1. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 1 Rockefeller College of Public Affairs and Policy University at Albany Improvising Around Roles and Scripts in Group Model Building Group Decision and Negotiation INFORMS, Mt. Tremblant, Quebec, May 2007 David F. Andersen and George P. Richardson Rockefeller College of Public Affairs and Policy University at Albany, SUNY

2. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 2 Rockefeller College of Public Affairs and Policy University at Albany Outline of Remarks What is System Dynamics Group Model Building? Improvisational Jazz as an Organizing Metaphor Initial Agreements— Who is paying for the gig? Roles and Teamwork— Getting the players together Scripts—Learning the Basic Rhythms and Melodies.

3. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 3 Rockefeller College of Public Affairs and Policy University at Albany Outline of Remarks (continued) Improvisation with Roles and Scripts Understanding the Improvisational Playfield Two Principles that guide improvisation A catalogue of Improvisational Behaviors Improvisation that Ignores Roles and Breaks Scripts Role Reversals and other dangerous moves Working “on the fly” (to create new scripts)

4. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 4 Rockefeller College of Public Affairs and Policy University at Albany What is Group Modeling? A form of group decision support, involving a group of stakeholders with a complex problem Group facilitation Model building and refinement in public Simulation of scenarios and options Extensive facilitated discussion and analysis Facilitated policy design and decisions

5. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 5 Rockefeller College of Public Affairs and Policy University at Albany What is Group Modeling? Management team (10-20) with a Modeling/Facilitation team (2-4) Four full days over 3-to-4 months Extensive between meeting work Rapid prototyping of model with finished simulation product Facilitation of implementation plans

6. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 6 Rockefeller College of Public Affairs and Policy University at Albany Why System Dynamics Modeling?

7. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 7 Rockefeller College of Public Affairs and Policy University at Albany Why System Dynamics Modeling?

8. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 8 Rockefeller College of Public Affairs and Policy University at Albany Why System Dynamics Modeling?

9. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 9 Rockefeller College of Public Affairs and Policy University at Albany Why System Dynamics Modeling?

10. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 10 Rockefeller College of Public Affairs and Policy University at Albany Why System Dynamics Modeling?

11. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 11 Rockefeller College of Public Affairs and Policy University at Albany The Albany Teamwork Approach Facilitator / Elicitor Modeler / Reflector Process coach Recorder Gatekeeper

12. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 12 Rockefeller College of Public Affairs and Policy University at Albany Components of the Process Problem definition meeting Group modeling meeting Formal model formulation Reviewing model with model building team Rolling out model with the community Working with flight simulator Making change happen

13. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 13 Rockefeller College of Public Affairs and Policy University at Albany A Typical Room GMB Session

14. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 14 Rockefeller College of Public Affairs and Policy University at Albany Typical First Group Model Building Meeting Introductions: Hopes and Fears Stakeholders Introduction to simulation: Concept models Client flow elicitation Policy resources and clusters Mapping policy influences Next steps for client group and modeling team

15. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 15 Rockefeller College of Public Affairs and Policy University at Albany Introduction to Simulation Concept models Introduce the stock, flow, and causal link icons used throughout the workshop Demonstrate there are links between feedback structure and dynamic behavior Initiate discussion about the structure and behavior of the real system Less than 30 minutes

16. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 16 Rockefeller College of Public Affairs and Policy University at Albany Concept Model Progression: “Models are ours to change and improve.”

17. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 17 Rockefeller College of Public Affairs and Policy University at Albany Concept Model Progression: “Behavior is a Consequence of Structure”

18. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 18 Rockefeller College of Public Affairs and Policy University at Albany Typical First Group Model Building Meeting Introductions: Hopes and Fears Stakeholders Introduction to simulation: Concept models Client flow elicitation Policy resources and clusters Mapping policy influences Next steps for client group and modeling team How do these conversations take place?

19. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 19 Rockefeller College of Public Affairs and Policy University at Albany Facilitating Group Modeling Conversations Scripted routines Richmond, The Strategic Forum Vennix, Group Model Building Andersen & Richardson, Scripts for Group Model Building Improvisation Varying scripts “on the fly” Creating new GMB processes “on the fly” Reflecting on improvisations to create new scripts

20. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 20 Rockefeller College of Public Affairs and Policy University at Albany Client Agreements about Strategies and Policies Initial Agreements Scripts Roles Group Modelling Improvisational Playing Field Formal Modelling Activities Improvisation as a Key Activity in Group Modelling

21. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 21 Rockefeller College of Public Affairs and Policy University at Albany Understanding the Improvisational Playfield Four Dimensions of Tension in GMB Communications Processes Using Boundary Objects to Manage Communication Tensions—three uses Remembering Facilitating Modeling

22. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 22 Rockefeller College of Public Affairs and Policy University at Albany Understanding the Improvisational Playfield Four Dimensions of Tension in GMB Communications Processes Using Boundary Objects to Manage Communication Tensions—three uses Remembering Facilitating Modeling

23. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 23 Rockefeller College of Public Affairs and Policy University at Albany Tensions in Group Model Building Client Mental Models Natural Language High Semantic Requirements Coherence SD Modeling Principles Model Equations High Syntax Requirements Cohesion

24. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 24 Rockefeller College of Public Affairs and Policy University at Albany Examples of Boundary Objects in SD GMB Client-Authored such as… Variable Graphs Over Time Stakeholder Power X Interest Grid Facilitator-Authored such as… Sketches of Model Feedback Structure on the White Board Modeler-Authored such as… Refined Sketches of Model Structure in Modeler Feedback Script

25. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 25 Rockefeller College of Public Affairs and Policy University at Albany Boundary Objects Manage Tensions Between Mental Models and Good Modeling Principles Client Group’s Mental Models SD Modeling Principles Current GMB Boundary Object Already Completed Boundary Objects Facilitation Zone Remembering and Displaying Modeling Zone

26. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 26 Rockefeller College of Public Affairs and Policy University at Albany First Improvisational Principle: LERT L isten, E dit, and R eport with T ransformations

27. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 27 Rockefeller College of Public Affairs and Policy University at Albany LERT has two parts… Listen and Report Back Use exact words, concepts, and phrases that client group uses Faithfully record and display their thoughts and words Edit with Transformations Find ways to “filter” clients’ speech — “less is more” Add value by structuring speech around modeling principles These two components of LERT are at odds with themselves

28. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 28 Rockefeller College of Public Affairs and Policy University at Albany Second Improvisational Principle: Unobtrusive Teaching About SD Modeling Syntax and Principles, e.g. Concept Models Modeler Feedback About Insights into the System Under Study, e.g. Feedback while working in small groups Modeler Feedback Plenary Events that “ring a bell” for a potentially big idea within the project

29. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 29 Rockefeller College of Public Affairs and Policy University at Albany Toward a Taxonomy of Improvisational Behaviors Live “On the Fly” Behaviors “Off Line” Behaviors Mostly Modeler Behavior Transform cause-and- effect to feedback Propose “cleaned up” model geometry Mostly Facilitator Behavior Select next concept to discuss Move Ideas to the Parking lot Joint Modeler & Facilitator Behavior “Banter” with the group in structured ways Propose Seed Structures to discuss

30. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 30 Rockefeller College of Public Affairs and Policy University at Albany Key Modeler Improvisational Behaviors On the Fly Challenge “Group Think” causal assertions Provide “Expert Opinion” on aggregation or other modeling issues Off Line Transform cause-and-effect to feedback Clean Up Diagram Geometry Add Operational Logic Propose formulation-based restatements of key effects under discussion by group

31. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 31 Rockefeller College of Public Affairs and Policy University at Albany Key Facilitator Improvisational Behaviors On the Fly Select next key concept of variable to discuss Do not record on the board aspects of discussion Park aspects of discussion for future use Select words that create variables from verb phrases Be alert to and draw out feedback loops Off Line Add insights, comments to small working groups Rehearse key variables and dynamic mechanisms from earlier boundary objects

32. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 32 Rockefeller College of Public Affairs and Policy University at Albany Key Joint Improvisational Behaviors On the Fly Call out for help Live “banter” to exchange insights in front of the client group Off Line Design “seed” structures or dynamics mechanisms to structure next phase of discussion Share insights about key variables or dynamic mechanisms Plan or refine sequence of scripts

33. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 33 Rockefeller College of Public Affairs and Policy University at Albany Improvisation that Ignores Roles and Breaks Scripts Role Reversals and Other Unplanned Moves Can lead to sudden break-throughs Can have dangerous consequences We have rules to constrain these behaviors! Creating New Scripts in “Real Time” To resolve a current problem facing the group ***Often to create a new script

34. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 34 Rockefeller College of Public Affairs and Policy University at Albany Role Reversals and Other Unplanned Moves Improvised Conversations Between Modeling Team Members Four Basic Types: Facilitator Seeks Assistance Facilitator Steps Down Modeler Steps Up to Offer Insight Modeler Steps Up to Take Over the Meeting

35. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 35 Rockefeller College of Public Affairs and Policy University at Albany Even Improvised Conversations Have Rules Rule #1: The person “holding the chalk” calls the shots Rule #2: Always know who is “holding the chalk” Rule #3: Always seek permission for improvised conversations 3A: Facilitator initiates conversations with public requests 3B: Modeler initiates conversations with a private signal

36. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 36 Rockefeller College of Public Affairs and Policy University at Albany Facilitator Seeks Assistance What and When: At an unplanned time, facilitator requests specific support from modeling team in handling group process or content. Why: Facilitator senses that current task is not working well or there is an opportunity that needs to be structured How : Facilitator sends public signal with an advance request for help. There may be a public discussion of what is needed. When the modeler is ready to help, he or she sends a private signal back that it is OK now to call for help.

37. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 37 Rockefeller College of Public Affairs and Policy University at Albany Facilitator Steps Down What and When: This is usually an extreme case of facilitator requesting assistance. Why: Facilitator senses that current task is not working well or facilitator is tired or confused for some reason. How : Facilitator sends public signal with an advance request for help. There may be a public discussion of what is needed. When the modeler is ready to help, he or she sends a private signal back that it is OK now to call for help.

38. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 38 Rockefeller College of Public Affairs and Policy University at Albany Modeler Steps Up to Comment What and When: At an unplanned time, modeler gains permission to interrupt to add value around some specific task. Why: Modeler sees an opportunity to clarify a specific task or insight being worked by the group (that the facilitator seems to be missing) How : Modeler uses a private signal indicating he or she has a new direction to pursue. If a break is not near, a public discussion may follow. When the facilitator is ready, the modeler comments to add value. The modeler should be prepared to “take the chalk” if necessary.

39. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 39 Rockefeller College of Public Affairs and Policy University at Albany Modeler Steps Up to Take Over Session What and When: At an unplanned time, modeler gains permission to interrupt to move the group in a new direction —We consider this to be a very risky move. Why: Modeler sees an opportunity to move the group in a new (often breakthrough) direction, timing is important, and it seems prudent (to the modeler) to not wait until a break. How : Modeler uses a private signal indicating he or she has a new direction to pursue. If a break is not near, a public discussion may follow. When the facilitator is ready, the modeler steps up to manage the conversation, agreeing to stay in control until the next break or “pass back” time can be arranged.

40. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 40 Rockefeller College of Public Affairs and Policy University at Albany Creating New Scripts in “Real Time” Driven by a specific need or opportunity presented by current work Never done “on the fly” Usually completed over a long break, before the start of a new day, or late at night (those early morning surprises!) Initially “crap detected” using small group working principles Extensive critique and re-design at end of session.

41. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 41 Rockefeller College of Public Affairs and Policy University at Albany Small Group Principles in a Nutshell Divergent, brainstorming tasks Individuals to pairs to small groups Nominal group collection Ranking tasks Sticky dots or software support Convergent, design tasks Hardest – need most thought Most risk.

42. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 42 Rockefeller College of Public Affairs and Policy University at Albany Borrow or Steal Scripts from other Problem Structuring Approaches… Rohrbaugh Decision Techtronics approaches Vennix Workbook ideas and approaches Bryson Stakeholder mapping Leadership principles Eden and Ackermann Decision and Group Explorer techniques New direct software linkages

43. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 43 Rockefeller College of Public Affairs and Policy University at Albany Several Examples of Scripts-to-Order Group elicitation of model parameters Vermont Medicaid project Needed numbers for over-night modeling Proved to be powerful alignment and discussion tool Ratio elicitation of feedback loops Office of Mental Health Project Original intent to decompose too complex stock and flow picture Use of ratio of two key stocks seems a “natural” way to generate feedback thinking by client groups

44. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 44 Rockefeller College of Public Affairs and Policy University at Albany More Examples of Scripts-to-Order Using Group Explorer Pack of Key Variables to “Seed” Feedback elicitation Airport Security Modeling Project Seeking linkages between Group Explorer and Vensim modeling Techniques still under development Extended Concept Model Approach Project on Security in Norwegian Oil Fields Initial intent was to transfer model ownership to new group Discovered fast way to engage clients early in discussion of dynamics.

45. D. F. Andersen & G. P. Richardson GDN, INFORMS, May 2007 45 Rockefeller College of Public Affairs and Policy University at Albany References Reagan-Cirincione et al., Decision modeling: Tools for Strategic Thinking, Interfaces 21,6 (Nov-Dec 1991). Andersen & Richardson, Teamwork in Group Model Building, System Dynamics Review 1995. Richardson & Andersen, Scripts in Group Model Building, System Dynamics Review 1997. Richmond, The Strategic Forum: Aligning Objectives Strategy and Process. System Dynamics Review, 13(2), 1997. Vennix, Andersen, & Richardson, Special issue of the System Dynamics Review on Group Model Building, 1997. Eden and Ackermann, Strategy Making: the Journey of Strategic Management. Sage: London, 1998. Bryson, Strategic Planning for Public and Nonprofit Organizations, San Francisco: Jossey-Bass, 2004