decision-makermaking rather than confine the decision-maker

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In SummaryIn Summary• Through the illumination of clear, shared, Through the illumination of clear, shared,

and unambiguous doctrine:and unambiguous doctrine:– decision authority, responsibility, and freedom decision authority, responsibility, and freedom

to act will be precisely definedto act will be precisely defined– the foundation upon which the organization the foundation upon which the organization

establishes consistency in its response to establishes consistency in its response to criticism, arbitration, and litigation will be well criticism, arbitration, and litigation will be well establishedestablished

– employees and leaders alike will be provided employees and leaders alike will be provided with an unambiguous means to evaluate risk with an unambiguous means to evaluate risk vs. gain; to avoid both risk aversion and vs. gain; to avoid both risk aversion and recklessnessrecklessness

Documents

Establishing Doctrine The Purpose and Intent Of Principles-Driven Decision Making