Controlling People or Controlling Process?(Ice-cream/scolding or Vision?).

The English word "Control" can arouse many different feelings and sentiments, either negative or positive or neutral, depending on from which angle or perspective we view "control". Sometimes it depends on in what situation or context, "control" is being used or applied..

Hence the following usage of control has different meanings : "control tower" "under control" "take control (of people, situation, etc.)...." "Traffic control" "birth control" "parental control" "overtime control" "behaviour control" "expenditure control" .

An Oxford English dictionary defines "control" as : "power or authority to direct, order, or restrain" "management; guidance" "means of regulating, restraining, keeping in order" "standards of comparison for results of an experiment" etc..

This author wishes to discuss "control" using ISO 9000 Quality System model and observation of general organisational behaviour. Particularly, differentiation is made between "People Control" and "Process Control". Such differentiation is considered vital important as each is of different focus and with different end results..

Any typical Organisation has many mechanisms in place that are effecting "control". Hence controlling mechanisms can include "procedure" "work instruction" "overtime monitoring" "budget / expenditure system" "performance development appraisal system" "administrative system" "policy" "limit of authority (financial)" "contract award system", "Organisation structure", ..............

Due to so many operating mechanisms effecting on control aspects, a state of confusion (in most cases, not easily realised and understood) can be easily created in an organisation with respect to the main focus of the "control" to realise its business goals.

Hence for the purpose of the discussion, two categories of controls : "Process Control" and "People Control" are highlighted. Experience and inspiration is drawn again from our familiar Family System as an entity or organisation..

As parents of the children in our family, we have a "VISION" (expressed or otherwise) that one day our children are successful in society (e.g. successful professional, businessmen, or Prime Minister, etc.). We know that before realisation of such "vision", there is a process to go through : "baby care, home training, schooling, adolescent, college, working in society etc..". Initially we exercise some control mechanisms so as to bring the children into the above "main process flow" (hereby classified as Main "Process Control") by "encouraging, coaching them to crawl, stand,..." "discipline or scolding on their manner / mis-behaviour" "rewarding them with ice cream, holiday trips etc.". Such coaching, disciplining, steering and facilitating mechanisms are hereby classified as "People control"..

The above is straightforward and familiar experience. However, on observation of many broken families, it is found that the Main "Process Control" has gone haywire. The initial Vision or good intention has become more an illusion than anything near reality. The "People control" mechanisms have become the Main Control Mechanisms. More incentives (ice cream for every shopping trips, more pocket money, more entertainment allowances) or no further improvement in school work. More scolding, more nagging, more lecturing, more generation gaps become the norm of the days. A vicious circle is created when new unwanted behaviour is observed : bohsia, drug taking, counteracted with more scolding or more incentives. It is reactive situation, it is constantly fire-fightings using "People Control" mechanism. "Main Process towards the Vision Control" is no longer applied..

In a larger organisation with many members, the boundary between "People Control" and Main "Process Control" can often become blurred and confused. Further the members are made up of so many varieties :some more matured, others less disciplined, some more knowledgeable, others don't take initiative, etc. etc. A mixture of so many pockets of different behavioural patterns can easily invite a reactive attempt to "control people" instead of "control the main process", creating an illusive impression that if "people is under control, the main process is under control"..

The followings can be tell tale signs of "People control" and not main "Process control" of an organisation:.

Investigative report on incident or failure results in blame on somebody (likewise over-glorification, or promotion, of some individuals for their bright ideas or personality, forgetting about the team behind that make things happen). Many and frequent reminders (e.g. circular, policy, procedure) on people behaviours e.g. stealing, transport usage, photostatting control, overtime, wearing safety helmet, driving etc.. Notice board or Monthly report is full of graphs or control charts on overtime of staff, sale or expenditure trend, budget and actual commitment correlation, etc..

On the contrary, an organisation with good "Main Process Control" focus has the following characteristics..

A systematic and structured documented system differentiating Vision / Mission / Policy / Principles from Operating mechanisms and Work Instruction (or 1st, 2nd and 3rd levels, generally refereed to in ISO 9000). The Main Process (Core-business) is clearly described, documented, discussed, reviewed and improved constantly. A forum with regular frequency of senior management meeting on managing vision, policy, direction so as to provide coaching to staff. In any non-conformity report (NCR) or failure / incidents, the cause and effect (fishbone) analysis is always traced backed to which vital operating principles and which 20 elements of the ISO 9000 system (not people) and in what way effecting the Main Process. Notice board, monthly reports, circular, monthly briefing to staff on Main "Process Control" and its indicators, e.g. MTBF (mean time between failures) of critical equipment, trend of Sigma (defects part per population) of vital services or quality control, cycle time of maintenance, restoration, or making good, listing (and made available to many) of critical process control parameters, vital equipment, external reference Standards, environmental control parameters, schedule and detailed breakdown of critical process like shutdown, overhaul, preventive check etc..

In the above light, ISO 9000 4.0 "Process Control" is quoted as follow :

The supplier shall identify and plan the production, installation and servicing processes which directly affect quality and shall ensure that these processes are carried out under controlled conditions.

Controlled conditions shall include the following :a) documented procedures defining the manner of production, installation and servicing, where the absence of such procedures could adversely affect quality:b) use of suitable production, installation and servicing equipment, and a suitable working environment;c) compliance with reference standards / codes, quality plans and / or documented procedures;d) monitoring and control of suitable process parameters and product characteristics;e) the approval of processes and equipment, as appropriate;f) criteria for workmanship, which shall be stipulated in the clearest practical manner (e.g. written standards, representative samples or illustrations);g) suitable maintenance of equipment to ensure continuing process capability..

Where the results of processes cannot be fully verified by subsequent inspection and testing of the product and where, for example, processing deficiencies may become apparent only after the product is in use, the processes shall be carried out by qualified operators and / or shall require continuous monitoring and control of process parameters to ensure that the specified requirements are met..

The requirements for any qualification of process operations, including associated equipment and personnel (see cl. 4.18) shall be specified..

Note 16 : Such processes requiring pre-qualification of their process capability are frequently referred to as special processes..

Records shall be maintained for qualified processes, equipment and personnel, as appropriate (see cl. 4.16).

Realising that "People Control" is only a steering and facilitating mechanism, but never the main emphasis, pre-occupation or focus, Organisation with main focus on "Process Control" is in a correct step towards Quality Organisation..

End.