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2010 Chilean Mining Rescue

Team Development

Ahmed El Hussiny

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Introduction

In the following paper the mining rescue case that occurred in 2010 in Chile is analyzed from a

team development process perspective, taking into account team members dynamics

associated to the creative process for rescuers and miners involved. Team development phases

defined by Tuckman (1965) are used as the main structure for the document, to understand how

the rescue progressed from the initial composition of team members, going through conflicts

and decision making process until the final stage where miners were successful rescued. Team

concepts and creative theories are reflected on both sides of the story, in one hand interactions

between roles from rescuers public and private companies aiming to accomplish the objective

with a high time pressure, and on the other hand the miners aiming to survive and keep a solid

structure as a group.

On 5th August 2010 San José copper mine located at the Copiapó Chilean province, collapsed

and trapped 33 miners 700 meters underground. The event happened around 14:05, rescue

actions were initiated by the company who was in charge of the mine and advised authorities

few hours later. The first signal that miners were alive was received after seventeen days, after

a probe reached the shelter that protected them. During 69 days, the miners remained

underground and on October 13th finally the whole team was rescued, on a mission considered

as the most successful on the entire mining history.

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Figure 1: The capsule carrying a rescued miner arrives to the surface from the collapsed mine (Boston, 2010)

Tuckman model is a four stages model extensively used for team analysis, which researchers

have found variations and limitations on their studies. The model defines the existence of 4

stages that should be inevitable complete to achieve group objectives, called forming, storming,

norming and performing. On 1977 Tuckman added a 5th stage called adjourning (Tuckman and

Jensen, 1977) as part of an update of the model. However model has been popular and

generalized to multiple environments, researchers have identified whether variations as a

storming stage more focused on solve the origin of conflicts or limitations as the failure to

explain how the team development process affects the creativity of individuals, as well as team

capacity to exceed expected performance (Bonebright, 2010).

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Team Formation

During the forming stage team members will know each other to understand dependencies

among them and the boundaries of task to be performed. During this phase team members will

identify commonalities and differences among others, and mostly will avoid the conflict hiding

their feelings (Andriopoulos and Dawson, p. 141). Productivity tends to be very slow at this

stage because only routines activities are performed and roles are not clearly identified (OHR,

2013). In regards of task performance this stage deals with the orientation required to

accomplish tasks and how to implement them (Oregon, 2013). On psychology theories this

stage deals with the anxiety that could generated internal questions for the team member as

why I’m here?, what is it like to be here?, how will it be?, as much as different from the member

context more anxiety could be presented (Frances, 2008).

The Chilean rescue mission required collaboration from many organizations represented by

people grouped as a team focused on one main critical objective. The concept of team

described by Katzenbach and Smith (1993) includes a high level of mutual accountability and a

common view of performance rather than individual evaluation. In contrast with the concept of

group, individuals working in a team know that their contribution is crucial for the common

objective and they set aside personal rewarding (Andriopoulos and Dawson, p. 139). A

characteristic high performance teams is close collaboration, empowerment, self-direction, and

cross-functional to have complementary skills leveraging vast creativity to reach the goals (Katz,

1997). During the rescue of the miners the team leading the mission was mutually accountable

for lives of people trapped underground, after initial collapse government leaders realized that a

mission of this couldn’t be managed by the company mining owners and that a team should be

established to proceed with a unique rescue challenge. However the chilean mine team was

organized before the accident as a working group with clear hierarchical supervising role lead

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by the shift foreman Luis Urzua, but after the accident everything changed to a democratic

system for taking decision and where importance of multidisciplinary skills apart from mining

made the difference to survive (Scandura and Sharif, al 2013).

To understand creativity within teams, it is important to analyze role composition during the

formation stage to have a better idea of roles contribution on further stages. The Belbin Team

Role Self-Perception Inventory is a tool developed by Meredith Belbin to analyze how

individuals behave working in a team, rather than personality which traits could be considered

constant (Belbin, 2013). Nine Belbin roles are defined as plant, resource investigator, co-

ordinator, shaper, monitor evaluator, team worker, implementer, completer finisher and

specialist. Plant role is the idea generator, resource investigator is communicative and

enthusiastic, co-ordinator delegates and clarify, shaper manages the pressure, monitor

evaluator discern and reviews, teamworker is cooperative and diplomatic, implementer is

practical and efficient, completer finisher is careful and anxious and the specialist who is

knowledgeable and high skilled.

Formation stage on this case has some special characteristics because not all team members

were chosen and the race against time was an important external factor. Since the initial stages

after disaster occurred Chilean President Sebastian Piñera was at the frontline with his Ministry

of Mining Laurence Golborne. Golborne played an active role during the rescue activities on the

surface, coordinating a group along with André Sougarret, leader of the engineering team at the

site and Cristián Barrá Ministry of Interior cabinet chief who was in charge or media and family

relationships (Jordan et.al, 2010). Underground foreman Luis Urzúa acted as the leader who

organize internally to miners aiming the main objective to keep a cohesive team who can

survive under such extreme conditions.

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When the situation was detected many organization were involved to define an action plan and

solution, as police, regional mining office, rescue team leaders, national emergency office,

chilean army office, mine owners and even miners relatives and friends. Confusion was present

during the first meeting and under this pressure Golborne exhibits his role as shaper giving

direction and control to the meeting and consequently to entire rescue organization on the

surface. A engineering team was required to take the lead and support Golborne who was a

newcomer on the mining and political fields. One of the reputed and knowledgeable people

selected was Nelson Contador a respected mining specialist who almost left the rescue when at

the beginning no one was taking into account his ideas, a clear representation of the specialist

role defined by Belbin, who has a narrow focused and not interested and other ideas. Along with

Contador was André Sougarret the engineer assigned by the state owned company Codelco to

head the technical team exposing his strong character and acting as a coordinator and shaper

for the rest of the team.

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Team Dynamics - Storming and Creativity

Tuckman described forming process as initial team setup where employer would use his

communication skills and experience view to create perfect team. However, real team-formation

only happens as interaction among the team members occurs and cohesiveness develops. It

can be safely stated that team growth can be only achieved if initial team structure gets

challenged, opinions expressed, plans replanned, weaknesses exposed and clarity demanded.

In Chilean rescue case, similarly, initial team structure and plan execution did hit obstacles

eventually. Constant hurdles cased for team of miners and rescuers to challenge status-quo and

develop intra-group conflicts. As defined by Tuckman (1965), such individual and emotional

response to task demanded identifies second stage of task-activity development - team

storming.

The rescue operation, overall, was amazing achievement and story of what humankind can do

when international expertise and multi-industry knowledge are combined. However, having

hundreds of brains, thousands of suggestions every day it is easy to describe it as a mess. In

such chaotic situation, it was of utter importance to structure the team and nurture its

development through leadership support.

Naturally, team was formed in first phase. But this only happened after several days of

understanding severity of the situation, understanding what type of rescue efforts are needed

and eventually, where to find needed expertise. At that point, trust was the key issue among the

team members especially due to Golborne’s unfamiliarity with the topic and processes. Belbin

(2010) argued that each of the team behaviors and their balance were essential in getting the

team successfully from start to finish. When applied to Chilean rescue story, here we have too

many ‘plants’ generating way too many ideas. Common goal was known by all, but there was no

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clarity on how to achieve it. Hence, role of ‘shaper’ and ‘specialist’ in one was missing. Andre

Sougarret was experienced Codelco engineer working on El Teniente mine who perfectly filled

the gap. He presented not only role of ‘shaper’ and ‘co-ordinator’ but also ‘implementer’ and

‘specialist’ that created trust among the team members. Andre relied on active support of mining

engineers, drilling experts, rescue teams, navy Special Forces, medical experts, psychological

experts and many others.

Team held regular brainstorming sessions to develop and creatively enhance search efforts.

While the goal was common, clear accountability was missing which resulted in many

performance related issues. Brainstorming was proven to be more effective method of

generating new ideas and resolving current issues than more conventional team meetings. This

was theorized by Osborn (1963) who noticed that classical team meetings limit creativity among

the team members, especially younger ones. Similarly, rescuers used something what might be

considered electronic brainstorming (Andriopoulos and Dawson, 2009) - through use of video-

conferencing, e-mail, expert forums and eventually public media, rescuers formed platform for

generation, evaluation and implementation of ideas in extremely fast manner.

As rescue through main tunnel access didn’t work alternative plan was needed. Series of

brainstorming sessions, information gathering from all over the world, collaborations with

respected international institutions resulted with idea to drill. This was risky call, as to make it

work mine blueprints need to reflect exact structure of the mine and miners would need to

survive additional weeks in captivity. It is worth noting here how issues like blind conformity and

‘groupthink’ (Andriopoulos and Dawson, 2009) which usually cause for teams to fail - were not

observed in this mine rescue situation. Although already experts of the subject (mining, drilling,

rescue) rescue team welcomed all the external expert opinions. For next ten days team was

challenged both technically and psychologically. Miners were trapped for two weeks and

chances of finding them alive were slimmer day after day. And there were miners’ families and

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political pressure growing as days passed. Team communication become more intensive - new

ideas are stormed, opposite opinions expressed, members outspoken, leadership challenged.

Here we see clear impact of external factors on dynamics in the team.

On seventeenth day, one of the drilling probes finally reached chamber where miners were and

retrieved message confirming that all are 33 are alive and well. This milestone was such an

enormous impact on the rescuers. By the end of the night it became clear they are not only

group of people and companies, but Team which, as defined by Katzenbah and Smith (1993)

had complementary skills and are committed to common goal. At that point of time leadership

role wasn’t easily distinguishable - it was spread among the sub-teams and all worked as one

with clear goal in mind. They were all individually and mutually accountable.

It took another month to see firm progress and finally be confident about the drilling plan. During

that time, mental health of the miners was on the edge and this was reflected on the team

health. Everyday normal arguments evolved to verbal and sometimes fist fights. The miners

kept their spirits up with a daily group therapy session they have nicknamed "showing their

cards", in which they discuss their "disagreements, plans and achievements. This was clear

sign of effective brainstorming (Andriopoulos and Dawson, 2009). Sanity was kept only thanks

to everyone high level of individual morale, supportive leadership from the rescuers, positive

work team climate and individual miner’s susceptibility. Finally on day 33, plan B succeeded and

drill hole was ready for the rescue operation. This marked not only end of rescuers’ and miners’

worries, but also it marks the end of storming phase in team development.

We noticed here that application of Tuckman’s stage model on Chilean miners rescue story

doesn’t provide complete satisfactory fit. Tuckman’s model fails to answer two key points - what

happens if team never exits storming stage and how performing teams achieve even better

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performance. Extraordinary leadership and creation / innovation work environment played a key

role. Here, studies done by Tudor Rickards and Susan Moger provide alternative model to be

considered (Rickards and Moger, 2000). Creative component of team leadership was key to

operation success. Golberg and Sougarret preferred to take supporting roles rather than

controlling-like leadership that in turn, resulted in enhancement of individual motivation and

creativity and innovation. Thus, although it is clear that team was developed gradually through

coping with daily issues, fights and other team’s storming-stage elements; it is also visible that

creativity played major role in team development and final successful result. Through means of

modern communication technology, creative and fast environment was created which served as

platform and utility for rescuers to cope with issues.

Thus we would like to conclude this ‘storming’ chapter with expanded view and state that very

often key ingredients in successful team functioning and development are creativity and

innovativeness.

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Normalisation

At this stage and according to Tuckman (1965), team members are no longer focused on the

individual goals as they were more confidants on each other’s opinions and value of their

differences. Team members agreed on their working rules, conflicts are resolved and working

flow becomes more natural. A reliable option is selected and priorities are decided as well as

tools to be used to get the job done. The team reached superior self-direction to resolve issues

and conflict as a group.

This creative collective push is a result of something that could be called work climate of

enthusiasm, optimism, innovation and comradeship. As explored and defined in (Anderson and

West, 1998) interaction among the teams and within the sub-teams, common goal, task

interdependence and inter-accountability result in way that individuals start to identify himself

with ‘proximal work group’, which then identifies proximal work group climate. In case of miners

and rescuers, we can say that once contact was established those two separate groups become

one team with working towards the same goal.

Miners identified leader in form of shift foreman Luis Urzúa, and other roles like team medic,

religious leader, assistants, team spirit maintainer and person with situational experience. This

distribution of tasks and mutual understanding of accountability was of absolute essence for

team above as they would easily transfer all of the life-importance requests and get them

fulfilled. The surface team members had organized themselves and started to work effectively

under time constraint to extract the miners. The built team was ready to move forward for more

consensuses, given more opportunities to lead and face the challenges which were at

extraordinary level of complexity.

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The crisis team goals were firstly locating and second extracting the lost miners. The Team was

extremely collaborative and able to take high risky decision. As according to Wallach, Kogan,

and Bem (1964) who proposed that “greater risks are chosen due to a diffusion of responsibility,

where emotional bonds decrease anxieties and risk is perceived as shared”.

The crisis team decided to adopt several simultaneous strategies to know the miners are still

live or no, so that if one faltered or failed, time should not be lost in developing the other options.

The most two proper strategies selected for ventilation were: First, would to drill a hole down to

a ventilation shaft not too far above the miners’ location. The second would work to drill an

opening all the way to where the miners were trapped. During that the team decided to embrace

a policy of gains and setbacks anticipation, fully disclosing not only for the drilling success but

also their failures as they knew that if they did not do they would lose their confidence.

Planning for this type of disaster accident was completely a new experience. Creativity at this

situation was imperative; however the team was in high stress to be creative in this rescue

mission. As there was many well-known techniques that readily could help the team to generate

new ideas, but the difficulty was to identify which of these hundreds of solution plans have the

value and realizable. As per Wallas (1926) creativity process identified four stages, preparation,

incubation, illumination and verification. Accordingly we can identify the rescuer’s creativity

process as follows:

First stage is called preparation, within hours of discovering the 33 miners were alive, the

rescuer team start collecting a wide source of information from the most experts and best

equipment manufactures in the world to arrange a rescue operation. The aim of the preparation

was to conduct a wide diverse research as possible in order to broaden their view, they called

drilling Companies and agencies from South Africa, Canada, and the U.S. Zephyr Technology

provided chest straps that measured the miners’ vitals, while UPS coordinated the movement of

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over 25 tons of construction equipment. Even NASA got involved, aiding in the design of the

rescue capsule and consulting with Chilean doctors on the mental health of the miners.

After the first stage incubation appears where every team member suspend their conscious

concentration on the problem and engage in a process of intuitive data processing physically,

mentally, emotionally, and spiritually. The temporary breakout from preconceived knowledge,

daily meeting and sharing information, in order to approach the issue in a new way.

Illumination is the third stage, where the team was fully aware with all of the crisis extents, they

already during their two month built their regular routines, group meetings, even chapel

services. They worked together in shifts, were organized into three-man buddy teams, and

made a rule that no one eats until everyone received their food. The outside world cared for

them as well providing laundry service and positive TV programming. They also cared for them

by refusing their request for cigarettes and wine. Everything was engineered to support their

spirit and guard against collapse.

Lastly verification, the translation of all of this hard work, brain storming, correlation between

intelligence and creativity, they came up with three plans: Plan A, Plan B, and Plan C. Because

of time constraints, instead of starting with Plan A, then moving on to the others if it failed or in

parallel, they initiated them all simultaneously. In the end, it was Plan B that broke through first.

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Performing

After normalization, the team shall reach the performing stage characterized by harmony,

productivity, problem-solving, shared leadership and full development of the potential of the

group and individuals (UOM, 2013). Structural issues have been resolved and structure can

now become supportive of task performance (Tuckman, 1965). The high-performing team

members are motivated and function as a unit, with equal facility, finding ways to get the job

done smoothly and effectively without inappropriate conflict or the need for external supervision.

The team members are now competent, interdependent and autonomous. Group identity is

complete, morale is high, and loyalty is intense. The task function becomes genuine problem

solving, leading toward optimal solutions and optimum group development. The overall goal is

productivity through problem solving and work (CEO, 2013). Each member has a well defined

target with desired results.

As listed in previous sections, a big number of firms and governmental entities took the initiative

to participate in the rescue activity. In order to avoid any conflict between the stakeholders, each

firm has a definite role and responsibilities. The rescue operation was very risky simply because

nobody else has ever done something similar and rescued miners from such depth. Therefore,

the efforts were consolidated in order to innovate new equipment and procedures to be used

during the rescue. The team was filled with enthusiasm and focused on creative problem

solving. The National Aeronautics and Space Administration provided medical, nutritional, and

psychological advices to protect the health of the miners until the rescue operation. NASA

experts traveled to Chile and joined the onsite team. Relying on their experience, NASA

technical team suggested the use of rescue cages, something never used or fabricated before

(NASA, 2011). There are three levels of innovations “Incremental, Modular and Radical”

(Andriopoulos and Dawson, 2012). The Radical Innovations is when new knowledge is required

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to exploit uncharted opportunities. This is the case for the rescue event where none of the

equipment available in the market can be used to reach the target. Being in the performing

stage, the other rescue team members have trust in NASA and their capabilities to achieve

assigned task.

Successful performing phase relies on open communication, understanding of each party roles

and mutual accountability. Commitment is important to deliver as per the plan and due dates

(Dexler and Sibbert, 1997). The management people provide required support; ensure success

through smooth communication, proper monitoring, and mitigation of conflicts and problems.

Showing high level of commitment, Center Rock that is the drills supplier, shut down its entire

plant and built the rescue equipment in only three days, activity which would have normally

taken four weeks (Yang, 2010). Schramm, an American based company, supplied the drilling

rig. The capsule used was painted as per the color of Chilean flag and named Phoenix; this was

inspired from the mythical bird that rises from ashes. This represents an indirect strategy to

motivate the miners and give them the trust that they be rescued, reborn and returned back safe

to their families. Team members from all parties involved were onsite in order to act in case of

any unexpected problem.

Deep analysis was done for all possible problems that might be faced and ensured correct

contingencies plans are in place. The experts expected that the worst technical problem that

could happen is jamming the capsule in the shaft due to falling rocks. Thus, the main challenge

for drillers was to avoid collapsed areas, underground open areas and to curve the shaft to pass

through 'virgin' rock (Longbottom and Gurrin, 2010).

First out were the miners with best health situation, able to handle difficulties and inform the

rescuer at the surface about the status of their colleagues. The 31-year-old, Avalos, second-in-

command of the miners, was chosen to be first to be rescued because he was in the best

condition. Then, the weakest and the ill were rescued. The last were people who are both

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physically fit and strong of character. The rescue procedure was executed smoothly with no

surprises or showstoppers. The complete operation took half than the planned schedule. After

70 days underground, the longest underground entrapment in written history, the miners were

pulled to freedom.

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Conclusion

The rescue mission represents one of the most innovative case studies of distributed leadership

(Irving, 2010). It involved a world class team of experts in a variety of field engineers, geo-

scientists, physicians, psychologists that worked as a fine tuned setup. Each understood their

respective responsibilities and was empowered to make their own decisions. The leadership

exhibited above ground was astonishing. The president and mining minister took the decision to

save the miners at any cost. The objective was very clear, keep the miners healthy while they

are underground and rescue them as quickly as possible. The priority was to successfully

rescue the miners, regardless of where the innovations, ideas and tools that made the rescue

possible came from. This was truly an R&D project, with everyone learning, improvising and

innovating during the work (Irving, 2010). The rescue activity was studied by many academics

as “a lesson for the ages” and a real invaluable lesson for the future in leadership and

teamwork. This is being used now as case study now in business administration and executive

education classes at the Wharton School of the University of Pennsylvania (Cannell, 2011).

During the composition of the team, multidisciplinary members with variety of traits and roles

were the base to enhance task performance through creative thinking on the members involved.

On storming stage decision making techniques as the miners voting system, or brainstorming

sessions held by rescue team were applied to solve conflicts and originate required plans and

strategies. Subsequent norming and performing stages were foster by the importance of 33

human lives which required a commitment from every team member and organizations involved

which demonstrated power of human spirit. Lessons from significant rescue exercises provide

valuable inputs to enhance widely used academic theories for team development and creativity.

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Through application of Tuckman’s and Rickards-Moger’s models we were able to identify key

factors differentiating this team from others and making them ultra-successful. With arrival of

Sougarret, missing element of trust was filed, thus basis for intra-team understanding was

created (platform of understanding). An absolute balance of roles, responsibilities and

accountability was essential (team balance). While goal was common, teams were struggling to

create dominant perspective (shared vision) which proved to be hardest barrier. Positive

climate, promotion of innovation and encouragement of creativity provided basis for team agility

in issue solving (resilience), solution finding and ultimate success (creative climate). And finally,

collaboration with government, businesses, international experts and academics proved to be of

importance in order to get faster results on escalated issues (networking and collaboration).

Although it is clear that dynamics between the team members in form of storming is directly

related to performance and final success, creativity and innovation played key roles. Team

became stronger and provided outstanding performance as they managed to deal with strong

performance barrier and rescue with 100% success rate. Finally, there is one ultimate concept

behind why the whole world focused on Chile during that time: “The importance of individual life”

(Useem, 2012).

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