systems thinking for social change : a practical guide to solving complex problems : avoiding...
TRANSCRIPT
PraiseforSystemsThinkingforSocialChange“Itisnothardforpeopletoappreciatethatfragmented,piecemealeffortstosolvecomplexproblemsareineffective.Buthavingconcreteapproachestoanalternativeisanothermatter.Afteralmostfourdecadesofapplyingpracticalsystems-thinkingtoolsindiversesettings,DavidStrohhasproducedanelegantandcogentguidetowhatworks.Researchwithearlylearnersisshowingthatchildrenarenaturalsystemsthinkers.Thisbookwillhelptoresuscitatetheseintuitivecapabilitiesandstrengthentheminthefireoffacingourtoughestproblems.”
—PeterSenge,seniorlecturer,MIT,foundingchair,AcademyforSystemicChange,andauthorofTheFifthDiscipline
“SystemsThinkingforSocialChangeusesclear,down-to-earthlanguagetoexplainandillustratesystemsthinking,whyitmatters,andhowitcanleadtogreatersuccessinthesocialsector.Thebookisbriefyetdeep,bigpictureyetrigorouslyanalytical.Strohdisplaysconsiderablenarrativeskill,especiallywhenhesharesnumerousstoriesfromhispracticeofapplyingvarioussystemstoolsthatledgroupstonewandstartlingconclusions.Readingthisbookwilltestthereadersubstantially,astheauthorinvitesustoadeeperlevelofintrospectionaboutourownroleinsystemsfailuresofeverykind—organizationalandsocietal—andgentlyasksustoembraceanewway,notmerelyofthinkingbutofbeingintheworld.Aremarkablebook.”
—DavidNee,GrowthPhilanthropyNetwork,andformerexecutivedirector,WilliamCasparGrausteinMemorialFund
“Drawingonadeepwellofexperience,Strohmasterfullyweavesmetaphor,story,andpracticaltools,modelingforusalleffectivesystemsthinkinginaction.Readitandgetreadytotakeyourgameupanotch.”
—LindaBoothSweeney,authorofConnectedWisdomandcoauthoroftheTheSystemsThinkingPlaybook
“DavidPeterStrohhasbeenapioneerintheefforttobringprinciplesofsystemsintotheserviceofthosestrivingforconstructivesocialchange.(Itookacoursefromhimoverthirtyyearsago.)Manybookstellyouhowtoengageinsystemsthinkingbutnothowtoapplyit.Thisisaveryusefulexception.Peterdrawsonmanyyearsofprofessionalengagementwiththeimportantproblemsofoursociety.Ofcoursereadinghisbookwon’tletyoubanishallthoseproblems.But
itwillhelpyoufocusyoureffortwhereyoucanhavethebestimpact,anditwillshowyouhowtoenlistothersintheeffort.”
—DennisMeadows,coauthorofLimitstoGrowthandformerdirector,InstituteforPolicyandSocialScience
“Thephilanthropicsectorhasshiftedfroma‘charity’mindsettoafocusonchangingsystemstocreatesustainablechange.SystemsThinkingforSocialChangeofferspracticaltoolsforthoseseriousaboutimprovingcommunitiesandorganizations.Itdoesn’tminimizethecomplexity,butratherempowerssocial-changeagentswithtoolstounderstandthecomplexityandidentifytheleveragepoints.”
—TeresaBehrens,director,InstituteforFoundationandDonorLearning
“Ifthereisonlyonebookyoureadonsystemsthinking,itshouldbeSystemsThinkingforSocialChange.Ifyou’renewtosystemsthinking,Iconsiderthisamustread.Ifyou’vebeeninvolvedinsystemsthinkingforsometimeandwantarenewedandextendedperspective,Ihighlyrecommendit.Stroh’snewworkcoversalltherelevantareasappropriateforasolidintroductiontosystemsthinking,thoughitdoesn’tstopthere.Itmakesaseriouscontributionbydetailinganumberofreal-worldsituationsthathavebeeninvestigatedandimprovedusingtheapproachpresentedinthebook.AnditdoesverywellsomethingthatI’venotseendonebefore:itnotonlyshowshowtomapthecurrentsystem,butalsoshowshowtothencreatearevisedmapofhowthesystemisintendedtoworkinthefuture.Thisapproachendsupidentifyingwheremeasurementsshouldbemadeonanongoingbasistoascertainwhetherthesystemisundergoingtheintendedtransformation.”
—GeneBellinger,director,SystemsThinkingWorld,Inc.
“WiththisbookStrohhasproducedanessential—andlongoverdue—guidetoappliedsystemsthinking.Afewwell-selectedexamplesofinitiativesthatturnedfrom‘working’to‘transformative’laythefoundationforhowchangemakerscanaddresschronic,complexsocialproblemsanddeepentheirimpact.Afterhelpingthereaderrecognizewhatmightbeholdingtheirinterventionsback,thebookmoveswitheaseintowaysoffindingleverage,theuseofsystemsstories,andthepowerofvisioning.InStroh’scapablehands,systemsthinkingbecomesatoolfordefiningpersonalororganizationalpriorities,forplanning,andforevaluatingsuccessthroughmeasurableindicators.Butthebookismuchmorethanaformidabletoolboxfromwhichtodrawonadailybasis.Itis,atitsdeeperlevel,awarminvitationtocultivatesystemsthinkingas‘awayofbeing,notjust
doing,sothatonthewaytolong-lasting,desirableoutcomes,changemakerscanbecomemoreandmorethechangetheywanttosee.”
—MartaCeroni,executivedirector,DonellaMeadowsInstitute
“DavidStroh,inhisinvaluablenewbook,showsthatgoodintentionsarenotenoughforthosewhoaspiretomakelastingprogressonfundamentalsocialissues—andalsohowthelanguageandtoolsofsystemstheorycanprovideadeeperunderstandingoftherootcausesandhelpidentifytheleveragepointsforproductiveandsustainablechange.”
—RussellEisenstat,executivedirector,CenterforHigherAmbitionLeadership
“Overfifteenyearsago,DavidStrohwasinstrumentalinintroducingsystemsthinkingtothepeace-buildingfield,usingtoolsthathaveproventobepowerfulforimprovingtheeffectivenessofourwork.Thisbookisavaluableresourceforourfield—amustreadforallpractitionerswhohavebeenseekingpracticalandeasy-to-understandguidanceonusingsystemsthinkingforconflictanalysisandstrategicplanning.”—DianaChigas,professorofpractice,FletcherSchoolofLawandDiplomacyatTuftsUniversity,andco-
directorofcollaborativelearning,CDACollaborativeLearningProjects
“Strohhasofferedanimportantgeminhisnewbook,SystemsThinkingforSocialChange.Bothilluminatingandimmediatelyuseful,thebooksharesthekeydynamicsandsuccessfactorsgleanedfromhislongcareerofworkingwithorganizationsstrugglingwithsociety’smostpersistentissues.Amustreadforanyonewhoseaimistomakeadifferenceontheground.”—KristinaWile,co-president,LeverageNetworks,andmanagingpartner,SystemsThinkingCollaborative
“Thisisamustreadforpublicleadersandcitizenswhoareinterestedinthelearningdisciplinesrequiredforasustainable,proactiveapproachtopreservingoursharedresources.”
—GeorgiannaBishop,president,ThePublicSectorConsortium
“Forthosewhohaveworkedformanyyearsinthesocial-servicesectorandwhohavegrowncynicalordisillusionedastowhetheritisevenpossibletoeffectmajorsocialchange,DavidPeterStroh’sbook,SystemsThinkingforSocialChange,isamustread—aclear,thoughtful,andpracticalguideforthosedesiringtocreatelastingsocialchange.Butreaderbeware!Systemsthinkingismorethananewwayofthinking.AsStrohputsit,itisanewwayofbeing.Itrequirestheabilitytolookatthingsinanewway,tointeractwithothersdifferently,tohaveaclearvisionofwhereyouwanttogo,awillingnesstosee
thingsthewaytheyare,and,finally,thecouragetotakeresponsibilityforwhythesystemasisisn’tworking.Ifyouwanttohelpcreatelong-lasting,effectivesocialchange,ifyouwanttosay‘we’redoingit—we’reactuallymakingprogress,’thenreadthisbook.”
—AnneMiskey,executivedirector,FundersTogethertoEndHomelessness
“Asphilanthropicorganizationsincreasinglyseektostrengthentheirimpact,theperspectives,methods,andtoolsdescribedinStroh’sbookprovideuswithcriticalguidanceforthinkingandactiontoaddresscomplexsocialproblemsandforbuilding‘all-in’approachestoproblemsolving.Anyoneingovernment,nonprofits,orphilanthropycanbenefitfromthisapproachtosolutions.Andwhileitmighttakealifetimetomastertheuseofsystemsthinkingforsocialchange,reorientinghowwethinkaboutproblemsinthiswaycanimmediatelysetusonanewpathtowardsustainabilityandgreaterlikelihoodofsuccess.”
—LexiNolen,vicepresident,EpiscopalHealthFoundation
“Systemsthinkingquicklygetsveryabstractandtechnical,oftenunderplayingthesocialandstorytellingdimensions.ForalongtimeI’vebeenlookingforamorepractical,readable,andengagingintroductorybookformyclasses.Now,finally,hereitis!”—PerEspenStoknes,authorofWhatWeThinkAboutWhenWeTryNotToThinkAboutGlobalWarming
andseniorlectureratBINorwegianBusinessSchool
“Societalproblemsareaswirlofcauses,effects,interactions,andcontributingrelationships.Yet,toooften,simplisticanswersareappliedbythewell-intendedthatonlytouchononestrandofwhatis(inreality)acomplexandinterconnectedweb.Stroh’sworkprovidesanactionableguideonhowtomodeltheserelationships—andmoreimportantlyhowtohaveameaningfulandlastingimpactonthem.”
—JasonE.Glass,superintendentandchieflearner,EagleCountySchools
DedicatedtoMygrandfather,Dr.AlbertSondheimer,andmother,EvaSondheimerStroh,
Whoembodiedthecommitmenttorepairingtheworld
CONTENTS
INTRODUCTIONWhatYouWillLearnStructureoftheBook
PARTONE:SYSTEMSTHINKINGFORSOCIALCHANGECHAPTER1.WHYGOODINTENTIONSARENOTENOUGHDistinguishingConventionalfromSystemsThinkingRefiningtheDefinitionofSystemsThinkingClosingtheLoop
CHAPTER2.SYSTEMSTHINKINGINSIDE:ACATALYSTFORSOCIALCHANGEHowSystemsThinkingMeetsFourChallengesofChangeWhentoUseSystemsThinkingSystemsThinkingforCollectiveImpactClosingtheLoop
CHAPTER3.TELLINGSYSTEMSSTORIESStorytellingforSocialChangeShapingaSystemsStoryTheElementsofSystemsStructureClosingtheLoop
CHAPTER4.DECIPHERINGTHEPLOTSOFSYSTEMSSTORIESBasicPlotLinesThePlotsThickenTheStoriesBehindtheStoryClosingtheLoop
PARTTWO:THEFOUR-STAGECHANGEPROCESSCHAPTER5.ANOVERVIEWOFTHEFOUR-STAGECHANGEPROCESSConveningandThinkingSystemicallyTheFour-StageChangeProcessClosingtheLoop
CHAPTER6.BUILDINGAFOUNDATIONFORCHANGEEngageKeyStakeholdersEstablishCommonGroundBuildCollaborativeCapacityClosingtheLoop
CHAPTER7.FACINGCURRENTREALITY:BUILDINGUNDERSTANDINGTHROUGHSYSTEMSMAPPING
EstablishSystemsInterviewsOrganizeInformationDevelopaPreliminarySystemsAnalysisHowtoBalanceSimplicityandComplexityClosingtheLoop
CHAPTER8.FACINGCURRENTREALITY:BUILDINGSUPPORTBYBRINGINGTHESYSTEMTOLIFEEngagePeopleinDevelopingTheirOwnAnalysisSurfaceMentalModelsCreateCatalyticConversationsClosingtheLoop
CHAPTER9.MAKINGANEXPLICITCHOICEUnderstandPayoffstotheExistingSystemComparetheCaseforChangewiththeCasefortheStatusQuoCreateBoth/andSolutions—orMakeaTrade-OffMakeanExplicitChoiceWhatCanYouDoWhenPeopleAreStillNotAligned?ClosingtheLoop
CHAPTER10.BRIDGINGTHEGAPIdentifyHigh-LeverageInterventionsEstablishaProcessforContinuousLearningandOutreachHowtoIntegrateMultipleInterventionsClosingtheLoop
PARTTHREE:SHAPINGTHEFUTURECHAPTER11.SYSTEMSTHINKINGFORSTRATEGICPLANNINGTwoSystemicTheoriesofChangeOrganizingLeveragePointsIntegratingSuccessFactorsStreamliningChoicesHowtoRefineYourSystemicTheoryofChangeClosingtheLoop
CHAPTER12.SYSTEMSTHINKINGFOREVALUATIONGeneralSystemicGuidelinesTrackingSuccessAmplificationTrackingGoalAchievementClosingtheLoop
CHAPTER13.BECOMINGASYSTEMSTHINKERDevelopaSystemsOrientationLearnbyDoingAskSystemicQuestionsClosingtheLoop
ACKNOWLEDGMENTSAPPENDIXA.VICIOUSCYCLESOFCLIMATECHANGE
APPENDIXB.SAMPLEINTERVIEWQUESTIONSFORSPECIFICPROJECTSAPPENDIXC.MULTIPLE-ARCHETYPEDIAGRAMSAPPENDIXD.ADDITIONALRESOURCESNOTESABOUTTHEAUTHOR
INTRODUCTION
Whetheryouarecommittedtoendinghomelessness,strengtheningeducation,improvingpublichealth,reducingtheproblemsofpoverty,developingenvironmentalsustainability,orhelpingpeoplelivebetterlivesinotherways,youmighthavenoticedthattheorganizationsandsystemsyouwanttochangehavealifeoftheirown.Inotherwords,youdothingstotrytoimprovethemandtheyessentiallycontinuetooperateasifyourinputmakesnodifference.Organizationsandsocialsystemsdoinfacthavealifeoftheirown.Assomeonecommittedtoachievingsustainable,breakthroughsocialchange,
ithelpstounderstandtheseforcessothatyoucanconsciouslyworkwiththeminsteadofunconsciouslyworkingagainstthem.Youmightbeworkinginafoundationornonprofit,governmentagencyorlegislature,departmentofcorporatesocialresponsibility,orasaconsultanttopeopleintheseroles.Inanerawhengrowingincomeinequalityandclimatechangeincreasethevulnerabilityofmanyandreducethesustainabilityofall,youmightfeelcalledtodomoretohealtheworld.Youmightalsobechallengedtoachievemorewithless—lesstime,attention,andmoneythanyouhadbefore.
Thebookisbasedonasimplepremise:Applyingsystemsthinkingprinciplesandtoolsenablesyoutoachievebetterresultswithfewerresourcesinmorelastingways.Systemsthinkingworksbecauseit:
•Increasesyourawarenessofhowyoumightunwittinglybecontributingtotheveryproblemsyouwanttosolve.•Empowersyoutobeginfromwhereyoucanhavethegreatestimpactonothers,byreflectingonandshiftingyourownintentions,thinking,andactions.•Mobilizesdiversestakeholderstotakeactionsthatincreasetheeffectivenessofthewholesystemovertimeinsteadofmeetingtheirimmediateself-interests.•Helpsyouandothersanticipateandavoidthenegativelonger-termconsequencesofwell-intentionedsolutions.
•Identifieshigh-leverageinterventionsthatfocuslimitedresourcesformaximum,lasting,systemwideimprovement.•Motivatesandsupportscontinuouslearning.
Morespecifically,ifyouarethedirectororprogramofficerinafoundation,learningtothinksystemicallywillhelpyoubemoreeffectiveinyourrolesasconvener,grantmaker,andeducator/advocate.Youwillbecomeabetterconvenerby:
•Enablingdiversestakeholderstoseethebigpicture.•Catalyzingconversationsofaccountabilityamongstakeholderssothateachbecomesawareofhowtheyunwittinglycontributetotheveryproblemtheywanttosolve.•Mobilizingpeopletooptimizethewholesysteminsteadofjusttheirpartofit.
Youcanincreaseyoureffectivenessasafunderbyusingsystemsthinkingto:
•Uncoverrootcausesofchronic,complexproblems.•Identifyhigh-leverageinterventions.•Strengthenyourcommitmenttoinvestforthelongtermandyourabilitytoevaluateimpactovertime.
Youcanbecomeamoreeffectiveeducatorandadvocatebyusingsystemsthinkingto:
•Informpolicymakersandthepublicabouttheshort-versuslong-termconsequencesofproposedsolutions.•Reducepeople’saddictionstoquickfixesthatarelikelytoonlymakemattersworseinthelongrun.•Championearlysmallsuccessesthatalsosupportpeople’shigherandlonger-termaspirations.
Ifyouareanonprofitorgovernmentagencythatdependsonoutsidefunding,youcanusesystemsthinkingto:
•Deepenyourunderstandingoftheproblemsyouwanttosolve.•Engagepeopleinthecommunitiesyouservemoreeffectively.
•Distillyourinsightsintovisualsystemsmapsthat“areworthathousandwords.”•Identifystrategicinterventionsthatbestleveragelimitedresources.•Writemorepowerfulgrantrequeststhatincorporatealloftheabove.
Asalegislatororpolicymaker,youcanusesystemsthinkingto:
•Thinkmoreclearlyaboutwhysocialproblemspersistdespiteyourbesteffortstosolvethem.•Anticipateandavoidlong-termnegativeunintendedconsequencesofproposedsolutions.•Identifyhigh-leverageinterventionsthatmakethemostofpublictaxdollars.•Powerfullycommunicatethebenefitsofproposedlegislationandpolicytoyourconstituentsbasedonalloftheabove.
Youcanusesystemsthinkingasacorporatesocialresponsibilitymanagertodevelopmoreeffectivepartnershipswithkeyexternalstakeholdergroupsinboththenonprofitandpublicsectors.Itcanhelpyou:
•Seethebigpicturemoreclearly.•Uncoverandowntheunintendednegativeconsequencesofyourownactions.•Workwithexternalstakeholderstodevelopsolutionsthataremorelikelytobenefitallpartiesovertime.
Ifyouareaprofessionalinthesystemsthinkingcommunitywhoiscommittedtosocialchange,youcanlearnhowtointegratethetoolsofsystemsthinkingintoaprovenchangemanagementprocess.
Ifyouareanorganizationalorcommunitydevelopmentconsultant,youcanusesystemsthinkingtoincreasepeople’smotivationstochange,facilitatecollaborationacrossdiversestakeholders,identifyhigh-leverageinterventions,andinspireacommitmenttocontinuouslearning.
WhatYouWillLearn
SystemsThinkingforSocialChangehelpsyouachievethesebenefitsbyunderstandingwhatsystemsthinkingisandhowitcanempoweryourwork.Itwillalsohelpyouappreciatethebasicprinciplesandtoolsofsystemsthinking,andlearnhowtoapplyittoproblemsolving,decisionmaking,andstrategicplanningwithoutbecomingatechnicalexpert.
Morespecifically,youwilllearnto:
Usesystemsthinkinginsteadofmoreconventionallinearthinkingtoaddresschronic,complexsocialproblems.Einsteinobserved,“Thesignificantproblemswefacecannotbesolvedwiththesamelevelofthinkingwewereatwhenwecreatedthem.”Systemsthinkingismoreappropriatethanconventionalthinkingtosolvechronic,complexsocialproblems.Bycontrast,youcanunwittinglyperpetuatesuchproblemsbythinkingconventionallyabouthowtosolvethem.
Applysystemsthinkingasbothasetofprinciplesandaparticulargroupofanalytictools.ThetoolsinSystemsThinkingforSocialChange—whichincludetheiceberg,thecausalloopdiagrammingandsystemsarchetypespopularizedbyPeterSenge,andtheBathtubAnalogy—haveprovenhighlyeffectiveinshiftinghowpeopleaddresssocialproblems.1Whilemanyotheranalytictoolsexist,2thisbookdemonstrateswhythesespecifictoolsareespeciallyhelpfulinenablingadiversegroupofstakeholdersto,inthewordsofexecutiveconsultantRamCharan,“cutthroughcomplexitytotheheartofthematter,withoutbeingsuperficial.”3
Integratesystemsthinkingintoaprovenfour-stagechangemanagementprocess.Therearemanychangeprocessesthatseektoaligndiversestakeholderswithouthelpingpeopleunderstandhowtheirthinkingandsubsequentbehaviorunintentionallyunderminestheirownperformance,theperformanceofothersinthesystem,andthesystem’seffectivenessasawhole.Inotherwords,theyoftenestablishcommongroundaroundasharedaspirationyetfailtohelppeopledevelopajointunderstandingofnotonlywhathasbeenhappeningbutalsowhy.Insearchingforrootcauses,peopletypicallyassumethattheyaredoingthebesttheycanandthatsomeoneelseistoblame—
insteadofrecognizing,inthewordsofleadershipexpertBillTorbert,that“ifyouarenotawareofhowyouarepartoftheproblem,youcan’tbepartofthesolution.”Bycontrast,systemsthinkingenablespeopletoidentifyhigh-leverageinterventionsbasedondeepinsightsintorootcausesthatincorporatetheirownthinkingandbehavior.Thisbookrevealsafour-stagechangemanagementprocess,groundedin
systemsthinking,thatmylongtimecolleagueMichaelGoodmanofInnovationAssociatesOrganizationalLearningandIhavebeenworkingwithformorethanfifteenyears.Italsodiscusseshowyoucanbuildsystemsthinkingintootherchangeprocesses.Manynewprocesseshaveemergedinrecentyearstoengagediversestakeholdersasawayofmanagingcomplexityandsharingresources.4Fromasystemsthinkingperspective,thekeyistohelpparticipantscultivateadeepawarenessofcurrentrealityassomethingtheyhavecreatedinsteadofassomethingthatexistsoutsideofandindependentofthem.
Catalyzeanexplicitchoicebetweenthepurposepeoplesaytheywanttoaccomplishandthebenefitstheyareachievingrightnow.Systemsareperfectlydesignedtoachievetheresultstheyarecurrentlyachieving.5Inotherwords,nomatterhowdysfunctionalasystemappearstobe,itisproducingbenefitsforthepeoplewhoparticipateinit.Apivotalinterventionyouwilllearninthischangeprocessistohelppeoplecomparethebenefitsofchangewiththebenefitsofthestatusquo—andthenhelpthemmakeaconsciouschoicebetweenthepayoffstheyarenowgettingandtheespousedpurposetheysaytheywantthesystemtoaccomplish.Thisinvolvesdeepeningpeople’sconnectionswithwhattheycareaboutmostandsupportingthemtoletgoofcurrentpayoffsthatdonotservetheirhighestaspirations.
Applysystemsthinkingprospectivelyaswellasretrospectively.Thebookhighlightstheapplicationofsystemsthinkingretrospectivelytohelppeopledevelopbettersolutionstochronic,complexsocialproblemsbyfirstdeepeningtheirunderstandingofwhytheyhavebeenunsuccessfulsofardespitetheirbestefforts.Emphasizingtheretrospectiveapplicationofsystemsthinkingissoimportantbecausepeopletendtocreatemoreproblemsbyfailingtofirstfullyappreciatetheproblemtheyaretryingtosolve.
Atthesametime,thebookalsoshowsyouhowtousethetoolsprospectivelyforstrategicplanningandassessment.Youwilllearntointegrateleveragepointsintoasystemictheoryofchange,designnewsystemswherethereisnoprecedent,organizeyourpriorities,andestablishanevaluationmethodgroundedinsystemsprinciples.
Cultivatesystemsthinkingasawayofbeing—notjustasawayofthinking.Becausesystemsthinkingchallengespeopletotakemoreresponsibilityfortheiractionsandmakehardchoices,itisframedinthisbookasmorethanawayofthinking.Thebookdescribeshowtheapproachaffectspeoplenotonlycognitivelybutalsoemotionally,spiritually,andbehaviorally.Asyoubuildyourcapacitytothinksystemically,youwilldiscoverthatthetoolsbothenableandrequireyoutodevelopanewwayofbeing,notjustdoing—asetofcharactertraitstocultivate(suchascuriosity,compassion,andcourage)thatcomplementanddeepenyournewskills.
TheconceptswillbetiedcloselytoexperiencesmycolleaguesandIhavehadinapplyingsystemsthinkingtosocialchangeinitiatives.Someofthestoriesyouwillreadaboutaddress:
•Aligningacommunityofahundredthousandpeoplearoundaten-yearplantoendhomelessness.•Designingamoreeffectivestatewideearly-childhooddevelopmentandeducationsystem.•Improvingthequalityofenvironmentalpublichealthinstates,counties,andcitiesaroundtheUnitedStates.•Reformingthecriminaljusticesystemwithparticularattentiontoreducingrecidivismamongpeoplerecentlyreleasedfromprison.•ImprovingrelationshipsbetweentwoagenciesresponsibleforimprovingK–12educationintheirstate.•Increasingpeople’sfitnessandconsumptionofhealthylocalfoodinaruralregion.
StructureoftheBook
Thebookisorganizedintothreeparts.Part1introducessystemsthinkingwithinthecontextofsocialchangeandincludesfourchapters.Chapter1explainswhypeople’sbestintentionstosolvechronicsocialproblemsoftenfailtodeliverexpectedresults,definessystemandsystemsthinking,anddistinguishessystemsthinkingfromconventionalthinking.Chapter2explainswhysystemsthinkingiseffectiveinmeetingfourchallengesofmanagingchange,identifiessixindicatorsthathelpyoudeterminewhenapplyingsystemsthinkingislikelytobemostuseful,anddescribesinparticularhowitcancontributetothepioneeringcross-sectorcoordinationprocessknownasCollectiveImpact.
Chapter3introducesthemetaphorofsystemsthinkingasstorytelling.Itdistinguishestwotypesofstories:amorecommononethattendstoperpetuatethestatusquo,andasystemiconethatstimulatesproductivechange.Thischapteralsoexplainsthepoweroflanguagetocreatestoriesandsummarizesthebasicelementsforformulatingasystemsstory.Chapter4deepensthismetaphorbyilluminatingbasicstorylinesandrichersystemicpatternsorplotsthatunderlieadiversesetofsocialissues.Ifyouarealreadyfamiliarwithsystemsthinking,youmightwanttopayparticularattentiontothewaysinwhichsystemsthinkingmobilizeschange(chapter2)andskimthenexttwochaptersfortheirmanysocialandenvironmentalexamples.
Part2describesthefour-stagechangeprocess.Chapter5introducesthisfour-stageprocessas:
1.Buildingafoundationforchange.2.Seeingcurrentrealitymoreclearly.3.Makinganexplicitchoiceaboutwhatismostimportant.4.Bridgingthegapbetweenpeople’saspirationsandcurrentstate.
Chapter6describeshowtobuildafoundationforchangebyidentifyingandengagingkeystakeholders,establishingcommonground,anddevelopingcollaborativecapacity.Itaddressessuchchallengesasworkingwithstakeholderswhoaremotivatedbyimmediateself-interestsaswellashigheraspirations,focusingtheireffortsaroundwhatcanseemlikeaboundlesschallenge,andbuildingrelationalskillsthatenablepeopletobecomeresponsibleparticipantsinacomplexworld.
Chapter7explainshowstakeholderscantakeadeepdiveintocurrentrealityearlyinthechangeprocess—andalsowhythisstepiscritical.Often,peoplebeginasocialchangeprocesswithsimilaraspirationsfortheoutcomebuthaveverydifferentperceptionsofwhattherealdifficultyisandwhatshouldbedonetosolveit.Theydon’tappreciatehowtheirownintentions,beliefs,andbehavioraffecttheperformanceofothersaswellastheirown.Failingtoseethebigpicture,theyaremorelikelytoproposefamiliarsolutionsthatriskperpetuatingtheveryproblemtheyhavebeentryingtosolve.Inothercases,peoplemightfeeloverwhelmedbythecomplexityofthebigpictureandquestioniftheycandoanythingdifferently.Thechapterhelpsreadersassesscurrentrealitybyrecommendinghowtogatherandorganizeinformationforasystemsanalysis;presentingtheresultsofsystemsanalysesfromseveralsocialchangeinitiatives;andshowinghowtocreatesystemsanalysesthatarecomprehensiveenoughtocovermanycriticalfactorsandviewpoints,yetsimpleenoughtocommunicateandactupon.
Chapter8addresseshowtobuildsupportfortheoutcomeofasystemsanalysis.Helpingstakeholdersacceptnewinsightsaboutthesystemwarrantsaseparatechapterbecausethelanguageofsystemsthinkingisoftenunfamiliarandthemessageofshiftingfromblametoresponsibilitycanbedifficulttoembrace.Thechapterdescribesthreewaystomeetthesechallenges:engagingpeopletodeveloptheirownanalysisasmuchaspossible;surfacingthementalmodelsthatinfluencehowpeoplebehave;andcreatingcatalyticconversationsthatstimulateawareness,acceptance,andalternatives.
Chapter9guidesstakeholderstomakeaninformedandexplicitchoiceaboutthepurposetheywantthesystemtoaccomplish.Sinceasystemisalwaysdesignedtoachievesomething,nomatterhowdysfunctionalitseems,apivotalinterventionistohelppeopledistinguish,andwherenecessarychoose,betweenwhatthesystemisaccomplishingrightnowandwhattheyaspiretoaccomplish.Thechapterprovidesawaytohelppeoplecomparethecaseforchange(inlinewithwhattheydeeplywant)withthecaseforthestatusquo(theoftenhiddenbenefitspeoplegetfromparticipatinginthesystemasitbehavesnow).Becausethereareusuallytrade-offsbetweencurrentbenefitsandpeople’shigheraspirations,theprocesssupportsstakeholderstomakeanexplicitchoicebased
onwhattheycareaboutmostdeeply,feelmostdrawntoachieve,andarewillingtoletgooftoachievewhatisevenmoreimportanttothem.Atthispointsharedvisioningtakesonmoremeaning,sincepeoplealsoacknowledgethesacrificesthatrealizingthevisionentails.Theybecomemorewillingtooptimizethewholesysteminsteadofcontinuingtooptimizejusttheirpart.
Chapter10helpspeoplebridgethegapbetweencurrentrealityandtheirconsciouslychosendirection.Itinvolvesidentifyingleveragepointsandestablishingaprocessofcontinuouslearningandoutreach.Thechapterdescribesfourgenericleveragepoints:increasingpeople’sawarenessoftheiroftennon-obviousinterdependencies;“rewiring”keycause–effectrelationships;shiftingunderlyingbeliefsandassumptions;andaligningthechosenpurposewithupdatedgoals,metrics,incentives,authoritystructures,andfundingstreams.Italsoshowshowtoextendtheprocessbeguninthepreviousfourstagesthroughlearningfromexperience,expandingtheresourcepool,andscalingupwhatworks.
Part3describesthreewaysyoucanusesystemsthinkingtoshapethefuture.Chapter11addresseshowtoapplysystemsthinkingtostrategicplanning.Itexplainstheadvantagesofsystemicoverlineartheoriesofchange;introducestwocoresystemictheoriesofchange;andshowshowthesetheoriescanbeusedintegrateleveragepoints,criticalsuccessfactors,anddisparateprioritiestodevelopcoherentandnavigablestrategiesovertime.Chapter12answersthequestionfrequentlyposedbyprivateandpublicfundersabouthowsystemsthinkingcancontributetoevaluation.Thechapterprovidesbroadguidelinesforconductingsystemicevaluationsandspecificrecommendationsforvalidatingexplicitsystemictheoriesofchange.
Finally,chapter13providesguidelinesfordevelopingyourabilityasasystemsthinkerovertime.Itoffersthreewaysforward:cultivatinganorientationthatintegratesthecognitive,emotional,behavioral,andspiritualdimensionsofthesystemsapproach;learningbydoing;andaskingsystemicquestions.
Insummary,thebookprovidesyouwithmanywaystothinkandactmoreproductively,usingmethodsthathavebeentestedoverdecadeswithclientsfacingawiderangeofseeminglyintractablesocialproblems.Thetacticsinthe
pagesaheadcanhelpevenhighlyskilledchangemakersgetclosertotheirgoalsanddevelopsomecruciallifelongproblem-solvingtraits.
Forseveralyears,ItaughtinanationalprogramthatintroducedsystemsthinkingapproachestofellowsintheCentersforDiseaseControl’sEnvironmentalPublicHealthLeadershipInstitute.Areportconductedontheprogramindicatedthatfellowslearnedto:
•Thinkthroughdifficultissues.•Understandwhattheydonotknowandhowtolearnit.•Askgreatquestions.•Engageothersmoreeffectivelybyseeingrealityfromtheirperspective.•Applyaproblem-solvingapproachthatisbothflexibleandconcrete.•Seeabiggerpicturethatclarifiesconnectionsamongmanyfactorsandidentifiesrootcausesofcomplexproblems.•Focusonwhatismostimportant.•Worktowarddeepsystemschangebytransformingtheunderlyingassumptionsandpoliciesthatgovernexistingprocessesandprocedures.
Theseresultsrepresentthepromiseofsystemsthinkingforsocialchangeandtheopportunitiesavailabletoyouasyoureadon.
PARTONE
SYSTEMSTHINKINGFORSOCIALCHANGE
—CHAPTER1—
WhyGoodIntentionsAreNotEnough
Considerthefollowingheadlines,whichareallbasedontruestories:
HOMELESSSHELTERSPERPETUATEHOMELESSNESS
DRUGBUSTSINCREASEDRUG-RELATEDCRIME
FOODAIDINCREASESSTARVATION
“GET-TOUGH”PRISONSENTENCESFAILTOREDUCETHEFEAROFVIOLENTCRIME
JOBTRAININGPROGRAMSINCREASEUNEMPLOYMENT
Whatisgoingonhere?Whydoseeminglywell-intentionedpoliciesproducetheoppositeofwhattheyaresupposedtoaccomplish?
Ifyoulookcloselyatthesesolutionsandmanyotherstoriesoffailedsocialpolicies,theyhavesimilarcharacteristics.They:
•Addresssymptomsratherthanunderlyingproblems.
•Seemobviousandoftensucceedintheshortrun.•Achieveshort-termgainsthatareunderminedbylonger-termimpacts.•Producenegativeconsequencesthatareunintentional.•Leadustoassumethatwearenotresponsiblefortheproblem’srecurrence.
Forexample,get-toughprisonsentencesdonotaddressthesocioeconomiccausesofmostinner-citycrime.Althoughtheperpetratorsgotoprisonandposelessofanimmediatethreat,95percentofthemareeventuallyreleasedbackintosociety—hardenedbytheirexperienceandillpreparedtoreentertheircommunitiesproductively.Nearlyhalfofthosereleasedfromprisonareimprisonedagainwithinthefirstthreeyearsforcommittingarepeatoffense.1
Moreover,thecurrentsystemfurtherweakenstheinfrastructureofthesecommunitiesbecauseitincarceratesfathersandmotherswhocannolongerbringuptheirchildren—therebycreatingmoreinstabilityandincreasingthelikelihoodofproducinganewgenerationofpeoplewhocommitcrimes.Thesystemalsoredirectsvaluablepublicfundsawayfromthesocioeconomicandcriminaljusticereformsthatcouldreducecrimepermanently.Finally,ifaformerlyincarceratedpersoncommitsanothercrime,heorsheissentbacktoprisonwithoutconsideringhowget-toughpoliciesmighthavecontributedtotherecidivism.
LewisThomas,theaward-winningmedicalessayist,observed,“Whenyouareconfrontedbyanycomplexsocialsystem...withthingsaboutitthatyou’redissatisfiedwithandanxioustofix,youcannotjuststepinandsetaboutfixingwithmuchhopeofhelping.Thisisoneofthesorediscouragementsofourtime.”2Hewentontosay,“Ifyouwanttofixsomethingyouarefirstobligedtounderstand...thewholesystem.”
DistinguishingConventionalfromSystemsThinkingWhatdoesitmeantounderstandthewholesystem?First,itmeansappreciatingasituationyouwanttochangethroughasystemicinsteadofaconventionallens.Ifyouthinkthatasystemslensistoosophisticatedandbeyondmostpeople’sreach,letmeassureyouthatitischild’splay.
Ifyouareaparent,rememberwhenyourchildrenwereyoung,andyoupickedupafterthem.Yourchildrenwouldlettheirclothespileuponthefloorandmoveontosomethingmoreinteresting.Eventually,afternumerousfailedattemptstohavethemputtheirclothesinthelaundry,youwouldgiveupandputthemthereyourself.Whenyourchildrenwouldcomeback,theclotheshaddisappeared—asifbymagic.“Thatworked!”theyconcluded.Nonlinearcauseandeffect,timedelay,success(fromtheirpointofview,notnecessarilyyours)—theseareallsignsofahighlycompetentsystemsthinker.
Conventionalorlinearthinkingworksforsimpleproblems,suchaswhenIcutmyhandandputonaBand-Aidtohelpthecutheal.Itisalsothebasisforhowmostofusweretaughtinschoolandstilltendtothink—dividetheworldintospecificdisciplinesandproblemsintotheircomponentsundertheassumptionthatwecanbestaddressthewholebyfocusingonandoptimizingtheparts.
However,conventionalthinkingisnotsuitedtoaddressthecomplex,chronicsocialandenvironmentalproblemsyouwanttosolve.Theseproblemsrequiresystemsthinking,whichdiffersfromconventionalthinkinginseveralimportantways,astable1.1shows.
Forexample,iftheproblemishomelessness,thenthesolutionisnotsimplyprovidingshelter.Providingtemporaryshelterisinsufficientsincepeopletendtocyclethroughshelters,thestreet,emergencyrooms,andjails.Moreover,itistooeasytoconcludethatwhenpeopleremainhomeless,theydonotwanttheirownplacetolive,wheninfactmanywantthesecuritythatcomeswithpermanenthousing.Inaddition,fundingshelterstendstoundermineboththepoliticalwillandfinancialresourcesrequiredtoendhomelessness.
TABLE1.1.CONVENTIONALVERSUSSYSTEMSTHINKING
Endinghomelessnessrequiresacomplex,long-termresponseinvolvingaffordablepermanenthousing,supportservicesforthechronicallyhomeless,andeconomicdevelopment.Thismeansestablishingnewrelationshipsamongthevariousproviderswhopreventhomelessness,thosewhohelppeoplecopewithbeinghomeless,andthosewhodevelopthepermanenthousingwithsupportservicesandjobsthatenablepeopletoendhomelessness.Aligningprovidersalongthiscontinuumofcaretowardagoalofaffordablepermanenthousingwithsupportservicesincreaseseveryone’sabilitytosolvetheproblem.
Theprinciplethatsolutionsthatworkintheshortrunoftenhavenegativelong-termeffects,aphenomenonknownasbetter-before-worsebehavior,hassignificantimplicationsforfundersandpolicymakers.Itraiseswhatfoundationscallthephilanthropicchallenge—thetaskofdetermininghowtofixaproblemnowversushelppeopleovertime.Italsochallengespublicpolicymakersandbusinessleaderstoeducatetheirconstituents(suchasprivatecitizensandfinancialinvestors)abouttherisksofalleviatingshort-termpressuresandfears
withoutunderstandingthepotentialnegativeconsequencesofexpedientsolutions.Inaworldthatpromotesinstantgratification,itcanbedifficulttoremindpeoplethat“thereisnosuchthingasafreelunch.”
Thiscontrastingprincipleisknowninsystemstermsasworse-before-betterbehavior.Thismeansthatlong-termsuccessoftenrequiresshort-terminvestmentorsacrifice.Ifyouwanttomotivatepeopletoworktowardlong-termsuccess,thenyouasaleadermustactinaccordancewithyourownhighest,long-termaspirations.Theprinciplechallengesleadersto:
•Resistquickfixesthatactuallyunderminelong-termeffectiveness.•Setrealisticexpectationswiththepeopletheyserve.•Targetshort-termsuccessesthatdeliberatelysupportlong-termresultsandprovidepeoplewithtruehopeinsteadoffalsepromises.
RefiningtheDefinitionofSystemsThinkingAnotherusefuldistinctiontointroducehereisthedifferencebetweenasystemandsystemsthinking.Theaward-winningsystemsthinkerDonellaMeadowsdefinedasystemas“aninterconnectedsetofelementsthatiscoherentlyorganizedinawaythatachievessomething[italicsmine].”3Meadows’sdefinitionpointstothefactthatsystemsachieveapurpose—whichiswhytheyarestableandsodifficulttochange.However,thispurposeisoftennottheonewewantthesystemtoachieve.
Buildingonherdefinition,Idefinesystemsthinkingastheabilitytounderstandtheseinterconnectionsinsuchawayastoachieveadesiredpurpose.Oneofthebenefitsofsystemsthinkingisthatithelpspeopleunderstandthepurposethatasystemisaccomplishing.Thispromptsthemtoreflectonthedifferencebetweenwhattheysaytheywant(theirespousedpurpose)andwhattheyareactuallyproducing(theircurrentpurpose).Reconcilingthedifferencebetweenthesetwoisthesubjectofchapter9.
Asareaderyoumayhavecomeacrossdifferentschoolsofsystemsthinking,suchasgeneralsystemstheory,4complexitytheory,systemdynamics,humansystemdynamics,andlivingsystemstheory.Itishelpfultorecognizethat,whilealltheseschoolstendtoagreeonmostofthesystemsprinciplesdescribedin
table1.1,theydifferinthemethodologiesusedtobothanalyzeasystemandidentifywaystoimproveit.
Thisbookisprimarilybasedontheconceptofcausalfeedbackloopsinsystems,andusesthecausalfeedbackloopdiagrammingtoolsfirstpopularizedinPeterSenge’smanagementclassicsTheFifthDisciplineandTheFifthDisciplineFieldbook.5Thesetoolscanbeintegratedwithotherkindsofsystemsanalysis,suchassystemdynamicsandsoftsystemsmethodology.
Iemphasizethefeedbacktoolsforseveralreasons.Asaco-founderwithCharlieKiefer,PeterSenge,andRobertFritzofInnovationAssociates,theconsultingfirmthatpioneeredmanyoftheideasreferredtoinPeter’sbook,Ihavethirty-fiveyearsofexperienceinworkingwiththesetools.Ihavealsoseenhowpowerfultheycanbeinachievingsustainable,breakthroughchangeinthenonprofit,public,andprivatesectors—aswellasincommunitiesthatengageleadersfromallthreesectors.Moreover,thetoolsarebroadlyrecognized(asevidencedbythepopularityoftheworkthatPeterandmanyothersamongourcolleagueshavedone)andreadilyunderstoodbyawiderangeofpeople.
Byintroducingsystemsthinkingas“theFifthDiscipline”ofcreatingalearningorganization,PeterSengeembeddedwhatmightotherwisebeapurelytechnicalandcognitivesetoftoolsintoabroadercontext.Thiscontextembracesmultipledimensions:
•Spiritual:Theabilitytoseeandarticulatewhatwillbenefitdiversepeopleovertime.•Emotional:Theabilitytomasterouremotionsinserviceofahigherpurpose.•Physical:Theabilitytobringpeopletogetherandenablethemtocollaborate.•Mental:Theabilitytorecognizehowourindividualandcollectivethinkingaffectstheresultswewant.
Thislastpointillustratesanothercriticalbenefitofthismethodology,whichisitsemphasisonresponsibilityandempowerment.Everyday,wecanlookaroundandseeunintendedconsequencesarisingfromwhatseemedatonetimetobebest-laidplans.Undoubtedly,whoevercastthoseplanshadthebestof
intentions.Ajudgeincarceratingparentafterparentmighthavethoughthewasprotectingcitizens,butmaynothavefullyunderstoodhewasalsoexacerbatingproblemsforthechildrenleftbehind,andperpetuatingcriminalbehaviorovertime.Thedirectorofasheltermighthavethoughtthatshewasprotectinghomelesspeoplefromtheelements,butmaynothavefullyunderstoodthatsheltersdivertcriticalresourcesfromtheevenmorehumaneandsustainablesolutionofpermanentsupportivehousing.
Inotherwords,burdensareshifted,unexpectedresultssurface,andahostofothersystemsissuesarisefromgoodintentions.Foranycomplexproblemtobesolved,theindividualplayersallneedtorecognizehowtheyunwittinglycontributetoit.Oncetheyunderstandtheirownresponsibilityforaproblem,theycanbeginbychangingthepartofthesystemoverwhichtheyhavethegreatestcontrol:themselves.Aswe’llseeinthepagesahead,thegreatestopportunitiesforlastingchangearisewhenalltheplayersreflectonandshifttheirownintentions,assumptions,andbehavior.
ClosingtheLoop•People’sgoodintentionstoimprovesocialsystemsareoftenunderminedwhentheyapplyconventionalthinkingtochronic,complexsocialproblems.•Systemsthinkingisdifferentfromconventionalthinkinginseveralimportantways.•Asocialsystemisalwaysdesignedtoachieveapurpose,althoughitmightnotbethepurposepeoplesaytheywantittoaccomplish.•Thespecificapproachtoanalyzingacomplexsocialsystemthatisusedinthisbookhasmanyimportantbenefits,anditcanalsobeusedtocomplementotheranalyticmethods.
—CHAPTER2—
SystemsThinkingInside:ACatalystforSocialChange
Inthesummerof2011agroupofleadersrepresentingtheIowaDepartmentofEducation(IDE)andthestate’sregionalAreaEducationAgencies(AEAs)mettoimprovehowtheyworkedtogether.ThetwoorganizationshadhistoricallybeenfundedseparatelyandoperatedindependentlyeventhoughbothwereresponsibleforthequalityofK–12educationinthestate.Butnewchallengeshadarisen:Budgetconstraintshadamplified,andtestscoreshadfailedtokeeppacewithincreasesinthenationalaverage.Iowa’skidsneededabetter,moreintegratedsupportstructure,andthisdemandedthatthetwoorganizationspartnermoreclosely.Otherstatesfacesimilarchallenges:risingeducationalexpectations,tighterbudgets,andtensionsbetweenacentralorganizationthatpromotesstandardizedsystemsanddistrictsthatwanttopursueinnovationstailoredtotheirimmediateconstituents.
Forgingapartnershipisnoteasy,asdemonstratedbythemanyexamplesoffailedmergersinallsectors.However,inthecaseofIowaeducation,thenewpartnershipCollaboratingforIowa’sKidshasbeenhighlysuccessful.Bothorganizationsarenowoperatingwithasharedpurpose,vision,andsetofvalues;supportingajointlydevelopedtheoryofsuccess;workingtowardcommongoals;meetingmonthlyalongwithlocalschooldistricts;reviewingsharedmetrics;andachievingmeaningfulresults.Sincetheprogrambeganfouryearsago,ithasexpandedtoinclude80–100participants.Anoversightgroupkeepsstrategiesandinitiativesconnectedandassuresthatnewinitiativesaretruly
collaborative.WorkgroupsincludingIDE,AEA,andlocalschooldistrictmembersdeveloppriorityinitiatives.Thelargergroupoperatesasalearningcommunity:reviewingdata,addressingunintendedconsequencesofimplementationactions,suggestingwaysthatimplementationcanbestrengthened,andreviewingplansofworkgroups.Anearlyliteracyinitiativehaspilotdistrictsthroughoutthestateusingcomprehensiveapproachesthatincludeprofessionaldevelopment,protocolsthatserveasguidesforstudents,schoolteamsplanningandmonitoringimplementationwithAEApartners,assessmentplans,coachesforK–3teachers,anddatacollectionandanalysis.
Whatenabledthispartnershiptodevelopwhensomanyothersfallshortofexpectations?Whiletherearemanyreasons,atleasttworelatetohowthetwogroupswereinitiallybroughttogether.Earlyon,theleadersofbothorganizationsbeganworkingwithKathleenZurcher,anexperiencedconsultantwhocontinuestosupporttheproject,todefinetheirsharedaspiration—whichisoneanchorofasystemsapproach.ThentheleadersappliedsystemsthinkingwithmetodeepentheirunderstandingofwhyitmightbedifficulttocollaboratedespitetheirsharedintentionstoimprovethelivesofIowa’skids.
Enablingthemtodevelopthisinsightwasfacilitatedbythefactthatmanychronic,complexproblemscanbeviewedthroughthelensofsystemsarchetypes—patternsofbehaviorthataresocommonwithinorganizations,theyhavepredictableconsequencesandwell-understoodsolutions.ThearchetypeplayingoutfortheseIowagroupswasclear:AccidentalAdversaries.Whileeachgrouphadbeenconceivedaspartofanoverallsystemwhoseactionswouldbenefitall,eachgrouphadcometofocusonitsindividualresponsibilitiesandsuccess.Intheprocesseachmadelifeharderfortheother,limitingthesuccessofbothgroupsandthesystemasawhole.Forinstance,theIDEhadintroducedmanynewprogramstoachieveitsgoalofprovidingguidanceandgovernancetothestateeducationsystem.However,theseprogramshaddisruptedtheAEAs’abilitiestomanagetheirownresources,whichledtheminturntoeithercustomizeordisengagefromtheIDEinitiatives,therebymakingIDE’sworkmoredifficult.
ThestoryofAccidentalAdversariesresonatedwithbothparties.Itmotivatedthemtohavenewconversationsabouthowtheycouldworkasaunifiedsystem
tomaximizethebenefitsoftheirpartnershipandavoidtheunintentionalproblemstheyhadcreatedforeachother.ThepartiesagreedthattheroleoftheIDEwastosetdirectionandlead,andtheroleoftheAEAswastoimplement.Asaresult,IDEmovedfromblamingAEAsforoperatingindependentlytoworkingwiththemtomeetregionalneedswithinthestatewidecontext,andAEAsworkedtoadjusttheirindividualinitiativestofitwithinthestatewidedirectionandplans.Theyalsoagreedthatthelocalschooldistricts(formallyknownasLocalEducationAgenciesorLEAs)wereintegralandneededtobeincludedinthesystemwidealignmentwork.Andfinally,theycommittedtofocusingtheireffortsandresourcesonselectedpriorities—beginningwiththeearlyliteracyinitiative.
MarkDraper,thedirectorofspecialeducationfortheGreenHillsAEA,saidoftheinitialsystemsanalysismeeting.“ThishasbeenthemostconcreteandusefulconversationI’vehadontherelationshipbetweenourtwogroupsinthepast20years.”ConnieMaxson,whowasthebureauchiefofteachingandlearningservicesfortheDepartmentofEducation,said,“ThishasbeenthebestconversationI’vehadontherelationshipbetweenourtwogroupsinthesevenyearssinceI’vebeenhere.”TheirunderstandingoftheAccidentalAdversariesdynamichelpedbuildnotonlystrongerrelationshipsbetweentheIDEandAEAsystem,butalsoovertimebetweentheAEAsystemandindividualAEAs,thelocalschooldistrictsandtheIDE,andthelocalschooldistrictsandindividualAEAs.
HowSystemsThinkingMeetsFourChallengesofChangeHowdoessystemsthinkinghelppeopleachievesustainable,breakthroughchange?TheIowaeducationstory—andmanyothers—pointstowaysinwhichthinkingsystemicallymeetsfourcommonchallengesofchange.
First,systemsthinkingmotivatespeopletochangebecausetheydiscovertheirroleinexacerbatingtheproblemstheywanttosolve.Forexample,theIDEcametoseethatrollingoutnewprogramstotheAEAswithoutsufficientlytakingtheirneedsintoaccountledtheAEAstocustomizeordisengagefromtheseprograms,therebycreatinginconsistent,low-qualitysolutionsthatmadethe
IDE’sownworkmoredifficult.Ontheotherside,theAEAsrecognizedthatcustomizingordisengagingfromstatewideprogramsledtheIDEtoinitiateevenmoreprogramsthatstretchedtheAEA’sownresources.
Second,systemsthinkingcatalyzescollaborationbecausepeoplelearnhowtheycollectivelycreatetheunsatisfyingresultstheyexperience.InthecaseofIowa,bothpartiescametoseethattheirlocalizedsolutionsunderminedtheirownorganization’seffectivenessandchildren’sabilitiestolearn.Theyrecognizedthattheywereinthesameboat,oneoftheirownmaking,andthatonlybyworkingtogethercouldtheydesignamoreseaworthycraft.Basedontheseinsights,theydevelopednewprinciplesandstructuresforpartneringovertimeandappliedsystemsthinkingagaintoorganizetheireffortsaroundacommontheoryofsuccess.
Third,systemsthinkingfocusespeopletoworkonafewkeycoordinatedchangesovertimetoachievesystemwideimpactsthataresignificantandsustainable.Thisapproachcontrastswithpeople’stendenciestotrytodotoomuchwithtoofewresourcesandachievelessasaresult.InIowa,theorganizationschosetotargetspecifichigh-leverageeducationaloutcomesbeginningwithearly-childhoodliteracybecauseofitspivotalroleinlong-termstudentperformance.
Fourth,systemsthinkingstimulatescontinuouslearning,whichisanessentialcharacteristicofanymeaningfulchangeincomplexsystems.Theinherentandever-changingcomplexityofsocialproblemsforcespeopletoacceptthatknowledgeisnevercompleteorstatic.Learningisamorepowerfulmind-setthanknowingbecauseitenablesustokeepadaptinginthefaceofnewinformationandconditions.1InIowa,theorganizationsputinplaceaprocessforassessingtheirprogressandadjustingtheirjointstrategiesovertime.
Table2.1summarizesthesefourchangechallengesandillustrateshowsystemsthinkingdiffersfromthemorecommonapproachestobringingdiversestakeholderstogetherinserviceofsocialchange.Whilemanytypicalapproacheshelppeoplerecognizetheirsharedaspirations,theyoftenfallshort,failingtoshowpeoplehowtheyareresponsibleforcurrentreality.
AsPeterSengeobservedinTheFifthDiscipline,“Thebuildingofsharedvisionlacksacriticalunderpinningifpracticedwithoutsystemsthinking.”He
goesontosay,“Theproblemliesnotinsharedvisionsthemselves,solongastheyaredevelopedcarefully.Theproblemliesinourreactiveorientationtowardcurrentreality.Visionbecomesalivingforceonlywhenpeopletrulybelievetheycanshapetheirfuture.Thesimplefactisthatmostmanagersdonotexperiencethattheyarecontributingtocreatingtheircurrentreality.Sotheydon’tseehowtheycancontributetochangingthatreality.”2Whenpeoplefailtoseetheirresponsibilityforthepresent,they(1)tendtoassumethattheirprimaryworkistochangeothersorthesystem—notthemselves,and(2)promotesolutionsthatoptimizetheirpartofthesystembasedonamistakenbeliefthatthewaytooptimizethewholesystemistooptimizeeachoftheparts.Bycontrast,asystemsviewencouragesthemtocriticallyassesstheirowncontributionsfirst.
TABLE2.1.MEETINGTHECHALLENGESOFCHANGETHROUGHSYSTEMSTHINKING
WhentoUseSystemsThinking
Since1991Intelhasusedthemotto“IntelInside”toemphasizethatitschipspowercomputersaroundtheworld.Likethosechips,systemsthinkingpowerschangewithinmanyotherchangemanagementframeworks.Becauseitcanbeembeddedinmanydifferentmethodologies,includingtheonedescribedinthisbook,Ithinkofitas“SystemsThinkingInside.”
Itisespeciallyeffectivetoincorporatesystemsthinkingintoabroadersystemsapproachwhen:
☐Aproblemischronicandhasdefiedpeople’sbestintentionstosolveit.☐Diversestakeholdersfinditdifficulttoaligntheireffortsdespitesharedintentions.☐Theytrytooptimizetheirpartofthesystemwithoutunderstandingtheirimpactonthewhole.☐Stakeholders’short-termeffortsmightactuallyunderminetheirintentionstosolvetheproblem.☐Peopleareworkingonalargenumberofdisparateinitiativesatthesametime.☐Promotingparticularsolutions(suchasbestpractices)comesattheexpenseofengagingincontinuouslearning.
Systemsthinkingcanalsoplayaroleindefusingunintentionalconflictoroppositionamongstakeholders,asitdidintheCollaboratingforIowa’sKidscase.Whenconflictsrundeeperandthereislittlewillingnessonthepartofpeopletocollaboratewitheachotherbasedoneitheracommonconcernorsharedaspiration,suchasintheidentity-basedIsraeli–Palestinianconflict,systemsthinkingcanstillhelpthirdpartiesbetterunderstandtheunderlyingdynamicsandidentifypossibleinterventions.3
Thebroadersystemsapproachusedinthisbookwillbesummarizedinchapter5anddetailedinchapters6through10,butwewilladditionallyconsiderothersystemsapproachespeopleemploy,suchastheCollectiveImpactmodel,whichcanalsobenefitfrombuilding“SystemsThinkingInside.”
SystemsThinkingforCollectiveImpact
Oneofthemostacclaimedapproachesforlarge-scalesocialchangetoappearinrecentyearshasbeenCollectiveImpact,abroadcross-sectorcoordinationprocessintroducedbyJohnKaniaandMarkKramerintheirpioneeringStanfordSocialInnovationReviewarticlebythesamename.4Theapproachbringsnonprofits,businesses,governmentagencies,andthepublictogethertotacklecomplexproblems.Bydoingso,itsoriginatorsargue,itcountersatendencyforsocialchangetofocusontheisolatedinterventionsofindividualorganizations.KaniaandKramerdescribefiveconditionsforcollectivesuccessacrossdiversestakeholders:“acommonagenda,sharedmeasurementsystems,mutuallyreinforcingactivities,continuouscommunication,andbackbonesupportorganizations.”
Theimmensepopularityoftheirmodelhasalsoraisedconcernsaboutwhetheritcantrulydeliveronitspromises.Forexample,PaulSchmitz,theCEOofPublicAlliesandauthorofEveryoneLeads:BuildingLeadershipfromtheCommunityUp,identifiesthreeimportantareaswhereCollectiveImpactmaynotrealizeitsfullpotential:5
•Enablingleaderstoovercometendenciestotouttheirownsuccesses,andtobelessthanhonestaboutwhatisnotworkingandwhytheyneedhelpfromothersatthetable.•Encouragingorganizationsaccustomedtoseeinganissuefromtheirownpointofviewtothinkinamoreintegratedwayaboutproblemsandlong-termsolutions.•Engagingcommunitymembersasactiveleadersandserviceproviders.
SystemsthinkingcanhelpfacilitatorsofCollectiveImpactprocesses,aswellasthoseusingotherlarge-scalechangeapproaches,meetthefirsttwoofthesechallengesdirectly.Table2.2summarizesthebenefitsofusingsystemsthinkingwithintheCollectiveImpactprocess.
TABLE2.2.SYSTEMSTHINKINGFORCOLLECTIVEIMPACT
Let’swalkthroughthecollectivesuccessconditionsthetablementions.First,systemsthinkingsupportsmutuallyreinforcingactivities.Itbuildstrust
byaffirmingthateveryoneisdoingthebestwithwhattheyknowatthetime.Italsobuildsvulnerabilitybyhelpingpeoplerecognizethenegativeunintendedconsequencesoftheirwell-intentionedactionsonbothothersandthemselves.
Understandingtheseconsequencesenablespeopletoappreciatetheextentoftheirinterdependencewhilesimultaneouslymakingtheirindividual
accountabilityforthecurrentsituationmoretransparent.Bysurfacingthedeepernatureofboththeirconnectednessandindividualimpacts,systemsthinkingincreasesthelikelihoodthatpeople’sactionswillinfactbemutuallysupportive.
Second,systemsthinkingsupportsthedevelopmentofacommonagendainfourways:
•Itprovidesasharedlanguageforcommunication.Thislanguage,whichisdescribedfurtherinthenexttwochapters,enablespeopletobetterappreciatethewaysinwhichtheyareconnectedinoftennon-obviouswaysandhowtimedelaysandunintendedconsequencesimpacttheirperformance.
•Itgeneratesacommonunderstandingofwhyaproblempersistsdespitepeople’sbesteffortstosolveit.Thisinsightcontrastswithanaturaltendencytosimplifyproblemsintermsofwhatothersarenotdoingandsolutionsintermsofwhatyoualreadydo.Whenyouuncovertherootcausesofachronic,complexproblem,youalsoestablishasolidbasisforidentifyinghigh-leverage,systemwidesolutions.
•Itraisesthedistinctionbetweenthedesiredpurposepeopleespouseandthepayoffsofthesystemasitiscurrentlyconfigured.Withoutunderstandingthisdistinction,stakeholderstooeasilyrallyaroundasharedaspirationwhiledownplayingthestrongincentiveseachofthemhastoperpetuatethestatusquo.Whenpeopleacknowledgeboththebenefitsofchangeaswellasthecasefordoingbusinessasusual,theirvisionisgroundedinreality,whichincludesanacknowledgmentofwhatislikelytomakechangepersonallydifficult.Inhis“IHaveaDream”speech,MartinLutherKingdevotedapproximately70percentofhistimetopaintingapictureofthedifficultrealityandonly30percenttodescribingthedream.
•Itenablesstakeholderstocreateasharedsystemictheoryofchange—aroadmapofhowtheywillintegratethecriticalsuccessfactorstheyhaveidentifiedovertimetobridgethegapbetweenwhattheywantandwheretheyare.Forexample,thecommunityleadersinaschooldistrictthatservedchildrenfrombothwealthyandpoorimmigrantfamilieswantedto
realizeavisioninwhichallchildrenfeltlovedandsuccessful.Theyagreedonmorethanfifteencriticalsuccessfactors—includingsharedmeasuresandtheidentificationandendorsementofabackboneorganization.Theyalsoagreedonawaytointegratethesefactorsintoacoherentstrategytobridgethesuccessgap.(Forthespecificsoftheirplan,seechapter11.)
Third,systemsthinkinginformssharedmeasurement.AsSchmitzandotherspointout,itiseasytobeseducedbyshort-termdataandreadilymeasuredoutcomeseventhoughtheymightnotbeindicativeoflong-termgains.Bycontrast,systemsthinkingfocusesonbothqualitativeandquantitativedata,assessesprogressdifferentlyovermultipletimehorizons,looksforbothintendedandunintendedconsequences,andtracksperformanceinrelationtoexplicitandsystemictheoriesofchange.Selectingappropriateindicatorsalsoinvolvesaligninggoalsandmetricswiththeconsciouslychosen(ratherthandefacto)systempurpose.Forexample,endinghomelessnesscallsformetricsthatreducetheuseofshelterbedsovertimeinfavorofpermanenthousing.Bycontrast,conventionalmetricssupportusingavailablefundstomakemoreandmoreshelterbedsavailabletohelppeoplecopewithhomelessness.
Fourth,systemsthinkingincreasesthequalityandconsistencyofpeople’scontinuouscommunication,becausepeopletakeresponsibilityfortheimpactsoftheiractionsonthemselvesandothers,arealignedaroundacommonagendaasmodifiedabove,andunderstandhowtointerpretshort-termresultsinalong-termcontext.Inaddition,systemsthinkingemphasizestheneedforcontinuouslearningasthebasisforcontinuouscommunication.
ClosingtheLoop•Systemsthinkinghelpspeoplemeetfourchallengesofchange:Itincreasestheirmotivationtochange,catalyzescollaboration,enablesfocus,andstimulatescontinuouslearning.•Usesystemsthinkingforchronic,complexproblemswherediversestakeholdersfinditdifficulttoaligntheireffortsdespitesharedintentions.
•Systemsthinkingcanbeusedwithindifferentchangemanagementmodels.Forexample,byhelpingpeoplebecomemorevulnerableandseethebigpicture,systemsthinkingsupportsfourconditionsforCollectiveImpact:developingmutuallyreinforcingactivities,buildingacommonagenda,determiningsharedmeasurement,andnurturingcontinuouscommunication.
—CHAPTER3—
TellingSystemsStories
InNovember2006,TheAfterPrisonInitiative(TAPI),aprogramoftheUSJusticeFundoftheOpenSocietyInstitute(OSI),convenedathree-dayretreatinAlbuquerque,NewMexico,toaccelerateprogressonendingmassincarcerationandharshpunishmentintheUnitedStates.1AptlynamedWhereAreWeGoing?,theretreatbroughttogetheronehundredprogressiveleaders—activists,academics,researchers,policyanalysts,andlawyers—toclarifywhatelsecouldbedonetofacilitatesuccessfulreentryofpeopleafterincarcerationandredresstheunderlyingeconomic,social,andpoliticalconditionsandpoliciesthatcontributetomakingtheUStheworld’slargestincarceratoramongdevelopednations.
Togiveyouanideaofthescopeoftheproblem,theUnitedStateshas2.5millionpeoplebehindbarstoday—versus200,000inthe1970s—andapproximately650,000returnhomeeachyear.ThemeetingwasgroundedinarecognitionofhowtheUScriminaljusticesystem—fromthebeginningandatanacceleratedpacesincethe1970s—isdeterminedbyrace,andhowsociety,inthewordsofBerkeleylawprofessorJonathanSimon,isincreasingly“governedbycrime.”2MostoftheparticipantsattheretreatwereSorosJusticeFellowsorOSIgranteeswhocompetedforOSIfundingatthesametimethattheysharedacommitmenttocriminaljusticereform.
Thechallengepresentedbythisandmanysimilarretreatswasthatthediversestakeholdersrequiredtosolveachronic,complexproblemoftendonotappreciatethemanyandoftennon-obviouswaysinwhichtheirworkisconnected.Takingthischallengeintoaccount,thegoalsofthemeetingwereto:
•DevelopasharedunderstandingofwhyUSincarcerationratesandratesatwhichpeoplereturntoprisonaresohigh.•Endover-incarceration;createnewopportunitiesforandremovebarrierstosuccessfulreentryofformerlyincarceratedpeople.•Strengthenworkingrelationshipsandcollaborationsamongtheadvocates.•Deepenawarenessoftheinterdependencies(bothreinforcingandpotentiallyconflicting)amongtheirdiverseefforts.•Identifynewwaystostrengthencivilsocietyinstitutionsandpromotecivicandpoliticalinclusion.
Perhapsthemostradicalnewtoolintroducedattheretreatwassystemsthinking.WorkingunderagrantsupportedbyOSI,theorganizersoftheretreat,JoeLaurandSaraSchleyofSeedSystems,recognizedthattacklingthesameproblemswiththesamemind-setandstrategiesoftenproducesthesame,largelyunsuccessful,results.Theybelievedthatsystemsthinkingmighthelppeopleinthefieldget“unstuck,”betterunderstandtheirtheoryofchange,anddevisenewstrategiesandwaysofcollaborating.
JoeandSaraaskedmetointroducesystemsthinkingandsystemsmappingtohelpparticipantscreateasharedstoryofwhymassincarcerationandhighrecidivismratespersisted,aswellastoidentifywhatmoretheycoulddotoreducetheserates.Thispictureneededtoincludethecontributionsofallparticipantstothesolution,anexplanationofwhytheirindependenteffortsfellshort,andinsightsintowhattheycoulddomoreeffectivelygivenlimitedresourcesandanurgentneedforchange.
StorytellingforSocialChangeTellingstoriesisapowerfulwaytomakesenseofourownexperienceandoftheworldaroundus.Storiesshapeouridentity,communicatewhoweareandwhatisimportanttous,andmoveotherstoact.Theyareaprimarywayofdistillingandcodinginformationinmemorableform.Leadersusethemtoinspireothers.Peacebuildersrecognizenarrativeasakeysourceofconflict(peopleinterprethistoricalfactsinverydifferentandincompatibleways),andtheyworktohelpdisputantsbothappreciateeachother’snarrativesandmodifytheirown.
Therapistsusestorytellingtohelppeoplehealfromtraumabysupportingthemtoshapeanewandmoreconstructivenarrativebasedonpastexperience.
Likewise,peoplecommittedtosocialchangeoftenshareasimilarstoryofwhattheyaretryingtoaccomplishandthechallengestheyface.Threekeyelementsofthisstoryare:
•Theworld,inthewordsofMartinBuber,“standsinneedofus,”andwearecalledtocontributeourgiftsandresourcestosupportthoselessfortunatethanourselves.•Wearenotmakingtheimpactwewantdespiteourbestintentions.•Themajorobstaclestooursuccessarelimitedresourcesandthebehaviorofothersinthesystem.
Whilethefirsttwoaspectsofthisstoryarehelpfulandmovepeopletoactinpositiveways,thebeliefthattheprimarycausesofproblemsarebeyondtheircontrolholdspeoplebackfrombeingasproductiveastheycouldbe.Byattributingshortfallstolimitedresourcesandassumingthatothersneedtobetheonestochange,peopletendtominimizetheimpactsoftheirownintentions,thinking,andactionsontheireffectiveness.3Moreover,becausemanyofthestakeholderscompeteforlimitedfunds,inthiscasefromTheAfterPrisonInitiative,theynaturallypromotetheirownsuccesses,downplaytheirfailures,andsometimesmaybereluctanttocollaborate.
Inordertooptimizetheperformanceoftheentiresystem,peopleneedtoshiftfromtryingtooptimizetheirpartofthesystemtoimprovingrelationshipsamongitsconstituentparts.InthecaseofUScriminaljustice,thebroadersystemincludeshowcrimeiscurrentlyfought,thenegativeunintendedconsequencesofthissystemstructure,andreformers’effortstomitigatetheseconsequencesandredesignthestructure.Peopleneedto:
•Understandhowfocusingontheirpartofthesystem—thegrantees’reformworkinthisexample—notonlysupportsbutmightalsolimittheeffectivenessofthewholesystem.•Appreciatethenon-obviousaswellasobviouswaysinwhichtheyareconnectedtooneanotherasreformersandtoothersinthesystem.
•Recognizetheunintendedimpactsoftheirintentions,thinking,andactionsonbothothersandthemselves.•Applythisincreasedself-awarenesstoshiftinghowtheyrelatetoothersinthesystem.
Evenifpeople’scontributionstoanexistingsituationarenotobvious,itisimportant,inthewordsofJesseJackson,thattheytellthemselves,“Wemightnotberesponsibleforbeingdown,butweareresponsibleforgettingup.”Inotherwords,empoweringthemselvesthroughgreaterself-awarenessisthefirststepinchangingtheirreality.
Systemsthinkingcanhelppeopletellanewandmoreproductivestory.Ithonorstheirindividualeffortsandsurfacesthelimitationsoftheseefforts.Itdistinguishestheshort-andlong-termimpactsoftheiractions.Italignstheirdiverseviewsandstoriesintoabiggerpicturewhereindividualcontributorscanseetheirpartinrelationtothewhole.Seeingthebigpictureandtheirroleinit,peoplearemoremotivatedandabletoworktogethertoredesignthewhole.
ShapingaSystemsStoryInordertotellasystemsstory,peopleneedtomakethreeshifts:
•Fromseeingjusttheirpartofthesystemtoseeingmoreofthewholesystem—includingwhyandhowitcurrentlyoperatesaswellaswhatisbeingdonetochangeit.•Fromhopingthatotherswillchangetoseeinghowtheycanfirstchangethemselves.•Fromfocusingonindividualevents(crises,fires)tounderstandingandredesigningthedeepersystemstructuresthatgiverisetotheseevents.
SEEINGTHEBIGPICTURE
TheancientSufistoryoftheblindmenandtheelephantillustratesthechallengeofenablingdiversestakeholderstoseethebigpicture(seefigure3.1).Eachpartytouchesadifferentpartoftheelephantandtendstoassumethatwhattheyexperienceistheelephantinsteadofjustonepartofamorecomplexreality.
Moreover,theytendtoseerealityintermsofwhattheyaredoingwell,arerewardedfordoing,andcoulddobetteriftheyhadmoreresources.Ontheotherhand,peopleeitherfailtoappreciateorquestionthevalueofothers’contributions.Inaddition,theyoftendonothavethetoolstoseeamorecomplexworldandunderstandhowtheirintentions,thinking,andactionsinteractwiththoseofotherstakeholders.
FIGURE3.1THEBLINDMENANDTHEELEPHANT.Everyoneseespartofamorecomplexrealityandtendstoassumethatwhattheyseeisthewholepicture.SamGross/TheCartoonBank
IntheTAPIcase,participantsnaturallybeganbyseeingsolutionstotheproblemofover-incarcerationandfailedreentrythroughtheirrespectivespecialties.Somefocusedonsentencingreformtoreducethelengthofsentencesandtimeserved,ortheinstitutionalworkofresettlementandsupportiveservices,orreorientingparoleandprobationpolicies.Othersfocusedon
challengingtheprisonlobbythatbenefitsfromcurrentpenallaws,orreducingtheresistanceofpublicofficialstomoreeffectiveandinnovativeapproachestoreentry.Stillothersfocusedonconvincingelectedofficialsthattough-on-crimelawsmakeforgoodpoliticsbutbadpolicy.Theyenteredthegroupthroughtheirownsilos.Thechallengewastohelpthemexpandtheirperceptionsbyappreciatinghowtheirsuccessdependedonthesuccessofalltheotherstakeholders(includingthosenotpresentatthemeeting),andthenmotivatingthemtocollaboratemoreeffectivelywithoneanother(againincludingthosenotintheroom)toimprovepublicsafetyincost-effectiveandsustainableways.
Thefirststepwastocreateastrongandsafecontainerforpeopletosharetheirdifferentperspectives.ThisiswhatIcallconveningpeoplesystemically,andwhatMarvinWeisbordoriginallycalled“gettingthewholesystemintheroom.”4Inthiscasethesystemwasrepresentedinpersonbythosecommittedtocriminaljusticereform,whiletheperspectivesoftough-on-crimeadvocatesweredepictedonthesystemsmapthatincludedtheirpolicies,assumptions,andactions.Thefacilitators,JoeandSara,builtacontainerfortheretreatparticipantsbybuildingdiversewaysofcommunicatingintotheagenda,including:expertpresentations,panelsaroundspecificissues,reportsoninnovationsbeingtestedbyseveralparticipants,dialogues,aWorldCafé(seemoreonthisandotherconveningmethodologiesinchapter5),andsystemsmapping.
Theyincorporatedsystemsmappingbecausetheyrecognizedthatconveningpeoplesystemicallyisnecessarybutnotalwayssufficienttomobilizingcollaboration.Thisistrueforseveralreasons:
•Evenwhenpeoplesharecommonvaluesandgoals,asthoseintheTAPImeetingdid,theytendtoassumethatthebestwaytooptimizethesystemistooptimizetheirindividualpart.Thisassumptionisoftenreinforcedbymetricsandrewardsthatencouragepeopletodowhattheyarealreadydoing.
•Bycontrast,participantsmighteitherfailtoappreciateoractuallyblame(howevercovertly)othersintheroomfortheirinabilitytobeevenmoreeffective.
•Somestakeholdersarenotincludedinsuchgatheringsbecausetheydonotappeartosharethesameaspiration,areviewedasthesourceoftheproblem,and/oraremoredifficulttoaccessbytheconveners.Inthiscaseaffirmingaunitedfrontamongtheparticipantscanmisleadthemintothinkingthattheyaredoingthebesttheycanandothersnotintheroomaretoblame.WhilemanyTAPIparticipantswereengagedincollaborativeeffortswiththosenotpresentatthemeeting,itwasimportanttoreaffirmthisstrategyandavoidtheriskofattributingbreakdownsinthesystemsolelytootherstakeholders.
Bycontrast,oneofthepremisesofsystemsthinkingasdescribedinchapter1isthatthebestwaytooptimizethesystemistoimprovetherelationshipsamongitsparts,nottooptimizeeachpartseparately.Thisincludesthosepresentinaparticulargatheringandthosewhodonotparticipate,thosewhosupportchangeandthosewhoresistit.Helpingpeoplewhoareconveningsystemicallytoalsothinksystemicallyenablesthemtoconsidercollaboratingwithallstakeholdersasafirst,thoughnotnecessarilytheonly,option.Asystemsmapenablesindividualstakeholdergroupstoseehowtheycontributetotheperformanceofthesystemasawhole,bothpositivelyandnegatively.
ForTAPIparticipants,oneofthekeyinsightsfromthesystemsmap(whichisdetailedinchapter7)wasthattheunderlyingconcernofthepublicanditselectedrepresentativeshadmoretodowiththefearofbeingvictimizedbycrimeandracismthanactualcrimelevelsthemselves.Althoughcrimelevelshaveactuallydeclinedsince1991byapproximately25percent,people’sfearsofbeingvictimizedbyviolentcrimecontinuetorise—asdoestheperceptionthatcrimesaremorelikelytobecommittedbypeopleofcolor,whichinturncausesrace-associatedfeartorise.Eventhoughthecriminaljusticesystemconsumesenormoustaxdollars,publicofficialswhopromotemassincarcerationoftenfanfeardeliberatelytowinvotesordosounwittinglybyresistingeffortstoamelioratethisfear.Forexample,theyresistinnovativeapproachestoresettlingformerlyincarceratedpeople(approachesthatcouldreducerecidivism)andfailtodistinguishtechnicalfromsubstantiveparoleviolationsoutoftheirownfearofappearingsoftoncrime.ThisinsightledtheTAPIparticipantstothinkofnew
waysofcollaboratingwithoneanotheraswellasextendingthemselvestoreducethefearsofwell-intentionedpublicofficialsandconcernedcitizenswhowerenotatthemeeting.
INCREASINGSELF-AWARENESSANDPERSONALRESPONSIBILITY
Thenaturaltendencytoviewone’sowncontributionsfavorablyinrelationtothoseofothersisintensifiedbycompetition.Peoplewithasharedaspirationoftencompeteforresources,whichincreasestheirreluctancetoeitheracknowledgetheirownshortcomingsorvaluethecontributionsofothers.
Bycontrast,asystemsstoryuncovershowpeoplecontribute,albeitunwittingly,totheirownproblemsdespitetheirbestintentions.Raisingself-awarenessinthiswayactuallyincreasestheirabilitiestobemoreeffective.Ratherthandependingonotherstochangeinordertobesuccessful,theydiscoverthatthegreatestleveragetheyhaveinasystembeginswithchangingthemselves.Theylearntorecognizethattakingresponsibilityfortheirownintentions,thinking,andbehaviorgivesthemmorepowertocreatewhattheywant.
SomeTAPIparticipantsbecamemoremotivatedtoinitiatecollaborationswithothersintheroomwhentheyunderstoodthekeywaysinwhichtheywereinterconnected.Severalalsorecognizedthatframingcriminaljusticereformasawaytohelpelectedofficialsgeneratevotesbyreducingprisoncostsandrecidivismcouldbenefitthereformmovement.
UNDERSTANDINGTHEDEEPERSYSTEMSTRUCTURE
Onetoolfordevelopinganinitialpictureof“theelephant”(thatis,anycomplexsystem)isknownastheicebergmetaphor.Theicebergisasimplewayofdistinguishingproblemsymptomsfromunderlyingorrootcauses.Asshowninfigure3.2,itdistinguishesthreelevelsofinsight—eachofwhichisinformedbyaspecificquestionandpromptsacertaintypeofactionorresponse.
Morespecifically,theicebergdistinguishestheeventslevel(whatweseemosteasily)fromthepatternofbehaviorortrendthatlinksmanyeventsovertime,andthengoesdeepertoexposetheunderlyingsystemsstructure—thehidden90percentoftheicebergthatcausesthemostdamagebecauseitshapesthetrendsandevents.Systemsstructureincludestangibleelementssuchasthepressures,policies,andpowerdynamicsthatshapeperformance.Italsoincludesintangibleforcessuchasperceptions(whatpeoplebelieveorassumetobetrueaboutthesystem)andpurpose(theactualversusespousedintentionsthatdrivepeople’sbehavior).Thedeeperpeople’slevelofinsight,thegreatertheiropportunitytochangethewaythesystembehaves.
Peopleoftenfocustheirattentionandspendmostoftheirtimeonrespondingtoindividualevents.Theywanttoknowwhatishappeningsothattheycanreactquicklytothecrisisathand.Forexample,peoplewhosupport(andoppose)criminaljusticereformlookatnewsreportsonthelatestcrimestatistics,thenumberofpeoplerecentlyreturnedtoprisonbecauseofrepeatoffensesortechnicalparoleviolations,newlegislation,andcostsoftheprisonsystem.Howpeoplerespondtoacrisiscanhaveanenormousimpactontheireffectiveness.Since95percentofpeoplesenttoprisonareeventuallyreleased,andmanyofthemareunpreparedorunabletoresettleproductively,get-toughprisonsentencesoftenincreaserecidivism—furtherdestabilizingcommunitiesandmakingthemlesssafe.Moreover,thecostsincurredinmaintainingthesystemdivertfundsthatmightotherwisebeavailabletostrengthenthedisadvantagedcommunitiesfromwhichadisproportionatenumberofresidentsareincarcerated.
FIGURE3.2THEICEBERG.Theiceberghelpsyoutobegintodistinguishaproblem’ssymptomsfromitsrootcauses.InnovationAssociatesOrganizationalLearning
Sometimespeoplestepbackfromindividualeventslongenoughtorecognizeongoingtrendsorpatterns.Theyaskwhathasbeenhappeningovertimeandtrytoanticipatethefuturebasedonthepast.Trendscanoftenbesurprisinganddisturbing.Forexample,TAPIparticipantsnotedthatincarcerationlevelscontinuedtorisebyanestimated60percentsincecrimelevelsreachedtheirpeakin1991,despiteareductionof25percentincrimeduringthesameperiod
(seefigure3.3).Thisledthemtoconcludethatfear,aswellasracism,drivescurrentcriminaljusticepoliciesmorethanthelevelofcrimeitself.Somecriminologistsbelievethatnomorethan25percentofcrimereductionisattributabletoincarceration.5Othersarguethatthesametrenddataprovethebeneficialimpactofincarcerationonreducingcrime,whichpointstotheimportanceofperceptionsormentalmodelsasanotheraspectofsystemsstructuretobeexploredbelow.6
Therootcausesofachronic,complexproblemcanbefoundinitsunderlyingsystemsstructure—themanycircular,interdependent,andsometimestime-delayedrelationshipsamongitsparts.Thestructureincludesbotheasilyobservableelements—suchascurrentpressures,policies,andpowerdynamics—andlessobviousfactorssuchasperceptionsandpurposes(goalsorintentions)thatinfluencehowthemoretangibleelementsaffectbehavior.
FIGURE3.3USCRIMEVERSUSINCARCERATIONRATES.Thegrowinggapbetweenanincreasingincarcerationrateanddecreasingcrimerateraisesseriousquestionsabouttherelationshipbetweenthetwo.CrimeratetrendadaptedfromDisasterCenter.com.IncarcerationratetrendadaptedfromTheHamiltonProject,BrookingsInstitution.
TheElementsofSystemsStructurePeoplecommunicatewithoneanotherthroughlanguageandoftenthroughthe
storiestheytell.MichaelGoodman,oneofthepioneersoftheapproachusedinthisbookandalongtimecolleagueofmine,explainsthatsystemsthinkingcanbethoughtofasalanguage—avisuallanguagethathelpsusunderstandandtalkabouttheworldinawaythatisdifferentfromourdailylanguage.Themetaphoroflanguageisimportantbecauselanguageshapesourperceptions,andhenceourbehavior.Therootofthemagicalincantationabracadabrarelatesthepowersofspeechandaction,asitcomesfromeithertheAramaic“IwillcreateasIspeak”ortheHebrew“Itcametopassasitwasspoken.”7Ineithercase,systemsthinkingisalanguagethatmoreaccuratelyexplainscomplexitythanoureverydaylanguageandthusenablesustoworkmoreeffectivelywithsocialsystems.
Themostbasicelementsofthislanguagearenouns,verbs,andadverbs(timedelays).Inaddition,whenwelookmoredeeplyintosocialsystems,wediscoverthattherearecertainplotlinesthatappearacrossawidevarietyofissues(whetherineducation,criminaljustice,orhomelessness)andatmultiplelevelsofasystem(forexample,inhomes,organizations,orcommunities).
Themostbasicplotlinesarestoriesofamplification(calledreinforcingfeedback)andcorrection(calledbalancingfeedback).Thesecombineintomorecomplexyethighlyrecognizablearchetypalstoriesbecausetheyaresoembeddedinthehumanexperience.Knowingthebasicstoriesandsystemsarchetypesgivesusinitialinsightsintomanychronic,complexproblems.Developingaricherandmorecomprehensiveunderstandingoftencomesfrommodifyingandcombiningarchetypes—whichissimilartoilluminatingthevariationsonplotsandmultipleinteractingplotsinahistoricalorfictionalstory.
Finally,wewilllookatthebottomoftheicebergtouncoverwhataredescribedincomplexitytheoryasattractors,thepullsthatshapeandstabilizeasystem’sbehavioraroundalimitednumberofpossiblestates.Thesedeepstructuresarethebeliefsorassumptionsthatpeopleinsocialsystemstrytovalidate,andtheunderlyingintentionsorpurposestheyseektorealize.Dependingonyourassessmentofthesystem’scurrentperformance,theycanbeviewedaseitherpositiveornegative.Attractorsaretheunderlyingdriversofbothsystemequilibriumanditsresistancetochange.
BASICLANGUAGEOFSYSTEMSTHINKINGNouns
Thenounsofsystemsthinkingarevariables,thoseforcesorpressuresatplayinthesystem.Variables“vary”overtime;theycanincrease,decrease,oroscillate.Variablescanbequalitativeorquantitativeandarereadilyframedas“Levelsof___.”CommonvariablesthatMichaelGoodmanandIhaveidentifiedincludewhatpeoplevalue(suchasthelevelofexpectationorgoal),demandsonthesystem(suchasthelevelofneedorpressure),resourcestomeetthesedemands(suchasthelevelofinvestmentorskills),andactualresults(suchasthelevelofperformanceoreffectiveness).Theyalsoincludeperceptualfactorsthatexpresshowpeoplefeelandthink(suchastheleveloffearoraversiontorisk).
Sincevariablesarethebasisforsystemsstories,definingthemisakeytask.8
Significantinsightscanemergefromclarifyingwhattheyare—andwhattheyarenot.Forexample,abreakthroughinsightfortheTAPIparticipantswasthatthefearofbeingvictimizedbycrimecandrivebehaviorinthecriminaljusticesystemmorethanthelevelofcrimeitself.Inaverydifferentsituation—theefforttorebuildcivilsocietyinBurundiafterits1990–94civilwar—NGOsthatdevelopedasystemsanalysisoftheconflictdeterminedthatthedrivingfactorinthewarwasnottheresourcesoftheTutsisversusthoseoftheHutus,astheyoriginallythought,butthepoweroftheeliteversusthatofthemajority.Theydeterminedthisbyrecognizingthat,whenHutuswrestedpowerfromtheTutsis,Hutuleadersbecamethenewelite.Inotherwords,Hutuleadersdisplayedthesametendencytoaccumulateresourcesattheexpenseofthemajorityofthepopulation,justasTutsileadershadpreviouslyfoughttoretaintheirpower.Thisinsightledthemtorecognizetheimportanceofanotherfactor,ethnicmanipulation,usedbyelitesofbothgroupstogainandretainpowerattheexpenseoftheirconstituents.9
SomeoftheotherkeyvariablesintheTAPIcasewere:numberofpeoplereleasedfromprison,problemswithresettlement,technicalparoleviolations,sectorsbenefitingfromthecurrentsystem,costofprisons,and(lackof)money
availableforresettlement.Otherqualitativefactorsincludedfearforpersonalsafety,politicalrisks,andpoliticalresistancetoinnovation.Verbs
Thefundamentalactiondescribedinsystemsthinkingisthatanincreaseinonevariablecausesanincreaseordecreaseinoneormoreothervariables.Thisactionisdescribedpictoriallyasfollows:
A→B
WhenachangeinAcausesasimilarchangeinB(forinstance,anincreaseinAcausesanincreaseinB,oradecreaseinAcausesadecreaseinB),wecanputansfor“similar”attheendofthearrow.
A→sB
Alternatively,ifachangeinAcausesanoppositechangeinB(anincreaseinAcausesadecreaseinBorviceversa),wecanputanofor“opposite”attheendofthearrow.10
A→oB
Whilethisnomenclatureishelpfulinbuildingthestory,wenormallyleaveitoutofthefinalpicturesandinsteadexplainthecausaldirectionsverballyonasystemsmapusingdescriptivewords.Thishelpspeopleunfamiliarwithsystemsthinkingtounderstandthediagrams.TimeDelay
HowlongittakesforachangeinAtocauseachangeinBisacriticalfactorinsystemsthinking.Thisisbecause,asnotedinchapter1,theshort-andlong-termimpactsofthesameactionareoftenreversed.Inotherwords,short-termimprovementscanproducelong-termconsequencesthatneutralizeorunderminemoreimmediategains.Conversely,weoftenneedtoinvesttime,money,andeffortintheshortruntoachievebenefitsthataresustainableovertime.Timedelaysaredepictedasfollows:
A–|-|→B
MichaelGoodmanandIhaveidentifiedatleastfourtypesofdelaysincomplexsocialsystems.Thesearethetimesbetween:
•Thechangeinaconditionandourawarenessthattheconditionhaschanged.•Ourawarenessthattheconditionhaschangedandourdecisiontoact.•Thedecisiontoactandtheactofimplementation.•Implementationandacorrespondingchangeinthecondition.
Forexample,acurrentandincreasinglyseriousexampleisclimatechange.Althoughcarbondioxidelevelsintheatmospherehaveincreasedbymorethan45percentinthepasttwohundredyears,itisonlyrecentlythatmostpeoplehavebeenmadeawareofthedangeroftheseincreasesthroughturbulentweatherpatternsandrisingsealevels.Moreover,becauseofourdependenceonenergy-intensivelifestylesandcarbonfuels,ithasbeendifficulttomobilizethepoliticalwilltocommittonewenergypolicies.Assumingwecannowmakeharddecisions,itwillstilltakemanyyearstoshifthowweconserveenergyandmanufactureitfromenvironmentallyneutralsources.Onceweimplementthesechanges,itwilltakeadditionaltimetoreducecarbondioxidelevelstonecessarylevels,thoughitmayalreadybetoolatetoreversesomechangessuchasrisingsealevelsfrommeltingicebergs.
GoingbacktotheTAPIexample,thereareatleastfoursignificanttimedelaysrelatedtothepenalsystemandcriminaljusticereform:
•Thetimebetweenwhenpeoplegotoprisonandarereleased—thatis,thelengthofsentencesandtimespentinprison.Becausemanysentenceshavebecomeharsher,itcantakemanyyearsbeforepeoplereentersociety.The95percentofprisonerswhoareeventuallyreleasedoftenfaceseriousbarrierstoreentry,createdinpartbytheverylengthoftheirconfinement.
•Thedelaybetweenthepublic’sfearofcrimeandtheirunderstandingthatcrimehasinfactdeclined.
•Adelaybetweenthenumberofpeopleincarceratedandconcernsaboutthecostsofthepenalsystem.IntheyearssincetheTAPIretreattook
place,thesecostshavebecomeevenmoreofastrainonpublicbudgets,reachinganall-timehighofeighty-fivebilliondollarsayear,andmotivatingofficialstoseriouslyconsiderreformstoincarceration.
•Thedelaybetweenrecognizingthecostlylimitationsofmassincarcerationandactuallyshiftingfundstothemorepromisinginvestmentofstrengtheningcommunityinstitutions—suchaseducation,healthcare,andemployment—thatcreatesafer,moreprosperouscommunities.
Becauseofthepressuretoshowimmediateresults—whetherself-generatedorcreatedbysuchfactorsaspublicopinion,budgetcycles,investorexpectations,andvotingcycles—itcanbedifficultforpolicymakerstorespectandworkwithtimedelays.Leaderscanrespondmoreeffectivelytothispressurewhentheylearntodistinguishquickfixesfromshort-termsmallsuccesses.Quickfixesaresolutionsthatproduceshort-runbenefits,whicharetypicallyneutralizedorerodedbylonger-runconsequencesofthesameactions.Short-termsmallsuccessesareimprovementsthatareplannedfromthebeginningwiththelongterminmindandarevitaltoencouragingpersistenceandmaintainingmomentum.Thisdistinctionwillbecomeclearerwhenwelookatleveragepointsandstrategicplanningingreaterdetail,butthesebasicswillhelpaswefurtherexploresystemsplots.
ClosingtheLoop•Whenfacedwithacomplexproblemthatpersistsdespitetheirbesteffortstosolveit,peopletendtoblamelimitedresourcesaswellaspromotetheirownsuccesses,downplaytheirfailures,andviewothersinthesystemcompetitively.•Systemsthinkinghelpspeopletellanewandmoreproductivestorythathonorstheirindividualefforts,surfacesthelimitationsoftheseefforts,andsupportsthemtoseethebigpictureandcollaboratemorewillinglyonbehalfofthewhole.•Theicebergmetaphorenablespeopletodistinguishbetweenmoreobviouseventsandtrends,andtheunderlyingsystemsstructurethatshapesthem.
•Systemsstructuredescribeskeyfactorsinthesystemandhowtheyaffectoneanotherinoftennon-obviouswaysovertime.
—CHAPTER4—
DecipheringthePlotsofSystemsStories
Ilovemurdermysteries,firstmadefamousbyBritishwriterssuchasAgathaChristieandastapleofpopularTVshowslikethelong-runningCSI.Theessentialquestiontheyposeis“Whodoneit?”andthereader/vieweriskeptinsuspenseuntiltheveryendinthehopeofansweringthatquestion.Systemsstoriesaredrivenbyadifferentquestion:“Whyarepeopleunabletosolveachronic,complexproblemorachieveameaningfulgoal—oftendespitetheirbestefforts?”Inordertoanswerthisquestion,ithelpstorecognizediscernibleplotlinesthattendtoshapethebehaviorofpeopleinsocialsystems.
Manyoftheseplotsshareasimilarandchallengingcharacteristic.Socialsystemsarenotonlysurprisingbutalso,inthewordsofsystemsthinkerDonellaMeadows,“perverse.”1Ithinkofthemasseductiveinthattheytendtoleadpeopletodoexactlythewrongthingforalltherightreasons.
Becausetheseplotsaresocommon,theyarecalledsystemsarchetypes.Thebetterpeopleunderstandthem,thelesslikelytheyaretobecomevictimizedbythem.Peoplecanlearntoanticipateandpreventthesestoriesfromseducingthemintodoingthewrongthing.Alternatively,ifpeopledobecometrapped,theycanfollowequallyrecognizablepaths(knownasleveragepoints)toextricatethemselves.
BasicPlotLines
Severalyearsago,aparticipantinasystemsthinkingworkshopanalyzedaproblemhehadtriedtosolveforalongtime.Hesaid,“AndtothinkthatIhavebeengoingaroundincirclesonthisissueforyears.”AtthatmomentIrealizedthattheproblemwasnotsomuchthathehadbeen“goingaroundincircles,”butthathewasunawarethathewasdoingso.Thesolutionshehadtriedpreviouslywereobviousandeffectiveintheshortterm.However,theyhadcreatedunintendedconsequencesinthelongtermthatmademattersworse.Moreover,whentheproblemrecurred,hefailedtoseehowhisownsolutionscontributedtoit.Seeingthecirclesthathewasnotonlyembeddedinbutalsohelpedcreatefreedhimtobreakoutofthemandidentifyamoreproductivepathforward.Wegoaroundincirclesofourownmakingwithoutrealizingit.
Sincesystemsplotsunfoldincircles,ourgoalistouncovertheexistingonessothatwecancreatenewandmoreeffectivestories.Whiletheemphasisinthischapterisondescribingthedynamics—notshiftingthem,atopicthatismorefullyaddressedinchapter10—itisimportanttorealizethattheactofrecognizingthecirclesyouarecaughtinisthefirststeptowardalteringthem.Increasingself-awarenessisaninterventioninandofitself,andtheprecursortomakinganyotherchanges.
Reinforcingandbalancingfeedbackarethetwobasiccircularstructuresthatdescribehowsystemsevolveovertime.Morecomplexdynamicsresultfromcombinationsofthesetwofeedbackstructures.
REINFORCINGFEEDBACK:THESTORYOFAMPLIFICATION
Reinforcingfeedbackisthebasisforwhatweknowasvirtuousandviciouscycles.Itexplainsthedevelopmentofbothenginesofgrowthorflywheelsaswellasspiralingdeterioration.Forexample,JimCollinshasappliedtheflywheelconceptheintroducedinhisbookGoodtoGreattosuggesthowsocialsectororganizationscandeveloptheirownenginesofsuccess.2Hebelievesthatsuccessinthesocialsectorhingesontheabilitytogroworganizations(notjustprograms)bybuildingabrandthatattractssupport,whichyieldsdemonstrableresultsandinturnstrengthensthebrand.Collinsalsopointsoutthatthesamereinforcingdynamiccanproducetheoppositeeffect,aswhenanorganization
thatperformspoorlyweakensitsbrandreputation,whichmakesitmoredifficulttoattractresourcesanddrivesresultsdownevenfurther.
Theunstablenatureofreinforcingfeedbackispainfullyevidentinboom-and-bustcyclessuchasthehousingbubblethatsetoffthe2008economiccrisis.Inthiscase,unsafesubprimemortgagelendingpracticesfueledincreasedhousingpricesandmorelending—untilthebadmortgagescouldnolongerbespreadfartherandthehousingmarketcollapsed.3
Reinforcingdynamicsalsoappearinself-fulfillingprophecies.Forexample,thePygmalioneffectexplainshowoneparty’sexpectations(inthiscase,ateacher’s)leadanotherparty(astudent)tobehaveinwaysthatreinforcetheseexpectations.Thisdynamictendstoencouragetheperformanceofwell-behavedgirlsandworkagainstactiveboysandminorities.TheInteractionMapdevelopedbyActionDesignandshowninfigure4.1describestheseinteractionsingreaterdetail.
FIGURE4.1INTERACTIONMAP.HowpartiesAandBthinkaboutandbehaveinrelationtoeachotherismutuallyreinforcing.AdaptedfromActionDesign
Mostpeopleareaccustomedtothinkingofgrowthaslinear.However,reinforcingfeedbackdescribesamorecommonprocessinsocialandeconomicsystems—thatofexponentialgrowthinwhichaquantityincreasesbyaconstantpercentageofthewholeinaconstanttimeperiod.Suchphenomenaasincreasesinsavingsandpopulationarefamiliarillustrationsofexponentialprocesses.Foundationsandentrepreneursseekingalong-termreturnontheirsocialinvestmentsbenefitfromcultivatingcriticalmassortippingpointsthatbuildsustainablemomentuminasocialsystem.4
ThefollowingFrenchriddlepointsoutseveralimportantimplicationsofexponentialgrowth.5Imaginealilypondwherethelilyplantdoublesinsizeeveryday,andthepondistotallycoveredbythelilyinthirtydays.Whenisthe
pondhalfcovered?Theanswer,whichissurprisingformany,isdaytwenty-nine:Halfofthepondiscoveredjustonedaybeforethepondiscompletelyblanketedbythelily.Howmuchofthepondiscoveredinfifteendays?Theanswerhereis0.0025percent.Inotherwords,halfwayintothemonththelilyisbarelynoticeable.
Theexponentialnatureoforganicgrowthhasseveralconsequencesforsocialdecisionmakers.First,mostpeopletendtoexpecttoseeimprovementsfasterthantheyarecapableofdeveloping.Expectingthesystemtoshiftquicklycanleadtounrealisticdemandsforgrowththatultimatelyslowimprovementdownifnotkillitentirely.Alternatively,peoplecanmissormisinterpretsmallimprovementsandgiveupprematurelyonsupportingachangethattakestimetomanifest.Figure4.2depictstheexponentialnatureoforganicreinforcinggrowthandcontrastsitwiththemoretypicallinearassumptionpeopleholdabouthowthingsshouldgrow.
Second,asuccessengineorflywheelisbuiltnotonlyontheindividualfactorsthatcontributetogrowth,butalsoonhowthesefactorsinteracttoreinforceoneanotherovertime.Forexample,successfulmicro-lendingprogramsintegratecommunityinvolvement,peersupport,financialinvestment,economicresults,jobcreation,andcommunityreinvestmentinever-expandingspirals.Animplicationforsocialinvestorsmightbethattheyevaluategranteeplansbasedontheclarityandsoundnessoftheirstructuraldesign—howthepartsfittogether—ratherthanontheindividualelementsthemselves.Wewillreturntohowsystemsthinkingcancontributetoarticulatingsuchadesignortheoryofchangeinchapter11.Fornowitcanbehelpfultonoticethatoneapproachtoincreasingtheeffectivenessofatheoryofchangeistoexplainhowpartsofthesystemareintendedtointeractinbothdirectandindirectwaysovertime.
Third,sinceexponentialgrowthalsoappliestoseeminglytrivialproblemsgettingmuchworseovertime,itisimportanttomonitorsuchproblemsearlyonandconsideraddressingthemrapidlyinsteadofhopingtheygoaway.Decadesago,therecognitionthatsmallproblemsfuelbiggeronesinspiredwhat’sknownasthebrokenwindowstheory,whichsuggeststhatcommunityinstabilityiscatalyzedbydisorderlyconditions.6Thetheoryhasledpolicedepartments
aroundthecountrytocontrolminormisbehaviors—fromlitteringtovandalism—andmaintainacleanenvironmentinordertopreventmajorcrimesfromoccurring.7Criticsofthetheoryarguethatpettycrimeisitselfafunctionofconcentratedurbanpoverty,andthatasignificantandsustainablereductionincrimelevelscanonlybeachievedbyimprovingthequalityoflifeinpoorneighborhoods.Buteitherway,theplotisthesame:Addressingupstreamproblemscanpreventthemfromgrowingexponentiallyworse.
FIGURE4.2:LESSONSFROMTHELILYPOND.Peopletendtoassumethatgrowthoccursmorequickly(andlinearly)thanitactuallydoes.Itisimportanttoreducetheresultinggapbetweenexpectationsandreality.InnovationAssociatesOrganizationalLearningandBridgewayPartners
Ontheotherhand,ourfailuretoaddressclimatechangeinatimelywayrepresentsaseriousexampleofunderestimatingtheseverityofaproblembydependingontrenddataalone.Keydecisionmakersingovernmentandtheprivatesectorhaveresistedrecommendationstoseverelycutcarbondioxideemissionsinpartbecauseofourdependenceonfossilfuelsandinpartbecausetheproblemgrewsoslowly(asmeasuredbythetrendofglobaltemperatures)astonotraisealarmsuntilrecentlywhenweareexperiencingtheeffectsinreal
time.Anunderstandingandacknowledgmentoftheviciouscyclesinnaturethatproducedthistrend(seeappendixA)mighthaveincreasedpoliticalwillearlier.Indeed,recentweatherpatternsandrisingsealevelsindicatethatthecurveislikelytohavealreadyreacheditstippingpointasmanyscientistswarned—andourbestbetnowistoactaggressivelytopreventfurtherenvironmentalcollapseandfigureoutpeacefulwaysofequitablydistributingincreasinglylimitedresources.
Anunderstandingofreinforcingfeedbackcanleadfoundations,nonprofitleaders,andpolicymakersto:
•Cultivatethepatiencetobuildenginesofgrowthslowly.•Makedecisionsbasedonunderlyingsystemsstructureinsteadoftrends.•Breakpotentialviciouscyclesquickly.
BALANCINGFEEDBACK:THESTORYOFCORRECTION
Whiletheprocessesofgrowthanddecaymightbeobvioustomany,thedynamicsofstabilityandequilibriumareoftendominantandevenmoredifficulttodiscern.Balancingloopsarethedriverforimprovingasocialsystem—weseektobridgethegapbetweenacurrentanddesiredcondition—andthekeytounderstandingasystem’sresistancetochange,becausethecurrentsystemisinequilibriumaroundgoalsitisalreadyachieving.
Werecognizebalancingfeedbackinourdailyexperience,forexamplethroughathermostatthatregulatesroomtemperatureat68°F,orinourowntendenciestosweatorshivertomaintainaninternalbodytemperatureof98.6°F.Incontrastwithreinforcingfeedbackloops,whichamplifyanexistingcondition,balancingfeedbackseekstocorrectorreverseacurrentstatebybridgingthegapbetweenactualanddesiredperformance.Forexample,afoundationmightfundamentoringprogrambetweenolderandyoungerstudentstoimprovegraduationratesoracounselingprogramtoreduceteenpregnancy.Whenbalancingfeedbackaccomplishesadesiredgoal,thecorrectiveprocessoftenbecomesinvisible.Whenweeatenoughfoodorgetenoughsleep,wetendtotakethesefunctionsforgranted.
Bycontrast,wearemoreawareofbalancingprocesseswhenasystemisnotaccomplishingthegoalwestateforit.Inotherwords,balancingfeedbackalso
helpsexplainwhysystemsdonotchangedespitepeople’sbesteffortstoimprovethem.Simplecorrectiveprocessesfailtofunctionasintendedinatleastoneofthreeways.
First,weoftenstopinvestinginthesolutiononceaproblemappearssolved.Thisactof“takingthepressureoff”oftenleadstheproblemtorecur—muchtothefrustrationoftheproblemsolvers.Forexample,urbanyouthcrimeinBostonwasaseriousproblemintheearly1990s.Politicalandcommunityleadersbandedtogethertodevelopnumerouscoordinatedsolutionsinresponse—fromcommunitypolicingandneighborhoodwatchestogangoutreachandafter-schoolprograms.Whenyouthcrimedeclinedasaresult,politicalleadersfeltobligatedtoshiftfundstomoreobviouslypressingproblems.Asaresult,theygraduallybegantocutbackonthecrimepreventionprogramsthatworkedsowell,andtheproblemreturned.8
Thesecondtendencyistofailtoappreciatethetimerequiredtoeffectchange.Forexample,arecentsuccessstoryoncurbingteendrinkingandsubstanceabuseinoneMassachusettscommunityofforty-sixthousand,whereadultsalsoexhibitedabove-averageratesofalcoholanddrugabuse,describedhowcoordinatedimprovementshadgraduallytakenholdoveraperiodofelevenyears.9Suchpatienceandpersistencearerare.Normalreactionsinthefaceoftimedelayareeithertobecomeimpatientandpushforprematureresultsortogiveuptooquickly.
Thethirdwayinwhichbalancingloopscanfailtocorrectanexistingsituationiswhenthereislackofagreementonthegoalsofthesystem,thecurrentlevelofperformanceandwhatdrivesit,orboth.Forexample,areportsponsoredbytheBallFoundationnotedtherewasnolackofeducationalinnovationinselectedUSschoolsandschooldistricts.10However,educatorsseekingtodisseminatetheseinnovationsonabroaderscalewereconfrontedbyseriousdisagreementsaboutboththegoalsofK–12educationandcurrentperformancelevels.Someschooldistrictsdefinedtheirgoalsintermsoftestscores,whileothersviewedgraduation,subsequentemployment,orthemotivationandcapacityforcontinuouslearningasthedesiredresult.Similarly,theseschooldistrictsmeasuredactualperformancedifferentlyintermsoftestscores,howchildrenperformedaftergraduation,andindicatorsofcreativityand
self-directedlearning.Itisverydifficulttodefineanddisseminateaparticularstrategywhenthedesiredfuture,systemgoals,and/orperceptionsofcurrentconditionsareambiguousorconflicted.
Byunderstandingineffectivebalancingloops,funders,nonprofitleaders,andpolicymakerscan:
•Ensurethateffectivesolutionsarereinforcedandsustainedovertimeinsteadofreducedwhenthepressuredecreases.•Respecttimedelaysbybeingpatientandpersistentwithsocialinvestments.•Establishaclearandcompellingsharedvision,jointgoals,andacommonunderstandingofcurrentrealitybeforedevelopingstrategy.Thisisthebasisforthechangemodeltobeintroducedinchapter5.
Figure4.3summarizesthecoreelementsofasystemsstory.
ThePlotsThickenMostcomplexproblemsarisefromcombinationsoftwoormorereinforcingand/orbalancingfeedbackprocesses.Thegoodnewsisthatwecangainpreliminaryinsightintoawiderangeofdynamicsbybecomingfamiliarwithtenofthesesystemarchetypesorclassicstories.Thearchetypesarewellunderstood,easilytransferableacrossdifferentsystemcontexts,andoftenserveascatalystsfordiscerningevenmorecomplexdynamics.11Thissectiondescribesfiveingreaterdetailsincetheyilluminatesomanyproblemsinsocialsystems,andintroducesfivemorethatarehelpfultorecognize.
FIXESTHATBACKFIRE
FixesThatBackfireisthestoryofunintendedconsequences.Figure4.4showsthecoredynamicofFixesThatBackfireandthepatternofbehaviorthatarisesfromit.Peopleimplementaquickfixtoreduceaproblemsymptomthatworksintheshortrun(B1infigure4.4);however,thequickfixalsocreateslong-termunintendedconsequencesthatexacerbatetheproblemsymptomovertime(R2infigure4.4).Moreover,peopledonotrecognizethesenegativeconsequencesas
derivingfromthequickfixbecauseofthetimedelay.Therefore,whenthesymptomreturnstheyincorrectlyassumethatthesolutionistoimplementmoreofthequickfix.Theythink,“Itworkedthefirsttime;wejustdidn’tdoenoughofit.”Whentheyreturntothequickfix,thecyclerepeatsitself:short-termgainsunderminedbylong-termnegativeconsequences.
FIGURE4.3COREELEMENTSOFASYSTEMSSTORY.Systemsstoriesaremadeupofcircularcause–effectrelationshipsamongvariablesthatchangeovertime.InnovationAssociatesOrganizationalLearning
WhatdoesaFixThatBackfireslooklikeinpractice?Let’sreturntotheTAPIcase.Thefixofharshprisonsentencesreducedcrimeandthefearofcrimeintheshortrun.However,overtimeprisonerswerereleased,oftenhardenedbytheirexperienceorunpreparedandlegallyrestrictedintheirabilitiestobecomeproductivemembersofsociety.Onaverageacrossthenation,nearlyhalfofformerlyincarceratedpeoplesuccumbtothepressurestocommitanothercrimeinthefirstthreeyearsoraresentbacktoprisonforparoleviolations.Inarelatedexample,drugbuststakecriminalsoffthestreetandthusreducedrug-relatedcrimeintheshortrun.However,theyalsoremovedrugsfromcirculation,therebyincreasingdrugpricesandrequiringaddictstostealmoretopayforreducedsuppliesinthelongrun.12
FIGURE4.4FIXESTHATBACKFIRE.FixesThatBackfireisthestoryofaquickfixproducingunintendedconsequencesthatgraduallymakeaproblemsymptomworseovertime.InnovationAssociatesOrganizationalLearning
Inhealthcare,ascostsofcareincrease,thereispressuretoreducethelengthofhospitalstays.However,peopleareoftensenthometooearlyandmustbe
readmitted,therebyincreasingcostsofcareevenfurther.InherbookTheCrisisCaravan,journalistLindaPolmancitesthenumerous
problemscreatedbywell-intentionedfundingsentbynonprofitsandwealthiercountriestorelievethedevastationcausedbycivilwarinpoorcountries.Thereliefaid,howeverwellmeaning,producesseveralunintendedconsequencesthatexacerbatethesehumanitariandisastersovertime:Fightersinthewarbecomehealthierandmoreabletocontinuefighting,aidsuppliesarehijackedbydespotsorelitesseekingtomaintainpower,andcynicalleadersmanufactureadditionaldisasterstoreceivemoreaid.Inaddition,thefundingprovidedforreliefcreatesamarketforrelieforganizationsthatcometocompetewithoneanotherformorefunding.13
Anothertypeofreliefaid,sendingfoodtopeoplesufferingfromstarvationcausedbyeitherhuman-madeornaturaldisasters,backfiresinadifferentway.Thepeoplewhobenefitthemostfromfoodaidarechildren.Becausetheysurvive,theyareabletoreachchildbearingagethemselves.Countriesreceivingfoodaidthenfaceanotherspikeinpopulationgrowthandstarvationtentofifteenyearsaftertheyreceivedtheaid.
Casessuchasreliefandfoodaidareparticularlypowerfulinraisingapoignantanddifficultchallengefacedbypeoplewhowanttodogood.Whiletherearethingspeoplecandotoeaseothers’sufferingintheshortterm,thesesolutionscouldmakethingsworseovertime.Itisincumbentonpeoplewhowanttohelptothinkthroughandmitigatethepossibleunintendedconsequencesoftheiractions.
TypicalkeystoovercomingthetendencytowardFixesThatBackfireinclude:questioningthewisdomofthequickfix,identifyinganalternativeresponse,ormitigatingthenegativeconsequencesofthefixifnoalternativecanbefound.Additionalpossibilitieswillbecoveredinchapter10.
SHIFTINGTHEBURDEN
InmanycasesthebestwaytoreducethelikelihoodofFixesThatBackfireistosolvetheunderlyingproblemthatproducesthesymptoms.Peopleoften
recognizethatamorefundamentalsolutionisdesirable,butthenwonderwhyitissodifficulttoimplement.Oneofthekeyreasonsisthataddressingtherootcauseoftheproblemtakeslonger,ismoreexpensive,andcanentailmoreriskanduncertainty.
Thispullbetweenimplementingaquickfixandaimingforamorefundamentalsolutionliesattheheartoftheso-calledphilanthropicchallenge:Dowefixtheproblemnoworhelppeopleovertime?Insystemsterms,dependingonthequickfixisknownasShiftingtheBurden,whichproducesasimilarpatternofbehaviorasFixesThatBackfire:Intermittentreductionsoftheproblemsymptommaskagradualworseningoftheproblem.However,thereareseveralimportantdifferences:
•InShiftingtheBurdenpeoplegenerallyknowwhatthemorefundamentalsolutionis,buttheycannotgeneratethemotivationandinvestmentsrequiredtoimplementit.Bycontrast,thereisnoclearfundamentalsolutiontotheproblemsymptominFixesThatBackfire,andsoaquickfixseemsliketheonlypossibleresponse.
•Intheshortrunthesuccessofthequickfix,whichistheobviousandeasierofthetwoalternatives,createstemporaryimprovementinthesymptom,whichinturnunderminespeople’smotivationtoimplementthemorefundamentalsolution.
•Inthelongrunimplementingthequickfixproducesunintendedconsequencesthatactuallyunderminepeople’sabilitytoimplementthefundamentalsolutioneveniftheywantto.Onecommonwayinwhichthisabilityisreducedisthatthequickfixconsumesresources(people,time,money)thatwouldotherwisebeavailabletosolvetheproblemmorepermanently.
•Asaresultpeoplecometodependmoreandmoreonthequickfixovertime,andinvestlessandlessinthecoresolution.Thisgrowingdependenceonthequickfixisalsoknownasaddiction.Despitetheirbetterjudgment,peoplebecomeaddictedtothequickfix.
Thesystemsstructureandresultingpatternofbehaviorareshowninfigure4.5.Thetoploop(B1)showsthequickfix,whilethebottomloop(B2)showsthefundamentalsolution.B2isvirtualinthesensethatitshouldbeactivatedbytheproblemsymptombutisnot;insteadthesymptomismitigatedbythequickfixtotheextentthatpeopledonotfeelsufficientlymotivatedtoimplementasolutionthattendstobelonger-termandmorecostly.ThecombinationofB1andB2formaviciouscyclethatincreasesuseofthequickfixovertimewhiledecreasingincentivetousethefundamentalsolution.TheR3looponthesideshowsthatincreasinguseofthequickfixcreatessideeffectsthatactuallydecreasethesystem’sabilitytoimplementthefundamentalsolutionovertime,therebyexacerbatingtheproblemsymptomevenfurther.
ThefoodaidandTAPIcasesareexamplesofbothShiftingtheBurdenandFixesThatBackfire.Withrespecttofoodaid,thereisageneralunderstandinginthedevelopmentcommunitythatthefundamentalsolutiontostarvationisstronglocalagriculture.However,receivingfoodaidunderminesmotivationtodeveloplocalinfrastructure.Inadditionthefreefooddrivesdownlocalfoodpricesandmakesitdifficultforfarmerstogrowanddistributefoodprofitably,therebyweakeninglocalagricultureevenfurther.
FIGURE4.5SHIFTINGTHEBURDEN.ShiftingtheBurdenisthestoryofunintendeddependencyonaquickfixthatreducespeople’swillingnessandabilitytoimplementamore
fundamentalsolution.InnovationAssociatesOrganizationalLearning
Whenitcomestocriminaljusticereform,get-toughprisonsentencesleadpublicofficialsandordinarycitizenstobelievethatthecrimeproblemhasbeenaddressed,thusreducingtheirmotivationtoinvestinalternativemeansofsolvingit.Thesesentencesgetoffendersoffthestreet,buttheburdenisshiftedwhen,uponrelease,formerlyincarceratedpeoplearelessabletodothehardworkofresettlement.Inaddition,thehighcostsofourcurrentpenalsystemreducefundingforcommunitydevelopmentandresettlementprogramsthatwouldreducecrimeandthefearofcrimeinmoresustainableways.Failingtoinvestsufficientlyincommunitydevelopmentandresettlementinitiativesincreasesthepossibilityofcrimeanditsaccompanyingfears.
Inhealthcare,itiscommontoinvestmoreintreatingillnessthaninpreventingitorimprovingoverallhealth.Thelong-termconsequenceofthisinvestmentisthatthereislessmoneyavailableforinfluencingtheunderlyingfactorsthatshapegoodhealthinthefirstplace.
Therearealsoexamplesofquickfixesthatunderminefundamentalsolutionstobefoundininternationaldevelopment.WilliamEasterly,aprofessorofeconomicsandco-directoroftheaward-winningNYUDevelopmentResearchInstitute,challengespeoplewhoarecommittedtorelievingpovertyindevelopingcountriestobewaryofsupportingtechnocraticsolutionsimplementedbyautocrats.14Hedemonstratesthatbottom-updevelopmentbymostlysmallactorsismuchmoreeffective.Whiletop-downtechnocraticsolutionsmayprovidetemporaryreliefforpoorpeople,oratleasttheappearanceofrelief,italsotakesfundsawayfromthemorefundamentalsolution.15
TheShiftingtheBurdenmodelplaysoutintherealmofcorporatesustainabilityaswell.AsJohnEhrenfeld,theexecutivedirectoroftheInternationalSocietyforIndustrialEcology,explains,“Eco-efficiency,ordeliveringmorevalueforlessenvironmentalburden,hasbeentoutedastheprimaryinstrumentforachievingsustainability.Sohassociallyresponsibleinvesting...Theproblemisthatnoneofthisespousedbenevolencecreatestruesustainability.Atbest,itonlytemporarilyslowssociety’scontinuingdrift
towardunsustainability;atworst,itservesasfeel-goodmarketingforproductsandservicesthatinfactdegradeandpolluteourenvironmentandfailtomeaningfullysatisfytheneedsofconsumers.”16Ehrenfelddistinguishesbetweenwhatheseesasthequickfixofsupportingmoreefficientconsumptionandafundamentalsolutionthatchangestheprevailingconsumption-driveneconomicmodeltoonethatemphasizesthenonmaterialfactorsdrivingqualityoflifeanddoesnotdependonresource-depletingproductstocreatesatisfaction.
PeterBuffett,oneofthesonsofWarrenBuffettandchairmanoftheNoVoFoundation,alsocallsforredefiningthequalityoflifewhenhechallengeswhathecalls“philanthropiccolonialism.”17Hepointsoutthatgrowingthenonprofitsectorisaquickfixtotheproblemofincomeinequalitybecauseitdistractsdonorsfromthedeeperworkofdevelopingamorehumanisticapproachtocapitalism.Buffetquestionsthelogicofincreasingpoorpeople’scapacitytoconsumeattheexpenseofcreatingamoremeaningfulexperienceofprosperityforall.Theunintendedconsequenceofdependingonthenonprofitsectortosolvesocialproblemsisthatphilanthropicallymindedpublic-andprivate-sectorleaderscanjustifywhattheyhaveearnedthroughastructurethatconcentrateswealthintheirhandsbygivingsomeofthatwealthbacktothepoorwithoutchallengingthesystemofinequalityitself.
KeystoovercomingthetendencytowardShiftingtheBurdeninclude:questioningthewisdomofthequickfix,challengingassumptionsthatdiscourageinvestmentinthefundamentalsolution,andestablishingalong-termvisionthatmotivatesimplementationofthissolution.Additionalpossibilitieswillbecoveredinchapter10.
LIMITSTOGROWTH
LimitstoGrowthisthestoryofunanticipatedconstraints(seefigure4.6).Itsunderlyingmessageisthatnothinggrowsforever.Anyengineofgrowthorsuccess(theR1loopontheleftofthediagram),howevereffectiveforaperiodoftime,willinevitablybeconstrainedbyexternaland/orinternalfactors(thatproducetheB2loopontherightsideofthediagram).Externalfactorsmight
includetheavailabilityoffunding,theaccessibilityofthetargetpopulation,andthequalityofnaturalresources.Internalconstraintsmightincludemanagerialcapability,operationalcapacity,andanorganization’swillingnessorabilitytocollaboratewithothers.
Onecommonexamplefacingmostsocialinnovationsistheproblemofscale-up.Oncetheinnovationisproven,itstillfaceschallengesinexpandingitsreachtoabroaderclientbase.Constraintsmightcomeintheformoforganizationalcapacity,funding,and/orabilitytocreateeffectivepartnerships.18Anexampleofexternalconstraintsisthedrainonenvironmentalresourcesthatsustainlifeasweknowit,aproblemidentifiedinthepioneering1972bookaptlytitledLimitstoGrowth.19
FIGURE4.6LIMITSTOGROWTH.LimitstoGrowthisthestoryofgrowthinevitablyconstrainedbylimitsthatmustbeovercomeinordertosustainsuccess.InnovationAssociatesOrganizationalLearning
WhenfacedwithLimitstoGrowth,thekeystepsleaderscantaketomitigatetheeffectsoftheconstraintsaretoresistthetemptationtorelymoreheavilyontheexistinggrowthengine,identifyorideallyanticipatethelimits,andinvesttoovercomethemusingresourcesprovidedbythecurrentengineordrawnfromoutsidesources.Chapter10describesmanystrategiesforincreasingnonprofit
capacityandscalingupsuccessfulsocialinnovationswiththeLimitstoGrowthplotinmind.
SUCCESSTOTHESUCCESSFUL
Thetendencytoconcentratewealthorsuccessinthehandsofthefewisitselfacommondynamicinsocialsystems(seefigure4.7).Inasystemwithfixedresources,ifpartyAgainsanearlyadvantageoverpartyB,Acanusethatadvantagetoacquireevenmoreresources(R1,whichisavirtuouscycleforA).Meanwhile,partyBbeginsatadisadvantagethatgrowsovertimeasitbecomeslessandlessabletogenerateadditionalresources(R2isaviciouscycleforB).Inotherwords,opportunitybreedssuccess,successbreedsopportunity—andthereverseisalsotrue.
Inparticular,inhisrecentbookonincomeinequalityCapitalinthe21stCentury,FrencheconomistThomasPikettypointsoutthataccruedbenefitstothealreadywealthycomenotjustintheformofmoregoods,butalsointheformofcapitalthatmakesthemevenmoreproductiveandthusconcentrateswealthfurtherandfurtherintotheirhands.20Capitalincludessavingsandinheritedwealththatleadtosuchincome-generatinginvestmentsasstocks,land,higher-qualityeducation,betterhealthcare,andaccesstoinfluentialpeople.Bycontrast,whilemoneyspentbypeopleonacquiringgoodsmayprovidemorecomfort,itdoesnotnecessarilyincreasetheiraccesstothefactorsofproductionrequiredtocreatemorewealth.21
FIGURE4.7SUCCESSTOTHESUCCESSFUL.SuccesstotheSuccessfulexplainshowoneparty’ssuccessandanotherparty’sfailurecanbesocloselylinked.InnovationAssociatesOrganizationalLearning
Whilecertaindynamicshelptherichgetricher,othersworkdirectlyorindirectlyagainstthepoorandespeciallyminorities.ThisiswhatexpertslikeKeithLawrence,co-directoroftheAspenInstituteRoundtableonCommunityChange,callstructuralracism,whichhedefinesas“thenormalizationandlegitimizationofanarrayofdynamics—historical,cultural,institutionalandinterpersonal—thatroutinelyadvantagewhiteswhileproducingcumulativeandchronicadverseoutcomesforpeopleofcolor.”22
Examplesofstructuralracismincludegerrymanderingandotherrestrictionsimposedonlargelyminorityvoters.Peoplewhohavebeeninprison,whoarealsolargelyblackmen,facehigherhurdlestoreentersocietywhentheyarereleased,includingacriminalrecordthatoftendiscouragesprospectiveemployers.Infantsandyoungchildrenbornintopoorfamiliesgetaworsestartinlifebecausetheirparentsareoftenunderenormouseconomicandemotionalstressanddonothaveaccesstoqualityhealthcareandpreschoolservices.Recentstudiesshowthatthebestwaytofightinequalityistogivethesefamilieshelpearly—evenbeforebirth.23
WhileitistemptingtoassociatetheSuccesstotheSuccessfuldynamicwithcapitalism,thetendencyexistsinmostsocieties:capitalist,communist,andtraditional.Sustainablesocietiesmoderateitthroughvariousredistributivemechanismsthatenableallofitsmemberstoliveinrelativebalance.
ACCIDENTALADVERSARIES
AsdescribedintheCollaboratingforIowa’sKidscase,AccidentalAdversariesisthestoryoftwoprospectivepartnerswhogradually—andinadvertently—becomeenemies.Asshowninfigure4.8,partiesAandBideallycontributetoeachother’ssuccessthroughactionstheytakethatbenefittheother(outsideloopR1).WhenAforitsownreasonsislesssuccessfulthanitwantstobe,itindependentlyadoptsasolutionthatimprovesitsownperformance(B2).However,itssolutionunintentionallyobstructsB’ssuccess.WhenBislesssuccessfulthanitwantstobe,itadoptsasolutiontoimproveitsownperformancethatworksforit(B3).However,B’ssolutionunintentionally
underminesA’ssuccess.Thecombinationofindependentlychosensolutionsthatinadvertentlyobstructeachother’sperformanceisaviciouscycle(R4).Inessence,partiesAandBcreateFixesThatBackfireonthemselvesbymakinglifemoredifficultforthepartnerthatcouldpotentiallyhelpthem.
FIGURE4.8ACCIDENTALADVERSARIES.AccidentalAdversariesdescribeshowapromisingrelationshipcanunwittinglydeteriorateintoanadversarialone.InnovationAssociatesOrganizationalLearning
TheIowacaseisanexampleofinadvertentconflictbetweenacentralorganizationanditsgeographicrepresentatives.StakeholdersidentifiedthisconflictbetweenthestateDepartmentofEducationandAreaEducationAgenciesasasystem;theylikewiseidentifiedtheconflictsbetweenAEAsasasystemandindividualAEAs,betweenindividualAEAsandlocalschooldistricts,andbetweenlocalschooldistrictsandthestateDepartmentofEducation.Thesamedynamiccreatedtensionbetweenacommunitycollegedistrictandthefiveindividualcollegesthatmadeupthedistrict.Inthiscaseanewcollegepresidentwantedtocentralizefunctionshistoricallymanagedbyeachoftheindividualcollegesinordertoincreaseefficienciesacrossthe
district.However,thecollegesresistedcentralizationbecausetheywereconcernedthatlosingcontrolofthesefunctionswouldreducetheirabilitytocustomizeservicesfortheirdistinctstudentbodies.
Averydifferentexampleisthetensionthatexistsbetweenelectedofficialsandcivilservants.24Electedofficialsneedthecivilservantswhoworkforthemtoimplementinitiatives,andcivilservantsbenefitfromthepoliticalinfluenceprovidedbytheseofficials.However,shiftingpoliticaladministrationsoftenleadelectedofficialstoimplementchangesthatmakeitdifficultforcivilservantstofulfillmissionoutcomesdespiteelectioncycles,andthecivilservantsinturnseektomaintainmission-criticalwork.
Forexample,whenWilliamRileybecameadministratoroftheUSEnvironmentalProtectionAgency(EPA)underPresidentGeorgeH.W.Bush,hesoughttoexpandtheorganization’smissionbeyondsolelyregulationtofocusmoreonpollutionpreventionandconservation.Toaccomplishthis,hesoughttointegrateEPAprogramsaroundaplace-basedorwholesystemsapproachtoenvironmentaloutcomes.Thisrequiredmovingawayfromthesiloedstructuresandprogrammaticmeasuresofsuccessgeneratedbyyearsoflegislativepolicies.
Then,fouryearslaterundertheClintonadministrationandnewEPAleadershipofCarolBrowner(whotohercredittightenedtheCleanAirAct’sambient-air-qualitystandards),theagencyrevertedtotheoriginalsiloedstructuresandprogrammaticmeasuresofsuccessdespitemanyopportunitiestodootherwisewiththepassageoftheGovernmentPerformanceandResultsAct.Duringthattime,however,seniorcivilservantsintheBostonregionalofficekeptRiley’sintegratedandpollutionpreventionapproachalivethroughtheirrestructuringofthisofficetocreateanecosystemprotectiondivisionandpollutionandenforcementprotectiondivision.Theyalsoredesignedtheprogrammaticandindividualperformancemeasuresbyreinventingtheperformancemanagementsystemtoreflectaplace-based,integratedapproachtooutcomes.Theydidthisoutofastrongbeliefthatthepublicgoodwasbestservedbyfocusingontheorganization’sendsofenvironmentaloutcomes,notjustthemeansofpermitsandenforcementcases,anddespiteoverwhelmingresistancefromsomeoftheirbossesinWashingtonandBostonaswellassomeoftheirpeers.Inanidealworld,bothgroupswouldworktogethertointegrate,
improve,orretirefragmentedandantiquatedlawsandpolicies;establishsharedstrategicplansandgoalsthatarebothlong-andshort-term;andutilizeallexistingresourcesonbehalfofthemissionandstrategicgoals.
Moregenerally,thekeystostrengtheningthepartnershipbetweenAccidentalAdversariesaretoclarifythepotentialbenefitsofthepartnershiptobothparties,emphasizethattheproblemscausedbybothsideshavenotbeenintentional,andsupportbothgroupstodevelopsolutionstotheirrespectiveproblemsinwaysthatdonotunderminetheothergroup.
OTHERSYSTEMSSTORIES
FiveotherplotlinesthatcanbeeasilyrecognizedacrossmultiplesocialproblemsareDriftingGoals,CompetingGoals,Escalation,TragedyoftheCommons,andGrowthandUnderinvestment.
DriftingGoalsisthestoryofanunintentionaldrifttolowperformance.ItisaspecialcaseofShiftingtheBurden,wheretheeasiestalternativetoimplementingalong-termfundamentalsolutionistolowerthegoalofthesystem(therebyreducingtheneedtomakesuchanextensiveinvestment).Forexample,inrecentyearswehavecometoacceptanincreasingpolarizationinUSpolitics,onethathasthreatenedtheveryfunctioningofourfederalgovernmentmorethanonce.Weallowthisattheexpenseofeffectivelychallengingtheelectoralprocessandtheinfluenceofmoneyonpoliticalinfluence.Onamorepersonalnote,wehavecometotoleratedisrespectfullanguageandhighlysexualizedexpressioninmusicandvideosavailabletochildren(mysonisten)insteadofquestioningthevaluesthatgeneratethem.
CompetingGoalscomesintwoforms:conflictinggoalsandmultiplegoals.25
Inthefirstcase,itisimpossibletoachievetwodifferentgoalsbytakingthesameaction.Inthecaseofdeep-seatedconflicts,thegoalofdefeatingone’senemycannotbeaccomplishedatthesametimeasthegoalofpeacefulcoexistence.Forexample,thevoicesofIsraelisandPalestinianswhopreferapeacefultwo-statesolutionaregraduallydrownedoutbyextremistsonbothsideswhowanttheirneighborstobeeliminatedorsubjugatedinstead.26By
contrast,theproblemofmultiplegoalsisoneofoverload—peopletryingtoaccomplishtoomanygoalsandthereforebeingineffectiveinachievinganyofthem.
Escalationisthestoryofunintendedproliferation:Theharderyoupush,theharderyouradversarypushesback.Mostcommonly,escalationdescribeseffortstodominateorgainrevengeontheotherparty.Armsracesandwarsareexamplesofthisdynamic,whereeachpartytriestogainadvantageovertheotherbyforce.Ironically,escalationalsoexplainsthe“racetovictimhood”foundinidentity-basedconflictswhereeachsideseekstodemonstratethatitisthemoreaffectedvictimoftheother’saggression.27PsychologistTerrenceRealexplainsthatthesetendenciestowardaggressionandvictimizationaretwosidesofthesamecoinbyobservingthatpeopletendto“oppressfromthevictimposition”asawayofjustifyingtheiraggression.28
TragedyoftheCommonsisthestoryofdepletingacollectiveresourcethatnopartyfeelsindividuallyresponsibleformaintaining.29Itismosteasilyrecognizableinthedestructionofournaturalresources—whetheroverharvestingfisheriesandforests,pollutingairandwater,orexhaustingvaluabletopsoil.Amoresubtleformwithinorganizationsisthetendencyofindividualdepartmentstoplaceexcessivedemandsonacentralizedspecialresource(suchasIT),therebyunderminingtheeffectivenessofthatresourceovertime.
GrowthandUnderinvestmentisthestoryofself-createdlimits.Byinvestinginsufficientlyinanewventure,anorganizationfailstoadequatelyfundthecapacitythatwouldberequiredtomeetgrowingdemand.Becausecapacityisunabletokeepupwithemergingdemand,thedemanditselfnotonlyfailstoincreasebutmayactuallydecline.Moreover,theorganizationtheninterpretslimiteddemandasasignalthatitsoriginallyconservativeinvestmentwasjustified,insteadofasanindicationthatsufficientinvestmentinbuildingcapacity—notjustdemand—isthekeytolong-termgrowth.Examplesofthisoccurininadequatefundingofnewsocialventuresandrestrictinginvestmenttoexpandinganorganization’sdirectservicesattheexpenseofdevelopingrequisiteorganizationalcapacity.
Beforeclosingthissection,itishelpfultonoteoneotherstoryline,knownastheBathtubAnalogy.Thisanalogyaddstheconceptofflowtothoseofstocks
(orlevelsorvariables)andfeedbackrelationshipsintroducedsofar.Theanalogystatesthatthelevelofwaterinabathtub(orcarbondioxideintheatmosphere,homelesspeopleinacity,unitsofaffordablehousinginanarea,andsoon)isgovernedbytherelativeflowsofwaterintoandoutofthetub.Ifyouwanttochangethelevelofwaterinthetub,youhavetochangetherelativeratesatwhichwaterflowsinanddrainsout,asfigure4.9explains.
TheanalogygainednationalattentionasNationalGeographic’sBigIdeaoftheYearin2009.30DevelopedbyProfessorJohnStermanatMITanddescribedasTheCarbonBathtub,theideais“simple,really:AslongaswepourCO2intotheatmospherefasterthannaturedrainsitout,theplanetwarms.Andthatextracarbondioxidetakesalongtimetodrainoutofthetub.”InordertoreducethelevelofCO2intheatmosphere,itisnecessarytobothreduceCO2inflowsandincreaseCO2outflows,wheninfacteconomicgrowthanddestructionofrainforestsareproducingtheoppositeeffects.Whiletheanalogyseemsdeceptivelyobvious,Stermannotesthatthetendencytoconfusestocks(orlevels)withflowsis“animportantandpervasiveprobleminhumanreasoning.”
FIGURE4.9THEBATHTUBANALOGY.TheBathtubAnalogyhighlightstheimportanceofunderstandingstocksandflowswhenanalyzingsystembehavior.InnovationAssociatesOrganizationalLearning
Thetwelvearchetypes(includingthefoundationalonesofreinforcingandbalancingfeedback)introducedhereandsummarizedintable4.1,aswellastheBathtubAnalogy,formthebasisformorecompletestories,nottheirendpoint.However,thesecommonandrecognizablestorylinescangivepeople
enormouslyvaluableinsightsintomorecomplexissues.Theseinsightsinturnprovidetheessentialself-awarenessrequiredtoshiftless-than-functionaldynamics.
TheStoriesBehindtheStoryThedynamicsdescribedinthestoriesaboveareinturnperpetuatedbytwootherkeyfactors:people’sbeliefsandassumptionsabouthowthingsshouldwork,andtheirunderlyingintentions(orpurpose).Inotherwords,thesystembehavesthewayitdoesinpartbecausepeoplearetryingtoprovethattheirassumptionsaretrueandtoachievecertaingoalsthattheymightnotevenbeawareoforacknowledge.
InthecaseofCollaboratingforIowa’sKids,thefundamentalbeliefheldbyeachorganizationwasthatitwasdoingthebestitcouldtoimproveK–12educationforchildrenatitslevel(statewide,regional,orlocal),andthatshortfallsineducationalperformancewerecausedbyorganizationsinthesystemotherthanitself.Thepurposeofeachorganizationwastooptimizeperformanceacrossthegeographicareaforwhichitwasresponsible,whichitincorrectlyassumedwouldoptimizeperformanceforallchildrenthroughoutthestate.
TABLE4.1.SUMMARYOFSYSTEMSARCHETYPES
InthecaseofTheAfterPrisonInitiative,advocatesofreformbelievethatratesofincarcerationcontinuetoincreasedespitedecreasingcrimelevels
becauseofstructuralracism.Otherssaythathighincarcerationrateshaveinfactcausedcrimelevelstodrop,althoughtheyalsonotethatthemarginalbenefitofcontinuingtoincreasethenumberofpeopleinprisonmightnotbejustifiedintermsofcorrespondingdecreasesincrime.31Reformersperceivethattheunderlyingpurposeofharshprisonsentencesistomarginalizepeopleofcolorandotherminoritiesbecausetheyaredifferent,whilemanyelectedofficialsarguethatthepurposeofpublicsafetyisbeingachievedbyget-toughsentencing.
Beingabletorecognizealltheseplotlinesinasystemsstoryhelpsenormouslyasweenterthenextstage—managingchangethroughthefour-stageprocess.
ClosingtheLoop•Systemsstructurescanbesummarizedintermsofrecognizablestorylinesorplotsthatrecuracrossawidevarietyofsocialissues.•Thekeydriversofsystemsstoriesarewhatpeopleassumetobetrueandtheirunderlyingintentions.•Thereareseveralwaystoshiftthesedynamics.Thefirststepinallcasesistobecomeawareofthemandone’sroleinperpetuatingthem.
PARTTWO
THEFOUR-STAGECHANGEPROCESS
—CHAPTER5—
AnOverviewoftheFour-StageChangeProcess
Inthesummerof2006,MichaelGoodmanandIsupportedagroupofcommunityleadersinCalhounCounty,Michigan(populationonehundredthousand),todevelopaten-yearplantoendhomelessness.1Theagreementforgedbygovernmentofficialsatthemunicipal,state,andfederallevels—alongwithbusinessleaders,serviceproviders,andhomelesspeoplethemselves—cameafteryearsofleadershipinertiaandconflictregardingwhatneededtobedonetosolvetheproblem.Moreover,theplansignaledaparadigmaticshiftinhowthecommunityviewedtheroleoftemporarysheltersandotheremergencyresponseservices.Ratherthanseethemaspartofthesolutiontohomelessness,peoplecametoviewtheseprogramsasamongthekeyobstaclestoendingit.
Theplanwonstatefunding,andaneworganizationledbyanexecutivedirectorandmultisectorboardwasformedtosteerimplementation.Serviceproviderswhohadpreviouslyworkedindependentlyandcompetedforfoundationandpublicmoneyscametogethertoworkinnewways,asexemplifiedbytheirunanimousdecisiontoreallocateHUDfundingfromoneserviceprovider’stemporaryhousingprogramtoapermanentsupportivehousingprogramrunbyanotherprovider.JenniferBentley,whochairedtheplanningprocess,observed,“Ilearnedthedifferencebetweenchangingaparticularsystemandleadingsystemicchange.”Intheplan’sfirstsixyearsofoperation,from2007to2012,CalhounCountydidaremarkablejobofsecuringpermanenthousingforthehomeless,especiallyinthefaceoftheeconomic
downturnof2008–09.Homelessnessdecreasedby14percent(from1,658to1,419)despitea34percentincreaseinunemploymentanda7percentincreaseinevictions.2
Whywasthisinterventionsosuccessfulwhenmanyothercollectiveattemptstoimprovethequalityofpeople’slivesfallshort?Thelocalfoundationsandotherpartnerswhowereinvolvedcombinedtwosignificantinterventions:aproactivecommunitydevelopmenteffortthatengagedleadersinthethreemajorsectorsalongwithhomelesspeoplethemselves,andasystemsanalysisthatenabledallstakeholderstoagreeonasharedpictureofwhyhomelessnesspersistedandwheretheleveragelayinendingit.Inotherwords,theapproachmergedmoreconventionalprocessesthatfacilitateconveningpeoplesystemically(suchasbringingthewholesystemintotheroom)withtoolsthathelpedthestakeholderstranscendtheirimmediateself-interestsbythinkingsystemicallyaswell.
ConveningandThinkingSystemicallyPart2ofthisbookenablesyoutointegratetheseprocessesofconveningandthinkingsystemicallyintoafour-stagechangeprocess.MichaelandIdevelopedtheapproachasaresultofworkingwithhundredsofexecutivesandchangeagentswhowereresponsibleforleadingsystemicchangeanddidnotknowhowtousethepowerofsystemsthinkingtoincreasetheireffectiveness.Theapproachalsosupportspeopleinterestedinsystemsthinkingtointegrateitintotheworldofpracticalactionandperformanceimprovement.
Leadersofsocialchangerecognizethepowerofconveningmultipleanddiversestakeholders—includingthoserepresentingthenonprofit,public,andprivatesectors—toachievebreakthroughsaroundissuesthataffectallparties.Thepasttwenty-fiveyearshaveseenmanyinnovationsinlargegroupinterventionsdesignedtoincreasecommunicationacrossthesectors,suchasFutureSearch,OpenSpaceTechnology,andtheWorldCafé.3Theseinterventionsareoftenstructuredasindividualeventsoraseriesofevents.Inaddition,newprocessessuchasCollectiveImpact(reviewedinchapter2),TheoryU,SocialLabs,andcollaborationpartnershipsforenvironmentalsustainabilityhavealsoemerged.4
MichaelandIhavefoundthatsystemsthinkingcanenhancemanyoftheseapproachesbyprovidingwhatOttoScharmer,thecreatorofTheoryU,callsa“collectivesensingmechanism”thatenablesallstakeholderstoseethebiggerpictureeachofthemispartof.Thismechanismalsohelpspeopleappreciatehowtheynotonlysupportbutalsooftenunwittinglyunderminesystemperformance,therebyempoweringthemtothinkandactmoreeffectively.
TheFour-StageChangeProcessWebuiltourfour-stagechangeprocessonthe“creativetension”modelintroducedbyPeterSengeinTheFifthDiscipline.5Thismodelproposesthattheenergyforchangeismobilizedbyestablishingadiscrepancybetweenwhatpeoplewantandwheretheyare(seefigure5.1).Ifpeopleholdtothevisionofwhattheywantandaresimultaneouslyclearandcandidaboutwheretheyare,thenthetensionwilltendtoresolveinfavorofwhattheywant.Thisprincipleappliesbothattheindividuallevelandatthecollectivelevel.
FIGURE5.1ESTABLISHINGCREATIVETENSION.Energyforchangeiscreatedbythetensionbetweenadesiredandtheactualcondition.InnovationAssociatesOrganizationalLearning
Translatedtothecollectivelevel,whenpeoplehaveacommonaspiration—asexpressedbyasharedvision,mission,andsetofvalues—andasharedunderstandingofnotonlywheretheyarenowbutalsowhy—thentheyestablishacreativetension,whichtheyaredrawntoresolveinfavoroftheiraspiration.Developingasharedunderstandingofwhythecurrentrealityexistsisessentialtoaddressingthechallengethatstakeholdersoftenagreeonwheretheyareatthetopoftheiceberg(forinstance,feelingpressuretobuildanothershelter),buttheyfailtoseetheunderlyingsystemsstructurethataffectsandisaffectedbyallofthem(theirdependenceontemporarysheltersasasolutiontohomelessness).
Developingasharedpictureofwhatpeoplewantaswellasofrealityatadeeplevelenablesstakeholderstoexperiencetheirresponsibilityforthewholesysteminsteadofjusttheirrole.Itproducesastateofalignmentwherepeoplefreelycommit,“I’llgetmypartdone,andI’llmakesureweallgetthewholethingdone.”Forexample,theymightquestionadecisiontoinvestinnewsheltersandpromoteadditionalinvestmentinpermanent,safe,affordable,andsupportivehousinginstead.
Soweexpandedthecreativetensionmodelintoafour-stagechangeprocesswherestakeholders:
1.Buildafoundationforchangeandaffirmtheirreadinessforchange.2.Clarifycurrentrealityatalllevelsoftheicebergandaccepttheirrespectiveresponsibilitiesforcreatingit.
3.Makeanexplicitchoiceinfavoroftheaspirationtheyespouse.4.Begintobridgethegapbyfocusingonhigh-leverageinterventions,engagingadditionalstakeholders,andlearningfromexperience.
Theprocessissummarizedinfigure5.2.
STAGE1
ThepurposeofStage1istobuildafoundationforchange.Theintendedresultistodevelopcollectivereadinessforchange.Stage1incorporatesthreesteps:
•Engagekeystakeholders.Thisinvolvesidentifyingtherangeofpossiblestakeholdersanddesigningstrategiestoengagethemindividuallyandcollectively.
•Establishcommongroundbycreatinginitialpicturesofwhatpeoplewanttoachieveandwheretheyarenow.Itisusefulatthispointtodevelopaninitialsharedvisionoftheidealoutcomesandanoverviewofwhatisandisnotworkingnow.•Buildpeople’scapacitiestocollaboratewitheachother.Thisinvolvesdevelopingpeople’sabilitiestothinksystemicallyandholdproductiveconversationsarounddifficultissues,aswellastheirunderlyingcapacitytotakeresponsibilityforcurrentreality.
Forexample,theCalhounCountyprojectbroughttogetherleadersfromthepublic,private,andnonprofitsectorsalongwithhomelesspeoplethemselvestodeveloptheirten-yearplantoendhomelessness.Theyengagedinsharedvisioningandwereintroducedtoproductiveconversationandsystemsthinkingtoolsearlyonintheprocess.
FIGURE5.2FOURSTAGESOFLEADINGSYSTEMICCHANGE.Thisfour-stagemodelprovidesaclearpathforleadingsystemicchange.BridgewayPartnersandInnovationAssociatesOrganizationalLearning
STAGE2
ThepurposeofStage2istohelppeoplefacecurrentreality.Theintendedresultsaretobuildnotonlyasharedunderstandingofwhatishappeningandwhy,butalsoacceptanceofpeople’sresponsibilities—howeverunwitting—forcreatingthisreality.Whileitmightseemlogicalatthispointtodevelopaclearerandricherpictureoftheidealfuture,MichaelandIhavefoundthatdigging
moredeeplyintorealityatthisstagemoreaccuratelyreflectsmanypeople’sdesirestounderstandandbeunderstoodforwheretheyarebeforeventuringtoofarforward.AsOttoScharmerobservedbasedonhisworkwithEdSchein,professoremeritusofmanagementatMIT,theprimaryjobofleadershipisto“enhancetheindividualandsystemiccapacitytosee,todeeplyattendtotherealitythatpeoplefaceandenact.”6
ThetasksofStage2areto:
•Identifypeopletointerviewaboutthehistoryofthecurrentsituationandclarifywhatquestionstoask.•Organizeandbegintoimprovethequalityoftheinformation.•Developapreliminarysystemsanalysisofhowdifferentfactorsinteractovertimetosupportorundermineachievementofthevision.•Engagepeopleindevelopingtheirownanalysisasmuchaspossible.•Surfacethementalmodelsthatinfluencehowpeoplebehave.•Createcatalyticconversationsthatstimulateawareness,acceptance,andalternatives.
Forexample,MichaelandIinterviewedfiftyleadersfromacrossthethreesectorsaswellashomelesspeople,developedaninitialsystemsmapthatweinitiallyvettedwithasmalldesigncommittee,andrefinedandthensharedouranalysiswithawidersteeringcommittee.
STAGE3
ThepurposeofStage3istohelppeoplemakeanexplicitchoiceinfavorofwhattheyreallywant.Theintendedresultisthattheyconsciouslycommittotheirhighestaspirationswithfullawarenessofthecosts,notjustthebenefits,ofrealizingthem.Thestepstoachievethisresultaretohelpstakeholders:
•IdentifythecaseforthestatusquouncoveredinStage2—theshort-termbenefitsofthecurrentsystemsuchasquickfixesthatwork,forinstance,andtheimmediategratificationthatcomesfromimplementingthem—andthecostsofchanging,suchastheneedtomakelonger-terminvestmentsineffort,time,andmoney.
•ComparethiswiththecaseforchangedescribedinStage1—thebenefitsofchangeandthecostsofnotchanging.•Createboth/andsolutionsthatachievethebenefitsofboth—orbewillingtomakehardtrade-offsbetweenthem.•Makeanexplicitchoiceandbringittolifethroughavisionthatilluminateswhatpeoplefeelcalledtoordeeplywishtocreate.
AcriticalturningpointinCalhounCounty’sten-yearplanningeffortoccurredwhenthestakeholdersrealizedthattheircurrentsystemwasperfectlydesignedtohelppeoplecopewithhomelessness;however,thewaytheywereoperatingactuallyunderminedtheiravowedpurposetoendhomelessness.
STAGE4
ThepurposeofStage4istohelppeoplebridgethegapbetweenwhattheydeeplycareabout,whichtheyaffirminStage3,andwheretheyarenowasclarifiedinStage2.Thisfinalstageinvolvesidentifyingleveragepointsandestablishingaprocessforcontinuouslearningandexpandedengagement.Specifictasksareto:
1.Proposeandrefinehigh-leverageinterventionswithcommunityinput.Thisincludes:a.Increasingpeople’sawarenessofhowthesystemfunctionsnow.b.“Rewiring”causalfeedbackrelationships.c.Shiftingmentalmodels.d.Reinforcingthechosenpurposethroughupdatedgoalsandplans,metrics,incentives,authoritystructures,andfunding.
2.Establishaprocessforcontinuouslearningandoutreach.Thiscovers:a.Engagingexistingstakeholdersonanongoingbasis.b.Developinganimplementationplanthatincorporatesdemonstrationprojectsaspartofalong-termroadmap.
c.Refiningthedatatobegatheredbasedonnewgoalsandmetrics.d.Evaluatingandrevisingtheplanregularlywithinputfromcurrentstakeholders.
e.Expandingstakeholderinvolvementbytappingadditionalresourcesandscalingupwhatworks.
InthecaseofCalhounCounty,theleveragepointspeopleidentifiedbecamethegoalsoftheirten-yearplan,andothershavebecomeinvolvedintheimplementation.Broaderinvolvementtoendhomelessnessincludesengagingstakeholdersresponsibleforeconomicdevelopment,affordablehousing,fostercare,andthecriminaljusticesystem.
Whilethefourstagesandsupportingtasksarelistednumerically,theprocessitselfisnotalwayslinear,aswe’llseeinthechaptersahead,whichmapoutthetasksassociatedwitheachstep.ThelessonsfromStage4,forinstance,feedbackintoanewStage1inanongoing,circularprocess.Allowingampletimefortheprocessiscritical:Inthiscase,theshortestdistancebetweentwopointsisindeedacircle.
ClosingtheLoop•Youcanincreaseyourabilitytoleadsystemicchangebyintegratingwaysofconveningmultiple,diversestakeholderswithtoolsthathelpthemthinksystemically.•Oneprovenapproachforcombiningthetwoisafour-stagechangeprocessthatexplicitlyharnessesthepowerofsystemsthinking.•Thefourstagesare:buildingafoundationforchange,facingcurrentreality,makinganexplicitchoice,andbridgingthegap.•Thesestageswillbedetailedinchapters6through10.
—CHAPTER6—
BuildingaFoundationforChange
Imagineengagingagroupofcommunitystakeholderstoaddressanimportantsocialissue—suchasendinghomelessness,strengtheningK–12education,orimprovinglocalpublichealth.Youwouldwanttoidentifywhotobringtogetherandhow,establishcommongroundamongtheparticipants,andsupportthemtocollaboratewithoneanother.
Nowimagineyourfirstgroupmeetingandbeingconfrontedbythefactthatpeoplehaveactuallycomewithtwodifferentagendas:theirpubliconetoaddresstheissueandtheirprivateonetooptimizetheirpartofthesystem.JohnMcGahofthehomelessnessinitiativeGiveUSYourPoorandIdevelopedtable6.1todistinguishthesetwoagendasforparticipantsinatypicalhomelesscoalitionmeeting.
Howwouldyouaddressthechallengesofdifferentinterestsandperspectivestobuildastrongfoundationforchange?Howwouldyouensurethatyouinvitetherightpeopleinthefirstplace,establishcommonground,anddeveloptheirabilitiestoworktogether?
EngageKeyStakeholdersKeystakeholdersarepeopleandorganizationsthataffectandareaffectedbytheissue.Theyincludeanyonethatcanmakeacontributiontotheeffort,oranyonethatcanpossiblyderailitifnotonboard.Broadly,participantsmightincludenonprofitorganizationsrepresentingcommunityinterestsand/orspecificpopulations,governmentagenciesthatarechargedwithdevelopingorimplementingsocialpolicies,lawenforcement,healthproviders,schools,businessesconcernedwiththeimpactofanissueoneconomicdevelopment,the
media,andmembersofthetargetpopulation.Diversityiskeybecausesystemsdependonittoinnovate.
TABLE6.1.THEHOMELESSCOALITIONMEETING
Inordertoengagekeystakeholders,aconveningorganizationorgroupsuchasafoundationorcommunity-wideboardneedstoclarifywhoshouldbeactivelyinvolvedandthendevelopastrategyforgettingthemtoworktogether.Ithelpstoincludethefollowingcoregroupmembers:
•Executivesponsorsandkeydecisionmakersrepresentingthekeyconstituencieswhohaveadeepinterestintheissueandopportunity.•Activistswithapersonalpassionfortheissue.•Ultimatebeneficiarieswhousuallyhavelittleornovoiceinthecurrentsystem,suchaspatients,students,homelesspeople.•Aprofessionalconsultantorfacilitator.
Astakeholdermapisasimpletooltoguidetheengagementprocessandexpandparticipation(seetable6.2).Forexample,inapplyingthetooltoendhomelessness,usecolumn1(NAME)toidentifythegroupsorindividualswhoneedtobeinvolvedbecausetheyimpactorareimpactedbytheissue.Incolumn2(CURRENTSUPPORT),considerhowsupportiveeachstakeholdercurrentlyisofcreatinganewreality,onascaleof-3to+3.A-3indicatesthattheyarestronglymotivatedtoblockeffortstoendhomelessness(forwhateverreason),a0indicatesneutrality,anda+3indicatesthattheyarefullymotivatedtotaketheleadinendinghomelessness.
TABLE6.2.ANALYZINGKEYSTAKEHOLDERS
Incolumn3(DESIREDSUPPORT),writedownhowyouasaconvenerwanteachstakeholdertobeinvolvedinendinghomelessness.Forexample,youmightwanttomoveagroupthatiscurrentlya-3(lookingtoblocktheeffort),-2(stronglyopposed),or-1(somewhatopposed)toamoreneutral0position.Oryoumightwanttomotivateacurrentlyneutralgrouptobecomea+1(somewhatsupportive)or+2(stronglysupportive)contributor.Sinceithelpstohaveonlyoneorganizationorgroupsuchasamultisectorleadershipboardinaformalleadershiprole,identifyonestakeholderwhomyouwanttoseeinthe+3role.
Incolumn4(THEIRMOTIVATION),clarifythemotivatorsforeachstakeholdertoparticipateinthewayyoudescribedincolumn3.Somemotivatorsarelikelytobethesameformanystakeholders,whileotherswillbeuniquetospecificgroups.Ifpeopleareresistanttochange,clarifyinthiscolumnthenatureoftheirresistanceastechnical,political,orcultural.Noteincolumn5(WHATYOUCANDO)howyouintendtoengageeachstakeholderdependingonwhytheywouldwanttobeinvolved.Somegroupsmightbebestengagedinitiallythroughindividualoutreach,whileothersmightbegladtobeinvolvedthroughacommunity-widecoalition.Ifpeopleareresistanttochange,recognizethatyoustillhaveseveraloptions.Youcanlegitimizeandaddresstheirconcernsdirectly,influencethemthroughothers,engagethematcriticalphasesintheprocess,orworkaroundthem.
Theformofcollectivegatheringwillvaryaccordingtothenatureoftheissue.Forexample,inthecaseoftheCollaboratingforIowa’sKidsproject,acoregroupofleadersfromthestateDepartmentofEducationandAreaEducationAgenciesconvenedalargergroupofrepresentativesfrombothorganizations,andsubsequentlyinvitedinrepresentativesfromLocalEducationAgencies(LEAs)aswellwhenitbecameclearthatLEAsneededtobepartofdevelopinganewcollaborativeprocess.
Ineffortstoendhomelessness,stakeholdersarelikelytoincludeindividualsandorganizationsthatmakeuptheContinuumofCare,thecoordinatingbodydefinedbytheDepartmentofHousingandUrbanDevelopmenttoaddresshomelessnessinageographicregion.Itisimportanttothinkaboutpeoplewhoprovidenotonlyshelterandhousingforthehomelessbutalsorelatedservices—suchaschildwelfare,criminaljustice,healthcare,transportation,andeducation
—thatimpactandareimpactedbytheproblem.Perhapslessobviousbutequallycriticalarebusinesspeople,becausetheyaffectandareaffectedbytheeconomichealthofthecommunity,whichinturnimpactshomelessness;public-sectorofficialsatthemunicipal,county,state,andfederallevels,becausetheyinfluencefundingstreamsandpolicyrelatedtohomelessness;andhomelesspeoplethemselves.Itisalsoimportanttoconsiderhowtoinvolvethemediaandshapecitizenopinionsabouttheissue.
Convenersneedtoaddressseveralchallengesinengaginglargergroupsofstakeholders:
•Onetimeevents,suchastheretreatusedinTheAfterPrisonInitiative,arelesslikelytobeeffectivethanlonger-termprocesses.Althoughface-to-faceprocessesaremoreexpensivetomanage,especiallywhenpeoplearewidelydistributedatanationalorgloballevel,theycanbeincreasinglycomplementedbyvirtualworkthat’ssupportedbyimprovedcommunicationstechnology.Technologyreducesoverallcosts,andthecombinationofface-to-faceandvirtualcollaborationproducesthebenefitsofsustainedcollectiveattention.
•Askingpeopletoproposereformstoanexistingsystemcanleadthemtothinkthattheyarenotpartofthesystem,andhencenotpartoftheproblem.Systemsthinkingenablespeopletoseehowtheyarepartoftheproblem,whichironicallyincreasestheirabilitytodevelopeffectivesolutions.
•Reformersoftenblamepowerfulstakeholderswhorepresentthestatusquoandarenotpartoftheredesignprocessfortheirowninabilitiestoeffectchange.Whilecertainstakeholdersdoresistchange,itisimportanttorealizethatthereareseveralwaystoworkwiththisresistance,including:legitimizingandaddressingtheirconcernsdirectly,influencingthemthroughothers,andengagingthematcriticalphasesintheprocess.Alternatively,itmightbenecessarytoworkaroundthemorusemoreactiviststrategiessuchaspoliticaladvocacy,activeopposition,andlegislationtochangepolicy—althoughthesearenotthefocusofthisbook.
EstablishCommonGroundEstablishingcommongroundinvolvesdevelopinganinitialappreciationofwhypeoplearecomingtogether,asharedsenseofdirection,andagreementonsomeofthekeyaspectsofcurrentreality.
WhatbroughtpeopletogetherintheCollaboratingforIowa’sKidsprojectwasacommonconcernthat,despitereformeffortsimplementedoverthepastdecade,studentperformancewasnotincreasinginrelationtothestate’sownhighstandardsandrelativegainsdemonstratedbykidsinotherstatesandcounties.TheOpenSocietyInstituteconvenedTheAfterPrisonInitiativeretreattoclarifywhyincarcerationandrecidivismratesremainedsohighdespiteparticipants’extensiveeffortstoreformthecriminaljusticesystem.LeadersinCalhounCountycametogethertocapitalizeonanopportunitytoreceivestatefundingfordevelopingaten-yearplantoendhomelessnessintheircommunity.
Oneusefultoolinestablishingacommonrationaleforcomingtogetheristoaskpeopletoidentifyafocusingquestiontheywanttoanswer.Thefocusingquestionisawayofhelpingpeopledefinetheboundariesofasystemsanalysis.Sinceeverythingisultimatelyconnectedtoeverythingelse,thequestionenablesthemtodeveloparichyetmanageablelevelofinsightintotherootcausesofachronic,complexproblem.Itasks,“Why,oftendespiteourbestefforts,havewebeenunabletoachieveacertaingoalorsolveaparticularproblem?”Thequestion“why”isessentialbecausethisleadspeopletouncoverrootcauses;bycontrast,“howto”questionsmobilizethemtoimplementsolutionstoproblemstheyoftendonotfullyunderstand.
Theuseofafocusingquestionpointstoaparadoxofsystemsmapping:Thepurposeofsystemsmappingistoanswerafocusingquestion—nottomapanentiresystem.Answeringafocusedquestionisaboundedobjectivethatyieldsactionableinsights,whilemappinganentiresystemcanbeanunboundedtaskthatproducesconfusionandparalysisinthenameofcomprehensiveness.
Developingasharedsenseofdirectioninvolvesclarifyingthemission,vision,andvaluesoftheconveninggrouponbehalfofthestakeholderstheyrepresent.Forexample,mycolleagueKathleenZurcherhelpedtheconveninggroupforCollaboratingforIowa’sKidstodefine“theHallmarksofOur
Partnership”and“theFutureWeWillCreateTogether.”1Thehallmarkswerepeople’smissionandcorevaluesincomingtogether.Theydescribedtheirdesiredfutureintermsofbothavisionstatementandadetailedpictureoftheirendresult.Theirrichpictureansweredtwoquestions:“WhatwillweexperienceinIowawhenthisvisionisachieved?Whatdifferencewillitmake?”
Themembersofthe10-YearPlanningCommitteetoEndHomelessnessinCalhounCountysummarizedtheirvisionas:
•Acomprehensive,integratedimplementationplantoreducehomelessnessandchronichomelessnessinCalhounCounty.•Astrongcoalitionofserviceproviders,homelessindividuals,funders,andcommunityleaderswithacommunity-widecommitmenttoendhomelessness.•Asystemthatfosterscollaborationeffortsandateamapproachtoendhomelessness.
Severalfactorsinfluencehowmuchtimetospendonvisioninginthisfirststage.Kathypointsoutthatwhenthequalityofrelationshipsamongstakeholdersisveryfragileorpeoplearetoooverwhelmedbycurrentcircumstancestobecreative,itcanhelpthemtospendmoretimeoncultivatingasharedvisionbeforemovingtoinquiredeeplyintothewaythingsare.Ontheotherhand,ifpeoplearefeelingdisconnectedfromwhatishappeningnoworfrustratedbytheirinabilitiestoimplement“obvious”solutions,thenitmakessensetomovetoStage2faster.
Thefinalstepindevelopingcommongroundistohighlightkeyaspectsofcurrentrealityinrelationtothevision.Forexample,thecommunityleadersinCalhounCountycontrastedtheirvisionwiththefollowingobservationsaboutthewaythingsare:
•Althoughwehavemanyagenciesworkingondifferentimportantaspects,weneedstrongerteamapproaches.•Thereisnotalotofpubliceducationabouthomelessness.•Ourcurrentcoalitionismadeupofprimarilyserviceproviderswithouttheneededcommunity,resident,andmonetarysupport.•Noteveryoneisawareofotheragencyservices.
Youcanusetheicebergtooltohighlightcurrentrealityatmultiplelevels:
Level1:Importanteventsthathavetriggeredpeople’sdesiretocometogether—suchasCalhounCounty’sonetimeopportunitytoreceivestatefundstoendhomelessness.
Level2:Relativechangesinkeyindicatorsovertime—suchasgrowingincarcerationratesdespitedecliningcrimerates.
Level3:Criticalpressures,policies,andpowerdynamicsthataffecttheissueoropportunity—suchastheimpactofstructuralracismoneffortstoreformthecriminaljusticesystem.
Level4:Underlyingassumptionsormentalmodels—suchastheassumptionsinCalhounCounty(andelsewhere)that“peoplewanttobehomeless”and“theindividualistheproblem,notthesystem.”
Creatingacommoncontextforcollaborationandestablishingcreativetensionthroughinitialstatementsofashareddirectionandcontrastingcurrentrealityhelpprovideastrongfoundationforchange.
BuildCollaborativeCapacityThelastcornerstoneofastrongfoundationisdevelopingpeople’sabilitiestoworkwithoneanother.Introducingtheseskillsatthisstageisimportantbecauseoptimizingthesystemrequiresimprovingtherelationshipsamongitsparts,notoptimizingtheindividualpartsasisoftenassumedandrewarded.Improvingthewholealsorequiresthatpeoplefeelcomfortablesharinginformationthatisastimely,accurate,andcompleteaspossible.
Onecapacitytodevelopisthinkingsystemically.Supportingpeopletousethelanguageofsystemsthinkingincreasestheirabilitiestoseethebiggerpictureandspeakinwaysthattakethispictureintoaccount.Itcanbeespeciallyhelpfulatthisstagetointroduceseveraloftheprinciplesandtoolscoveredinearlierchaptersofthisbook:
•Goodintentionsarenotenough.•Characteristicsoffailedsolutions.•Conventionalversussystemicthinking.•Theiceberg.
•Reinforcingandbalancingfeedback.•Timedelays.•Commonsystemsarchetypes.
Whenpeoplecometounderstandthattheyareconnectedinnon-obviousandoftencounterproductiveways,theybegintoappreciatethebiggerpictureandnotjusttheirpartofit.
Asecondcapacityistodevelopproductiveconversationsarounddifficultissues.Asthemetaphoroftheblindmenandtheelephantilluminates,peopleseekingtoworktogetheroftenhaveverydifferentviewsofreality.Inaddition,theexampleofthehomelesscoalitionatthebeginningofthischaptershowsthatevenpeoplewithsharedaspirationscanhaveverydifferentsecondaryagendas.Peoplewhowanttoachievesocialchangeneedtolearntoengageandbridgedifferences.
Thecoreskillforproductiveconversationsistorecognizethattheworldismuchmorecomplexthanpeoplethink.Ourassumptionsormentalmodelsareatonceuseful,limited,andcapableofbecomingmoreaccurate.Forexample,assumingthat“streetpeopleprefertobehomeless”mightbeusefulinthatitacknowledgesthattheymighthavedifficultiesinadjustingtolivinginapermanenthome.Thesameassumptionislimitedinthesensethatmostchronicallyhomelesspeoplewhoaregiventheopportunitytoliveinpermanenthousingwithsupportservicestakeadvantageofit;inonecase96percentwerestilllivinginthesamehousingoneyearlater.2Hence,amoreevidence-basedandaccurateassumptionisthatmoststreetpeopleprefertoliveinpermanenthousingifitissafe,isaffordable,offerscommunity,andiscoupledwithcounselingservices.
TheLadderofInference(seefigure6.1)isanexcellenttoolforhelpingpeopledistinguishwhattheythinkfromthelargerrealityaroundthem.Itshowshowpeopleselectcertaindataoutofanalmostinfinitepoolofavailabledata,makeassumptionsanddrawconclusionsbasedonthedatatheyselect,makerecommendationsandtakeactionbasedontheseconclusions,andthenlookfornewdatathatreinforcetheiroriginalassumptions.
AnotherusefultooliswhatPeterSengedescribesas“balancingadvocacyandinquiry.”3Mostpeoplearemoreaccustomedtoadvocatingthaninquiring,soit
oftenhelpstobeginwithinquiry—theartofaskingothershowtheyseetheworldandthenlisteningtothemdeeply.AsmycolleagueBryanSmithtoldmemanyyearsago,peopleneedtoknowthatyoucarebeforetheycarewhatyouknow.Askothers:4
•Whatdoyousee(theobservabledata)?•Howdoyoufeelasaresultofseeingthosedata?•Whatdoyouthinkortellyourselfasaresultofthosedata?•Whatdoyouwant?
Thenreallylisten.OttoScharmerdistinguishesfourlevelsoflistening:listeningforwhatyoualreadyknow,listeningforwhatsurprisesyou,listeningwithempathyfortheother’sexperience,andlisteningfromadeepersourcethatseemstoembraceyourtruthandtheirs.5
Onceyouhaveestablishedthatyoucareaboutothers’views,youcanbeamoreeffectiveadvocateforyourown.Sinceeachofusseespartofamorecomplexworld,itisalsoimportantthatyoubeabletocontributetopeople’sunderstandingbyadvocatingyourview.Inorderforyouradvocacytobeheardandusedmosteffectively,ithelpstolearntoadvocatesoastobothsharewhatyouknowandinviteotherstocommentonandpotentiallyenhanceyourknowledge.EffectiveadvocacyinvolvesunderstandingandmakingtransparentyourownLadderofInferencesothatotherscanaddtoandimproveuponthedata,reasoning,andconclusionsyouhavedrawn.
FIGURE6.1THELADDEROFINFERENCE.TheLadderofInferenceshowshowpeopleunconsciouslyjumpfromdatatoconclusions.BasedontheworkofChrisArgyrisandDonSchon
Bybalancingadvocacyandinquiry,youcreatenotonlyamoreaccuratepictureofwhatisandhowtoworkwithit,butalsomoresupportfromothersfortakingeffectiveaction.
Thethirdcapacityistocultivateaviewpointofresponsibility.Boththinkingsystemicallyandholdingproductiveconversationsdevelopadeepercapacitytounderstandhowyouareresponsibleforasituationasitcurrentlyexists,notjustforsolvingit.Takingresponsibilityfortheproblemasitexistsdoesnotmeanblamingyourselfforit.Itmeansempoweringyourself.Youseehowyour
intentions,assumptions,andactionshaveunintentionallycontributedtotheproblemyouwanttosolve.Itisultimatelyeasiertochangehowyouthinkandbehavethantotrytochangeothersinthesystem.
Evenifyouarenotresponsiblefortheproblem,youcanusethisperspectivetoaskhowyoureffortstosolvetheproblemmightunintentionallybeunderminingyourabilitytodoso.Forexample,ifyourintentionistoconvinceothersthattheyarewrongandmustbetheonestochange,thenyoucanactivateorembedanadversarialrelationship,whichisevenmoredifficulttoresolve.Youcreateunnecessaryoppositionwhen,inthewordsofmastertherapistTerrenceReal,you“oppressfromthevictimposition.”6Ithelpstorememberthatrespect,inquiry,andempathyareoftenthebestkeystousefirsttoopenthedoorofsocialchange.
ClosingtheLoop•Beginbuildingyourfoundationforchangebyidentifyingandinvolvingimportantstakeholders.•Recognizethattherearemultiplewaystoengagepeoplewhoresistchange—notjustthosewhosupportit.•Establishcommongroundbyidentifyingacommonreasonforcomingtogether,developingashareddirection,andsketchinganinitialpictureofcurrentreality.•Buildpeople’scapacitiestocollaboratebyintroducingskillsandtoolsforthinkingsystemicallyandholdingconversationsthatbridgedifferences.•Cultivateaviewpointofresponsibilityfortheproblem(whereitmakessense)andforhowpeoplearechoosingtosolveit.
—CHAPTER7—
FacingCurrentReality:BuildingUnderstandingThroughSystems
Mapping
ThepioneeringsocialpsychologistKurtLewinsaid,“Ifyoureallywanttounderstandsomething,trytochangeit.”Thelinkbetweeninsightandeffectivesocialchangeiscritical.Toooftenpeopleargueforsolutionswithoutadeepappreciationfornotonlyhowthecurrentsystemoperates,butalsowhy.Toooftentheproposedsolutionsdirectlimitedresourcestosolutionsthatmakenodifferenceinthelongrunormakemattersworse.
Thepurposeofthischapteristodeepenyoursystemsunderstandingbyapplyingthestorytellingdevicesintroducedinchapter4tosixcases.Thecasesfocusonsomeexamplesthatwereintroducedearlier—reorganizingresponsibilitiesforK–12educationatthestatelevel,criminaljusticereform,andendinghomelessness—andseveralnewones,suchasimprovingruralhousingandredesigninganearly-childhooddevelopmentandeducationsystem.
Theemphasisinthischapterisonthefirstthreetasksoffacingcurrentreality:
1.Identifypeopletointerviewaboutthehistoryofthecurrentsituationandclarifywhatquestionstoask.
2.Organizeandbegintoimprovethequalityoftheinformation.3.Developapreliminarysystemsanalysisofhowdifferentfactorsinteractovertimetosupportorundermineachievementofthevision.
EstablishSystemsInterviewsThisfirsttaskwillbemoresuccessfulifyouidentifystakeholderswithawiderangeofviewsabouttheissue.Thisenablesyoutobuildaricherpictureofhowthesystembehavesandwhy.Mostimportant,besuretolearnfromstakeholderswhoseviewsyoumightotherwisedismiss.Forinstance,thosespearheadingasystemsmappingprojectoftenexcludethemostseniorpeopleinvolvedintheirissuebecausetheybelievetheyaretoodifficulttoaccessorthattheyalreadyknowwhatthose“atthetop”think.Otherstoooftenexcludedareadministrativepeople(whomightbeaffectedbyunwieldyprocessesandprocedures),peoplewhoseworktouchesontheissue,andtheultimatebeneficiariesofthework.Inthecaseswe’llexamine,thesebeneficiariesincludehomelesspeople,patients,andstudents.Learningfromadiversegroupofstakeholdersnotonlybuildsunderstandingbutalsodevelopstherelationshipsrequiredtoshifthowthesystemoperates.
Forexample,intheCalhounCountyprojecttodevelopaten-yearplantoendhomelessness,MichaelGoodmanandIinterviewedfiftypeoplerepresentingapopulationofonehundredthousand.Theseincluded:
•Leadersresponsiblefortheoverallsocialandeconomichealthofthecounty—formalandinformalopinionleaders,representativesofstateandlocalgovernment,andleadersinthebusinessandcivicsectors.•Peoplewhoinfluencedpoliciesaffectingthelikelycausesofaswellassolutionstohomelessness.•Serviceproviderswhointeractedwithandtriedtohelphomelesspeople.•Homelesspeoplethemselves.
Interviews,whetherone-on-oneorinsmallfocusgroups,arepreferabletosurveysbecausetheyenableyoutouncovernotonlywhatpeoplethinkbutalsothereasoningthatleadsthemtotheirconclusions.Interviewingalsobuildsmoredirectrelationships.Ifnecessary,asurveybasedoninterviewfindingscanthenbeusedtogatherinformationfromabroadersampleofstakeholders.
Overtime,wehavedevelopedalistofinterviewquestionsdesignedtobuildsystemicinsights.Thesecanbeadaptedforanyissue,andusedtojump-starttheprocess:
•Considerfirstwhathasbeenhappeningaroundtheproblemyouwanttoexplore.Doesithaveaknownpatternofbehaviorovertime?•Ifso,describethispattern.Doesitexhibitoneormoreofthefollowingkeyvariablesovertime:•Oscillations?•S-shapedgrowth?•Steeplyrising,runawaygrowth?•Flatline,nogrowth?•Sharpupsanddowns?
•Stateyourdefinitionoftheproblembycompletingthefollowingsentence:“WhyhasXbeenhappeningdespiteourbesteffortstoachieveadifferentgoal?”“Why”ratherthan“how”questionsensurethatyourstatementsdonotassumeasolution.(Forexample,ask“Whydoesurbanyouthcrimeoscillateovertimeinsteadofcontinuouslydecline?”ratherthan“Howcanwetoughenprisonsentencestoreducecrimeevenfurther?”)•Whataretheearliestantecedentsoftheproblem?Also,describeanypreviousattemptstosolvetheproblem.Whatwastried,bywhom,andwithwhatoutcome?•Whatisalreadyworking?Howdopeoplesucceedorsurviveinthesystemasitfunctionsnow?•Howwouldthisissuelookfromtheviewpointofseniordecisionmakers?Whatfactorsorcomponentswouldthatlevelsee?Howdotheythinkabouttheissue?•Howwouldotherstakeholders,includingultimatebeneficiaries,seetheissue?Whatisimportanttoeachofthem?Howdotheythinkaboutit?•Whatothercausesareaffectingthissystem?Whatothereffects(particularlythosethataredistantorunintended)doesthesystemproduce?•Whatpartoftheissueisinternaltomyorganization?Whatisamanageablechunkthatrelatestomyposition?•InwhatwaysdoIormyorganizationcreateorcontributetotheissuethroughwhatI/wesay(orchoosenottosay),do(orchoosenottodo),orthink?
•Whatistheapparentpurposeofthissystem?Inotherwords,whatappeartobetheoutcomesofpeople’sefforts?Howisthisdifferentfromwhatpeoplereallywant?
Itcanalsobehelpfultotailorquestionstothespecificissueyouwanttoaddress.Forexample,appendixBprovidesquestionsthatwereusedtolearnmoreaboutTheAfterPrisonInitiative,theCalhounCountyTen-YearPlantoEndHomelessness,theefforttoimproveruralhousing,andtheCollaboratingforIowa’sKidsproject.ThequestionsusedfortheIowaprojectalsorepresentawayofdepictinganAccidentalAdversariesrelationshipandwereusedinthiscasebecausethepresentingissuewasadifficultpartnership.
Sometimesinterviewsareneithersufficientnorfeasibletogaininitialinsightintoanissue.Itisstillpossibletodraftasystemsmapusingthird-partyreportsdrawnfromsuchsourcesaswrittenreportsandmeetingnotes.Forexample,theinitialsystemsmappresentedattheTAPIretreatwasdevelopedlargelybasedonpreviousanalysesofcriminaljusticereformsupplementedbyafewfollow-upinterviews.PreliminaryinsightsintotherootcausesofcivilwarinBurundicamealmostexclusivelyfromwrittendocuments.
OrganizeInformationHerearefourscreenstousewhenorganizingtheinformationyougather:
•Listenforwhatiscurious,confusing,orcontraryamonginterviewees.•Distinguishmeasurabledatafromhowpeopleinterpretthesedata.•Identifykeyvariables,oftenthoughtofascriticalsuccessfactorsorkeyindicators.•Lookforrecognizablestorylinesorarchetypes.
Thefirstscreeninvolvesnoticingwhatconcernspeopleorfeelssurprisingtothem.Thefocusingquestionitself,whenphrasedas“Why,despiteourbestefforts,havewebeenunableto...?”evokesconcernandcuriosity.Intheirworktoendhomelessness,theleadersofCalhounCountywantedtounderstandhowhomelesspeopleandvacanthousingexistedalongsideeachother.Inseekingtoimproveruralhousing,stateandcommunityleaderswantedtodiscernwhysomesmalltownsappearedtohavebetterhousingstockthanothers.Inthe
CollaboratingforIowa’sKidscase,thetwogroupsthatsharedacommitmenttoimprovethestate’sK–12educationwerecuriousaboutwhyitwasdifficultforthemtoworktogether.
Thesecondinvolveslearningnotonlywhatpeoplethinkbutalsowhy.Thismeansilluminatingtheassumptionsandconclusionsthatpeopledrawfromwhattheyactuallydoandobserve.Onecommondiscrepancyemergesbetweenwhatpeoplethinkshouldhappenasaresultoftheiractionsandwhatactuallyhappens.Forexample,policymakersassumethatdrugbustsreducecrimewheninfacttheyreducethesupplyofdrugs,therebyincreasingthelikelihoodthatpeoplewillcommitcrimestogetthefewerandhencehigher-priceddrugsavailable.Differentpeoplealsointerpretthesamedatadifferently(theelephantanalogy),andyoucanhelpdeveloparicherpictureofthesystembypointingouthoweachinterpretationisvalidunderdifferentconditions.Inthehomelessnesscase,localshelterproviderssawtheimmediatebenefitstheyprovidedhomelesspeople,whilethoseinothercommunitieswhounderstoodbestpracticesforendinghomelessnessunderstoodthelong-termcostsofdependingonasheltersystemandtheneedtoredirectresourcestoaffordablepermanenthousingtosolvetheproblemmorefundamentally.
Thethirdscreenhelpsidentifycriticalsuccessfactorsorkeyindicators,andsystemsthinkingextendsthisprocessinseveralways.Itlooksforinterdependenciesamongthesefactorsinsteadofdescribingalaundrylistthatisdifficulttoprioritize.Itacknowledgesandintegratesquantitativefactorsthataremeasurablewithqualitativeonessuchashowpeoplethinkandfeel.Italsotranslatesoftenvaguefactorsthataredifficulttotrackovertime.Inthecaseoffoodaid,forinstance,itcantranslatethevaguefactorof“strategy”intothosefactorsthataretraceableovertime—suchasthelevelofinvestmentinlocalagriculture,whichisameasurableformofstrategyinendingstarvation.
Thefourthscreenhelpsyouidentifyrecognizablestories,basedonthesystemsarchetypesortheBathtubAnalogy,intheinformationyougather.Discerningthesestoriescanprovidethebasisforacomprehensivesystemsanalysis.Whiletheymightnotexplaineverythingthatishappening,theycanoftenbeexpandeduponandmodifiedtomakeidentifiablesenseofrich,complex,andsometimesconflictinginformation.
Don’texpect,though,tofindeverythingyouneedorwantintheinformationyoucollect.Itisimportanttorecognizethatpeoplecanlearnalotwithincompleteinformation.Allthedatayouwantarerarelyavailable,andyetpeoplehavetomakedecisionsandtakeactionsinanycase.Thisprocessacknowledgesthatinformationgapsdoexistandsuggeststwowaysofrespondingtothem.First,italwayshelpstoapproachsystemschangeasalearner.Peoplemakehypotheses,takeactions,andlearnmorefromtheiractionssothattheycanmakewiserchoicesthenexttime.Second,gapsinknowledgecantriggervaluableresearch.Askingwhatisnotknownandhowtofinditarepowerfulquestionsthatyoumightanswerbeforeorinparallelwithtakingnewactions,dependingonhowmuchriskandtimedelayyouarewillingtoaccept.
DevelopaPreliminarySystemsAnalysisInthissectionyouwillseehowpeopleworkingonarangeofissuesusedthetoolsofsystemarchetypesandtheBathtubAnalogytodeepentheirunderstandingofwhytheywerenotsucceedingdespitetheirbestefforts.Theseinsightsinturncreatedcatalyticconversationsaboutthenatureoftheirchallengesandwhattheycoulddotoovercomethem—topicsthatarethesubjectofthenextthreechapters.
Youwilllearnhowthesetoolsservedaseffectivebuildingblocksforevokingmorecomprehensiveandaccuratestories.Thereareseveralwaystoenrichprimaryplotlineswithmultipleplotsandsubplotsthatembracemoreoftherealitypeopleexperienceindealingwiththeseissues.Inparticular,youwillexploredifferentapproachesforbalancingpeople’sneedforinsightsthatarecomplexenoughtoembracetheirmanydiverseperspectiveswiththeirneedforthosesimpleenoughtobeunderstoodandactedupon.
ThissectionhighlightscasesthatexemplifyatleastoneofthefivemajorarchetypesortheBathtubAnalogyintroducedinchapter4.Youwilllearnaboutthecontextsthatbroughtpeopletogetherandtheinsightstheydeveloped,bothbasicandenriched,thatledtodeeperunderstanding.
FIXESTHATBACKFIRE
FixesThatBackfireisthestoryofunintendedconsequences.ItwasoneofthekeythemesinTheAfterPrisonInitiativeintroducedinchapter3.You’llrecallthatthisinitiativebroughttogetherahundredprogressiveleaders—activists,academics,researchers,policyanalysts,andlawyers—forathree-dayretreattoclarifywhatelsecouldbedonetohelppeoplesuccessfullyreentertheircommunitiesafterincarcerationandtoredresstheunderlyingeconomic,social,andpoliticalconditionsandpoliciesthatcontributetomakingtheUnitedStatestheworld’slargestincarceratoramongdevelopednations.ItwasconvenedbytheOpenSocietyInstituteandorganizedbyJoeLaurandSaraSchleyofSeedSystemstohelpOSIgainmoreinsightintotheeffectivenessofitsfundinginthisarea.MostoftheparticipantsattheretreatwereSorosJusticeFellowsorOSIgranteeswhocompetedforOSIfundingatthesametimethattheysharedacommitmenttocriminaljusticereform.
Participantsrecognizedthataprimarydriverofmassincarcerationwasnotthelevelofviolentcrimeitself,butthefearofothers(especiallypeopleofcolor)thatmanifestsasstructuralracismandthedenialofthesepeople’srights.Whilemassincarcerationtemporarilyrelievesthefear,asseeninbalancingloop1(B1)infigure7.1,italsoresultsovertimeinmoreandmorepeoplewhoareeventuallyreleasedfromprison(95percentofthoseincarcerated)withsignificantdisadvantagescausedbytheirprisonexperience.Theproblemsinclude:personaldemons,poorhealth,disruptionstofamilyandworklife,restrictionstobasichumanrights(suchaseducation,employment,housing,andvoting),andfailureofotherstounderstandtheirchallenges.Thesedisadvantagesinturnreduceaccesstosuchresourcesaseducation,housing,employment,andsocialsupport—therebyincreasingthelikelihoodthatmanywillcommitanothercrimewithinthreeyearsandbesentbacktoprison.Thiscanbeseeninreinforcingloop2(R2)infigure7.1.TheUSBureauofJusticeStatisticsreportsthat“Amongprisonersreleasedin2005in23stateswithavailabledataoninmatesreturnedtoprison,49.7%hadeitheraparoleorprobationviolationoranarrestforanewoffensewithin3yearsthatledtoimprisonment,and55.1%hadaparoleorprobationviolationoranarrestthatledtoimprisonmentwithin5years.”1
Inaddition,structuralracismbreedsmorefear(R3),asevidencedinpartbyamorerecentreportbytheSentencingProjectwhichfoundthat“whiteAmericansoverestimatetheproportionofcrimecommittedbypeopleofcolor,andassociatepeopleofcolorwithcriminality,”andthatforsomecrimestheoverestimationwas“by20–30percent.”2Thespiraloffearcontinues,eventhoughthecrimerateitselfhasactuallybeendroppingformorethantwentyyears.
Theparticipantsattheretreatwereengagedinmanydifferenteffortstoreformthecriminaljusticesystem—notonlythosehighlightedinfigure7.1,whichemphasizesprovidingservicestorecentlyreleasedprisoners.Theseeffortsincludeddevelopinginnovativeserviceprograms,sentencingreform,prohibitingre-incarcerationfortechnicalparoleviolations,andfightingthegrowingprisonlobbythatfavorsmassincarcerationforitsowneconomicbenefit.
Soasecondandricherdiagramwasdevelopedtorepresentadditionalviciouscyclesthatneedtobeinterruptedinordertoshiftthecoredynamicandtodescribethemorecomplexadvocacyrequiredtotransformthesystem(seefigure7.2).Massincarcerationcreateseconomicbenefitsthatresultinaprisonlobbysupportingthisfix(R4infigure7.2).Tightrestrictionsonparolestoreducethepoliticalriskofhighcaseloadsresultinmoretechnicalviolationsthatsendpeoplebacktoprison(R5).Acombinationoffearandrepeatoffensesincreasespoliticalresistancetoinnovationsthatcouldhelpformerlyincarceratedpeoplereentersocietymoreeffectivelyandpreventsuchoffenses(R6).
FIGURE7.1RACISMANDMASSINCARCERATIONBREEDFEAR.Althoughmassincarcerationisaquickfixtopeople’sfearofbeingvictimizedbycrimescommittedbypeopleofcolor,itcreatesunintendedconsequencesthatfurtherincreasethisfearovertime.ModifiedfromadiagramdevelopedbySeedSystemsforOpenSocietyInstitute
FIGURE7.2ADDITIONALVICIOUSCYCLESPRODUCEDBYMASSINCARCERATION.Whenthediagraminfigure7.1isenrichedtoincludemorevariables,itshowsthatthreeotherviciouscycles—R4,R5,andR6—compoundtheFixesThatBackfiredynamic.ModifiedfromadiagramdevelopedbySeedSystemsforOpenSocietyInstitute
Thesetwodiagrams(alongwiththefinalbuildout“AnAddictiontoPrison”showninappendixC,figureC.1)providedparticipantsattheretreatwithacomprehensiveandsharedunderstandingoftheirrespectiveeffortsinmeetingcommonchallenges.Itenabledsometorecognizeandpotentiallydevelopmore
collaborativewaysofreducingthefearthatdrivesover-incarceration—afearbasedinstructuralracism,notjusttheactualrateofcrime.Itgaveothersawayofcommunicatingthesocietalcostsofmassincarcerationtopolicymakersinthehopeofbuildingabroadercommitmenttotheunderlyingconditionsandbeliefsdrivingit.
SHIFTINGTHEBURDEN
ShiftingtheBurdenisthestoryofunintendeddependency.ItissimilartoFixesThatBackfireinthatquickandseeminglyobviousfixestoaproblemtendtomaketheproblemworseovertime.ThekeydistinctionisthatmanyofthepeoplecaughtinaShiftingtheBurdendynamicagreeonwhatamorefundamentalsolutionshouldbebuthavetroubleimplementingit.
ThiswasthecaseinCalhounCounty,wherethecommunityhadmadelittleprogressinendinghomelessnessdespitemanyyearsofeffort.Thoseprovidingemergencyandshelterservicestothehomelesshadbeenmeetingregularlyforyearsbuttendedtoworkindependentlyandcompeteforfoundationandpublicdollarsinsteadofcollaborating.
ThepromiseofstatefundingandlocalplanningmoneysmotivatedcommunityleaderstotakeadifferentapproachbyagreeingtocometogethertodevelopaTen-YearPlantoEndHomelessness.Theyappliedsystemsthinkingtounderstandwhyhomelessnesspersistedinthecountyandwhytheyhadbeenunabletoimplementbestpracticesusedbyothersaroundthecountry.ThesepracticesemphasizedHousingFirst,wherecommunitiesinvestindevelopingsafe,affordablepermanenthousingandencouragehomelesspeopletoliveinitwithoutfirsthavingtomeetotherconditions,suchassubstance-freeliving.Thishousinghaseasyaccesstosupportservicesforthosewhoarementallyillorsufferfromsubstanceabuse.Forthoseforcedtoliveonthestreetsforeconomicreasons,anotherpartofthesolutionfocusedoneducationandeconomicdevelopment.
Theinitialsystemsmap,depictedinfigure7.3,showsoneofthecriticalrealizationspeoplemade:Theshelterandemergencyresponsesystemsthatboth
providersandthehomelessdependedonwerequickfixesandinfactconstitutedpartoftheproblem(B1).Whilethesesupportshelpedthehomelesscopewiththeirsituation,theywerealsoclearlytemporary.Peoplecouldstayinsheltersforonlyalimitednumberofnightsbeforetheyhadtoreturntothestreets.SomemovedintothewoodsoutsidethemaincityofBattleCreekandsurvivedthereasbesttheycould.Manygotsick,especiallyinthewinter,andendedupintheemergencyroom;somecommittedanoffensethatledthemtospendanightinjail.Somespentnightssleepingonthecouchesofpeopletheyknew,butthatsolutionalsoworkedforonlyalimitedtime.
FIGURE7.3THEIRONYOFTEMPORARYSHELTERS.Becausesheltersandemergencysupportstempertheproblemofhomelessness,theyalsoreducepeople’smotivationtoimplementamorefundamentalsolutionthatcombinespermanenthousing,criticalservices,andemployment.Inaddition,viciouscyclescreatedbythequickfixesunderminethecommunity’sabilitytoimplementthefundamentalsolutionsevenifitwantsto.www.appliedsystemsthinking.com
Manypeopleclosetotheissuerecognizedatleastsomeoftheelementsofthebestpracticesusedinotherpartsofthecountry—criticalservices,permanenthousing,andemployment(B2).However,theyhadbeenunabletoimplementthesepracticeslocallyanddidnotunderstandwhy.Thecommunitydiscoveredthattheemergencysystemstheydependedontohelppeoplecopewithhomelessnesshadactuallyledtonegativeunintendedconsequencesthatunderminedpeople’sabilitytoimplementbestpracticesrequiredtoendit.
Thecopingmechanismsdescribedabovedecreasedthevisibilityoftheproblem,therebyreducingthecommunity’smotivationtoinvestinbestpractices(R3).Inaddition,shelterandemergencyserviceproviderswerefundedfortheworktheydidandhadlittleincentivetoexperimentwithnewwaysofdoingthingseitherindividuallyorincollaborationwithothers(R4).Forexample,shelterproviderswereoftenfundedonthebasisofthepercentageofbedssleptineverynight—eventhoughfullsheltersarefundamentallyantitheticaltotheespousedgoalofendinghomelessness.Donorsoftenunwittinglycontributedtotheproblembyrenewingfundingforthosewhosucceededinimplementingquickfixes.Thelossofproblemvisibilityandreinforcementofexistingfundingstreamsmadeitdifficulttomobilizeinvestmentinbestpractices,whichinturnincreasedhomelessnessandthefurtherdependenceontemporaryshelters.
Thisunderstandingledpeopletobegintomakesignificantshiftsinthecommunity’sshelterandemergencyresponsesystems.Forexample,inanunprecedentedmovetowardcollaboration,serviceproviderscollectivelyagreedtoredirecttheirnextroundofHUDfundingfromoneserviceprovider’stransitionalhousingprogramtoapermanentsupportivehousingprogramrunbyanotherprovider.TheirinsightsformedthebasisfortheTen-YearPlanthatwasacceptedandfundedbythestate.Asnotedinchapter5,intheplan’sfirstsixyearsofoperationfrom2007through2012,CalhounCountydidaremarkablejobofsecuringpermanenthousingforthehomeless,especiallyinthefaceoftheeconomicdownturnof2008–09.Homelessnessdecreasedby14percent(from1,658to1,419)despitea34percentincreaseinunemploymentand7percentincreaseinevictions.
TheTAPIcasealsoincludesaShiftingtheBurdendynamic.Manyparticipantswereengagedinthefundamentalworkofresettlement,whichtheydefinedasstrengtheningcivicinstitutionsandinfrastructureandfacilitatingcross-agencycollaborations,aswellassupportingformerprisonerstoleadproductivelives.However,itwasdifficulttoimplementthesesolutions,andthereformersfoundithelpfultodevelopasharedpictureoftheobstaclestheyfaced:thebarrierstoresettlementthatunderminedtheirworkdirectlyandthreatenedthesafetyofresidentsinthepoorminorityneighborhoodstowhichmostmenandwomenreturnedafterprison,aswellastheinvestmentinprisonsthatcouldotherwisebedirectedtowardthestrengtheningofinstitutionsinthesepoorercommunities.ThispictureisshowninappendixC,figureC.1.
ShiftingtheBurdenisthestoryofaddiction.Thestoriesofbothhomelessnessandimprisonmentshowhowpolicymakerswhowanttoprotectsocietyfromaddicts(homelesspeoplesufferingfromsubstanceabuseordrugaddictswhocommitcrimes)canironicallybecomeaddictedtosolutionsthatexacerbatethesesocialproblemsinthelongrun.Shelterstendtodivertmoneyfromaffordablepermanenthousing,andget-toughpoliciestakemoneyawayfromtheverykindsofprogramsandinstitutionbuildingthatcouldmorepermanentlyreducecrime,thefearofcrime,andmostsignificantlythefearof“theother.”ThegrowingawarenessofthisconsequenceinthecriminaljusticesystemispromptingevensomeconservativepublicofficialsandtheirthinktankstoquestionthevalueofmassincarcerationandpublicpoliciessuchastheWaronDrugsandmandatoryminimums.3
LIMITSTOGROWTH
In2011,adiversegroupofstateandlocalleadersgatheredtoexplorewaysofincreasingtheavailabilityofaffordableruralhousinginSouthDakota.Themeetingwassponsoredbythestate’sRuralLearningCenter(RLC)andDakotaResources,anonprofitdedicatedtoeconomic,community,andleadershipdevelopment.Participantsincludedrepresentativesofnonprofiteconomic
developmentcenters;governmentatthefederal,state,andlocallevels;anddevelopers,lenders,andRealtorsfromtheprivatesector.
Housingisacriticalsuccessfactorinthedevelopmentofviableruralcommunities.Affordableandappropriatehousingaffectsandisaffectedbyotherfactorssuchasjobs,health,andthequalityofeducationintheseareas.Theavailabilityofthishousingisespeciallyimportantindrawinginyoungprofessionalstosettleinandreenergizethesecommunities.
Providingsuchhousingwaschallengingsincethecoststodevelopsufficientlyattractivehomesoftenexceededwhatmortgagelendersinthecurrentregulatoryenvironmentwerewillingtofinance.AlthoughtheRLChaddonealotofworktowriteadetailedplaybookforovercomingtheseobstacles,itwastoomuchinformationforcommunitiestoabsorbandtakeadvantageof.Therefore,thepurposeofthemeetingwastogaininsightintowhyitwassodifficulttoincreasetheviableruralhousingstockandtotargetjustafewhigh-leverageactionspeoplecouldtaketoexpandit.
Iworkedwiththeconvenerstodraftasystemsmapinadvanceofthemeetingthatmightbetterilluminatetheproblemandpossiblesolutions.Sincecertaincommunitieshadachievedmoresuccessinthisareathanothers,itmadesensetodescribethedynamicsintermsofLimitstoGrowth.Weidentifiedacoregroupofengines,orpumps,thatcouldpropelhousingandeconomicgrowthbutwereweakenedbybalancingforces,orseepage,thatreducedtheeffectivenessofthesepumps.Ifthepumpscouldnotproducehousingandeconomicgrowthquicklyenough,thentheseepagewouldlimittheireffectivenessmoreseverely.Therefore,itwasimportanttoprimethepumpspowerfullyandrapidlyenoughtoovercomethenegativeeffectsofseepage.
FIGURE7.4RURALHOUSING:CORELIMITTOGROWTH.Withoutsufficientinfrastructurefordevelopment,communitieshavedifficultyattractingprivatedeveloperstomeethousingneedsandtherebyattractnewpeopleandjobs.
Figure7.4showsthecorepumporengineofgrowthandtheprimarysourceofseepageorlimittothisgrowth.Successfulcommunitiesbuiltaffordablehousingthatattractedpopulationandjobs,whichinturnincreasedhousingneedandledtoadditionalhousingdevelopment(R1).Theyhaddonethisinpartbycreatingthelocalinfrastructureforeconomicdevelopment.However,lesssuccessfulcommunitiesdidnothavesufficientinfrastructuretomeettheirhousingneeds,whichmadeitmoredifficultforthemtoattracttheprivatedevelopersrequiredtoincreasehousingandgrow(B2).
FIGURE7.5RURALHOUSING:PRIMINGADDITIONALPUMPS.Additionalreinforcingrelationshipsamongjobs,housing,taxrevenue,education,andpopulationenhancecommunitygrowth.
Thecommunitiesidentifiedotherenginesofgrowthaswell,asdepictedinfigure7.5.Theyrecognizedthathousingdevelopmentwouldinandofitselfcreatejobs(R3infigure7.5),andthatjobswouldincreasethetaxrevenuesrequiredtoattractmorejobs(R4).Theavailabilityofaffordablehousingwouldalsoincreasetaxrevenuesdirectly(R5).Taxrevenuescouldbeusedtostrengthenthecommunityinfrastructurefordevelopmentandincreaseavailablefunding,whichwouldinturnreducedevelopmentcostsandincreasethenumberofwillingandablebuyers,therebyincreasingpotentialreturnsondevelopmentandhousingitself(R6).Attractingnewpeopletothecommunitywouldincreaseeducationalopportunitiesandattractmorepeople(R7),andincreasingjobs
wouldhavethesamepositiveeffectonpopulation(R8).Finally,theavailabilityofaffordablehousingwouldincreasehomeownershipandengagecitizenstocontributetobuildingvitalneighborhoods,therebydrawinginevenmorepeopletothecommunity(R9).
FIGURE7.6RURALHOUSING:SEEPAGES.Ifcommunitiesdonotinvestsufficientlyintheirinfrastructurefordevelopment,theywillnotbringinthefundingrequiredtoincreasepotentialreturnsondevelopment.Moreover,iftheydonotcreatenewjobsatapacesufficienttoattractadditionalinvestors,theirperceivedeconomicprospectswilldeclineovertime,therebyfurtherlimitingtheirabilitytogrow.
Primingthepumpsinfigures7.4and7.5neededtooccurquicklyenoughtoovercomeadditionallimitsorseepages.Absentadequateinfrastructurefordevelopment,communitiescouldnotattractthefundingrequiredtoincreasepotentialreturnsondevelopment(B10infigure7.6).Iftheydidnotcreatenewjobsatapacesufficienttoattractnewinvestors,thecommunity’sperceivedeconomicprospectswoulddecline,therebyreducingthenumberofwillingandablebuyersovertime(B11infigure7.6)andtheavailabilityoffunding(B12).Moreover,weakeconomicprospectsincreasedtheriskofunder-appraisingthehousingstock,therebydiscouragingpotentialhomeowners(B13).
Insummary,thesystemsanalysisenabledpeopletorealizethatcommittingtoearlyinvestmentsinbuildingorstrengtheningtheircommunities’infrastructurefordevelopmentwasacriticalfirststeptoachievegreatergrowth.
SUCCESSTOTHESUCCESSFUL
Alsoin2011theWilliamCasparGrausteinMemorialFund(WCGMF)convenedamulti-stakeholderprocesstocreateablueprintforastatewideearly-childhooddevelopmentsysteminConnecticutthatworksforallchildrenandfamilies,regardlessofrace,income,orability.Theinitiative,calledRightfromtheStart,wasdesignedandfacilitatedbytheInteractionInstituteforSocialChange.Itpulledtogetheradvocates,serviceproviders,publicagencystaff,privatefunders,andcommunitymembers/parentstoexploreandmapwhatexistedatthattime,createavisionandunderlyingvaluesforanequitablesystem,andidentifykeyleveragepointsforchange.
Severalmonthsintotheprocess,Iwasaskedtointroducetheparticipantstosystemsthinkingasawayoflearningmoreaboutwhytheirpreviouseffortstocreateamoreequitablesystemhadfailedbeforejumpingtoproposenewlegislationandstructures.Askingthemselveswhytheyhadnotsucceededuntil
nowdespitetheirbesteffortsmotivatedmanyofthemtoaskmoreprobing“why”questionsaswell.Sincetheywerealsocommittedmembersofthesystem,Iencouragedthemtoconsiderhowtheirownwell-intentionedactionsmightcontributetotheexistingdynamicsandwhattheymightdodifferentlyinadditiontorecommendingchangesthatthegovernorandotherelectedofficialsshouldmake.
Myencouragementstoslowdownandreflectmoredeeplybeforeactingandtoconsidertheirownroles,howeverunintentional,inperpetuatingthecurrentsystemwereconfusingtodesignteammemberswhoviewedtheirchartersolelyintermsofrapidlyproducingrecommendationsabouthowothersshouldchange.Afewchosetoleavetheprojectatthispointwhilethemajoritytookupthechallengetolearnmorebeforeleapingahead.
InasubsequentsessionIproposedasystemsmaptohelpthemanswerthesequestions.Sincethecoreissuetheypresentedhadtodowithinequity—thefactthatchildrenwhostruggledinschoolwereprimarilyfromdisadvantagedblack,Latino,andpoorwhitefamilies—IframedtheunderlyingdynamicasSuccesstotheSuccessful.Specifically,theeducationandincomeopportunitiesforpeoplewithhigherincomesandpoliticalinfluencetendedtoincreaseovertimeastheysuccessfullygeneratedmoreresourcesfortheirchildren,whileparentsatrisk(whetherduetolowerincomes,instability,and/orlackofserviceavailability)tendedovertimetofinditincreasinglydifficulttoprovidetheirchildrenwiththeearlyfoundationstheyneededtobecomesuccessful.Moreover,thestrongcommunitybondsthatpoorerpeopleoftenformtocompensateforlimitedaccesstootherresourcesfrayedfurtherastheyandtheirchildrenstruggledmoreandmoretosucceed.ThesedynamicsaresummarizedbyloopsR1,R2,andR3infigure7.7.
FIGURE7.7EARLYCHILDHOOD:THERICHGETRICHER,ANDTHEPOORGETPOORER.Childrenofparentsofprivilegearemoreabletoexperiencetheeducationalandsubsequentincomeopportunitiesthatleadtolong-termsuccess,whilechildrenofparentsatriskarelessabletogeneratethesesameopportunitiesovertime.
FIGURE7.8EARLYCHILDHOOD:THEGAPINCREASES.Parentsatriskfinditdifficulttogeneratesufficientincomebecauseoftheirparentalresponsibilities,andtoprovidethesafeandsupportiveenvironmenttheirchildrenneedtothrive.
Parentsatriskhaddifficultysupportingtheirchildrentosucceedforseveralreasons,furtherfleshedoutinfigure7.8.Theyhadmoreproblemsaccessingaffordablequalitychildcare,whichreducedtheirabilitiestogeneratemoreincome(R4infigure7.8).Becausetheythemselvesweremorevulnerable,itwasalsoharderforthemtoprovidethephysical,emotional,andcognitivesupportsrequiredtohelptheirchildrengrow,especiallyatanearlyagewhen
thosesupportsaremostnecessaryforhealthydevelopment.Asaresult,theirchildrenwerelesspreparedforschoolandovertimelessabletosucceedinschoolandthusgeneratetheearningpowerrequiredtoescapebecomingparentsatriskthemselves(R5).
FIGURE7.9EARLYCHILDHOOD:THEGAPINCREASESEVENFURTHER.Theconservativenatureofwealthcombinedwithnegativeimpactsofincomeinequalityonpubliccoffersundermine
theprospectsofchildrenatriskevenmore.
Directnegativeimpactsonthechildrenofparentsatriskwereexacerbatedbythetendenciesofparentsofprivilegetojustifyandholdontotheirwealth,therebywideningthegapbetweenrichandpoorchildrenevenfurther.IntheUnitedStates,thoseinthetop20percentincomebracketgiveawayonly1.3percentoftheirincome,whilethoseinthebottom20percentgiveaway3.2percent.4DacherKeltner,aprofessorofpsychologyattheUniversityofCalifornia–BerkeleyandfounderoftheGreaterGoodScienceCenter,hasfoundthat,justasgenerousdeedstendtoinspiregreatergenerosity,theconservativeeffectsofincreasedwealthseemtocurbtheinstinctforhelpfulness.5Inaddition,theweakerconsumptionandlowereducationallevelscreatedbygrowingincomeinequalityhavereducedtheavailabilityoffundsthatcanbeinvestedinsocialservicesandlocalinfrastructure.Thisnextlevelofinterrelatedissuesismappedoutinfigure7.9.
Ascollectivewillingnessandabilitytosupportthesesocietalresourceshavedeclined,lessmoneyhasbecomeavailableforearlyinterventionstohelpchildrenatrisk,whichreducestheirschoolreadiness,andovertimethecompetitivenessoftheUSworkforce,therebyputtingmorepressureontotalUSresourcesandfurtherreducingtheabilitytopubliclyfundsocialinvestments(R6infigure7.9).Reducedschoolreadinessalsoleadstolowerearningpowerovertime,highersocialcosts,andanevengreaterdrainonpublicresources(R7).Inaddition,wheninvestmentsinsocialservicesandlocalinfrastructurearecut,poorcommunitiessufferevenmore,leadingtogreaterinequalityofopportunity(R8).
Theparticipantsalsoinquiredmoredeeplyintotheunderlyingbeliefsandassumptionsthatkeptthesedynamicsinplace.Theyrealizedthattheproblemofstructuralracism,wherebywealthywhitepeopleareviewedandtreatedmorefavorablythanpoorminorities,extendedtoassumptionsabouthowtocorrectthisimbalance.Inparticular,alternativesolutionstendedtofavortheviewsofthoseinpowerthat:
•Formalstructures(suchasnewlawsorinstitutions)shouldbeemphasizedoverinformalstructures(suchassocialnetworksinpoorcommunities).
•Statecontroloverthenewsystemismorecrucialthanlocalcontrol.•Quantitativemeasuresaremoreimportantthanqualitativeonesinassessingwhatworks.
Aprofoundinsightforthosewhowantedtoredesignthesystemwasthattheytendedtosubscribetotheseassumptionsthemselves,oftenagainsttheirbetterjudgment.
Theparticipantsthenusedtheiranalysistoidentifyfourleveragepoints,corecommitmentsthatcontinuetogroundtheworkofeveryoneinvolvedandinspirethemtoengageinthelong-termworkofsystemschange.Thesewere:
•Addressinequitiesandconsciouslyempowerthedisadvantaged.•Supportlocalcommunityaction—recognizinghowdifferentserviceprovidersandfamiliesarealreadyconnectedandhowtheyshouldbeconnected.•Payattentiontothewholechild,whichincludespayingattentiontothewholefamily.•Begininterveningwithchildrenasearlyaspossible.
ThehighlevelandsupportingrecommendationsofRightfromtheStarthavebeenincorporatedintotheguidingprinciplesofthestate’sOfficeofEarlyChildhood,anagencythatdidnotexistwhenthegroupbeganitswork.Theyarereinforcedbyacommunicationscampaignthatincludesvideoswithdiscussionstartersforcivicdialogue.
DavidNee,theexecutivedirectorofWCGMFatthetime,observedthattheworkhad“enabledourgranteestocollaboratemoreeffectivelyandtargetchangeswherewecanhavethegreatestimpactcollectively.Ithelpedallofusdistinguishsymptomsfromthedisease,appreciatethevalueofimprovingrelationshipsamongpartsofthesystemmorethanimprovingsubsystems,andunderstandthatweareallpartofthesystemandthereisnooneoutsideit.”Asaresultofthisunderstanding,thefundhasstrengtheneditsownwilltodealdirectlywithracismasanunderlyingproblem.
ACCIDENTALADVERSARIES
ThechallengesexperiencedbytheIowaDepartmentofEducationandthestate’sAreaEducationAgencies(AEAs)aretypicaloforganizationsthatwanttobeabletoworktogethermoreeffectivelybutfinditdifficulttodoso.TheAccidentalAdversariesarchetypeprovidedawayforthetwopartiestosurmounttheirdifferencesinpartbecauseitgavethemanopportunitytoclarifyhowastrongerpartnershipwouldcontributetobothofthem.Italsoenabledthemtoseehowtheproblemstheyexperiencedwitheachotherwerenotintentionallycausedbytheircounterpart.Finally,itshowedthemhowtheycouldcapitalizeonthebenefitsofpartnershipwithoutunwittinglyunderminingeachother.
BecauseAccidentalAdversariesoftenfailtoappreciatethevalueoftheirpartnershipatfirst,theybenefitfromlearningtoclearlyarticulateit.Inthiscase,bothsidesacknowledgedthatthegoalsoftheIDEweretoprovideguidanceandgovernancefortheoveralleducationsystemacrossthestate.TheyfurtheragreedthatthegoalsoftheAEAsweretoensurequalityeducatorsinqualityschoolsystemsfortheirrespectivegeographicareas.Havingaffirmedeachother’sgoals,theydeterminedthatasuccessfulIDEcontributedclarityofstatewidedirectionandoutcomesforstudentsandeducatorstoAEAs,andthatsuccessfulAEAswouldsupporttheIDEbydevelopingacoherent,equitablesystemacrossthestate.TheprospectsoftheIDE–AEApartnershipareshownasavirtuouscycle(R1)infigure7.10.
FIGURE7.10IDE–AEA(SYSTEM)RELATIONS:PROSPECTSFORPARTNERSHIP.BothgroupscanbenefitfromthedirectionalclarityprovidedbyIDEandthecoherenceandequityensuredbyAEAs.
Havingdefinedthevalueoftheirprospectivepartnership,theythenuncoveredhoweachparty’sactionstoimproveitsownperformanceunintentionallyunderminedtheeffectivenessoftheotherparty—outlinedinfigure7.11.WhenIDEfeltunabletoprovideadequatedirectionforthestatewideeducationsystem,itdesignedandrolledoutnewprogramstotheAEAs(B2).WhiletheexistenceofthesenewprogramsfeltlikeprogresstoIDE,theseinitiativesmadeitmoredifficultforAEAstoallocatetheirlimitedresourceswithrespecttotheareainitiativestheyalreadyhadinplace.Inordertofollowthroughonitsowninitiatives,eachAEAwouldeithercustomizeIDE’sprogramstofitintotheAEA’scurrenteffortsordisengagefromthestaterollout(B3).TheindependentAEAs’responsesincreasedIDE’sdifficultiesinworking
withinconsistent,low-quality,anddisconnectedsolutionsatthestatelevel—reducingIDEsuccessandpromptingittoonceagainintroducenewprograms.ThecombinedactionsofthetwopartiesresultedintheAccidentalAdversariesviciouscycleR4.
FIGURE7.11IDE–AEASYSTEMRELATIONS:ACCIDENTALADVERSARIES.NewprogramscreatedbyIDE,andAEAs’effortstocustomizeordisengagefromtheseprograms,reducebothgroups’effectiveness.
TheIDE–AEAstoryrepresentsacommontensionbetweenheadquartersandfieldunitsinanysystem.Headquarterstriestoachieveitscentralizedgoalsbyrollingoutnewinitiativestothefield,andfieldorganizationscustomizeordisengagefromtheseinitiativesinordertobetterconcentrateonexistingeffortstoservetheirownrespectiveclients.InthiscasetheIDEandAEAsappliedtheir
newinsightstocreatewin–winsolutionsthatsupportedeachoftheirgoalswhileultimatelybetterservingtheirmutualbeneficiary—Iowa’skids.
THEBATHTUBANALOGY
Asintroducedinchapter4,theBathtubAnalogyisusefulwhenattentionmustbegiventotheflowsoffactorsaswellastheirlevels.Itisalsohelpfulwhenanissueunfoldsinstagesovertime.MichaelGoodmanandIusedtheanalogyasacomplementtocausalloopdiagrammingintheendinghomelessnesscase,andhehasalsouseditrecentlytobuildontheruralhousingcasedescribedintheLimitstoGrowthstorymentionedearlierinthischapter.
Inthehomelessnesscase,wenoticedthattheproblemofhomelessnessproceededinstages.First,outoftheoverallpopulationofCalhounCounty,certainpeopleweremoreatriskofbecominghomelessthanothers—whethertheriskgrewoutofpoverty,unemployment,domesticviolence,substanceabuse,orsomecombinationofthesefactors.Whileemergencysupportserviceswereprovidedtopeopleatrisk,acertainnumberofpeopleinthisgroupbecamehomeless.HomelesspeoplealsoenteredthiscommunityafterbeingreleasedfromanearbyVeteransAdministrationhospitalandprison.Theymovedintotemporaryhousingandoftenrecycledovertimethroughdifferentprovisionallocations:ashelter,underthebridgeorinthewoods,stayingatothers’homes,intheemergencyroomorlocaljail.Fewofthepeopleintemporaryhousingbrokeoutofthisloopandmovedintopermanent,safe,affordable,andsupportivehousing.WegeneratedtheBathtubdiagramshowninfigure7.12tohelpthemvisualizetheissue.Theinsightthattheplanningteamgotfromthatdiagramisthatthecommunityneededtoreducetheinflowsintohomelessnessandacceleratetheoutflowsfromitinordertoresolvetheprobleminasustainableway.
OneofthecommunitiesthatparticipatedintheSouthDakotagatheringtoincreaseaffordableruralhousingwasthecommunityofFaulkton.Likemanyorganizationsandcommunitiescommittedtomanagingacomplexchange,theFaulktoncommunitygroupcommissionedastudythatproposedalengthylistof
recommendationstoaddressitsownneedsforhealthyandvibranthousing—seventeeninthiscase.Althoughtherecommendationswerecategorizedintomultipleclusters,theyseemedunwieldygiventhecommunity’slimitedresources.
FIGURE7.12ENDINGHOMELESSNESSINCALHOUNCOUNTY.Inordertodecreasehomelessness,itisimportanttoreducetheflowofpeopleatriskandsubsequentlybecominghomeless,andtoincreasetheflowofpeoplemovingintopermanenthousing.www.appliedsystemsthinking.com
MichaelGoodmanreviewedthereport’sfindings(aspartofaDakotaResourcesRegionalSystemsEngagementPilotfundedbytheBushFoundation)andhelpedpeoplefocusonafewstrategiesthatcouldhavethegreatestimpact.HeusedtheBathtubAnalogytoshowtheavailabilityoffourtypesofhousing(seefigure7.13):
•Newandsoundhousingthatovertimedevelopedminorproblemsandbecamehousinginneedofminorrepairs.•Housinginneedofminorrepairsthat,whenleftunattended,developedmajorproblemsandrequiredmajorrepairs.
•Housinginneedofmajorrepairsthat,ifleftunattended,becamedilapidatedhousingthatneededtoberehabilitated.•Dilapidatedhousingthatneededtoberemovedtomakewayfornewhousing.
FIGURE7.13IMPROVINGHOUSINGQUALITYINFAULKTON,SD.Inordertoimprovelocalhousingquality,itisimportanttospeeduptheflowsofnewhousingstockandteardowns,whileslowingdownhousingdecaythroughrepairsandrehabilitation.InnovationAssociatesOrganizationalLearning
Thecityrealizedthat28percentofitshousingstockwasinneedofmajorrepairsorrehabilitation.Theyalsodeterminedthroughsomesimplesimulationexperimentsusingthehousingstocksandflowsthatthisnumberwaslikelytogrowto38percentintwentyyearsifcurrenttrendscontinued.Asaresult,thecommunity’sseventeenrecommendationsevolvedintojusttwoprimarystrategiesformeetingitshousingneeds:
•Decreaseorslowdowntheoutflowsofgoodhousingstockbyrepairinghousingwithminorandmajorproblems,andbyrehabilitatingdilapidated
housingwherefeasible.•Increaseinflowstothehousingstockbybuildingnewhousingandremovingunrepairabledilapidatedhousingfornewdevelopment.
BothCalhounCountyandthecommunitygroupofFaulktonbenefitedfromusingtheBathtubAnalogyasacomplementtocausalloopdiagrammingandotherformsofanalysis.InthecaseofCalhounCounty,theShiftingtheBurdenarchetypepointedoutthatthecommunity’sunintentionaldependenceontemporarysheltersasawaytohelppeoplecopewithhomelessnessactuallyundermineditsabilitytoendhomelessness.InthecaseofFaulkton,theinsightthatemergedfromtheLimitstoGrowtharchetypeintheRuralLearningCenter–DakotaResourcesgatheringabouttheneedforsufficientcommunityinfrastructurefordevelopmentevolvedintoafocusontwoprimarystrategiesthatcommunitiescouldimplementtofurtherdeveloptheirhousingstock.
HowtoBalanceSimplicityandComplexityOneofthechallengesindevelopingasystemsanalysisisthatitshouldbesimpleenoughtobeunderstoodbypeopleyetcomplexenoughtocapturetherichnessoftheirdiverseperspectivesandexperiences.Inthisfinalsectionwewilllookatseveralwaysofachievingthisbalance:
•Onearchetype—noadditionalloops.•Onearchetype—additionalloopsallenrichingthesamestory.•Multiplearchetypes—oftenusingmorethanonediagram.•Bathtub—eitheronitsownorincombinationwithoneormorearchetypes.•Interdependencemapping.•Computermodelingandsimulation.
Ofthesixcasesdescribedabove,theAccidentalAdversariesstorythatcontributedtoCollaboratingforIowa’sKidsinfigures7.10and7.11isthebestexampleofthetremendousleveragethatcanbeachievedusingjustonearchetypewithnoadditionalloops.Evenhereitwashelpfultodevelopthestoryintwosteps(ProspectsforPartnershipandAccidentalAdversaries)sincethearchetypeembedsfourloops:avirtuouscycle,twooverlappingFixesThatBackfire,andaviciouscycleresultingfromtheoverlap.
TheaffordablehousinganalysisforSouthDakotaandtheearly-childhooddevelopmentandeducationsystemforConnecticutareexamplesofonearchetypewithmultipleloopsthatallamplifyandenrichthecoretheme.Intheaffordablehousingcase(figures7.4through7.6),therearemultiplegrowthenginestryingtoprimethepump(theRloops)thatareunderminedbymultiplelimits(theBloops)—yetthecombinedloopstellthesameessentialstoryofLimitstoGrowth.Intheearly-childhoodcase,therearemultipleviciouscyclesinfigures7.7through7.9thataggravatetheSuccesstotheSuccessfuldynamic.
TheAfterPrisonInitiativeusestwoarchetypestoexplainthereentrychallengesfacingformerlyincarceratedpeople:FixesThatBackfire(figures7.1and7.2)andShiftingtheBurden(appendixC,figureC.1).
Forthosereadersinterestedinresolvingidentity-basedconflictssuchastheIsraeli–Palestinianissue,youcanreviewthreediagramsinappendixC(figuresC.2,C.3,andC.4)thatexplainhowsuchconflictsunfoldfromacombinationofthreedynamics:ShiftingtheBurden,ConflictingGoals,andEscalation.
TheBathtubAnalogyrepresentsanotherandsometimesmoreaccessiblewayofunderstandingcomplexity.InthehealthyandvibranthousingexamplepresentedtothecommunityofFaulkton(figure7.13),thisanalogywasextremelyusefulonitsown.IntheendinghomelessnesscaseinCalhounCounty(figure7.12),theBathtubwasusedtocomplementtheShiftingtheBurdenstorydescribedinfigure7.3.
Forthosewhowantasimplerformofstorytelling,interdependencemappingoffersanotherwayofconnectingmultiplefactorsandtheorganizationsassociatedwiththem.Onesimplevariationaskspeopletofirstlistthemanyfactorsaffectinganissueandthendrawrelevantconnectionsamongthefactors.Figure7.14representssuchanexampleforendinghomelessness.
FIGURE7.14SIMPLEINTERDEPENDENCEMAPRELATEDTOHOMELESSNESS.Interdependencemapsareaneasywaytoraisetheawarenessofdiversestakeholdersthattheirworkisconnected.
Alternatively,peoplecanclarifytheirinterdependenciesbydrawingalinearinput–outputdiagramoraBathtubpicturesuchastheoneinfigure7.12.Oncepeopledrawthismap,theycanplacetheirrespectiveorganizationsonitbylocatingthosefactorsorstagesthattheirworkmostaddresses.Stakeholderswhoseethemselvesonthemapcanthenlookatthebiggerpictureandreflectonthefollowingquestions:
•Whoseworkinthissystemdowesupport?•Whoseworkinthissystemsupportsourown?•Whatcurrentrelationshipswoulditbehelpfulforustoimprove?•Whatnewrelationshipswoulditbehelpfulforustodevelop?
Sinceasystemimprovesbystrengtheningtherelationshipsamongitsparts,thissimpleexercisecanbeveryeffectiveinjump-startingtheprocess.
Ontheotherhand,computermodelingandsimulationarehelpfulwhenthegoalsaretocapturemorecomplexity,validatethatthesystemsmapmodelsknownbehavior,rapidlytestdifferentpolicyalternatives,paintdifferentscenarios,andquantifytheoutcomes.Thesemodelsincorporatebothstock-and-flowdynamicsaswellasnonlinearandtime-delayedfeedbackloops.6Auser
interfaceorsimulatorcanbedevelopedthatenablesstakeholderstoeasilyexploreanddiscusstheimplicationsofvariousoptions.
Byusingsomeformofsystemsmappingtoshowthebigpicture,andengagingstakeholderstobuildorrefinethemapasmuchaspossible,peoplelearntostimulatemoreproductiveconversationsabouttheissue.Thenewconversationsincreasecollaborationbecausetheyilluminatesuchcriticalfactorsaspersonalresponsibility,interdependence,timedelayandthedifferencebetweenlong-termandshort-termimpacts,unintendedconsequences,andlocalversussystemwideoptimization.Designingandfacilitatingtheseconversationstobuildsupportforasystemsanalysisisthetopicofthenextchapter.
ClosingtheLoop•Learningfromadiversegroupofstakeholdersnotonlybuildsunderstandingbutalsodevelopstherelationshipsrequiredtoshifthowthesystemoperates.•Organizeinformationbylisteningforwhatiscurious,distinguishingmeasurabledatafromhowpeopleinterpretthesedata,identifyingkeyvariables,andlookingforrecognizablestorylinesorarchetypes.•StakeholderscanusesystemarchetypesandtheBathtubAnalogytobegingaininginsightintowhytheirchronic,complexproblemexists.•Thereareatleastsixwaystodevelopasystemsanalysisthatisbothsimpleenoughtobeunderstoodbymanypeopleandcomplexenoughtocapturetherichnessoftheirdiverseperspectivesandexperiences.
—CHAPTER8—
FacingCurrentReality:BuildingSupportbyBringingtheSystemtoLife
Eventhoughsystemsmapscanbuildunderstanding,peopledonotnecessarilyembracetheinsightstheyoffer.Forexample,someparticipantsinTheAfterPrisonInitiativeretreatquestionedthevalueofthemapsincethosewhointheirmindsreallyneededtochange—inthiscasethepolicymakerswhosupportmassincarceration—werenotpresent.InRightfromtheStartandothersituations,peopleaskhowtheinsightscanbecommunicatedsincetheyarepresentedinavisuallanguagethatisforeigntothosenotfamiliarwithit.
Theinsightsgeneratedbysystemsmapscanbedifficulttoacceptandcommunicate.Onereasonisthatthemapsareavisualformofstorytelling,yetnotallpeoplearevisualthinkers.Removedfromdiscussionaboutwhattheyreveal,themapscanalsoappearabstractandimpersonal,wheninfactthestoriestheyareintendedtocommunicatearedeeplyhuman.Moreover,mostmapschallengepeopletotakemoreresponsibilityforthecurrentsystemthantheybelieveisnecessary.Finally,evenifpeopleunderstandandaccepttheimplicationsofthemapsforthemselves,theyareoftennotsurehowtoconveythis“foreignlanguage”tostakeholderswhohavenotbeeninitiallyexposedtoit.
Youcanmeetthesechallengesby:
•Engagingpeopletodeveloptheirownanalysisasmuchaspossible.•Surfacingthementalmodelsthatinfluencehowpeoplebehave.•Creatingcatalyticconversationsthatstimulateawareness,acceptance,andalternatives.
EngagePeopleinDevelopingTheirOwnAnalysisEngagingpeopleindevelopingtheirownanalysisbuildsownershipfortheworkandincreasesitsaccuracy.Ifyouareleadingamappingeffort,it’simportanttoproceedwiththatengagementgoalinmind.Whenusingcausalloopdiagrams,beginbydraftingyourowninitialanalysisbasedoninterviews,focusgroups,andpreviouswrittenobservationsabouttheissue.(Themapsinchapter7representthetypesofanalysesyoumightdeveloponyourownorwithacoach.)Theninviteasmallgroupofrepresentativestakeholders,suchasasteeringordesigncommittee,tocommentonhowthepreliminarymapbothincreasestheirunderstandingandcanbestrengthened.
Ratherthanpresentyourfindingsfromtheoutset,considerhowthisgroupmightarriveatsimilarinsightsontheirown.Youcouldshowthemthetemplateforasystemsarchetypethatseemsparticularlyrelevanttotheirsituation(suchasShiftingtheBurden,AccidentalAdversaries,oroneoftheothersintroducedinchapter4)andaskthemtofillinthetemplatetoilluminatetheirstory.OryoucouldwritesomeofthekeyvariablesonPost-itnotesandaskthemtodrawthemostimportantcause-and-effectrelationshipsbetweenthevariables.Afterhavingdevelopedtheirowninsights,peoplecanmorereadilyinterpret,internalize,andimproveyourdraft.Ifyouareconsultingtoaprojectandcannotworkwithasmallgroupfirst,thenithelpstoaskoneormorepeopleinvolvedwiththeprojecttocommentontheinitialmapandrefineitbeforeengagingalargeraudience.
Presentingeffectivelytoalargergroupbeginswithanchoringtheanalysiswithastory.Forexample,onestoryinCalhounCountyrevolvedaroundamanwhohadcycledcontinuouslythroughthecommunity’svariousformsoftemporaryshelterformanyyears:officialshelters,thestreetorwoods,emergencyrooms,jails,andthecouchesofthosewhoknewhim.Peoplewantedtohelpthismangetonhisfeetandfindmorepermanenthousingbutseemedunabletodosodespitetheircaringandefforts.Whywasitdifficultforthecommunitytobreakthecycleoftemporarysheltersandongoingvulnerability?Whatmighttheydodifferentlytocreateamorepermanentandsatisfyingsolution?
Beforeofferingamapthatmighthelpanswerpeople’squestions,itisimportanttopositionthisdiagramasacatalystforconversationandlearning—notasadefinitiveanswer.Remindpeoplethattheywillbeaskedtocommentonanymappresentedtoensureitreflectstheirexperience.Then,afterthepresentation,invitethemtooffertheirfeedbackandsuggestions,whichIfindeasiesttorecordonflipchartsinthemomentandlaterincorporateintothemapoffline.
Whenpreparingandpresentingyourmap,practicereversetranslation—convertingthesystemslanguageusedtodevelopthemapbackintoEnglish.Inordertomakethemapaccessibletopeopleunfamiliarwithsystemslanguage,ithelpsto:
•Refinethemapfirsttoremovealljargonandcommunicatetheloopsineverydaytermssuchasquickfix,viciouscycle,andgrowthengine.Intheruralaffordablehousingcase,reinforcingloopsweredescribedas“pumps”andbalancingorlimitingloopsas“seepage”toevokeanagriculturalmetaphor.
•Introducerelevantarchetypesasstoriescommontothehumanexperience—notjusttothepeopleinthisparticularsituation.Thishelpspeoplebothrecognizethestoryandrelieveanyshameassociatedwithbeingcaughtupinit.
•Honorpeople’sbestintentionsbyacknowledgingwhattheywanttoaccomplishthroughtheiractions.Forexample,theywanttoreducestarvationandbelievethatsendingfoodisthehumaneandrightwaytoaccomplishthis,ortheywanttogrowtheircommunityandbelievethatbuildingnewhousingisthekeytoattractingnewpeopleandjobs.
•Thenshowhowthesewell-intentionedactionsfallshortbecauseoffactorsandconsequences,oftenlonger-term,thathavenotbeentakenintoaccount.Aswelearnedearlier,forinstance,thosewhoprioritizefoodaidwhentryingtoendstarvationunintentionallyunderminelocalagriculturaldevelopmentbydrivingdownfoodprices.Theyalsocreateaspikeinpopulationgrowthyearslaterasyoungchildrensavedbyfoodaidbecome
ofchild-bearingagethemselves,oftenleadingtogreaterfamineduetothecompromisedlocalfoodsystem.
•Introducethediagraminstagesusing“builds.”Forinstance,inchapter7wesawseveralstoriesunfoldinstages—includinganAccidentalAdversariesstorythatfirstshowedtheprospectsofpartnership,andthenshowedhowthepotentialpartnersaccidentallybecomeadversaries.Eachdiagramhasitsownrecognizablethemeasthestoryexpandsanddeepens.
Alingeringquestionyoumighthaveatthispointis“howdoweknowifthemapisaccurate?”Onewaytoestablishaccuracyistoengagepeopleindevelopingitusingtheguidelinesinthissection.Anotheristoensurethatthemapanswersthefocusingquestionposedatthebeginningoftheprocessandexplainswhykeyvariableshavetrendedovertimeastheyhave.Athirdtestismorevisceral:Ausefulmapoftenevokespalpablesilenceonthepartofparticipants.Thesilencecommunicatesmanyfeelingsinrapidsuccession:
•Humilitythatcomeswithrecognizingthat,inthewordsofWaltKelly’sPogo,“Wehavemettheenemy,andheisus.”•Despairfromacknowledgingthatwecannolongerkeepdoingwhatwehavebeendoingandexpectadifferentresult.•Hopethatwecanfindamoreeffectivewayforwardbythinkingandactingdifferently.
Mapscanevolvetonotonlyenrichandexpandpeople’sunderstanding,butalsosometimestoshiftitprofoundly.Forexample,abreakthroughinsightfortheTAPIparticipantswasthatthefearofbeingvictimizedbycrimecandrivebehaviorinthecriminaljusticesystemmorethanthelevelofcrimeitself.Inaverydifferentsituation—theefforttorebuildcivilsocietyinBurundiafterits1990–94civilwar—NGOsthatdevelopedasystemsanalysisoftheconflictdeterminedthatthedrivingfactorinthewarwasnotwhichtribe,TutsisorHutus,wasinpower,buttheabilityofanelitefromeithertribetodominatethemajoritythroughethnicmanipulation.
SurfaceMentalModels
ThecomedienneLilyTomlinonceobserved,“Realityisnothingmorethanacollectivehunch.”Onepurposeofsystemsthinkingistomakeourhunchesexplicitsothatwecanquestionandmodifythemtobetterachievewhatwedeeplycareabout.Indeed,mycolleagueMichaelGoodmansays,“Systemsthinkingismentalmodelsmadeexplicit.”Ithinkofitasaformofcollectivemeditation:slowingdownourthinkinglongenoughtoreflectonwhetheritservesus.
Ourassumptionsandbeliefsdrivemanyofthecause–effectrelationshipsweexperience.Forexample,considerifdownsizinginanorganizationreducesorincreasesthemoraleoftheremainingstaff.Theobviousansweristhatcuttingstaffdecreasesmoralebecausetheotheremployeeswonder,“Whenistheothershoegoingtodrop;willIbefirednext?”or“Myworkloadhasincreasedevenfurtherasaresult,andIcan’tdoitall.”Alternatively,themoraleofremainingemployeesmightincreasebecausetheythink,“Wehavefinallyremovedthedeadwood,”and“IamconsideredimportanthereandnowhaveanopportunitytoshowevenmoreofwhatIcando.”Differentassumptionsdetermineiftherelationshipbetweendownsizingandmoraleisunderminingorconstructive.
Theseperceptionsarethenextdeeperleveloftheicebergthatexplainscurrentreality(seefigure3.2).Youcanclarifythembyaskingparticipantstolookatthecausalloopdiagramandanswerthequestion,“Whatarethekeyassumptionsthatkeepthisdynamicinplace?”Ithelpstobeginbyidentifyingassumptionspeopleholdaboutwhycurrentsolutionsorwaysofdoingthingsshouldwork:“Thisquickfixshouldsolvetheproblembecause...”or“Thisengineofsuccessshouldassurecontinuedgrowthbecause...”
Encouragepeopletolocateeachmentalmodelonaspecificcause–effectlinkifpossibleandidentifywhichstakeholdersholdthatparticularbelief.Placingmentalmodelsdirectlyonthediagrambringssystemsmapstolife.1Forexample,figure8.1showsthementalmodelsvariousstakeholdershadinCalhounCountythatcontributedtoperpetuatinghomelessness.Youcanseethateveryoneheldreasonableassumptionsthatunexpectedlycontributedtotheveryproblemtheywantedtosolve.
Sometimespeople’sassumptionsaresodeeplyembeddedintheoveralldynamicthatitiseasiertolistthemseparately.Forexample,participants
committedtoredesigningtheearly-childhooddevelopmentandeducationsysteminConnecticutuncoveredmentalmodelsthatconstrainedhowtheythoughtaboutpotentialsolutionstotheirproblem—eventhoughtheirownexperienceoftencontradictedtheassumptionstheyheld.Theyrecognizedthattheirbeliefsreflectedthoseoftheirpoliticalsponsors,whothoughtthat:
•Formalstructures(suchasnewlawsorinstitutions)shouldbeemphasizedoverinformalstructures(suchassocialnetworksinpoorcommunities).•Statecontroloverthenewsystemismorecrucialthanlocalcontrol.•Quantitativemeasuresaremoreimportantthanqualitativeonesinassessingwhatworks.
Atothertimesitcanbeilluminatingtogobeyondthespacelimitationsofthoughtbubblesanddescribehowdifferentstakeholdersseetheproblemingreaterdetail.OnedramaticexampleofthiswasprovidedbyJonWalz,adoctorandformerfellowintheKentuckyPublicHealthLeadershipInstitute.Dr.Walzdistinguishedtherespectiveviewsofpatients,medicalproviders,andpoliticianswhofacedthechallengeofhowtoendsmoking.Ifindhisworkespeciallyilluminatingbecausehedescribessixdifferentlensesorparadigmsthatsummarizepeople’sdiverseviews:defiance,fear,entitlement,desperation,ignoranceorfunctionalilliteracy,andrecognition(seetable8.1below).Isuspectthattheseparadigmspervadepeople’sviewsonotherissuesaswell,althoughonlyoneofthem—thelensofrecognition—promisesaconstructivesolution.
FIGURE8.1MENTALMODELSINCALHOUNCOUNTY.Addingmentalmodelstoasystemsmapnotonlybringsthemaptolifebutalsohelpsexplainwhycertaindynamicspersist.BridgewayPartnersandInnovationAssociatesOrganizationalLearning
CreateCatalyticConversationsThepurposeofthesystemsmapandinquiryintounderlyingmentalmodelsistohelpstakeholderscreatecatalyticconversations.Insteadofre-creatingfamiliardiscussionsaboutlimitedresources,whoistoblame,andwhoelseneedstochange,thesenewconversationsaredesignedtodeepenawareness,cultivateacceptance,anddevelopnewalternatives.Peoplelearntoseethesystemmorecomprehensivelyandusefully,accepttheirresponsibilityfortheissue,andexpandtheirviewsaboutwhattheymightdodifferently.
TABLE8.1.MENTALMODELSAROUNDSMOKINGCESSATION
DEEPENINGAWARENESS
Thesystemsmapbuildsdeeperawarenessbyhelpingstakeholdersunderstandtheoftennon-obviousinterdependenciesandlonger-termconsequencesthat
underminetheirbestintentions.Addingmentalmodelstothediagramorconversationsurfacesunquestionedassumptionsthatpeoplecannowtest.Thefollowingquestionspromptcatalyticconversationsbasedontheseinputs:
•Whatnewinsightshaveemergedaboutwhytheproblempersistsdespiteourbesteffortstosolveit?Howdoweseethingsdifferently?•Whatissurprising?•Howisourgroupinpartresponsible,albeitunwittingly,fortheissue?•Whatchallengesdothesedynamicspresent?•Whatnewopportunitiesdotheyoffer?
Youcanalsodevelopmorespecificquestionsthatpromoteinquiryintocertaindynamics.Forexample,aschooldistrictthatsawSuccesstotheSuccessfulastherootcauseofitschallengetoreducetheachievementgapbetweenrichandpoorstudentsfoundenormousvalueinconsideringtwoquestions:
•Whydosomestudentswhocomefromprivilegedfamiliesperformpoorlyinschool?•Whydosomestudentsfromfamilieswithlimitedmeansperformwellinschool?
Thesequestionspromptedthedistricttorealizetherearecertaincriticalsuccessfactorsthatenableallstudentstobesuccessful—nomatterwhattheirbackgrounds.Theseinclude:rolemodels/mentorswhobelieveinthem,familyandcommunitysupportstructures,resiliencyandself-regulation,andhonoringindividuallearningdifferences.
CULTIVATINGACCEPTANCE
Withgrowingawarenesscomenewchallenges.Understandingwhyasystemoperatesthewayitdoesdespitepeople’sbesteffortstoimproveitrequiresthattheymovefromblametoresponsibility,independencetointerdependence,andshort-termtolong-termthinking.Acceptingresponsibilityforyourcontributiontothecurrentdynamicsisthefirststepbecauseitsupportsinterdependenceand
long-termthinking.Itisanactofself-empowerment—for,asChurchillobserved,“Thepriceofpowerisresponsibility.”
Twoseeminglyoppositestancessupportpeopleindevelopingthisacceptance:compassionandconfrontation.Youneedcompassiontorecognizethatmanyproblemsareself-created,howeverunintentionally.Mostpeopledonotwanttoincreasestarvationorperpetuatehomelessnessordestroytheenvironment.Ithelpstoassumethateveryoneisdoingthebesttheycanwithwhattheyknowatthetime.Ontheotherhand,itisequallyimportanttorecognizethat,atsomelevel,peopleknownotwhattheydoandcanbetheirownworstenemies.Theyimplementquickfixesandassumethatshort-termimprovementswilllast,ortheybuildenginesofsuccessandassumethatthissuccesswillsustainitselfindefinitely.Theytrytooptimizetheirpartofthesystemundertheassumptionthatthisisthebestwaytooptimizethesystemasawhole.
Raisingawarenessandacceptancearenotintendedtoreplaceblamingotherswithblamingyourself.Rathertheyaredesignedtoenablepeopletoachievemoreofwhattheydeeplycareabout—becauseitisultimatelyeasiertochangeyourselfthantochangeothers(nomatterhowtemptingthelatternotion).Weknowfromexperiencethatbothcompassionandconfrontationarevitalelementsofchange—aswhenwetalkabouttheneedfor“toughlove”or“ruthlesscompassion.”
Asaconvenerorfacilitatorofsystemschange,itisalsoimportanttofosterconfrontationwithoutcontempt.Confrontationmeansraisingpeople’sawarenessoftheiractionsinserviceofhelpingthemachievewhatreallymatterstothemaswellasyourself.Confrontationisfoundedoncompassion.Bycontrast,contemptseekstoshameothersintotakingactionsthatserveyouindependentofwhatisimportanttothem.Contemptoftenshowsupforpeopleinpower,andittendstoevokedefensivenessratherthanawillingnesstochange.
Onegroupthatisfrequentlyviewedwithcontemptispubliclyelectedofficials.Theiractionsoftenappeartobesolelymotivatedbytheirdesiretogetreelected,andtheydothatbyappealingtothepublic’sfearsandshort-terminterestsratherthantotheirconstituents’bestinterests.Iraisedthisconcern
oncewithaformercongressmanwhohadsuccessfullyservedhisgenerallyconservativedistrictfortwentyyears,andthenwentontochairhisstate’snonprofitmanagementassociation.Iaskedhimhowhehadnavigatedthetensionbetweengettingreelectedandhisownhighervaluetoservethegreatergood.Hetoldmethatheviewedgettingreelectedasabaseline,anecessaryconditiontoservehisconstituency,butnotasanendinitself.Similarly,asthefamousmanagementtheoristPeterDruckerpointedout,profitisanecessaryconditionforbusinesssuccessbutnotitspurpose,justasweneedoxygentobreathebutbreathingisnotourpurpose.Ibelievethatmanyofficialscouldbeinfluencedonthebasisofappealingtotheirhighervaluesandthinkingabouthowtohelpthemgetvoteswithinthatcontext,ratherthanbyassumingthattheyareonlymotivatedbyimmediateself-interestandbelittlingtheirviews.
Lestthissoundnaive,thinkofleaderssuchasMartinLutherKingJr.andNelsonMandelawhoconfrontedthepowerstructurewhileatthesametimeempathizingwithit.Theyappealedtothehumandignityandhigheraspirationsofthoseinpowerandsoughttopartnerwiththemonthatbasis.Whencollaborationfailedasaninitialstrategy,theywerewillingto“fightfirewithfire”butthenreturntocollaborationwhentheiradversariesdemonstratedmorewillingnesstoactaspartners.
DEVELOPINGNEWALTERNATIVES
People’swillingnessandabilitytodevelopalternativesolutionsarefoundedonawarenessandacceptance.Whenpeoplebecomeawareofwhytheirownprevioussolutionshavefailed,andtheyaccepttheirresponsibilityforthesefailures,thentheyaregenuinelyopentoconsideringnewwaysofthinkingandacting.
Whenyoufollowthepreviousstepsinthischapter,peoplenaturallybegintothinkaboutnewsolutions.Itisfinetoencouragefreshthinkingatthispoint.Atthesametime,thereisoneotherfactortheyneedtoconsiderbeforecommittingtoalternativeactions.Theoneotherpotentialobstacletomovingforwardispeople’sunderlyingintentions.Mostofushavemultiplecommitments—for
example,thedesiretomeetourmoreimmediateself-interestsandthedesiretorealizeourhigheraspirations.Whenthesecommitmentscompete,wewilltrytomoveforwardonlytobedrawninanotherdirectionandthenfeelpulledbackandforthbetweenthetwo.
Thenextchapterhelpspeopleexaminethesepullsmorecloselyandresolvetheseconflicts.Supportingpeopletoaligntheiractionswiththeirhighestaspirationswithconsideredawarenessofhowtoalsoaddresstheirshort-terminterestsisvitaltoreleasingtheirfullenergiesinserviceoflastingchange.
ClosingtheLoop•Whilesystemsmappingcanincreasepeople’sunderstandingofwhytheyhavebeenunsuccessfuldespitetheirbestefforts,itisnotalwayseasytomotivatepeopletoactontheseinsights.•Tohelppeoplecapitalizeonthepowerofsystemsthinking,itisimportanttoengagethemasmuchaspossibleindevelopingtheanalysis.•Thereareseveralwaystomakesystemicinsightsaccessibletothosewhoarenotfamiliarwiththiswayofthinking.•Identifyingthementalmodelsthatshapesystemdynamicsnotonlybreatheslifeintoananalysis,butalsoprovidesasourceofleverageforshiftingthesedynamics.•Theultimatepurposeofsystemsmappingistocatalyzenewconversations.•Theseconversationsaremostproductivewhentheydeepenawareness,cultivateacceptance,anddevelopnewalternatives.
—CHAPTER9—
MakinganExplicitChoice
Thebroad-basedteamworkinvolvedinsolvingcomplexsocialproblemsrequires,aswe’venowseen,aligningdiversestakeholderswithacommonpublicpurpose—eventhougheachmayhavedifferentprivateagendas.Inchapter6,forinstance,wesawtheconflictsthatalmostalwaysemergeincoalitionstryingtoendhomelessness.Everyonehasdifferentprimaryconcerns:Electedofficialsworryaboutcontainingcoststokeepvotersupport;downtownbusinesspeopleworryaboutkeepinghomelesspeopleawayfromtheirstorefronts;andshelterprovidersworryaboutfillingbedstokeeptheirfunding.Theapproachrecommendedinchapter6toalignthesedifferentinterestsistoestablishcommongroundbyclarifyingpeople’ssharedaspirationandtheirinitialpictureofcurrentreality.Buttheworkdoesn’tstopthere.
Whiledevelopingcommongroundisvital,itcanmisstheevendeeperchallengeofaligningpeoplewiththemselves.Thediversityofconcernsheldbydifferentstakeholdersmakesitdifficulttonotonlyalignpeoplewithoneanother,butalsotoaligneachstakeholder’shighestaspirationwiththeirownimmediateself-interests.
Mostpeoplearepulledbetweenachievingwhattheymostdeeplycareaboutandmeetingshort-termgoals.1Wewanttorealizeourdivinenaturewhilealsoensuringthatwemeetmorebasicneedssuchaseconomicsecurity,belonging,andrecognition.Evenourdesiretohelpothersrelievetheirimmediatesufferingcanconflictwithhelpingthesesamepeoplebecomeindependentlysecureandfulfilledovertime.Thesubsequentquestionforthosewhowantsocialchangeishowtosupportpeopletorealizetheirhighestaspirations,particularlywhenthese
divergefromtheirmoreimmediateconcerns.Howdowehelppeoplemakeanexplicitchoiceinfavorofwhattheymostprofoundlywant?
Theansweristoconnectpeopleevenmorecloselywithboththeiraspirationsandcurrentrealitybyuncoveringthebottomoftheiceberg—thepurposethatinspiresthemand,oftenbycontrast,thepurposethatshapestheireverydayactions.Bybecomingmoreawareofbothpurposes,peoplecanmakeamoreconsciouscommitmenttotheirhighestaspirationswithfullawarenessofthepotentialcosts,notonlythebenefits,ofrealizingthem.Inordertoalignstakeholdersmostpowerfullyaroundtheiravowedpurpose,itisimportanttohelpthemmakeaninformedchoicetocommittothispurposeinfulllightofwhatitmighttaketogetthere.Makingthischoiceispivotaltoaligningpeople’senergiesinserviceofmeaningfulchange.
Youcanlearntocreatethisalignmentbysupportingpeopletotakefoursteps:
•Understandthattherearepayoffstotheexistingsystem—acaseforthestatusquo.•Comparethecaseforthestatusquowiththecaseforchange.•Createsolutionsthatserveboththeirlong-termandtheirshort-terminterests—ormakeatrade-offwiththerecognitionthatmeaningfulchangeoftenrequireslettingsomethinggo.•Makeanexplicitchoiceinfavoroftheirhigherpurposebyweakeningthecaseforthestatusquoandstrengtheningthecaseforchange.
UnderstandPayoffstotheExistingSystemSystemsareperfectlydesignedtoachievetheresultstheyareachievingrightnow.2Atfirstglance,whenwelookathowdysfunctionalexistingsystemscanbe,thispremiseseemsabsurd.Forexample,whywouldpeopledesignasystemthatperpetuateshomelessness,increasesstarvation,orundermineschildren’sabilitiestolearn?Theanswerthatemergesfromasystemsanalysisisthatpeopleareaccomplishingsomethingtheywantnow,somethingotherthanwhattheysaytheywant.Theyarereceivingpayoffsorbenefitsfromthestatusquo,andtheyareavoidingcostsofchange.
Payoffstoanexistingsystemincludequickfixesthatworkintheshortruntoreduceproblemsymptomsandtheimmediategratificationthatcomesfromimplementingthem.Insystemsthatunwittinglyperpetuatehomelessness,someofthepayoffstotheexistingwaysofworkingarereducedvisibilityoftheproblemduetotemporarysheltersthatkeeppeopleoffthestreetsoroutofthepubliceye,reducedseverityoftheproblembecausesomeformsofshelterexist,goodfeelingsonthepartofbothshelterprovidersandfundersthattheyarehelpingpeopleinneed,andcontinuedfundingforthesheltersystem.
Costsofchangethatpeopleprefertoavoidincludefinancialinvestment,thediscomfortoflearningnewskillsandcreatingdifferentwork,havingtoactinterdependentlyinsteadofindependently,andbeingpatientwhilewaitingforinvestmentstodemonstratereturnsovertime.Inthecaseofendinghomelessness,someofthecostspeopleavoidareinvestinginsafe,permanent,affordable,andsupportivehousing;closingsheltersorsignificantlyshiftingtheirmissionandwork;confrontingfearsonthepartofcitizensthattheymighthaveformerlyhomelesspeopleasneighbors;andconfrontingfearsonthepartofhomelesspeoplethattheymightnotbeabletoadjusttopermanenthousing.
Thepayoffsoftheexistingsheltersystemandthecostsofchangingitcombinetoyieldacaseforthestatusquoofhelpingpeoplecopewithhomelessness.However,thiscaseforthestatusquoactuallyundermineseffortstorealizetheavowedpurposeofendinghomelessness.
ComparetheCaseforChangewiththeCasefortheStatusQuoThecaseforchangeincludesthebenefitsofchangingandthecostsofnotchanging.Theseareofteneasierforpeopletoclarifythanthebenefitsofnotchangingandthecostsofchange.Peoplehavealreadybeenthinkingabouttheirvisionforadesiredfuture,andtheycanalsoimagineanegativefuturewheretheproblemsthatconcernthemarenotaddressed.
Inordertobuildthecaseforchange,youcanaskpeoplewhatbenefitswouldbederivedfromrealizingtheirvision—benefitsfortheirconstituentsandsocietyasawhole,fortheirpartnersandotherstakeholders,andforthemselves.Thoseinvolvedintryingtoend(versuscopewith)homelessnessmightrespond:
•Reducedcostsfortheemergencyresponseandsocialservicesassociatedwithchronichomelessness—includingshelters,hospitalbills,andsubstanceabusetreatment.•Reducedunemploymentcostsforpeoplewhoexperienceepisodichomelessnessbecausetheyhavelosttheirjobsandabilitytopayforhousing.•Abilitytoreceivestateandfederalfundsformeetingbest-practicerequirementstoreducehomelessness.•Positivefeelingsassociatedwithprovidingpeoplewithpermanenthousing.
Then,tohelppeopleunderstandthecostsofnotchanging,youcanaskthemtopainttheirnightmarescenario—todescribetheworstthatcouldhappeniftheydonothingdifferentlynow.Forthosesamepeopleworkingtoendhomelessness,thecostsofnotchanginginclude:
•Alltheabovecostscontinuetoincrease.•Lostfundingcausedbyfailingtomeetgovernmentrequirementsforimplementingbestpractices.•Lowerqualityofstreetlifeleadingtoeconomicdecline.
Inordertohelppeoplecomparethecaseforchangewiththecaseforthestatusquo,ithelpstocompleteacost–benefitmatrix,asshownintable9.1.
Thecost–benefitmatrixhelpspeopleunderstandatanevendeeperlevelwhychangeisnotoccurringdespitetheirbestefforts.Itdepictstheoftenhiddencaseforthestatusquo—onethatiscurrentlystrongenoughtooverridethecaseforchangeandperpetuatethewaythingsare.
CreateBoth/andSolutions—orMakeaTrade-OffPeopleideallywanttohavetheircakeandeatit,too:Theywouldliketokeepthebenefitsofthestatusquowhilealsorealizingthebenefitsofchange.Indeed,both/andsolutionsarepreferablewheretheycanbefound,andthereareanumberofmethodssuchasPolarityManagementforcreatingthosesolutions.3
Intheefforttoendhomelessness,therearehundredsofcommunity-basedcontinuumsofcarethroughoutthenationprovidinghousingandservicesforhomelesspeople.Componentsmayinclude:streetoutreach,emergencyshelters
(leastpermanent),transitionalhousing(supportingchronicallyhomelesspeopletopreparetoliveinpermanenthousing),rapidrehousing(helpinghomelesspeoplequicklymoveintopermanenthousing,usuallyintheprivatemarket),permanentsupportivehousing(permanent,affordable,safehousingcombinedwithsupportiveservicesforchronicallyhomelesspeople),andservicesonly.Therecanbeaplaceforallthesealternativesaslongastheoverallsystemisincentivizedtoprovidepeoplewithpermanenthousingasquicklyaspossible.
TABLE9.1.COST–BENEFITSMATRIXFORENDINGHOMELESSNESS
However,moreoftenthannot,peoplehavetomaketrade-offs.Theyhavetodecideifwhattheyaspiretoisworthgivingupatleastsomeofwhattheyhave.Asmuchasweprefernottoletgoofanythingtohaveevenmore,wealsounderstand“nopain,nogain,”“thereisnosuchthingasafreelunch,”and
“investingnowforthefuture.”Notonlydosystemsexhibitatendencyforbetter-before-worsebehavior(forexample,throughquickfixesthatunderminelong-termeffectiveness),butthereverseisalsotrue.Thingsoftenhavetogetworse(ormoredifficult)beforetheygetbetter.Wehavetoletgoofsomethingsuchascomfort,security,andindependencetohavewhatwewantevenmore.Bycontrast,theunwillingnesstoletgoofsuchbenefitstothestatusquoisthegreatestobstacletochange.
LyndiaDownie,thepresidentandexecutivedirectorofBoston’sPineStreetInn,oneofthemostrespectedsheltersinthecountry,realizedthattheinnneededtototallytransformitsmissioninordertotrulytacklehomelessness.4
Shediscoveredthat5percentofthehomelesspeopleinhershelterstookupmorethanhalfofthebedsonanygivennight,andthatthesewerethechronicallyhomelesswhomostneededpermanenthousing.CommittedtoHousingFirst,whichcentersonprovidinghomelesspeoplewithpermanenthousingquicklyandthenprovidingservicesasneeded,sheconvincedherboardtotransformtheinn’smissionfromemergencyshelterprovidertorealestatedeveloperandlandlord.Shedescribesthe“hard-to-stomach”decisionforboththeboardandstaffthatinvolvedclosingsomesheltersandshiftingthoseresourcestobuyhomesinstead.
TheCOOofanonprofitcommittedtoprovidinghealthcareforthehomelessinamajorcityparticipatedwithallthestakeholdersworkingwiththehomelessinherareainanexercisetodevelopasystemsmap.Afterreviewingthemapandherorganization’splaceinthelargersystem,shechallengedherpresidentandboardatameetinglaterthatday,“Whatmightwehavetogiveupasanorganizationinorderforthewholetosucceed?”Ihadneverheardthequestionputsoboldlybeforeandrealizedthatitmakesanenormouslypowerfulstatement.
AsinthecaseofthePineStreetInn,sometimesthegreatestchallengebeginswithlettinggoofoneself-imageandreplacingitwithanother:
•TheAreaEducationAgenciesandlocalschooldistrictsinIowarealizedthattheyneededtogiveuptheiridentitiesasbeingsolelyresponsibleforthestudentsintheirrespectivegeographies.Inordertoimproveeducation
outcomesacrossthestate,theyneededtoaccessthepowerofinterdependenceandletgoofameasureofindependencewithrespecttoeachotherandthestateDepartmentofEducation.
•Theregulatoroffoodsafetyinamajorcitylearnedthatitwasmoreeffectivewhenitshifteditsrolewithrestaurantownersfrombeinganenforcertobeinganinformationproviderandeducator.
•Acountypublichealthdepartmentincreaseditsabilitytoimprovethehealthofapoorcommunitywhenitshifteditsrolefrombeinganarm’s-lengthexperttobecomingthefacilitatorofacommunity-drivenprocess.
MakeanExplicitChoiceYoucansupportpeopletoletgomoreeasilybyfirstweakeningthecaseforthestatusquo,andthenstrengtheningthecaseforchange.
Asystemsmapnaturallyhelpsweakenthecaseforthestatusquobyshowinghowpeople’scurrentthinkingandactionstendtoleadthemawayfromachievingthepurposetheyaspireto.Forexample,theemergencyresponsesystemtocopewithhomelessnessunwittinglydivertsattentionandresourcesawayfromendingit.SeparatelyoptimizingpartsoftheK–12educationinIowaunderminesthestate’sabilitytoimproveeducationoutcomesforallitschildren.Dependingonenforcementasawaytomotivaterestaurantownerstoincreasefoodsafetymakesitmoredifficulttoachievethecooperationrequiredtodoso.
Strengtheningthecaseforchangeinvolvestwostepsthatdeepenpeople’sconnectionswiththeirhighestaspirations.Thefirstismorereceptiveinnatureandsupportspeopletostopandlistentowhatcallstothemmostauthentically.OttoScharmerdescribesthisaspresencinginhispioneeringbookTheoryU:LeadingfromtheFutureasItEmerges.5Hestates:
Presencing—theblendofsensingandpresence,meanstoconnectwiththeSourceofthehighestfuturepossibilityandtobringitintothenow.Whenmovingintothestateofpresencing,perceptionbeginstohappenfromafuturepossibilitythatdependsonustocomeintoreality.Inthatstatewestepintoourrealbeing,whowereallyare,ourauthenticself.
Presencingevokesadeepconnectiondescribedbydifferentnamesinvariouswisdomtraditions.Scharmerdescribesitasaneco-centeredview,onecapturedbythefamousphilosopherMartinBuberwhenheencouragedpeopleto“Listentothecourseofbeingintheworld...andbringittorealityasitdesires.”Asking,“Whatisbeingcalledofus?”canleadpeopleinasignificantlydifferentdirectionthanonebasedonthequestion“Whatdowewanttocreate?”—whichrisksfocusingthemonamoreego-centeredplace.
Thesecondstepindeepeningpeople’sconnectiontothecaseforchangeismoreactiveinnature.Itsupportspeopletoenvisiontheidealfuturethatprofoundlycallstothem.ThefollowingguidelinesforvisioningarebasedonprinciplesdevelopedbyRobertFritz,amasterofthecreativeprocess:
•Separatewhatyouwantfromwhatyouthinkispossible.•Focusonwhatyouwantversusdon’twant.•Focusontheresultsinsteadoftheprocess.•Includetheconsequencesyouwant.•See/experiencethevisioninthepresent.
Ithenaskpeopleseveralquestionstodescribeanidealtimeinthefuturewhenthevisionhasbeenaccomplished:
•Howarethepeopleyouwanttoservebeingserved?Whataretheydoing,seeing,feeling,hearing,andsaying?•Howdoesservingthesepeoplecontributetootherstakeholdersandsocietyasawhole?•Whatisyourgroupdoingdifferently?Whatareyouseeing,feeling,thinking,andhearing?•WhatamIpersonallydoingdifferently?Howdoesrealizingthisvisionservemyhighestself?
Weakeningthecaseforthestatusquoandconnectingpeoplemorecloselytothecaseforchangethroughbothdeeplisteningandvisioninghelppeoplemakeanexplicitchoiceinfavoroftheirhighestaspirations.
WhatCanYouDoWhenPeopleAreStillNotAligned?
Whilethefourstepsabovestimulatealignmentamongdiversestakeholders,theydonotguaranteeit.Onepossibleoutcomeisthatyoustillcannotfindcommongroundonwhichpeoplewanttobuildsomethingtogether.Inthiscaseithelpstorememberthealternativesproposedinchapter6:
•Collaborateindirectlybylegitimizingandaddressingothers’concerns,andthenseekingtoinfluencethemthroughmutuallyrespectedthirdpartiesand/ortoengagethematcriticalphasesintheprocess.•Workaroundthepeopleyoucannotworkwith.•Workagainstthemthroughsuchchannelsasadvocacy,legislativepolicy,andnonviolentresistance.
Itisalsoimportanttorecognizethatnoteveryoneneedstoagreeatonceonanewcourseofactioninorderforchangetooccur.EverettRogers’sfamousstudyonthediffusionofinnovationsconcludedthatattitudesshiftprogressivelythroughapopulation,andthatthe15percentwhocompriseinnovatorsandearlyadopterscanbuildsufficientmomentumforotherstofollow.6
Anotherpossiblescenarioisthatpeoplelookclearlyatthecaseforthestatusquoandthecaseforchange—anddeliberatelydecidetomaintainthestatusquowithfullappreciationofthefuturetheyaregivingupon.Thisiscertainlyavalidchoice,andIonlyencouragepeopleinthesecasestomakepeacewithwhattheyhave—sincetheyarenowconsciouslychoosingit.Thismeansacceptingallofcurrentrealityincludingitsundesirableaspectssincenoneofitislikelytochangeiftheydonotchangethemselves.
ClosingtheLoop•Itisdifficulttoestablishcommongroundwhenpeople’severydayactionsarenotalignedwiththeirhighestaspirations.•Helpingpeoplemakeanexplicitchoiceinfavorofwhattheymostprofoundlywantisapivotalstageinthechangeprocess.•Youcanenablepeopletoaligntheircurrentbehaviorwiththeiravowedpurposebysupportingthemtotakefoursteps:1.Understandthattherearepayoffstotheexistingsystem.2.Comparethecaseforthestatusquowiththecaseforchange.
3.Createboth/andsolutions—ormakeatrade-off.4.Makeanexplicitchoiceinfavoroftheirhigherpurpose.
•Youstillhavealternativesavailablewhenstakeholdersdonotalignaroundahigheraspirationevenaftertakingthesesteps.
—CHAPTER10—
BridgingtheGap
Themedicalinformaticsunitofalargenonprofithealthcaresystemhadaclearandcompellingvision:assurethatthemostadvancedknowledgeaboutmedicalinformaticsbeincorporatedintothewiderorganization’sclinicalinformationsystems.Theunit’smembersincludeddoctorsandinformationsystemprofessionalswithadvanceddegrees,andtheyallhadapassionforthecontributionstheywantedtomake.However,despitestrongsupportfromseniormanagement,theunitfacedmultipleproblems,includingtryingtoconvincealooselyknitconfederationofhospitalstoimplementitsideas,makingcommitmentstothesehospitalsandthenfailingtodeliverhigh-qualitysystemsontime,andburningoutitsstaffintheprocess.Peoplewereovercommittedandunderdelivering.
Thechallengeofworkoverloadisnotlimitedtopeoplecommittedtosocialmissions.1However,theverynatureofhavinghighaspirations,limitedresources,anddifficultymeasuringprogressleadsnonprofitorganizationstonotonlyinspirepeoplebutalsoburnthemout.Itcanfeellikeanythingwedowillmovetheballforward,sowetrytodoeverythingwecanwithlittleheedtostrategicfocusandsustainableenergy.Thetendencytotrytodotoomuchiscompoundedwhendonorshaveunrealisticallyhighexpectationsofgranteesandgranteesagreetotheseexpectationsintheireffortstocompeteforfunds.Goalsescalate,prioritiesproliferateandshift,qualitysuffers,andtensionsmountaspeoplefailtocomethroughonagreed-upontasks.
Thegoodnewsisthatsystemsshiftnotasaresultofmakingmanychanges,butbysustainingfocusononlyafewchangesovertime.Thesechangesare
calledleveragepointsbecausetheyleveragelimitedresourcesformaximumlong-termimpact.Insteadofdoingmoreandaccomplishingless,organizationsthattargetandimplementsuchinterventionsactuallyachievebetterresultswithlesseffort.Oncepeoplehaveclarifiedwheretheyareandcommittedconsciouslytowhattheyreallywant(withanappreciationofthetrade-offsinvolvedingettingthere),theyarereadytoidentifyleveragepointstobridgethegapandestablishaprocessforcontinuinglearningandoutreach.
IdentifyHigh-LeverageInterventionsInheroutstandingbookThinkinginSystems,DonellaMeadowsidentifiestwelveleveragepointsinascendingorderofimpact.2Thischapteroffersashorterandsomewhatrevisedlistthatpeoplecommittedtosocialchangehavefoundespeciallyuseful:
•Increaseawarenessofhowthesystemcurrentlyfunctions.•“Rewire”criticalcause–effectrelationships.•Shiftmentalmodels.•Reinforcethechosenpurposebyaligninggoals,metrics,incentives,authoritystructures,andfundingtosupportit.
INCREASEAWARENESS
Forthoseofusconditionedtotakeaction,itfeelsstrangetofollowtheadviceascribedtoPresidentDwightEisenhower,amongothers,whosaid,“Don’tjustdosomething;standthere.”Peoplewhoareimpatienttodefinesolutionsandactuponthemoftenfailtoappreciatethepowerofadeeperinsightintowhatistocatalyzechange.AsstatedintheNewTestament,“Thetruthwillsetyoufree”(John8:32).
Theframeworkusedinthisbookemphasizesthestageoffacingcurrentreality—uncoveringthenon-obviousinterdependenciesthatinfluenceperformance,appreciatingthedifferencesbetweentheshort-andlong-termimpactsofanaction,recognizingyourownresponsibilityforperpetuatingtheproblem,andacknowledgingthepayoffsofthestatusquo—asaleverforchange
inandofitself.Whenthemedicalinformaticsgroupaboverealizedthattheirdifficultiesindeliveringqualityproductsontimestemmedfromtheirowntendencytoovercommit,theyacknowledgedtheimportanceofnegotiatingmorerealisticagreementswiththeirinternalcustomers.
Themappingtoolsinchapter7andcatalyticconversationquestionsinchapter8offernumerousexamplesofpeoplewhobegantoshiftasaresultofbecomingmoreawareofthesysteminwhichtheywereembedded.Bywayofreview,someofthemostpowerfulquestionstoraiseawarenessare:
•Whyhavewebeenunabletosolvethisproblemdespiteourbestefforts?•Howmightwebepartlyresponsible,albeitunwittingly,fortheproblem?•Whatmightbeunintendedconsequencesofourprevious—andproposed—solutions?•Whatarethepayoffstousofthecurrentsystem?•Whatmightwehavetogiveupforthewholetosucceed?
Wecanalsoappreciatethepowerofawarenessbyitsabsence.AsthecelebratedhistorianBarbaraTuchmanobserves,thepastisfulloffollieswhereleadersengagedin“thepursuitofpolicycontrarytotheself-interestoftheconstituencyorstateinvolved.”3Tuchmandefinedthecriteriaoffollyas:
•“Itmusthavebeenperceivedascounterproductiveinitsowntime,notmerelyinhindsight.”•“Afeasiblealternativecourseofactionmusthavebeenavailable.”•“Thepolicyinquestionshouldbethatofagroup,notanindividualruler,andshouldpersistbeyond‘anyonepoliticallifetime.’”
Whileherbookfocusesonfourhistoricalexamplestodemonstrateherposition—theTrojanWar,theruleoftheRenaissancepopes,theBritishlossoftheAmericancolonies,andtheUnitedStates’disastrousVietnamWar—itissadlyeasytosummonuprecentexamplesaswell.TheseincludetheIraqWarandourcontinuinghesitancetocombatclimatechange.Forexample,intheirrecentbookTheCollapseofWesternCivilization,historiansNaomiOreskesandErikM.Conwayuncoverapatternofdenialofclimatechangethatappearsdrawnfromthetobaccowars:“Insistthatthescienceisunsettled,attackthe
researcherswhosefindingsthey[thedissenters]disliked,demandmediacoveragefora‘balanced’view.”4
REWIRECAUSE–EFFECTRELATIONSHIPS
Rewiringmeansalteringthecause–effectrelationshipsthatinfluencehowpeoplebehave.Inordertoshiftsystemdynamicsandthepatternsofbehaviortheyproduceinasustainableway,somefeedbackrelationshipsneedtobecreatedorreinforcedtomotivatenewbehaviororsupportwhatworks.Othersneedtobeweakened,broken,orevenreversedtodiscouragereactivebehaviorandencouragemorecreativeresponses.Inaddition,timedelaysneedtobeshortened,lengthened,ortoleratediftheycannotbechanged.
Oneofthebenefitsofmappingrealityintermsofarchetypesisthatweknowalotaboutrewiringcommonarchetypalpatterns.Thissectionfocusesonidentifyinggenericleveragepointsforthesepatterns.Itwillemphasizethefivecommonsocialchangearchetypesdetailedpreviously:FixesThatBackfire,ShiftingtheBurden,LimitstoGrowth,SuccesstotheSuccessful,andAccidentalAdversaries—andthensummarizetheinterventionsfortheotherarchetypesandtheBathtubAnalogy.Asinanyorganizationalorcommunity-buildingeffort,ithelpsfortheconvenerorfacilitatortointroducetheprinciplesorevenspecificrecommendationsandtheninvitetheinputofalargergroupofstakeholdersbeforemovingahead.
PeopleembeddedinFixesThatBackfirehavethreeoptions:
•Considerthenegativelong-termunintendedconsequencesofalternativequickfixes,andchooseafixthatappearstohavenoneoratleastfewersuchconsequencesthanthecurrentone.•Continuetousethequickfixifyoumust,butconsiderwaystomitigateitsnegativeconsequences.•Uncovertherootcauseoftheproblemsymptomthatafixisintendedtoaddress,andsolvetheunderlyingproblemifpossible.
Forexample,becausemassincarcerationleadstotheeventualreleaseofmostprisonerswithevenmoreseriousdisadvantagesandahighriskofrecidivism,onealternativethatisbeingaddressedismodifiedsentencing.Alternatively,if
imprisonmentisnecessary,itisimportanttoactivelydesigntheprisonexperienceasaplaceforreform(throughcounseling,education,jobtraining,andcontinuedconnectionswithfamily)insteadofpunishment(withtheattendantbarrierstoreentryfacedbyformerlyincarceratedpeople).Athirdalternativeistoinvestinthedevelopmentworkthatbuildsstrongcommunitiessothattheydonotbecomebreedinggroundsfordespairandcriminalbehaviorinthefirstplace.
ThethreerewiringoptionsforShiftingtheBurdenare:
•Reducedependenceonthequickfix.•Increaseinvestmentinthefundamentalsolutionbycreatingavisionofanalternativefuturethatcompelsthisinvestmentoverthelongterm.•Whereitisnecessarytocontinuetousethequickfixwhilealsoworkingonthefundamentalsolution,designthefixinsuchawaythatitbuildstowardthissolutioninsteadofunderminesit.
Onecriticalsuccessfactorinendinghomelessnessisreducingdependenceonthetemporarysheltersystem.InthecourseoftransformingitselffromasheltertoaRealtor,thehistoricallysuccessfulPineStreetInnnowmanagesthirty-six18-unithousesinBostonandneighboringBrooklineandhasmorethanhalfofitsbedsinhomesinsteadofshelters.5.TheapproachisbasedonHousingFirst,abest-practicemodelofpermanentsupportivehousing,designedto“Providehousingfirst,andthencombinethathousingwithsupportivetreatmentservicesinmentalandphysicalhealth,substanceabuse,education,andemployment.”6
WhilesheltersremainanimportantemergencymeasureevenforthePineStreetInn,effortsareunderwaythereandinsuchnationallyrecognizedcommunitiesasColumbus,Ohio,andelsewheretopositionsheltersasconduitstopermanenthousinginsteadofacceptablesubstitutesforit.
Conservativesoftenrightfullypointoutthetendencyforpublic-sectororganizationstobecomesourcesofdependency—akeyindicatorofShiftingtheBurdendynamics.Inthepublichealtharena,severalagencieshavelearnedtorecognizethisdynamicandaltertheirpoliciesasaresult.Forexample,theyincreasefoodsafetybypartneringwithrestaurantownerstocreatefoodworkertrainingsystemsinsteadofdependingontheirtraditionalenforcementrole,and
theycreatehealthycommunitiesbyworkingwithpoorercommunitiestobuildlocalinfrastructureovertimeinsteadofcominginasshort-termexperts.7
ThekeystoovercomingLimitstoGrowthareto:
•Anticipatepotentiallimitsevenasyoubuildenginesofgrowth.•Investinovercomingtheselimitsbeforetheybecomeaproblem.•Ifnecessary,fundthisinvestmentfromanexistinggrowthengineevenifitmeansgrowingmoreslowly.
Participantsattheretreatonruralhousingdiscoveredthatinvestingininfrastructureforcommunityeconomicdevelopmentneededtoprecedehomebuildingbecausethisinfrastructurewasrequiredtoattractthefundingandexpertiseofprivatedevelopers.Inordertosustaintheeffectivenessofitssuccessfulmosquitocontainmentprogram,apublichealthdepartmentengagedhealthandotherofficialsinneighboringcommunitiestoprovidethepersonnel,equipment,andexpertiseneededtoexpandimplementationbeyondcitylimits.
MeetingthechallengesofSuccesstotheSuccessfulisdifficultbecausethereappeartobefewincentivesforthemoresuccessfultogiveuptheirrelativepower.Someinterventionsthatcanworkareto:
•DevelopanoverarchinggoalthatlinkstheachievementsofAandB.•EnablethemoresuccessfulpartyAtorecognizethenegativeimpactsofinequityonit,includingeconomiccostsandsocialinstability.•SupportpartyBtocultivateneglectedsourcesofpowersuchastight-knitfamilyandsocialtraditions,numbersandhencevotes,andmoralrightness.•Createsystemsthatpromoteequityofopportunityandaccess.•InvestinAandBbasedontheirpotentialforsuccessversuscurrentperformance.
Forexample,acommunitycoalitioninEagleCounty,Colorado,wascommittedtoavisionwhereallchildren,includingthosewhocamefromverywealthyandpoorfamilies,werelovedandsuccessful.Itdiscoveredoverarchingeducationalgoalsbylookingattwogroupsofoutliers:kidswho“haveitall”(inthesenseofcomingfromfamiliesofmonetaryprivilege)butstruggleinschool,andotherkidswhosucceeddespitecomingfromfamilieswithlimitedmonetary
resources.Coalitionmemberswereaskedtoclarifywhatmakeseverystudentsuccessfulbyconsideringtwoquestions:
•Whatcanbelearnedfrombothoutliergroupsabouttheresourcesrequiredtosucceed?•Whatcanbelearnedfromthesegroupstoincreaseallchildren’sprobabilitiesofsuccess?
Asaresultofansweringthesequestions,thecoalitionaffirmedthatseveralconditionswererequiredforanyandallchildrentosucceed,including:
•Familyandcommunitysupportstructures.•Atleastoneformativerelationshipwithateacher,advocate,ormentorinschool.•Challenge.•Resilienceandself-regulation.•Honoringlearningdifferences.
Inthespiritofcreatingopportunitiesforallchildreninthecounty,thecoalitionnameditsworkInteGreat!Bridgingthelearninggapevolvedintoanintentiontomeetthesesuccessconditionsforeverystudent.
InthecaseofhelpingchildreninConnecticutgetsupportwellbeforetheyenteredschool,therewereseveralargumentsputforthabouttheneedtoinvolvesuccessfulbusinesspeopleinpromotingearly-childhooddevelopmentandeducationbasedontheirinterestsindevelopinganeducatedworkforceandexpandedconsumerbase.However,thelong-termnatureofthesebenefitsmadeitdifficulttoengagethem.Ontheotherhand,participantsdidrecognizetheimportanceofcultivatingneglectedresourcesinpoorcommunities,includingsocialnetworks,theirabilitytoinfluencelocalpolitics,themorallegitimacyofequalopportunity,andthepowerofcommunicatingqualitative—notjustquantitative—descriptionsofwhatworks.
IntheUnitedStates,progressivetaxationofbothincomeandinheritance,aswellasantitrustlaws,areamongtheleversusedhistoricallytoleveltheplayingfieldandcreateequalopportunity.Education,albeitalonger-termsolution,isalsoakeylever,alongwiththeearly-childhooddevelopmentworkenergizedbysuchinitiativesasRightfromtheStart.
Therearethreehigh-leverageinterventionsthattransformAccidentalAdversariesintoproductivepartnerships:
•Clarifyorremindbothgroupshowtheycanbenefitfrompartneringwitheachother.•Pointoutthatthewaysinwhichtheyhaveunderminedeachotherareunintentional;eachgrouphassimplybeentryingtosucceedonitsownwithoutconsideringtheimpactofitssolutionsontheother.•Supportbothgroupstolookforwin–winsolutions:thosethatincreaseeachgroup’ssuccesswhilealsosupporting—oratleastnotundermining—theothergroup’sperformance.
TheeducationorganizationsinIowawereabletocollaboratemoreeffectivelywitheachotherwhentheyappliedthesethreestepstoimproverelationshipsbetweenthestateDepartmentofEducationandtheAreaEducationAgencysystem,individualAEAs,localschooldistrictsandindividualAEAs,andschooldistrictsandthestateDepartmentofEducation.
Table10.1summarizeshowtorewirethecause–effectrelationshipsthatproduceotherarchetypalbehaviors:
Finally,whenusingtheBathtubAnalogy,itisimportanttothinkaboutchangingflowsinordertochangestocksorlevels.Forexample,ifacommunitywantstoreducethelevelofhomelessness,itneedstodecreasetheinflowofpeoplebecominghomelessandincreasetheoutflowofpeoplemovingintoandremaininginpermanenthousing.Alternatively,toincreasethelevelofaffordablehousing,itneedstoincreasetheinflowofnewconstructionandrenovationandtodecreaseoutflowofhousingdeteriorationandultimateneglect.
SHIFTMENTALMODELS
People’smentalmodelsgovernmanyofthecriticalcause–effectrelationshipsthatshapesystemperformance.WhenconsideringanalternativetotheexistingquickfixinFixesThatBackfire,itisimportanttochallengethementalmodelsthatdeterminetheuseofthisfixinthefirstplace.Forexample,membersofthe
medicalinformaticsunitneededtoquestiontheirbeliefthatthebestwaytobuildsupportfortheirworkwastoraiseexpectationsabouttheexcitingbenefitstheirsoftwarewoulddeliver.
InordertoreducedependenceonthequickfixandbuildsupportforinvestinginthemorefundamentalsolutioninShiftingtheBurden,ithelpstodeterminetheassumptionsthatfavoruseofthequickfixandthosethatdiscourageimplementationofthefundamentalsolution.InCalhounCountythismeantchallengingtheassumptionthatshelterswereanimportantpartofthesolutiontoendinghomelessness,andthatHousingFirstwasnotcost-effective.
PotentialpartnersseekingtoreversetheAccidentalAdversariesdynamicneedtolearnthattheotherparty’sdisruptiveactionsarenotintentional,astheagenciesinIowadiscoveredwhentheymappedoutthestructuretheywerecaughtin.
TABLE10.1.REWIRINGOTHERARCHETYPALDYNAMICS
Surfacing,questioning,andtestingpeople’sbeliefsandassumptionsareessentialskillsinrewiringtheserelationships.Becausemanypeopletendtoidentifycloselywithwhattheythink(asDescartesobserved,“IthinkthereforeIam”),helpingthemshifttheirmentalmodelsrequirescarefulplanning.Thefollowingfive-stepprocesscanhelp:
1.Surfaceandrespectcurrentbeliefs.2.Ask,“Dothesementalmodelshelpusachievewhatwewantnow?”3.Stimulatealternativeviews.4.Developavisionofwhatwewantnowandthementalmodelsthatwouldsupportit.
5.Conductandlearnfromexperiments.
Chapter8describedahighlyeffectivewaytosurfacementalmodelsandsimultaneouslybringsystemsmapstolifebyaddingthoughtbubblestokeycause–effectlinks.Communicatingrespectforpeople’sbeliefsisimportantbecausebeliefsarebasedontheirpastexperiences—howeverincompleteorpotentiallyoutdatedtheyarenow.AsRobertFritzobserved,askingpeopleiftheirbeliefsaretrueornotisaweakquestionbecausetheanswerisalwaysyes.Themedicalinformaticsunithadreceivedasubstantialbudgettodevelopnewproductsbasedonthebenefitstheypromised,andformanyyearssheltershadprovidedthemosthumaneplaceswherehomelesspeoplecouldsleep.
Fritzrecommendssubstitutingutilityforvalidityasthebasisforassessingexistingmentalmodels.Inotherwords,itismoreproductivetoaskpeopleiftheircurrentbeliefsareusefulornot.Dotheirbeliefsenablethemtoachievemoreofwhattheywantnow?Forexample,membersofthemedicalinformaticsunitrealizedthat,whilemakinggrandcommitmentstothesystem’shospitalshadraisedenthusiasticsupportforitswork,overcommittinghadalsoledtohighstress,lowerquality,andreducedcredibilityovertime.Continuingtobaseagreementsonpotentialbenefitswasnolongerusefulandinfacthadbecomecounterproductive.
Youcanalsohelppeoplereducetheirattachmenttocurrentbeliefsbyintroducingalternativeviews.Gettingthewholesystemintheroomandcreating
catalyticconversationsacrossdiversestakeholdersinevitablysurfacesandpromptsdifferentwaysofthinkingabouttheissueandtheopportunities.ThepioneeringthinkeronorganizationallearningChrisArgyrisrecommendedthatpeopleseekdisconfirmingviews—activelyrecruitingevidencethatdemonstrateshowtheirmentalmodelsareincompleteornolongeraccurate.Forexample,thefieldsofappreciativeinquiryandpositivedeviancechallengeassumptionsthatobstaclescannotbeovercomebyredirectingattentiontohowpeoplehavealreadysucceededinthefaceofsimilarchallenges.8
Youcanalsoreduceattachmentbyproposingalternativeinterpretationsofknownfacts—forexample,byquestioningifademonstratedshort-termimprovementissustainableorashortfallisattributabletoalackofpatienceratherthanafailuretodemonstratemeasurableprogress.Systemsmapsstimulatenewthinkingbysurfacingunintendedconsequencesofpeople’sactions,differentiatingtheshort-andlong-termoutcomesoftheirsolutions,anduncoveringoftennon-obviousinterdependenciesamongdifferentpartsofthesystem.
Ifcurrentbeliefsdonotsupportdesiredresults,thenthenextstepistodevelopavisionofwhatpeoplewantnowandasetofbeliefsthatsupportmovementinthisdirection.Newsupportivebeliefsarenotnecessarilytheoppositeofexistingones.Infact,theyareoftenmorenuanced.Forexample,mostmembersofthemedicalinformaticsunitrealizedthattheywantedcredibility—notjustenthusiasticinterest—fortheirwork.Theyagreedtotestanewassumptionthatsuccessdependedonmakingrealisticagreementswithpotentialbeneficiariesinsteadofsimplyraisingexpectations.InorderforleadersinendinghomelessnesssuchasLyndiaDownietobesuccessful,theyhavetobelievethatmost(notnecessarilyall)homelesspeoplewanttoliveinapermanenthome.TheagenciesthatwereCollaboratingforIowa’sKidsneededtobelievethatpartneringwitheachothertoimproveeducationalperformancewouldproducebetterresultsthanactingindependently.
Newbeliefswillonlybesustainedtotheextentthatpeoplecanvalidatethembasedonnewactions.Thisiswhyexperimentsandprototypesaresoimportant.Theycannotonlyreinforceanewideabyshowingitworksinpractice,butalsomodifyandimproveupontheideabylearningwhatdoesnotwork.Membersof
themedicalinformaticsunitexperimentedwithnewwaysofnegotiatingrealisticagreementswithhospitalstaff,andmanyweresurprisedtodiscoverthat,bychallengingunrealisticexpectationsanddevelopingalternativeproposals,theywerereceivedasmoreprofessionalratherthanless.9DownieandthestaffofthePineStreetInnprovedthatmosthomelesspeoplewantamoresecurehomebyprovidingpermanent,supportivehousingandthendeterminingthat96percentofchronicallyhomelessstayedintheirnewhomeafteroneyearandreportedthat“thecamaraderieisterrific.”10TheIowaDepartmentofEducationandAreaEducationAgenciesworkedtogetheronimprovingearlyliteracy—ahigh-leverageinitiativeinK–12education—todemonstratethebenefitsofpartnering.
REINFORCETHEPURPOSE
Oncepeoplemakeaconsciouscommitmenttotheirespousedpurposeandidentifyleveragepoints,theyoftenneedtoreassesstheextenttowhichcurrentgoals,metrics,incentives,authoritystructures,andfundingstreamssupportorunderminetheachievementofthispurpose.Forexample,thesteeringcommitteeinCalhounCountybasedthegoalsinitsstrategicplantoendhomelessnessontheleveragepointsidentifiedinthesystemsmappingprocess.Threeofthesegoalsfocusedonthedevelopmentalprocessesofengagingthecommunity,creatingcollaborationamongprovidersandstakeholders,andestablishinginformedandalignedfundingapproaches.Theotherthreeaddressedthefundamentalsolutionsofprovidingaccesstoquality,safe,permanentaffordablehousing;servicestoensurestablehousing;andpermanentemploymentandeducationopportunities.Leadingfundersaroundthecountryhaveshiftedtheconventionalmetricforsheltersof“increasingbedutilization”to“reducinglengthofshelterstaypriortoamovetopermanenthousing.”
ThenationallyrecognizedCommunityShelterBoard(CSB)ofColumbus,Ohio,andsurroundingFranklinCountyalsodemonstrateshowtheseprinciplesareapplied.11CSBisacollectiveimpactorganizationwithtwentypartneragenciesfoundedbyapowerfulbusinesscommunitytoendhomelessness.Oneofitskeyearlydistinctionsandleverswasthatitpositioneditselftocoordinate
anddirectlyoverseemostofthecommunity-widefundingdedicatedtothisoutcome.CSBhasuseditsfinancialclouttodefinemetricsandincentivesthataredesignedtooptimizethewholesysteminsteadofitsconstituentparts.Forexample:
•Shelterprovidersaremeasuredbythenumberofpeoplehousedandhowquickly—notbybedutilization.
•Shelteranddirecthousingprovidersforfamiliesmustworkcloselytogethertoearntheirmoneybecausesheltersareincentivizedtokeepthenumberofdaysthatfamiliesspendinshelterslow,anddirecthousingprovidersmustgetreferralsfromfamilyshelterstomeettheirgoalsofhousing70percentoffamilies.
•CSBrunsaunifiedsystemforleasingupitspermanentsupportivehousingunitsthatassuresthatpriorityisgiventothosepeoplewithhighvulnerabilityandwhoarealsohighutilizersofthementalhealthsystem.Insteadofhavingwaitinglistsforhousing,ithasanintegratedsystemwiththementalhealthboard,thehousingauthority,andCSBtoassurethattheneediestpeoplearehoused.
CSBisalsoanexampleofabackboneorganization,whichJohnKaniaandMarkKrameridentifyasoneofthecriticalsuccessfactorsforcommunitiestoachievecollectiveimpact.12Oneofthebenefitsofbackboneorganizationsisthattheyprovidetheauthoritystructuresnecessarytofocustheworkofongoingdecisionmakingandimplementation.Theparticipatoryprocessesdescribedinthisbooksofarencouragesharedresponsibilityandconsensualdecisionmaking.Groundingthepurposeinactionabletasksthenrequiresthatpeopleauthorizespecificorganizationsorgroupstodecideandactonbehalfofthewhole.
Decisionandaccountabilitychartingaretoolsthatcanbeusedtofocusdecisionmakingandprojectimplementation,respectively.13Bothfunctionunderthepremisethatpeoplearemorelikelytosupportprocessesthatlimittheirongoinginvolvementiftheyhavebeeninvolvedconsensuallyinthepreviousworkandarenowaskedtoagreeonhowtosetthelimitsgoingforward.
Decisionchartingassignsafewpeopletomakespecifictypesofdecisionsonbehalfofthecollective.Theexactnumberofdecisionmakersisassmallaspossibletomakedecisionsefficientlyandasmanyasnecessarytoensurequalityandsupportforimplementation.Rolesinadditiontothedecisionmakersincludethosewithapprovalorvetopower(identifiedonlyifrequiredtomeetlegal,political,orfiscalobligations),thoseneededtosupportimplementationofthedecision,consultantstothedecision,thosewhohavetobeinformedofthedecision,andamanagerwhoensuresthatthedecisionismadeinatimelyway.
Accountabilitychartingusessimilarroledefinitionswithoneexception.Insteadofdecisionmakersandamanager,thereisonegrouporindividualvestedbythecollectivetodriveimplementationofaspecificgoalorprojectontheirbehalf.Allotherrolesarethesameasthoseusedfordecisioncharting.
EstablishaProcessforContinuousLearningandOutreachInordertobeeffectiveinthelongterm,organizationsneedtofollowthroughontheirimplementationeffortswithaprocessofcontinuouslearningandoutreach.Whileidentifyingleveragepointsoftenentailsaninitialreallocationofexistingresources(suchaswherepeopleplacetheirintention,focus,andtime),thisongoingjourneyinvolveslearningfromexperience,expandingtheresourcepool,andscalingupwhatworks.Let’sexploreeachofthese.
Evenbeyondchangingparadigmsorshiftingmentalmodels,theultimateleveragepointidentifiedbysystemsthinkerDonellaMeadowsistranscendingparadigms,whichshedefinesastheability“tokeeponeselfunattachedinthearenaofparadigms,tostayflexible,torealizethatnoparadigmis‘true,’thateveryone,includingtheonethatsweetlyshapesyourownworldview,isatremendouslylimitedunderstandingofanimmenseandamazinguniversethatisfarbeyondhumancomprehension.”14Ithinkofthisastheimportanceofestablishingaprocessofcontinuouslearning.Ourvisionsevolve,currentrealitychanges(hopefullyinthedirectionwewant),andnewinformationandconditionsemerge.Thebestwecandoistoclarifywhatwewant,planhowtoproceed,takeaction,andlearnfromwhathappens.
Continuouslearningatthelocallevelinvolves:
•Extensiveandongoinginclusionofstakeholders.•Aclearstrategicplanwithspecificprojectsinsupportoftheplan.•Astrongfocusondatatosupportevaluationagainstthegoalsandmetrics.•Quarterlyandannualevaluationsthatinformupdatestotheplan.
ThesearethefourstrategiesusedbyCSB,whichconsidersitscommitmenttocontinuouslearningtobethefoundationofitsongoingsuccess.
Asforexpandingtheresourcepool,CSBtapsadditionalresourcesthroughitsextensivepartnershipsandfund-raisingability.Inadditiontobeingconstitutedasapartnershipoftwentydifferentlocalagencies,CSBisactivelyinvolvedinnationaleffortstoendhomelessness.ItisamemberoftheLeadershipCouncilandparticipatesinmanynationalconferencesandwebinars.Italsoseeksoutothercommunitiesfortechnicalassistance,suchasbylearningshelterdiversionstrategiesfromNewYorkCity.CSB’srootsinthebusinesscommunitymotivateittokeeplearningfromtheprivatesectoraboutsuchareasashowtoengagegovernment,developbusinessstrategy,andimprovetheefficiencyofitsnewsingleadultsystem(byincorporatingsupplychaintechniquesusingabusiness’sSixSigmaBlackBelts).Theorganizationalsoremainscloselyconnectedtothepublicsector.
CSB’sstrongfund-raisingabilityisbasedonitscontinualemphasisoninclusion,harddata,andmeasurableperformanceimprovement.Inaddition,HUDhasrecentlygrantedtheorganizationunifiedagencystatus,whichenablesittobringmoreprogramsundertheCSBumbrellaandhelpthoseprogramsfocusonresultsandoutcomesinordertocontinuefunding.
Scalingupwhatworkscanbethoughtofasstrategiestoengagemanypeopleandinstitutionsbeyondtherelativelyfewkeypeopleyoumighthaveinvolvedsofar.15Forexample,inherSouloftheNextEconomyInitiative,socialarchitectPamelaWilhelmsemphasizestheimportanceoftargetingthreedifferentgroups:consumers,voters,andinvestors.16Initscollaborativeresearchwithseveralnonprofitsdedicatedtoexpandingtheimpactofthesocialsector,thenationalassociationoffundersGrantmakersforEffectiveOrganizations(GEO)citesfourbroadstrategiesnonprofitscanadopttoscaleuptheirwork:
•Expandingthereachofasuccessfulprograminthesameordifferentlocations.•Spreadinganideawithinacertainareaorsystem—geographic,organizational,orprofessional.•Increasingthenumberofpeopleorplacesthatuseorapplyanewtechnology,practice,orapproach.•Ensuringthatideasbecomeembeddedinpoliciesandhencenewbehaviorspursuedbyagovernmentbody,corporation,orotherinstitution.17
GEOthentranslatestheseintofourpracticesthatgrantmakerscanfollowtosupportalloftheseapproaches:
•Provideflexiblefundingoverthelongterm.•Funddataandperformancemanagementcapabilities.•Supportcapacitybuildingandleadershipdevelopment.•Supportmovements.
GEOemphasizestheimportanceofscalingupwithflexibility,ensuringthatthereisroomtoadaptwhathasbeenlearnedinoneplacetonewcontexts.Ithinkofthisasexpandingtheprocessoflearningwhatworksinsteadofseekingtoimposespecificsolutions.Moreover,asinthefour-stageprocessofappliedsystemsthinking,aneffectivelearningandoutreachprocessneedstoaddressbothinternalchanges—thosethatshapepeople’spersonalintentions,thinking,andactions—aswellasexternalchangesinthebeliefs,policies,andregulationsthatgoverntheircollectivebehavior.18
Intheirresearchonreframingtheartofhelping,PulitzerPrize–winningauthorsNicholasKristofandSherylWuDunnseeextensiveopportunitiesforscale-upinadaptingbusinesscompetenciestowhatistraditionallydefinedassocialorpublic-sectorwork.19Integratingthestrengthsofbusinesstoincreasesociety’sabilitiestohelpitsvulnerablepopulationscancomeinmultipleforms,suchas:
•Fundingthedevelopmentinnonprofitsofsuchbusinessinfrastructureandskillsasimprovedmarketing,informationsystems,andpersonnelmanagement(asalsosuggestedbyGEO).
•Socialimpactbondsthataccrueprivate-sectorinvestmentstofundpublic-sectorinnovations.•Socialenterprisesthatuseaprofit-makingmodeltoachieveasocialaswellaseconomicbottomline.•Impactinvestingthatfundsnewsocialenterprisesfromcharitabledonations.•Largecompanyinvestmentsindevelopingandunderdevelopednationsthatbuildnewmarketstomeettheneedsofthepooraswellasemployeemorale.
KristofandWuDunnalsopointoutthepowerofengagingfaith-basedorganizationsandcreatingsocialclubswhosepurposeistoserveothersinneed.Theyencouragesecularandreligiousforcestocollaboratemore,especiallyintheareaofadvocacy,toaccomplishfarmorethaneachcanseparatelytofightagainstthecommonenemiesofhumanity.Theyalsocitethepowerofseculargivingcommunitiesorcirclesthatcultivatethedesireofpeopleingroupstomakeameaningfuldifference.
HowtoIntegrateMultipleInterventionsWithmanyinterventionstochoosefrom,thequestionremains:“Wheredowestart?”Theleveragepointsproposedinthischapterarepresentedinalogicalorder,whereby:
1.Awarenessuncoversinterdependenciestoberewired.2.Rewiringissupportedbyunderstandingandthenshiftingthementalmodelsthatinfluencekeycause–effectrelationships.
3.Reinforcingthepurposefacilitatesimplementationofchangesinconnectionsandassumptions.
4.Continuouslearningandoutreachenablepeopletomakenecessarycoursecorrectionsinsystemsthatareultimatelytoocomplexanddynamictocontrol.
Itcanalsobehelpfultocreatesmall,moreimplementablechangesearlyonaslongastheyarepositionedwithinalong-termstrategy(amethodusedbyHoudiniindesigningescapesfromhisseeminglyinescapabletraps!).Finally,
onewaytointegratemultipleinterventionsintoadynamicstrategyistoorganizethemintocausalloopsthatfeedforwardinsteadofbackward.Designingsuchsystemictheoriesofchangeisthefocusofthenextchapter.
ClosingtheLoop•Systemspivotaroundleveragepoints,arelativelyfewkeycoordinatedstrategiessustainedovertimethatproducesignificantlong-termimprovement.•Effectiveinterventionsshiftthepatternofbehaviorproducedbythesystem’sdynamicsinasustainableway.•Fourhigh-leverageinterventionsareto:
•Increaseawarenessofhowthesystemcurrentlyfunctions.•Rewirecriticalcause–effectrelationships.•Shiftmentalmodels.•Reinforcethechosenpurposebyaligninggoals,metrics,incentives,authoritystructures,andfundingtosupportit.
•Organizationsneedtoreinforcetheimplementationofhigh-leverageinterventionswithaprocessofcontinuouslearningandoutreach.•Thisongoingjourneyinvolveslearningfromexperience,expandingtheresourcepool,andscalingupwhatworks.•Youcanintegratemultipleinterventionsintoaclearstrategybyfollowingthenaturalprogressionintroducedinthischapterandthendesigningamorespecificsystemictheoryofchange.
PARTTHREE
SHAPINGTHEFUTURE
—CHAPTER11—
SystemsThinkingforStrategicPlanning
Theemphasisinthisbooksofarhasbeenonapplyingsystemsthinkingretrospectively—todeterminewhypeoplehavenotbeenabletoachievetheresultstheywantdespitetheirbestefforts.Insightsintodeeplyembeddeddynamicsandleveragepointsreducethelikelihoodthattheywillrepeatpastmistakesor“reinventabrokenwheel.”Itisalsoeasiertotestthevalidityofasystemsmapbasedonknownhistorybecausetheanalysisshouldbeabletopredictwhathashappeneduntilnow.
However,beingabletoidentifyleveragepointsdoesnotnecessarilyhelppeopleorganizetheirthinkingabouthowtomoveforward.Forexample,oncetheagenciescommittedtoCollaboratingforIowa’sKidsunderstoodwhypartneringwitheachotherhadbeendifficult,theystillneededtoclarifyawayforwardthatwouldenablethemtotakeadvantageoftheirinsights.Itisimportanttoconnectleveragepointsintoacoherentpathforward—onethatlinksandsequencesinterventionsovertime,accountsfortimedelayandlong-termaswellasshort-termconsequencesofpossibleactions,andshapesintentionalreinforcingandbalancingfeed-forwardrelationshipsintothefuture.
Moreover,therearetimeswhenpeoplewanttocreatesomethingnewanddonotnecessarilyhavethebenefitofhindsight.Whileitmightbeeasytoconceiveofwhatneedstobedonegoingforward,itisnotsoeasytointegratethesecriticalsuccessfactorsintoacoherentstrategy.Forexample,whenanoversightgroupcommittedtoincreasingthehealthofitsruralcountydevelopeditsfirststrategyroadmap,itrealizedthatthemanystrategies,tactics,interimoutcomes,
andendresultsthatpeopleidentifieddidnotformaclearpathofaction.Questionsofscope,priority,timing,timedelay,unintendedconsequences,andsustainabilityofproposedimprovementsstillremained.
Sometimesorganizationsaresimplyoverwhelmedbytoomanychoicesandtoofewresources.Theproblemiscompoundedbythehighexpectationspeopleplaceonthemselvesandatendencytoassumethatdoingmoreautomaticallyleadstoaccomplishingmore.Organizationsmayhavemoreprogramsthantheycansupportandnoclearwayofrationalizingamongthem.Theymayhavewhatfeelslikealaundrylistofprioritiesandnowayofdecidingamongthemwithoutgettingcaughtindysfunctionalconflictsaboutorganizationalturfandwhogetswhatpieceofthepie.Bycontrast,whenthemanagementteamofamajorchildwelfareagencysoughttomakesenseoftheorganization’smultipleprogramsandsupportfunctions,itrecognizedtheneedforacoherentstrategythatwouldjustify—andifnecessaryprune—itsmanycommitments.
Inallofthesecases,itcanbehelpfultoapplysystemsthinkingprospectively—tocreatearoadmapgoingforwardthataccountsforthecomplexityofhavingtonavigatesomanyinterdependentfactorsovertime.Thecircularroadmapsproducedbyplanningsystemicallyhaveseveralbenefitsovermorecommonlinearinput–outputmodels.They:
•Incorporatethedynamicsofreinforcingandbalancingloopsintocause–effectrelationshipsthatfeedforward—therebyrepresentinghowsocialsystemsactuallybehaveandunfold.•Clarifyapathforoptimizingtherelationshipsamongthepartsofthesysteminsteadofthepartsthemselves.•Integratemultiplesuccessfactorsintoalogicalandsequencedsetofactionsovertime.•Taketimedelayintoaccount.•Includeplanstomakebothshort-termandlonger-termsustainableimprovements.
Byincorporatingthesefeatures,circulartheoriesofchangecreatepicturesthatquicklycommunicatealotofreadilyunderstandableinformation.Themapshavebeenveryeffectiveinfund-raising,orientingandengagingother
stakeholdersquickly,andprovidingclearnavigationformanypeopleoverlongperiodsoftime.Forexample,theofficersofthenewFood&FitnessprogramattheW.K.KelloggFoundationcreatedsuchamaptoselltheirinitialnationwideproposaltotheboard.Themapsummarizedtheprogram’sintentionsandstrategicplansoclearlyandsuccinctlythattheboardtooktheunprecedentedactionofapprovingtheirproposalatitsveryfirstreviewmeeting.AgroupfromnortheastIowathatsubsequentlydevelopedacomparablemapfortheirregionalFood&Fitnessproject(seefigure11.9,laterinthischapter)stillusesthemaptoorienttheirworkmorethanfiveyearsaftercreatingit.
Soinmovingtoprospectivesystemsthinking,itistimetointroducetwocoretheoriesofsystemicchangeanddescribehowpeopleusedthemtodevelopstrategicplansthatmeetthesethreechallenges:
•Organizingtheleveragepointsdeterminedbyarootcauseanalysisofchronic,complexproblems.•Integratingthenumerouscriticalsuccessfactorsrequiredtocreatesomethingnew.•Streamliningchoicesamongtoomanyprogramsorpriorities.
We’llalsolookatsomeguidelinesforrefiningyourtheoryovertimetoaccommodatenewinformationandchangingconditions.
TwoSystemicTheoriesofChangeMycolleagueMichaelGoodman,aco-developerofthesystemarchetypes,notedthattherearetwodistinctbranchesofarchetypes—thosebasedonreinforcingfeedbackandthosebasedonbalancingfeedback.1Theformerdescribestoriesofsuccesscompromisedbylimits,andthelattertellstoriesofimprovementdisabledbynegativeconsequences.Therearetwocorrespondingcoretheoriesofchangeusingthesystemsthinkingtoolsinthisbook.2Thefirstseekstoamplifysuccess,whilethesecondseekstocorrectashortcomingandachieveagoal.
TheSuccessAmplificationstorybeginswithoneormorereinforcingloops—thefactorsofsuccessthatbuildononeanotherovertimetocreatemoresuccess(R1infigure11.1).Youcanlearnwhatisalreadyworkinginthesystemthroughinformalanecdotesorbyusingmoreformalapproachessuchasappreciative
inquiryorpositivedeviance.3Alternatively,peoplemayfirstlistwhattheyperceivetobecriticalsuccessfactorsor,asinthecaseofarticulatingtheprospectsforpartnershipbetweentheIowaDepartmentofEducationandthestate’sAreaEducationAgencies,describehowacoresuccessloopshouldwork(foranexample,referbacktofigure7.10).Inordertoensuresustainablegrowth,itisalsoimportanttoplanbeyondtheinitialengineofsuccess.Thesuccesstheoryneedstoalsoconsiderpossiblelimitstoinitialimprovements(B2infigure11.1)andanticipatehowtheselimitsmightbeovercomebygeneratingnewenginesofsuccessovertime(R3).Finally,itisvitaltoidentifykeytimedelaysincultivatingandsustainingsuccess.
Ifpeoplecannoteasilyidentifysuccessestobuildon,oriftheprospectsforcreatingapositivelyreinforcingdynamicaretenuous,itmakesmoresensetodevelopasystemictheoryofchangethatbridgesthegapbetweenrealityandadesiredgoalorvision.TheGoalAchievementtheory,mappedoutinfigure11.2,beginswithoneormorebalancingloopsthatidentifythecorrection(s)requiredtoclosethisdiscrepancy.4Inordertodeterminewhatcorrectionsarelikelytobeeffective,ithelpstofirstclarifytheunderlyingstructurethatcausesthegap(B1infigure11.2).KathleenZurcherpointsoutthatsuchanexerciseisasset-basedinsteadofdeficit-basedaslongasthediscrepancyisdrivenbyastrongvision.Inaddition,becauseofthetimedelaysusuallyrequiredtoclosethegap,itisimportanttoexercisepersistenceandstaythecourseinmakingthecorrections(B2).Atthesametime,ifprogressisnotoccurringevenaftertakingtimedelaysintoaccount,ithelpstogainperspectiveonthereasonsfortheshortfallandrethinkthenatureofthechallenge(B3).
FIGURE11.1THESUCCESSAMPLIFICATIONTHEORY.Thistheoryclarifieshowtobuildonexistingsuccesses,anticipatelimitstoevengreatersuccess,andcreatenewenginesofgrowthovertime.
FIGURE11.2GOALACHIEVEMENTTHEORY:MAKINGINITIALIMPROVEMENTS.Thistheoryidentifiesinitialimprovementstoaccomplishadesiredgoalandrecognizestheimportanceofbothstayingoncourseandrethinkingthechallengetobeeffective.
Becausepeoplehaveatendencytotakethepressureoffastheymakeprogresstowardachievingagoal,itisequallyimportantindevelopingasystemictheoryofGoalAchievementtodefinehowpeoplewillsustainandreinforceimprovementsovertime.Sustainabilityisamajorsourceofconcernforfunderswhowanttoensurethatbeneficiariesareabletocontinueifnotexpandtheirworkwithoutongoingfinancialaid.Theneedforreinforcementisfurtherevidencedbytheemphasisinthequalitymovementoncontinuousimprovementandobservationsbyhighperformersthatcontinuingtoworkhardisessentialtosustainedsuccess.
Figure11.3providesatemplateforthreeenginesofreinforcement.R4encouragespeopletoexpandtheiraspirationsastheiractualperformanceincreases.Byexperiencingtheirinitialdreamscometrueandaffirmingnew
possibilities,theycanraisetheirgoals.Byraisingtheirgoals,theycanbecomecleareraboutnewgrowthopportunitiesandtakeactionstorealizethem(R5).Forexample,growingactionsavailabletothesocialsectorincludefund-raisingbasedondemonstratedsuccesses,investmentsinorganizationalcapacity,partnershipsthatenableeachorganizationtodowhatitdoesbestwhilecontributingtoalargerresult,creativewaystoscaleupsuccesses,andadvocacyforpolicychange.5Finally,improvementsinactualperformancecanredirectmoneypreviouslyrequiredtotreatproblemsymptomstowardnewinvestmentsinthegrowingactionsabove(R6).Forexample,theannualsavingsofninety-fivehundreddollarsperpersonachievedbykeepingpeopleinlong-termhousinginMassachusetts(therebyreducingtheuseofemergencyroomsandtemporaryshelters)canbereinvestedinprogramsthatpreventorendhomelessness.6
FIGURE11.3GOALACHIEVEMENTTHEORY:REINFORCINGIMPROVEMENTS.ThesecondpartoftheGoalAchievementtheoryemphasizestheneedforcontinuousimprovementthroughsharpeningthevision,cultivatingadditionalgrowingactions,andreinvestingsuccessdividends.
ThenextthreesectionsgiveexamplesofhowthesecoresystemictheoriesofchangeprovidedroadmapsfororganizationsandcommunitiescommittedtoimprovingK–12education,publichealth,andchildwelfare.
OrganizingLeveragePointsThefollowingtwocasesdemonstratehowplanninggroupsdevelopedstrategicroadmapsbasedonsystemsanalysesoftheircoreproblems.ThefirstrevisitstheagenciesworkingtoincreaseCollaborationforIowa’sKidsandusesaSuccessAmplificationapproach.Thesecondintroducesacoalitioninaruralcountycommittedtoincreasingpublichealth,especiallyforitsmostvulnerablepopulations,anddescribesaGoalAchievementstrategy.
AMPLIFYINGSTRENGTHSINTHECOLLABORATIONFORIOWA’SKIDS
DevelopersoftheCollaborationforIowa’sKidsbasedtheirtheoryofsuccessonthecorereinforcingloopthatdescribedhowtheIowaDepartmentofEducationandAreaEducationAgencieswouldcapitalizeontheirprospectsforpartnership.Thetheorytheydevelopedandusedastheirroadmapisreproducedinfigure11.4.Thecentralloopwasthecoretheoryunderlyingtheirpartnership(aspreviouslyshowninfigure7.10).TherightreinforcingloopprovidedaframeworkforAEAsacrossthestatetoincreasecoherenceandequitywithintheirownsystem,andtheleftreinforcingloopdetailedhowtoincreaseeffectivecollaborationbetweentheIDEandAEAsystem.Althoughthetheorydoesnotexplicitlymappotentiallimitstosuccessandwaystoovercomethem,developersdidaddressthesefactorsintheirjointplanning.TheyidentifiedmajorimplementationchallengestoredesigningtheAEAsystemandfivestrategiesforovercomingtheseobstacles.
FIGURE11.4AMPLIFYINGSUCCESSINCOLLABORATINGFORIOWA’SKIDS.ThismapwasusedbytheIowaDepartmentofEducationandthestate’sAreaEducationAgenciestoexplicatetheirtheoryforbuildingandsustaininganeffectivepartnership.ThecentralloopdescribesbroadlyhowcollaboratingbenefitsIDEandtheAEAs,therightloopfocusesonincreasingcoherencewithintheAEAsystem,andtheleftloopemphasizesimprovedimplementationbybothparties.CollaboratingforIowa’sKids:APartnershipBetweentheIowaDepartmentofEducationandtheIowaAreaEducationAgencies
ACHIEVINGTHEGOALOFAHEALTHYCOMMUNITY
TheEagleCountyPublicHealthandEnvironmentDepartment(ECPHE)sharedarelatedcommitmenttotheInteGreat!coalitionintroducedinchapter10.It
wantedtoincreasehealthequityinthecountybyfocusingonthehealthofthecounty’smostvulnerablepopulations,includingchildrenlivinginpoverty,andincorporatingthesocialdeterminantsofhealthintoallcommunitydecisionmaking.ECPHEalsoengagedagroupofdiversestakeholders,includingsomeofthoseparticipatinginInteGreat!,anddevelopedaGoalAchievementtheoryofchange.Theirtheorycameoutofadesiretodiscerntherootcausesofpoorhealthinthecountyusingasystemsanalysisandthendesignastrategythatwouldeffectivelyintegratetheidentifiedleveragepoints.
ThegroupdescribedacommondynamicthatIwouldcallTreadingWater,wherestrongforcesdraggingpeopledownarebarelycompensatedforbyequallystrenuouseffortstohelpthemstayafloat.Itidentifiedfiveviciouscyclesthatledtothedeteriorationofthefinancialstabilityandhealthofvulnerablepopulationsovertime.Thegroupalsolistedmorethantwiceasmanyinitiatives(intheformofbalancingloops)thatthecommunitywastakingtohelpbreakthesecycles.Themostpowerfulinsightwasthat,despitethefactthatthereweremanyorganizationsprovidingservicestoimprovethehealthofvulnerablepopulations(directlyandindirectly),theireffortsweresignificantlyhamperedbyafailuretoworktogether.Likeoarsinacrewshellthatdonotdipinthewatersimultaneously,thislackofcoordinationwastedresourcesandmadeitevenmoredifficultforbothprovidersandtheirintendedbeneficiariestomoveforwardandbreaktheviciouscyclesofpovertyandsicknessinthecommunity.
Thisinsightsurfacedtheneedforseveralhigh-leverageinterventions:
•Developingamapofcurrentcommunityhealthassetstobothcommunicatetheavailabilityoftheseassetstovulnerablepopulationsandidentifyopportunitygapstobebridged.•Increasingcollaborationamongserviceproviders.•Engagingvulnerablepopulationsasequalsanddevelopinganeffectivesupportsystemforthecommunity’sundocumentedimmigrants,whomakeupasignificantportionofthepeopleatriskofgettingsick.•Moreeffectivelyengagingthepeoplewhoinfluencetheseindividuals—includingtheirfamilies,employers,educators,churches,andpoliticalleaders.
•Betterplanningforthebuiltenvironment,suchasqualityaffordablehousingandaccessiblerecreationalopportunities.
Theadvisorygroupalsoaffirmedtheneedtocontinuetoworktowardlonger-termpovertyreductionstrategiessuchasincreasingthenumberoflivingwagejobsandtheavailabilityofaffordableandeffectivehealthinsurance.Finally,theyrecognizedtheimportanceofshiftingmentalmodelsinthecommunitythatreinforcedthestatusquo.Theseincluded:
•Classism,racism—“Theyarethekindofpeoplewho...aren’tmotivatedtotakecareofthemselves,learn,etcetera.”•“Wecan’tchangebecauseoflimitedresources.”•“Onesizefitsall.”•“Thesystemistoobigtochange.”•“Healthcarecan’tbefixed.”
Thegroupfirstintegratedtheleveragepointsintoseveralcorebalancingloops.Theseareshowninfigures11.5to11.7.B1infigure11.5emphasizesthecriticalrolethatcommunityhealthassetmappinghasinimprovingaccesstolow-costhealthopportunities,whichinturnincreasestheeffectiveengagementandeducationofvulnerablepopulations,therebyincreasingtheleveloftheirhealthyactivitiesandoverallhealthasaresult.
FIGURE11.5COREIMPROVEMENTTOINCREASEHEALTHOFVULNERABLEPOPULATIONS.Thecoretheoryofimprovingcommunityhealthfocusesondevelopingamapofthecommunity’shealthassetsasawayofengagingandeducatingthepopulation,especiallythosemostatrisk,aboutthemanyexistingresourcestheycanusetoimprovetheirhealth.
FIGURE11.6INCREASINGCOLLABORATIONAMONGPROVIDERS.Thegrouprecognizedthepivotalimpactofincreasingcollaborationamongserviceproviderstobothincreaseaccesstolow-costhealthopportunitiesanddevelopasupportsystemforthecounty’sundocumentedpopulation.
Infigure11.6,B2,B3,andB4showhowcommunityassetmappingcontributestoincreasingcollaborationamongserviceprovidersandenablesthemtodevelopasupportsystemforthecounty’sundocumentedpopulation.
FIGURE11.7ADDITIONALSTRATEGIESTOINCREASEHEALTHOFVULNERABLEPOPULATIONS.Severaladditionalstrategieswereidentifiedtobuildonthecoreonesofassetmappingandserviceprovidercollaboration:increasingcommunityengagement,bridgingopportunitygapssurfacedbythecommunityhealthassetmap,andtakinghealthissuesintoaccountinplanningforthebuiltenvironment.
FIGURE11.8REINFORCINGPROGRESSTOWARDAHEALTHYCOMMUNITY.Thegroupidentifiedfourwaystoreinforcetheinitialimprovementsincommunityhealthovertime:developingevengreaterclarityaboutthecommunity’shealthassetsbyengagingvulnerablepopulations,illuminatingandbridgingopportunitygapsthroughtheeducationalprocess,takingadvantageofnewopportunitiestofosterhealthyactivities,andusingimprovedhealthindicatorstoattractadditionalfunding.
Theadvisorygroupalsoidentifiedseveraladditionalstrategiesasshowninfigure11.7.B5focusesontheimportanceofcommunityengagement.B6capturesthevalueofassetmappingtoidentifyingandbridgingopportunitygaps.B7affirmstheimportanceofplanningforthebuiltenvironment.Factorsintheupperleftcornerofthediagramthatimpactthetargetpopulation’sfinancialconstraintsarealsoshown.Finally,initslineatthebottomofthediagram,thegroupacknowledgedtheimportanceofshiftingmentalmodelsthroughoutthechangeprocess.
Thegroupthenidentifiedfourwaystoreinforcetheimprovementsdescribedabove,asshowninfigure11.8.R8notesthevalueofengagingvulnerablepopulationstodevelopfurtherclarityaboutthecommunity’shealthassets.R9showstheimportanceofdesigninganeducationprocessthatsupportspeople,ideallyinsmallgroups,toidentifyadditionalopportunitiestoimprovetheirhealth.R10emphasizesthatpeoplewhoidentifynewopportunitiesaremorelikelytotakeownershipforimplementingtheirownself-careinitiatives.R11explainsthepowerofusingdemonstrablesuccessesinimprovedhealthtogenerateadditionalfunding.
Thetwocasesabovedescribehowpeoplehavedevelopedsystemicroadmapsforchangebasedonrootcauseanalyses.Thenextsectionprovidesexamplesofdevelopingtheseroadmapsbasedonassumptionsaboutcriticalsuccessfactorswithoutsuchanalyses.
IntegratingSuccessFactorsThefirstcaseinthissectionusesaSuccessAmplificationstrategytobuildonstrongexistingrelationshipsinaregiontoimprovepeople’sfoodandfitness.ThesecondcasedescribesaGoalAchievementstrategytoimprovecountywideeducationwherethecorecorrectiveactionsinvolvedstrengtheningrelationshipsamongdiversestakeholdersandengaginginevidence-basedcontinuousimprovement.
BUILDINGONSTRONGRELATIONSHIPSTOIMPROVEREGIONALFOODANDFITNESS
WhentheW.K.KelloggFoundationcreatedtheirFood&Fitnessprogramin2006,therewasgrowingpublicconcernaboutchildhoodobesity.Theprogramwasdesignedtoincreasehealthyeatingandactivelivingbyallchildren,andthefoundationhadlongsupporteddevelopingahealthy,safefoodsupplyandincreasingconsumptionofgoodfood.Becausetheissuewashighlycomplexandprioreffortstoaddresstheissueinsimplerwayshadbeenunsuccessful,theleadprogramofficersbelievedthatasystemsapproachtoFood&Fitnesswouldincreasethelikelihoodof:
•Engagingadiversegroupofpeopleandorganizations.•Fosteringcollaborationandfindinginnovativestrategiestochangetheunderlyingsystems.•Creatingandsustainingthehealthyresultseveryoneseeksforchildrenandfamilies.
ThefoundationbroughttogetherstakeholdersfromaroundtheUnitedStatesandalsofundedcommunitysystemschangeprojectsinninegeographiclocationsincludingnortheastIowa.Communityleadersinthisruralregiondevelopedthefollowingvisionfortheirinitiative:“NortheastIowaisauniqueplacewhereallresidentsandguestsexperience,celebrate,andpromotehealthylocallygrownfoodwithabundantopportunitiesforphysicalactivityandplayEVERYDAY.Healthierpeoplemakestrongerfamiliesandvibrantcommunities.”7
Inordertorealizethevision,theyarticulatedaSuccessAmplificationtheoryofchangebasedonthehistoricallystrongrelationshipsamongpeopleintheregion.Theybelievedthatcultivatingtheserelationshipswouldhelpthemmovetowardmorecollectivethinkingabouthowtotakeadvantageoftheiragriculturalbaseandopenspace,aswellasmorecollaborativeaction,betterresults,andevenbetterrelationships.Thevirtuouscyclelinkingrelationships,thinking,action,andresultsisacoretheoryofsuccessoriginallydevelopedbyDanielKim.8Communityleadersalsorecognizedpotentiallimitstogrowthbyacknowledgingthatdelaysinlearningandworkingacrossboundaries,aswellasinconvertinginnovativeideasintonewpolicies,wouldtrypeople’spatience.Toovercometheselimits,theyinvestedincollaborativetechnologies,engaged
policymakersearlyintheprocess,andsetrealisticexpectationsaroundwhatcouldbeaccomplishedinagiventimeframe.
Figure11.9summarizestheirtheoryofchangewithparticularemphasisontheenginesofgrowthandreinforcingmentalmodels.
AnnMansfield,aco-conveneroftheinitiativeandnowprojectdirector,summarizedtheinitialvalueofusingsystemsthinkingfromagrantee’sperspective:“Thetoolshelpedusputapauseonthequickfix.”Byacknowledgingthestrengthstheywerebuildingon,thetimedelaystheyexpected,andthestepstheyplannedtotaketoreducedelayswheretheycouldandincreasepeople’spatiencewheretheycouldnot,sheandhercolleaguesestablishedarobustandrealisticwayforward.Now,morethansixyearsaftercreatingtheplan,Mansfieldfeelsthat“ourcoretheoryofsuccesshas,indeed,heldupovertime.”Sheandtheteamuseitcontinuouslytostayfocusedonsystemschange.Ithelpsthembringonnewpartners,orientnewstaff,checktheirprogress,andcreatenewstrategiesorlinesofwork.
FIGURE11.9SUCCESSAMPLIFICATIONFORNORTHEASTIOWAFOOD&FITNESSINITIATIVE.Thistheoryofchangepositsthatbuildingonthestrongrelationshipsthatexistintheregionincreasescollaboration,whichinturnincreasesinnovation,leadingtopolicychange,healthierpeople,andevenstrongercommunities.Thisdynamicisreinforcedbyholdingcertainassumptions.NortheastIowaFood&FitnessInitiative
CREATINGACOMMUNITYWHEREALLCHILDRENARELOVEDANDSUCCESSFUL
TheInteGreat!coalition,committedtothehealthandsuccessofallchildreninitshighlydiversestudentpopulation,alsoemphasizedtheimportanceofrelationshipsindevelopingitsstrategy.SimilartothecoalitionformedbyECPHE,theychosetodevelopaGoalAchievementtheoryofchangesincetheiremphasiswasoncreatinganinclusivecommunitywhereallchildrenarelovedandsuccessfulinlife.Moreover,becausethepopulationofthecommunitywasmorediversethaninnortheastIowa,intermsofbothincomeandethnicity,theyviewedimprovingrelationshipsasakeypartofthestrategy.Thecoalitionidentifiedsevenkeysuccessfactors,ofwhichfouraddressedrelationshipbuildingdirectly:
•QualityofCommunityRelationships(amongorganizationsimpactingfamilies).•LevelofCollaborationandIntegration.•LevelofYouthEngagement.•LevelofFamilyEngagement.•LevelofData-DrivenandEvidence-BasedPractices.•AccesstoOpportunities.•Equity.
Theydevelopedasystemictheoryofchange—mappedoutinfigures11.10to11.13—tolinkthesefactorsandincludeothersidentifiedduringthedesignconversation.Intheinitialmap,figure11.10,thecoreloop(B1)identifiesthegapbetweenactualanddesiredsuccessasthedriverofimprovingthequalityofcollaborativerelationships,whichinturnwillimprovethelevelofcollaborationandintegrationamongorganizationsimpactingfamilies,therebycreatingmutualshort-termsuccesses,greateraccesstoqualityeducationopportunities,greatersystemequity,andagreaterpresenceofeducationalsuccessfactorsforallkids.
FIGURE11.10COLLABORATINGFORLOVEDANDSUCCESSFULCHILDREN.Improvingcollaborationamongserviceprovidersisseenasthekeytosupportingallchildrentobevaluedandsuccessfulbecauseitcanleadtobothmutualshort-termsuccessesandaccesstoqualityopportunitiesthatincreasesystemequityandthepresenceofsuccessfactorsforallkids.
Buildinguponthismap,figure11.11addsloopsB2andB3,whichemphasizethebenefitsofhigher-qualitycollaborativerelationshipstomoreeffectivelyengageyouthandfamilies.
Figure11.12highlightstheimportanceofstrengtheningdata-drivenandevidence-basedpractices.B4focusesondevelopingsharedknowledge.B5and
B6showhowagreeingonsharedmeasuresleadstomoreeffectiveandefficientresourceuseaswellassupportingmutualshort-termsuccess,bothofwhichincreaseaccesstoqualityopportunities.
FIGURE11.11ENGAGINGYOUTHANDFAMILIESFORLOVEDANDSUCCESSFULCHILDREN.Improvedcollaborationamongserviceprovidersalsoenablesmoreeffectiveoutreachtoyouthandtheirfamilies,therebyfurtherincreasingsystemequity.
Thecoalitionalsodefinedseveralreinforcingloopstoensurethatinitialimprovementswouldbesustainedandstrengthened.R7infigure11.13emphasizestheneedtodevelopalignedinfrastructurebeginningwitha
backboneorganization.R8notesthatincreasingsystemequitycanfurthersupportaccesstoqualityopportunities.R9identifiesthebenefitsofengagingyouthtoinvolvetheirparentsaswellassupportingparentstoengagetheirkids.R10explainsthatsharedmeasureshelptofurtherfocusdataanalysis.
FIGURE11.12MANAGINGDATAINSUPPORTOFLOVEDANDSUCCESSFULCHILDREN.Thedevelopmentofmoreusefuldataleadstosharedknowledge,sharedmeasures,andimproveddata-drivenandevidence-basedpractices.Theseinturnfacilitatemutualshort-term
successesandthemoreeffectiveandefficientuseofresources,andbothoftheseincreaseaccesstoqualityopportunities.
FIGURE11.13REINFORCINGIMPROVEMENTSFORLOVEDANDSUCCESSFULCHILDREN.Initialimprovementscanbereinforcedinfourdifferentways:capitalizingonincreasedcollaborationandintegrationtodevelopanalignedinfrastructure,furtherincreasingaccesstoqualityopportunitiesthroughgreatersystemequity,stimulatingclosertiesbetweenyouthandtheirfamilies,andusingsharedmeasurestostrengthenadditionaldataanalysis.
Oftenpeopledistillmorecomplextheoriesofchangesuchastheoneaboveintosimplerinsightsovertime.TheInteGreat!coalitionsubsequentlyrecognizedthatitstheorywasbasedonthreekeyideas.TraciWodlinger,thechiefstrategyofficerfortheEagleCountySchools,summarizedthemas:
1.Acollaborativetrustthatalignscurrentlyexistingorganizationsandtheirassetswillimprovetheequityofopportunitiesforourchildren.
2.Familiesandchildrenmustbeengagedinthework,bothdirectlyandindirectly.
3.Wemustutilizecontinuousprocessimprovements,wheredatawilldrivechangeandmaximizeefficiencyofoureffortsandresources.
NotethatthechangetheorydepictedinthesediagramsincludesalloftheelementsrequiredforCollectiveImpactasdefinedinchapter2.Thesystemictheoryofchangeisthecommonagendaandexplicitlyincorporatessharedmeasuresandtheneedforabackboneorganization.Italsoprovidesaroadmapformutuallyreinforcingactivitiesandcontinuouscommunication.Moreover,thesecriticalsuccessfactorsaswellasothersemergeddirectlyfromconversationsamongcommunityleaders.
Theconsultanttotheoverallproject,KathleenZurcher,reportsseveralbenefitsresultingfromtheprocessofdesigningthissystemictheoryofchange:
•Themaprepresentsthecoalition’sthinkingabouthowtheywanttomoveforward,andtheyrefertoitfrequentlyastheirroadmap.•Thesmallersteeringcommitteeandlargergroupthatparticipatedinthisprocessaretranslatingtheloopsintonarrativestoexplaintheplantotheirrespectiveconstituents.•Developingthemapincreasedpeople’sunderstandingofinequitiesinthecommunityandstimulatedtheirfirsthonestandopentalkabouttheissue.•Theynowhaveacommonsetofdefinitionsgoingforward.
•Themaphelpsthecoalitionfocusonsystemicchange,assuringthatstrategies,tactics,andactivitiesarealignedandcontributetointendedoutcomes.
StreamliningChoicesThefollowingcasedescribesthedevelopmentofasystemictheoryofchangetoorganizeanagency’slargenumbersofprogramsandtasksintoamanageablestrategy.Bydistillingacoherentstrategyfromwhatoftenseemedlikedisparateelements,theorganizationwasabletofocusitscommitmentsandavoidwin–losedebatesabouttherelativeimportanceofdifferentpeople’swork,whichoftenmakeprioritysettingsodifficult.
Alargechildwelfareagencywasconcernedthatitwasspreadtoothin.Thebudgetwastoolowtosustainallofitsprogramsatahighlevelofeffectiveness.Moreover,therewascompetitionforfundingbetweenprogrammanagementandtheagency’sotherfunctions,inparticularresearch&evaluation,andadvocacy.Whentimecametoreviewtheagency’sstrategicplan,theseniormanagementteamdecidedtodevelopasystemictheoryofchange.Bymakingbettersenseoftheconnectionsamongtheorganization’svariousefforts,theteamhopedtostreamlineprogramsandreducetensionsbetweenfunctions.Theteamfirstcategorizeditsprograms—morethanthirty—intofourprimarycategories:
•Prevention:Helpingfamiliesatriskdevelopandmaintainthestabilityrequiredtoprovideasafe,nurturinghomefortheirchildren.•Stabilization:Stabilizingchildrenwhohavetoberemovedfromtheirhomesintransitionalhomesmanagedbytheagency.•Development:Supportingthenurturanceandcontinuededucationofchildreninthesehomes.•Placement:Reunifyingchildrenwiththeirbiologicalfamiliesorprovidingalternativepermanentplacementsfortheminthecommunity.
Theteamthenarticulatedthelinksacrossthesecategories.Ifpreventionfailedtohelpfamiliesovercomethemanyexternalpressurestheyfaced,resultinginanunsafeandunsupportivehomeenvironment,childrenwereremovedfromtheirhomebylawandplacedbytheagencyinthetransitional
homesitmanaged.Thegoalatthispointbecametoreturnthechildrentoasafe,nurturing,andpermanenthomebycreatingacorepathtorecoverythatprovidedstabilityfollowedbydevelopmentandfinallyreunificationoralternativeplacement—asshowninfigure11.14,loopB1.
FIGURE11.14CREATINGASAFEANDNURTURINGHOMEFORCHILDREN.Whenpressuresonthefamilybecometoogreat,childrenmustbetemporarilyremovedfromthehomeandsustainedthroughfirststabilizingthemandthenfacilitatingtheirongoingdevelopment.Providingthisfoundationoutsidethehomegiveschildrenastrongbaseforreunificationoralternativepermanentplacement.
Thesefourprogramcategoriesrequiredongoingresourcestosustainthem.Themanagementteamclarifiedhowotherfunctionsneededtobeintegratedtoensuretheagency’sfinancialviability.Theagencymaintainedastrongresearchandevaluationunit.However,manyprogrammanagersbelievedthattheunitnotonlydrewmoneyawayfromtheirvitalworkontheground,butalsofailedtoprovidefairevaluationsoftheirwork.Theteamwasabletoidentifythat,when
theunitconductedassessmentsaccordingtoclearandagreed-uponcriteria,itprovidedinvaluableinformationtotheagencythatnotonlystrengthenedprogramsbutalsocreatedadditionalbenefits.Oneimmediatebenefitwastodirectlyincreasefund-raisingeffectiveness,shownbyR2infigure11.15,andasecondwastodemonstrateevidence-basedpracticesthatcouldbeusedtoadvocateforchangesinchildwelfarepolicy.Moreeffectiveadvocacywouldfurtherincreasefund-raisingeffectiveness(R3),andtheincreasesinfund-raisingeffectivenesswouldprovideongoingresourcesfortheagency’sprogramwork.
FIGURE11.15ENSURINGSUSTAINABLERESOURCESOVERTIME.Evaluationandadvocacyarekeytotheeffectivefund-raisingrequiredtoattractadditionalresourcesinsupportoftheagency’scoreprograms.
Asaresultofarticulatingitssystemictheoryofchange,theagencywasabletoidentifyandeliminateprogramsthatdidnotfitintoitsstrategy.Interestingly,themanagersoftheseprogramshadoftentakenupthemostairtimeindefenseoftheirwork,perhapsbecausetheyandtheircolleaguessensedthattheprogramswerenotagoodfitfortheorganization.Theseprogramswereeither
transferredtoothercommunityorganizationsbettersuitedtomanagethemorphasedoutwhencurrentfundingended.
Thetheoryalsoenabledallofthefunctionstobetterappreciateandintegratetheirdiversecontributionstoensuringchildrenlivedinsafe,nurturinghomes.Forexample,theevaluationandadvocacyunitsresolvedtensionsabouttheirrelativeimportancebyrecognizingthattheorganizationneededtoinvestmoreinevaluationintheshortruntoincreasethequalityofitsadvocacyinthelongrun.Often,sequencingisanessentialaspectofprioritizingbecauseitenablespeopletothinkabouttherelativeimportanceofdifferentworkovertime.9Bycontrast,prioritizingoftenresultsinwin–losedebatesthatdrainorganizationalenergyandgoodwillbecausepeopleassumethat,iftheirworkisnotconsideredahighprioritynow,itneverwillbe.Bytakingtimedelayintoaccount,systemictheoriesofchangecircumventsuchdebatesandenablemanypartiestoaffirmtheircontributionsovertime.Inthecaseoftheevaluationandadvocacyfunctions,theagencyagreedthatitneededtostepupinvestmentinevaluationintheshortruntostrengthenitsplatformforevidence-basedpractices,andshiftmorefundingtoadvocacyovertimeasthisplatformbecamemoreestablished.
HowtoRefineYourSystemicTheoryofChangeSystemictheoriesofchangemustbedesignedtoevolveovertimeasmoreinformationbecomesavailable,actionstakeeffect,andconditionsshift.Refiningyourtheorymeansincorporatingthetheoriesofotherstakeholders,trackinghowkeyelementschangeovertime,andmodifyingthetheorybycomparingwhatyouexpecttohappenwithwhatactuallyoccurs.
Inallofthecasesdiscussedinthischapterthatinvolveddiversecommunitystakeholders,alargergroupofconstituentswasinvitedtorefinethetheorydevelopedbyasmallerleadershipgroup.Itisimportanttoensurethatrefinementsatthisstagecomenotonlyfrompeoplewithintheorganizationsrepresentedbytheleadershipgroup,butalsofromotherkeystakeholderswhomightnothavebeeninvolvedinitially.Theseoftenincludetheultimatebeneficiariesofthework(suchasstudents,patients,andhomelesspeople)andtheprivatesector,whichisoftenmisperceivedbycoreparticipantstohavelessofastakeinsocialissuesorbelessaccessible.Integratingthesediverseviews
oftenpresentsthesamechallengesaswhenyoudevelopasystemsmaptodeepenyourunderstandingofwhyachronicproblempersists:Thesystemictheorymustberichenoughtoincorporatemultipleperspectivesyetsimpleenoughtoprovideactionableinsights.
Trackingyourtheoryinvolvesidentifyingkeyindicatorsforeachcriticalvariable,estimatingtimedelays,anddrawingapatternofbehaviorthatprojectshoweachkeysuccessfactororperformancemeasureshouldchangeovertime.Anotherelementtotrackismentalmodels:identifyinghowpeople’sassumptionsneedtoevolveovertimeandestimating(oftenwithlongtimedelays)whentoexpectchangestobecomeevident.
Becauselearningtakestimeandcanleadtocostlymistakes,itisimportanttoestablishmilestonesalongthewaytotestmorequicklyifyouareonoroffcourse.Inaddition,bydevelopingacomputersimulationofyourtheory,youcanshortentimedelaysintherealworldtoamatterofsecondsandtherebyaccelerateexperimentationandlearning.Forexample,computersimulationsexistforaddressingclimatechangeandsustainabilityandfortestingalternativemodelsofhealthcaredelivery.10Whilecomputersimulationsrequiremoreup-frontinvestment,theycanquantifyoutcomesandreducethelearningcurvefortestingdifferenttheoriesofchange.
Bycomparingtheintendedandprojectedbehaviorovertimewithwhatactuallyoccurs,youengageincontinuouslearningandcanrefineyourassumptionsandactions.Youareabletorethinkimportantcause–effectrelationships,alteryourstrategyforrevisingmentalmodels,and/oradjustexpectedtimeframes.Trackingandmodifyingyourtheoryofchangewillalsobeexaminedmorecloselyinthenextchapter,onevaluation.
ClosingtheLoop•Circulartheoriesofchangecreatepicturesthatquicklycommunicatealotofreadilyunderstandableandnavigableinformation.•Applyingsystemsthinkingtostrategicplanningcanhelporganizationsandcommunitiesorganizetheleveragepointsidentifiedbyarootcauseanalysis,integratethemultiplecriticalsuccessfactorsrequiredtocreate
somethingnew,andstreamlinechoicesamongtoomanyprogramsandpriorities.•Basedonthetoolsusedinthisbook,therearetwocoretheoriesofsystemicchange:onethatseekstoamplifysuccessandtheotherthatstrivestoimproveanexistingsituation.•Amplifyingsuccessincludesanticipatinglimitstosuccessandplanningwaystoovercometheselimits.•Achievinggoalsincludesplanningtosustainandbuildonprogressovertime.•Sequencingstrategiesovertimecanbreakthewin–losedynamicsoftenassociatedwithprioritizing.•Systemictheoriesofchangeneedtoevolve—andthiscanbeaccomplishedbyincorporatingthetheoriesofotherstakeholders,trackingwhatactuallyhappensagainstyourprojectionsofwhatshouldhappen,andmodifyingyourtheorybasedonanalyzingandseekingtobridgethisgap.
—CHAPTER12—
SystemsThinkingforEvaluation
Funderswanttodeterminewhetherornottheirinvestmentsaremakingapositivedifference,andrecipientswanttoshowthattheyaremeetingtheirobjectivessothattheycancontinuetoobtainfunding.However,evaluatingsolutionstosocialproblemsisnoteasy.Oneofthechallengesisthecomplexityoftheproblemsthemselves.Inaddition,bothfundersandgranteestendtosetunrealisticgoals—theformerbecauseoftheirdesiretoseeresultsquickly,andthelatterinpartbecauseoftheirhighaspirationsandinpartbecauseoftheirdesiretoimpressfunders.Policymakersinthepublicsectorsometimeslegislateunfundedmandates,makingmissionsdifficulttofulfill.Granteestendtoresistmonitoringandevaluationeffortsbecausetheydonotwanttosetasidelimitedfundsforthisworkandareconcernedaboutuncoveringnegativeevaluations.Andgoalschangeandprioritiesshiftovertime—makingitdifficulttoestablishtheendpointsagainstwhichperformanceisbeingmeasured.
Still,evaluationremainscritical,andprivateandpublicfundersoftenaskhowsystemsthinkingcanhelpcontributetotheprocess.Aswesawinchapter11,systemsthinkingcontributestoevaluationinpartbyhelpingpeoplearticulateasystemictheoryofchangewithkeyindicators,metricsthatcanbetrackedovertime,andpredictedpatternsofbehaviorfortheindicatorsthatcansubsequentlybecomparedwithactualresults.Nowwe’lllookatthegeneralsystemicguidelinesforimprovingevaluation—includingwaystomeetthechallengesdescribedabove—andlearnhowtoassessprogressagainstthetwotheoriesofchangealsointroducedinchapter11.
GeneralSystemicGuidelinesYoucanusesystemsthinkingtoinformyourevaluationprocessinfiveways:
•Setrealisticgoals.•Defineclearkeyindicatorsandmetrics.•Thinkdifferentlyabouttheshortandlongterm.•Lookforconsequencesalongmultipledimensions.•Committocontinuouslearning.
SETREALISTICGOALS
Unrealisticgoalshurtboththepartysettingtheexpectationsandthepartyagreeingtomeetthem.Itisarecipefortoxicstress,brokenagreements,andfrayedrelationships.Thisisnottodiscouragethepowerofanaspirationalvision.AsHenryDavidThoreausaid,“Ifyouhavebuiltcastlesintheair,yourworkneednotbelost;thatiswheretheyshouldbe.Nowputthefoundationsunderthem.”
Goalsarepartofthefoundation;theyprovidemilestonestostrivefortowardrealizingthevision.Ithelpstosetalimitednumberofgoalsatanyonetime;nomorethanthreeisarecommendedruleofthumb.1Inaddition,asystemictheoryofchangehelpspeopledefinethescopeoftheirintentions,suggestsanordertofollowinachievingthem,andindicatestimedelaystoaddressalongtheway.Agoodtheoryenablespeopletodistinguishshort-andlong-termgoalsanddiscouragesthemfromtryingtodoeverythingatonce.
Whilepeoplemightbedeliberateinsettingalimitednumberofrealisticgoalsattheoutset,itcanbedifficulttosustainfocusonthesegoalsovertime.Newconditionsandprioritiesemergethatcaneasilyoverwhelmusortakeusoffcourse.Thechallengeistoshiftprioritiesconsciouslyifatall,andtoslowdownorstopworkonformercommitmentsinthefaceoflimitedresources.Bycontrast,takingonnewworkwithoutlettinggoofotherworkleadspeopletobecomeunproductivelystressedandreactiveinsteadofstrategic.Howpeoplereacttooverloadtendstocreateviciouscyclesthatincreaseworkloadfurther
overtime.Toavoidgettingcaughtinthesecycles,ithelpstodeliberatelyandregularlyrebalanceworkloadwithavailableresources.2
DEFINECLEARINDICATORSANDMETRICS
Asnotedinchapter10,itisimportanttofocuson,andifnecessarycreate,indicatorsandmetricsthatarealignedwithpeople’schosenpurpose.Inselectingthem,youcanincludebothqualitativeandquantitativemeasures—bothofwhichareimportantindevelopingrichsystemsmaps.Forexample,boththelevelofcollaborationamongserviceprovidersandbiometriclevelsofhealthareimportantfactorstotrackinbuildingahealthycommunity.Itcanhelptobreakdownamoreabstractvariablesuchascollaborationintoelementsthatmaybemoremeasurable,suchastheuseofacommonlanguageandcommitmenttosharedgoalsandstrategies.Interviewswithkeystakeholdersandopinionsurveysaretwowaysofgatheringqualitativedata,whichalsoincludesthementalmodelsheldbydifferentstakeholders.
Oneofthebenefitsofsystemsthinkingisthatithelpspeoplelookforleverage.Onewaytothinkaboutleverageisthatsomeactionsproduceahigherreturnoninvestment(oftime,money,people,orotherinputs)thanothers.TheconceptofmeasuringreturnsthroughratiosinsteadofabsolutenumberswascriticaltothreetypesofmetricsdevelopedbytheAmericanProductivityandQualityCenter,whichdistinguishedmeasuresofproductivity,effectiveness,andefficiency.3Thecenterdefinedproductivityastheratioofoutcomestoinputs,whereoutcomesaretheresultsachievedbyintendedbeneficiariesandinputsaretheresourcesexpended.Effectivenesswastheratioofoutcomestooutputs,whereoutputsarewhattheresourcesproduce.Andefficiencywastheratioofoutputstoinputs.
Forexample,itisnotenoughtoknowthatajobsprogramcostsfiftythousanddollars(aninput),providesonehundredhoursoftraining(anoutput),orevenresultsin70percentofthegraduatesgettinglivingwagejobsandholdingthesejobsforatleastoneyear(anoutcome).Itisimportanttoalsoevaluatethe
numberofsuchqualityjobscreatedperdollarspentonthetraining(productivity),thenumberofqualityjobscreatedpertraininghour(effectiveness),andthenumberoftraininghoursperdollarspent(efficiency).
WhenmycolleagueJohnMcGahandIwereaskedbyastatewidehomelesscoalitiontoproposemeaningfulindicatorsforendinghomelessness,weproposedsuchsystems-thinking-basedmetricsas:
•OverallEffectiveness=(#homelesspeoplepermonthmovedintopermanenthousing)–(#peoplepermonthbecominghomeless):Lookformonthlydeclinein#homelesspeople.•PreventionEffectiveness=(#peoplepermonthbecominghomeless)÷(#peoplepermonthatriskofbecominghomelessduetoincomelevelandfamilystressors):Lookfordecline.•LivingWageJobCreationDividend=(rentpaidbytenants+incometaxesgeneratedpertenantperyear)–($spentperpersonperyearonjobtrainingandrelocation):Suggestsannual$toreinvestinjobcreation.
THINKDIFFERENTLYABOUTTHESHORTANDLONGTERM
Asnotedinchapter3,distinguishingbetweenquickfixesandsmallsuccessesenablespeopletoincreasethelikelihoodofaccuratelyevaluatingshort-termimprovements.Quickfixesaresolutionsthatworkintheshortrun,tendtoproducelonger-termconsequencesthatneutralizeorreversetheinitialoutcomes,andareusuallydevelopedwithoutaclearunderstandingoftherootcausesoftheproblemoralong-termstrategy.Bycontrast,smallsuccessesareshort-termresultsthatbuildmomentumtowardalong-termstrategybasedonadeepappreciationofthecurrentissue.
Therearesixthingsyoucandotodetermineiftheshort-termgainsachievedbyanactionarealsolikelytoleadtolong-termimprovements:
•Rememberthatsystemstendtoexhibitbetter-before-worsebehavior.•Refertotherelevantsystemsanalysisthatdistinguishedproblemsymptomsfromrootcausesandensurethatyourimprovementaddressesrootcauses.
•Inquireintothesystemictheoryofchangethatinformedthechoiceofthisaction.•Ensurethattimedelayswereconsideredinarrivingattheactionstobetaken,andthatpeopleeitheracceptthesedelaysoridentifystrategicwaystoshortenthem.•Lookforearlysuccessesthatbuildsystemwidecapacities(inrelationships,insight,andorganizationinfrastructure)insteadofthosethatimmediatelyreduceproblemsymptomssuchaslowtestscoresorpoorhealth.•Buildacomputersimulationoftheissuetoquicklytestthedifferencesbetweentheshort-andlong-termconsequencesofvariousactions.
LOOKFORCONSEQUENCESALONGMULTIPLEDIMENSIONS
Inadditiontoevaluatingimpactsdifferentlyintheshortandlongterm,ithelpstolookforconsequencesalongotherdimensions.First,someconsequencesareintendedwhileothersarenot—andbothprovidevaluableinformationandimplicationsfornextsteps.Second,notallunintendedconsequencesarenegative,anditisimportanttotrackandbuildonpositiveunintendedconsequencesaswell.Third,itisimportanttolookforresourcesthataredevelopedand/orsavedaswellasthosethatareusedtogetacompletepictureofthereturnonyourinvestment.
AnexcellentvideodescribingalloftheseimpactsrelatesthesurprisingstoryofeffortstobringfreshpotablewatertopeopleinruralTogo,WestAfrica,bybuildingwellsinlocalvillages.4Thewellsbuiltbygovernmentengineerswereinitiallymetbypositiveresponsesfromvillagersbecausetheyreplacedtheirtraditionalwatersupplyobtainedfromwaterholesinfectedbyguineaworm,apainfulandsometimeslife-threateningparasite,andfetchedbyvillagewomenmakinglongwalksoftentwoorthreetimesaday.However,aftertwoyearsthewellswereabandonedbecausethemainpartofthepumpbroke,andneitherthevillagesnorthegovernmenthaddevelopedtheinfrastructuretomaintainthem.
InthecaseofTogo,theengineerswentbacktothevillagesandlearnedwhythewellshadfallenintodisuse.Theyrealizedthattheyneededtohelpthevillagerslearntodotheirownmaintenance.Thisinvolvedworkingwithvillagerstodevelopthelocalinfrastructureandskillsrequiredtoidentifythe
causesofbreakdowns,collectmoneytorepairthepump,andfixthepump.Thegovernmentalsostockedpartsforthepumpsinnearbytownstoensurethatvillagerscouldmaketheirownrepairs.Theinfrastructurecreatedbythevillagersenabledthemtonotonlymaintaintheirwellsbutalsoinitiateandmanagetheirowndevelopmentprojectsthatprovidedthemwithadditionalfoodandincome.
COMMITTOCONTINUOUSLEARNING
Becausesystemsarecomplexandevolveinunpredictableandoftenunexpectedways,evaluationmustbeapproachedasanongoingactivity.Youcanfacilitatecontinuouslearninginseveralways:
•Ifyouareafunder,committolonger-terminvestments.Thismakesiteasierforbothfundersandtheirbeneficiariestolearnfromfailuresaswellassuccessessincepeoplenolongerfeelcompelledtodownplayorhidetheformerandinflatethelatter.
•Continuetoengageexistingstakeholdersandinvolvenewones.Activestakeholderengagementnotonlyprovidesthefeedbackessentialtolearningandadaptingovertime,butalsobuildsincreasinglevelsofownershipamongmorepeople.
•Usefeedbackfromexperimentsandstakeholderinvolvementtorefineyoursystemsanalysisandtheoryofchangeovertime.Themoreaccurateyourunderstandingofwhatishappeningandwhy,andthecleareryourroadmapgoingforward,themoreeffectiveyouwillbe.
TrackingSuccessAmplificationBecauseaSuccessAmplificationtheoryofchangehasarecognizabletrajectory,youcanlookformorespecificindicatorstoevaluateifyouareontrackinimplementingit.TheS-curveinfigure4.6—replicatedinasomewhatdifferentformatinfigure12.1—isthepatternofnaturalorganicgrowth.Itmovesthroughthreephases:aninitialphaseofslowgrowthwhereprogressisnotreadily
visible,asecondphaseofsteepgrowthwhereprogressisdramatic,andathirdphaseofmaturationwheregrowthslowsdownandplateaus.Thechallengeformostpeople,includingpolicymakers,funders,andmanagers,isthattheirexpectationsforlineargrowthareoutofsyncwiththispattern,asshowninfigure12.1.Wetendtoexpectmoremeasurableprogressthanisnaturalintheearlyphase,canbecomeoverwhelmedbyrapidgrowthinthesecondphase,andbecomecomplacentwhenprogressexceedsourexpectationsinthethirdphase.Peoplewhoexpectevenfasterimprovementsintheshortrunarelikelytobecomeevenmorefrustratedthanthosewithlinearexpectations.
Thekeyforevaluatorsistoknowwhattoexpectandlookforineachphaseofthegrowthprocess.Theimportantchangestocultivateandassessinthefirstphasehavetodowithfoundationbuilding:developingthecommonground,systemwiderelationships,andorganizationalcapacitiesrequiredforinnovationandthemanagementofgrowth.Improvementsintheseareasconstitutethesmallsuccessesthatbuildmomentumforlong-termsuccess.
Establishingcommongroundmeansdefiningpeople’ssharedaspirationsintermsoftheirvision,mission,andvalues.Italsoentailsdevelopingacommonunderstandingofcurrentrealitybybeginningtoprogressivelyfillintheicebergintroducedinchapter3,andeventuallyagreeingonasharedsystemictheoryofchangeasdescribedinchapter11.
FIGURE12.1ALIGNEXPECTATIONSWITHORGANICGROWTH.People’sexpectationsforlineargrowtharenotinalignmentwiththeS-patternoforganicgrowth.Youcanalignlinearexpectationswithorganicgrowthbydevelopingcapacityandsmallsuccessesintheshortterm,quantifyingandcommunicatingoutcomesinthemediumterm,andtransformingcomplacencyintoinnovationinthelongterm.Innovationfuelsanewengineofgrowthleadingtoanupturninperformance;however,thefailuretoinnovateatthispointresultsinaflatteningordownturninperformanceovertime.
Relationshipbuildingneedstobeassessedinthreeareas:acrossserviceproviderswhowouldotherwisetendtotrytooptimizejusttheirpartofthesystem,acrossinstitutionsincludingnotonlythesocialandpublicbutalsobusinesssectors,andbetweenthesegroupsandtheintendedbeneficiariesofchange—thepeoplewhosevoicesareoftennotheardorsufficientlyappreciated.Inthisphase,anevaluatorshouldask:Arethereforumsforstakeholderstocometogetherandmakenewconnections?Arethoseinvolveddevelopingthecollaborativecapacitiesofsystemsthinking,partakinginproductiveconversations,andtakingresponsibilityfortheperformanceofthewholesystemaswellasfortheirpart?
Itisalsovitaltobuildorganizationalcapacity,especiallyinnonprofitswheretheexpectationhasbeenthatoverheadshouldbeaslowaspossibleinrelationtoprogramdelivery.Intheirsection“ReformingtheArtofHelping”inAPathAppears,NicholasKristofandSherylWuDunnpointoutthatunderinvestingin
theinfrastructureandbusinessskillsofnonprofitssignificantlyreducestheirimpact.Itisimportanttohelpthembemoreeffectivebyinvestinginsuchorganizationalcapacitiesascomputersandinformationsystems,marketingandcustomerrelations,personneldevelopmentandtalent,andevaluation.5
Developingtheabovefoundationinphaseonepositionsthesystemtomoreeffectivelymanagetherapidgrowthtobeexpectedinthesecondphase.Hereiswhereitmakessensetomeasureoutcomesandcomparethemtotheoutputsgeneratedandinputsinvested.Hereiswhereithelpstogaugethebenefitsofsavedandmoreproductivelivesagainstthecostsofdoingnothing.
Thethirdstagebeginswithacertainamountoflevelingofformaturation.Thekeyatthisstageistoshiftfromatendencytowardcomplacencywithpastsuccessestoacommitmenttoinnovationandfindingnewwaystogrow.Althoughencounteringlimitstogrowthasidentifiedinchapter4isinevitable,itisalsopossibleandessentialtoovercometheselimitsbyidentifyingnewenginesofgrowthatthisstageinsteadofsimplypushingharderontheoldones.Successinmakingthisshiftismeasuredintermsofsowingseedsforadifferentapproachtodevelopmentinsteadofallowingperformancetolevelofforgraduallydecline.
TrackingGoalAchievementAGoalAchievementtheoryalsohasarecognizabletrajectory.Ithastwocharacteristicphases:correction(orimprovement)andreinforcement.Evaluatorscanpayattentiontoseveralindicatorsforthelikelysuccessofeachphase.
ManyoftheindicatorsofsuccessinphaseoneofSuccessAmplificationaresimilartotheonesforcorrection,whileothersrequirespecialattentionhere.Similaritiesincludeestablishingcommonground,buildingrelationshipsandrelationalskills,anddevelopingorganizationalcapacities.Whatisdistinctistheoftenadditionalinvestmentrequiredtodescribecurrentreality.Itisespeciallyimportantindeterminingcorrectiveactionstofirstclarifytherootcausesofthecomplex,chronicproblemthatpeoplearetryingtosolve,ortohelpanswerthequestion,“Whyhaven’twebeenabletoachievethisgoaldespiteourbestefforts?”Equallyimportantistorecalibratethisunderstandingifpeoplearenotprogressingasexpected.
Asdemonstrableprogressisbeingmade,itisvitaltoensurethatpeoplemaintainmomentumthroughconsciousreinforcement.Thismeansensuringthatgoalsincreasealongwithactualperformance,thatpeopleidentifyandinvestinnewgrowingactionstoachievethesegoals,andthatdividendsfrominitialimprovementsareredirectedtofundthesenewactions.
Thebottomlineofthinkingsystemicallyaboutevaluationisthatassessmentinvolvesmuchmorethanmeasuringoutcomes.Itincludesrealisticgoalsetting;clarifyingarangeofindicatorsandmetricsalignedwiththechosenpurpose,bothquantitativeandqualitative;thinkingdifferentlyabouttheshort-andlong-termimpactsofactions;lookingforconsequencesalongmultipledimensions;andcommittingtocontinuouslearning.SuccessAmplificationandGoalAchievementtheoriesofchangesharecertaincommonindicatorsofsuccessintheirinitialphases,butvaryintermsofwhatevaluatorsneedtolookfortomeasuresuccessovertime.
ClosingtheLoop•Complexityisonlyoneofseveralchallengestoevaluationthatsystemsthinkingcanhelpyoumeet.•Aclearsystemictheoryofchangeprovidesastrongfoundationforeffectiveevaluation.•Toincreasethelikelihoodofpositiveevaluations,ensurethatorganizationssetrealisticgoalsinthefirstplaceandconsciouslyrebalanceworkloadwithresourcesovertime.•Trackbothquantitativeandqualitativemetrics.•Usesixguidelinestodistinguishquickfixesfromshort-termsuccesses.•Lookforconsequencesthatareunintendedaswellasintended,negativeaswellaspositive,andthatcreateaswellasexpendresources.•Supportcontinuouslearning.•Evaluateprogresstowardamplifyingcurrentsuccessesbydistinguishingthreedifferentphasesofgrowth.•Evaluateprogresstowardbridgingthegapbetweencurrentrealityandsystemgoalsbydistinguishingtwodifferentphasesofimprovement.
—CHAPTER13—
BecomingaSystemsThinker
Becomingadeeplyskilledsystemsthinkertakestime,butitisdefinitelypossible.We’velearnedthat,ononelevel,systemsthinkingischild’splay:Wearebornwiththecapacitytoseeconnectionsandunderstand(thoughnotnecessarilytolerate)timedelay.We’vealsolearnedthattheveryworkofapplyingsystemsthinkingtoolsandpracticesnotonlyhonesthatcapacitybutalsoshapeswhoweareandhowweseetheworld.Thisorientationinturnincreasesoureffectivenessinapplyingthetoolsandpractices.
Thisfinalchapterfocusesonthreewaysyoucanbecomeamoreeffectivesystemsthinker.First,ithelpsyoudevelopwhatIwouldcallasystemsorientation.Sinceweareapartofthesystemweseektounderstandandinfluence,weneedtocultivateacertainwayofbeingandalsolearnnewwaysofdoingthings.WeneedtoappreciatewhatPeterSengecallstheessenceofthediscipline—thestateofbeingorlifeorientationthatinfusesyourworkasasystemsthinker.1Thinkingsystemicallyisparadoxicallynotjustamentaldisciplinebutalsoanemotional,physical,andultimatelyspiritualone.
Second,thechapterdescribesaneffectivewayoflearningtoapplysystemsthinkingforsocialchange.Itintroducesafacilitatedactionlearningapproachthatenablesyoutointegratesystemsanalysistoolsintothechangemanagementframeworkofthisbookandguidesyoutoapplytheframeworkandtoolstoarealchangechallengeinyourorganizationorcommunity.Finally,thechapterreviewsasetofkeyquestionsyoucanasktoopenthedoorforotherstothinksystemically—whetherornottheyarevisualthinkers,candrawasystemsmapthemselves,orhavepreviouslylearnedtoreadthesemaps.
DevelopaSystemsOrientationDonellaMeadowsobserved,“Socialsystemsaretheexternalmanifestationsofculturalthinkingpatternsandofprofoundhumanneeds,emotions,strengths,andweaknesses.”2Inotherwords,theycannotsimplybechangedbydictate,orevenbyintroducingafewgoodideas.Oureffectivenessassocialchangeagentsisimpactedbyourowncapacitiesandcharactertraitsaswellasbythemultipledimensionsofhumanexperiencethatweseektoinfluence.
Itistemptingtoviewsystemsthinkingasjustamentaldiscipline.However,thisperspectivemissestherichnessandbreadthoftheapproach—whichalsoincludesemotional,physical,andspiritualdimensions.Integratingallofthesedimensionsincreasesyoureffectivenessinapplyingsystemsthinkingtomeetthecomplexchallengesthatorganizationsandothersocialsystemsface.Let’slookateachofthesefourdomainsinturn.
MENTAL
Systemsthinkingisalanguageandsetoftoolsmeanttoilluminateourthinkingabouthowthesystemsweareallpartofactuallyoperate.Builtintothislanguageareimportantcoreprinciplesabouthowsystemsfunction:
•Feedback:Performanceofourorganizationsandsystemsislargelydeterminedbyawebofinterconnectedcircular(notlinear)relationships.•GrowthandStability:Feedbackhelpsusunderstandhowsystemsbothgrowandremainstable.•DiversityandResilience:Systemsgrowandinnovatethroughdiversity,andtheyremainstablebecauseoftheirresilienceinthefaceofchange.•Delay:Actionswetakehavebothimmediateanddelayedconsequencesthatwedonotalwaysconsider.•UnintendedConsequences:Today’sproblemsweremostlikelyyesterday’ssolutions.•PowerofAwareness:Whenweseeandunderstandasystemasitreallyoperates,webuildonitsinherentstrengthsandavoidbeingcontrolledbyitsweaknesses.
•Leverage:Systemsimproveastheresultofafewkeycoordinatedchangessustainedovertime.
Systemslanguageandprinciplesoftencombinetocreaterecognizablepatternsorclassicstories.Thecorestorydescribeshowpeopletendtofallshortoftheresultstheywantdespitetheirbestefforts.Systemarchetypesareallvariationsonthistheme.Theydescribedifferentwaysinwhichtheseshortfallscanresultfrompeople’sunderlyingassumptionsandactions,aswellasfromthemultipleandsometimesconflictinggoalsthatcompetefortheirattention.
EMOTIONAL
Itcanbeverydifficulttoacknowledgehowyourownthinkingandbehaviorcontributetotheproblemsyouwanttosolve.Onetendencywehaveistoblameothersinsteadoftakingresponsibilitywhenthingsdonotworkoutasplanned.Systemsthinkingisoneofthetoolswehavetohelpusshiftfromblametoresponsibilityandhenceempowerourselvesbytakingchargeofourownreality.3Arelatedtendencyistotrytocompensateforfeelingsofpowerlessnessbytryingtocontrolthesysteminsteadofpartnerwithit.Whenweempowerourselveswearemoreabletoworkwiththeforcesatplayinthesystem—tobothappreciatewhatworksaboutitandrespectfullyaddresswhatdoesnot—insteadoftounconsciouslyworkagainsttheforcesandoftenmakethingsworse.
Nomatterhowlimitingourbeliefsandassumptions,wetendtobeemotionallyattachedtothembecauseweequatewhowearewithwhatwethink.Moreover,wearefrequentlyrewardedforstronglyadvocatingourbeliefs.Therefore,changinghowwethinkinvolvesthehumility,curiosity,andcouragetotakesuchemotionalrisksasadmittingwemightnotberight,experimentingwithnewassumptionsandbehaviors,andlearningfromothers.Itisimportanttobeacceptingofeveryone’sviewssincetheycancontributetoourownunderstanding,andtobecompassionatetowardthemsinceallofushaveourownlimitedperspectives.4Thesearethecompetenciesofemotionalmaturityandsocialintelligence.
PHYSICAL
Systemsthinkingisateamsport.Itworksbecausestakeholderswithdiverseperspectivescometogethertosharetheirviews,expandtheirunderstanding,anddevelopamorecompletepictureoftherealitytheyallface.Theprimarypurposeofmappingasystemistostimulatecatalyticconversationsthatleadtosharedinsightsandsharedresponsibility,whichinturnprovidethefoundationforcoordinatedaction.
Coordinatedactiontakesplaceinthephysicalrealm.Itismadepossiblethroughacombinationofconveningsystemically—bringingdiversestakeholderstogethertosharetheiraspirations,viewpoints,andexperiences—withthinkingsystemically—understandingacomplexproblemintermsoftheinterdependenceofitsparts.Conveningsystemicallybyitselftendstoencouragepeopletotrytooptimizetheirpartofthesystemattheexpenseofthewhole,andthinkingsystemicallyinisolationtendstoproduceinsightsthatpeopledonotidentifywithorwanttosupport.
SPIRITUAL
Systemsthinkingisaspiritualpracticebecauseithelpsyouseethat:
•Everythingisconnected.•Youhavechoicesaboutfurtheringpositiveconnections—orfeedingdysfunctionalones.•Inordertomakeconstructivechoices,ithelpstodevelopcertaincharactertraits.
Learningtoseeconnections,makegoodchoices,andcultivatecharacterstrengthsareallspiritualpractices.SeeConnections
Manyspiritualtraditionsarebasedonabeliefthateverythingisconnected.ThethreemonotheisticWesternreligionsstemfromabeliefthatweallcomefromandhenceareconnectedbythesamelifesource.InBuddhism,Indra’sNet
symbolizesauniversewhereinfinitelyrepeatedmutualrelationsexistamongallitsmembers.InHinduism,thetruerealityistheinnerspiritualprincipleAtman-Brahman,whichgiveslifeandbeingtoallthings.
Wehurtourselvesandtheworldarounduswhenwefailtorecognizeandcultivateouressentialconnectedness.TheverywordreligionhasitsrootsintheLatinwordreligare,commonlytranslatedas“tobind.”Itisallaboutmakingconnections.Fromthisviewpoint,systemsthinkingcanbeviewedastheworkofenablingpeopletomakeconnectionsinserviceofthewhole.Servingthewholehasbothmoralandpracticalbenefits:Westrivetocontributetothegreatergood,includingourown,andtobuildstrongersupportforchangebyappreciatingeveryone’sinterests.Theconnectionswegeneratearenotonlyemotionalonesamongpeoplebutalsologicalonesamongthepartsofthesystemthatpeopleidentifywith.Systemsthinkingenablesustotransformthepartsofamorecomplexproblemintoasharedunderstandingofthelargerissue,andtoorganizepartsofastrategyintoacleardirectionandnavigableroadmap.MakeGoodChoices
Justbecauseeverythingisconnecteddoesnotmeanthatallconnectionsarepositive.Wecanbeconnectedforbetter—suchaswhenmyesteemofyouenhancesyoursofme—orforworse,aswhenmydisregardofyouincreasesyoursofme.Inadifferentcontext,themarketdynamicsthatfueledthehousingboomalsocreatedthedeeprecessionof2008.
Connectingwellmeans:
•Orientingyouractionstowardgoalsthatservethewholeovertime.•Optimizingrelationshipsamongthepartsofthesystem—insteadofseekingtooptimizejustyourpart.•Clarifyingandexpandingtheboundaryofthesystemforwhichyoufeelresponsible.
Clarifyinggoals,cultivatingpositiverelationships,anddefiningsystemboundariesareallchoices.OnepowerfulexampleisthestoryofpediatricsurgeonVictorGarcia,thefounderofTraumaServicesatCincinnatiChildren’sHospital.Garcia’spatientsincludedyoungchildrenwhohadbeencaughtinthecrossfireofurbanviolence.Despitehisbesteffortsasadoctor,hewasnotable
tosavethelivesofallofthem.Onedaytheparentsofayoungboywhohaddiedinhiscaresoughtconsolationbyaskinghimifhehaddonethebesthecouldtosavetheirchild.Inthatmoment,herealizedthattheanswerwasno.Byconfininghisworkinsidethewallsofthehospital,hehadisolatedhimselffromthecausesofviolencethathadledtotheboy’sdeath.Asaresult,hechosetoredefine“doinghisbest”asreachingbeyondthehospitaltoaddressthedangerousandunhealthyconditionsoftheinnercitywherehispatientslived.HefoundCoreChangetodevelopsystemicsolutionstopovertyanditseffectsonthesechildren.5
CultivateCharacterStrengths
Inordertomakechoicesthatproducepositiveconnections,itisimportanttodevelopcertainqualitiesorcharactertraitswithinourselves.Theseinclude:
•Curiosity:Beingopentolearning,particularlyinthefaceoffailingtoachievewhatyoureallycareabout.•Respect:Assumingthateveryoneisdoingthebesttheycanwithwhattheyknowatthetime.•Compassion:Recognizingthatatsomelevelpeopleareunawareoftheharmtheydoandthatlimitedawarenesscontributestosuffering.•Awareness:Knowingyourself,seeingmoreofthewholeofwhichyouareapart,andunderstandinghowyoumightunwittinglybecontributingtotheverysituationyouwanttochange.•Vision:Listeningforwhatmovesyouandwhatisbeingcalledforbytheworldaroundyou.Workingforwhatyoudeeplycareaboutandremembering,inthewordsofVáclevHavel,that“hope...isthecertaintythatsomethingmakessensenomatterhowitturnsout.”•Courage:Takingastandfortheintegrityandsustainabilityofthewholeinthefaceofseeminglymoreexpedientalternatives.Goingevenfartherandasking,“WhatmightIorwehavetogiveupinorderforthewholesystemtosucceed?”•Patience:Developingthepatienceandpersistencetostaythecourseinthefaceofuncertaintyandtimedelay.
•Flexibility:Balancingtheabilitytostayoncoursewiththeflexibilitytoadjustinthefaceofnewinformation.
LearnbyDoingTryingtosolvechronic,complexproblemsisdaunting,andyoudon’thavetobeanexperttotakethefirststep.Yourabilitiesasasystemsthinkerwillgrowovertime,andyoucanlearnbydoing.
Oftengroupsrecruithelp.MichaelGoodmanandIdevelopedanapproachthatenablesparticipantstoimmediatelyapplytheprinciplesandtoolslaidoutinthisbooktoachievesignificantchangesintheirownorganizationsandcommunities.Wefollowthisapproachwhenworkingwithawiderangeofstakeholders—foundations,NGOs,publicagencies,andprivatebusinesses.Theprocesscanbedesignedto:solveoneormoreproblems,developasystemictheoryofchange,and/orbuildcapacityinsystemsthinking.Peoplebenefitfromacombinationofworkingmeetings,training,andcoachinginrealtimeoveranaveragethree-tosix-monthperiod.
Whetherornotyouareworkingwithaconsultantorcoachtoorganizeyoursystems-thinkingprocess,youmayfinditusefultointroducethebasiclanguage,principles,andtoolsofsystemsthinkingtopeopleinorganizationsandcommunitieswhocanbenefitfromtheapproachbutdonotwanttobecomeproficientinitthemselves.Forthosewhoprefertolearnonline,Michaelhasdevelopedaninteractiveweb-basedcoursecalled“ApplyingSystemsThinkingandCommonArchetypestoOrganizationalIssues.”6Thereisalsoawiderangeofadditionalresourcesonsystemsthinkingthatyoucanturnto(seeAppendixD).
Finally,Iencourageyoutopracticesystemsmappingonyourownbytakinganychronic,complexproblemyouareinterestedin—whetheritbeclimatechange,theexpandinginfluenceofmoneyinpolitics,orariftbetweenyouandalovedone—andusingthetoolsoutlinedinchapters3,4,and7tounderstanditbetter.Workingwithanissueyouarepassionateabouthelpsyouovercometheinitialawkwardnessoflearningsomethingnewandexperiencethesatisfactionthatcancomewithdeeperinsight.
Likeanynewlanguage,systemsthinkingtakespractice.Ihopethatthecasesinthisbookinspireyoutoputinthispracticesoyoucanlearnovertimetocreatesimilarresultsforyourselfwiththepeopleandcausesyoucareabout.
AskSystemicQuestionsOneofthemosteffectivewaystobecomeasystemsthinkerandhelpothersdothesameistoaskpowerfulquestions.Youcandothiswhetherornotyouareavisualthinker,drawasystemsmap,orexpectotherstoreadthesemaps.Itcanhelptorememberthat,whilethemapsaregreatpromptstocreatecatalyticconversations,askinggoodquestionsalsoopensthedoortonewwaysofthinking,communicating,andunderstanding.
Bywayofreview,herearesomeofthemostusefulquestionsyoucanask:
•Wheredoourbestintentionsfallshortofachievingwhatwereallycareabout?•Whyarewenotassuccessfulaswewanttobedespiteourbestefforts?•Whatmightbeourresponsibilityfortheobstaclesweencounterandshortfallsweexperience?•Aretherepeoplewhosharesimilaraspirationstooursbuthaveverydifferentviewsaboutthenatureoftheproblemand/orthesolution?Ifso,whatcanwedotohelpalignourrespectiveeffortsmoreeffectively?•Whatcanwelearnfromapreliminaryinquiryintospecificeventsrelatedtoourissue,underlyingtrendsorpatternsofbehaviorovertime,andaconsiderationofdeepersystemsstructure?•Howmighttheconceptsoftimedelay,archetypes,andtheBathtubincreaseourunderstandingofsystemsstructurerelatedtotheissue?•Whichstakeholdersarewecomfortableengagingnow,andwhataretheirmotivationsforchange?•Bycontrast,whichstakeholdersmightwenotchoosetoengageattheoutset—andwhy?Whatmightwemissbynotinvolvingtheminitially,andwhatstrategiesdowehaveforengagingthemovertime?•Howcanwecreatecommongroundamongthestakeholdersweengagenow?
•Howdoweincreasepeople’sunderstandingoftheissueinawaythatintegratestherichnessofdiverseperspectiveswiththesimplicityrequiredtoact?•Howdowebuildsupportforananalysisthatmightbedifficulttocommunicateorthatchallengespeople’sunderlyingbeliefsandassumptions?•Whatisthecaseforthestatusquo?•Whatmightwehavetogiveupinorderforthewholetosucceed?•Whatinterventionscouldenableustoachievesustainable,breakthroughchange?•Whatmightbetheunintendedconsequencesofourproposedsolutions?•Howdoweensurecontinuouslearningandoutreach?•Whatisoursystemictheoryofchange?•Howdoweevaluateprogresstowardourvisionusingasystemlens?•Whatactionscanwetaketobecomebettersystemsthinkers?•Whatdoweintendtodonext?
AUSParkServicesmanagerobserved,“Iusedtothinkoftheorganizationasamachine,andthatthingslikerockslidesandtrafficjamscausedbreakdownsinthemachine;andnowIseetheorganizationasanorganismwherethosearejusteventsandthetruesourcesofbreakdownareegos,mentalmodels,andpoorcommunications/relationships.”Becomingamoreeffectivesystemsthinkerincludesdevelopinganorientationandwayofbeingthatincorporatestheemotional,behavioral,andspiritual—aswellascognitive—dimensionsoflife.Ittakestimeandpracticewithreal-worldchallenges.Andremember,evenifyouneverdrawasystemsmaponyourown,youcanalwaysaskpowerfulquestionsthatopenthedoorforyouandotherstothinksystemically.
ClosingtheLoop•Systemsthinkingisnot(just)whatyouthink.•Becomingamoreeffectivesystemsthinkermeansdevelopingyouremotional,behavioral,andspiritual—aswellascognitive—capacities.
•Thebestwaytolearnisbydoing,andtherearemanyresourcesavailabletohelp.•Whenyouarenotsurewhattodonext,askasystemicquestion.
ACKNOWLEDGMENTS
Theideasthathavegoneintowritingthisbookstemfromthecontributionsofmanypeopleovernearlyfortyyears.
Ifirstwanttothankmylong-timecolleagueMichaelGoodman,aleadingsystemsthinkerwhosharesmypassionforenablingleadersandorganizationstoapplytheseprinciplesandtoolstoreal-worldissuesineasilyaccessibleways.MichaelandIco-createdthechange-managementframeworkthatappearsinchapters5–10andtheLeadingSystemicChangeworkshop,whichwehaveconductedfornearlytwentyyearsinawiderangeoforganizations,leadership-developmentinstitutes,andprofessionalconferences.Asthedirectorofthesystems-thinkingpracticeatInnovationAssociates(nowInnovationAssociatesOrganizationalLearning),Michaelalsocontributedtothedevelopmentofthesystemsarchetypesandmanyoftheothertoolsusedinthisbookandbyagenerationofsystems-thinkingpractitioners.Hewasalsokindenoughtoreadtheentiremanuscriptandoffervaluableimprovements.
IalsowanttoespeciallythanktwoothercolleagueswithwhomIhaveworkedcloselytodevelopandtesttheideasinthisbook.JohnMcGah,thefounderofthenationalnonprofitGiveUSYourPoor,stronglyreinforcedthebenefitsofusingsystemsthinkingtomotivatediversestakeholderstotranscendtheirimmediateself-interestsandapplybestpracticestoendinghomelessness,particularlywhenthosepracticeschallengemoretraditionalwaysofthinking.
KathleenZurcherhasinspiredandgivenmemanyopportunitiestohelpcommunitiesdevelopsystemictheoriesofchange.AstheformerchieflearningofficerattheW.K.KelloggFoundation,shehasalsocollaboratedwithmeindevelopingwaystoexplainthevalueofappliedsystemsthinkingtotheworkoffoundations.
IamverygratefultomyfellowcofoundersofInnovationAssociates,whogavemetheopportunitytocultivateandpromotethedisciplinesoforganizationallearning.CharlesKieferwastheprimaryfounderofInnovationAssociatesandhelpedpioneerthefieldthroughhiscommitmenttocreating
organizationsasvehiclesforpeopletorealizetheirhighestaspirations.Heorchestratedtheintegrationoftraditionalorganizationaldevelopment,systemsthinking,andpersonalmasteryintoacompellingsynthesis,whichfellowcofounderPeterSengesubsequentlyexpandedontowritethemanagementclassicTheFifthDisciplineandlaterbooksthatpopularizedsystemsthinkinganditsconnectionwiththeotherlearningdisciplines.RobertFritzwasalsoacofounderofInnovationAssociatesandamasterofthecreativeprocess,whichimbuesallofthisworkwithprinciplesandtoolsforenrichingthelivesofindividuals,organizations,andthepeopletheyserve.
IalsowanttothanktwoothercolleaguesatInnovationAssociatesfortheircontributions.JenniferKemeny,abrilliantsystemsthinker,helpedmedeveloptheoriginalLeadingSystemicChangeworkshopalongwithMichaelGoodman.SherryImmediatoopenedthedoorsforapplyingsystemsthinkingtotheissuesofpublicandenvironmentalpublichealth.
Othercolleagueshavealsoplayedimportantrolesinthedevelopmentofthisbook.JoeLaurandSaraSchleyinvitedmetocollaboratewiththemonTheAfterPrisonInitiative,CurtisOgdeninvitedmetopartnerwithhimonRightfromtheStart,andDanielKimintroducedMichaelGoodmanandmetotheW.K.KelloggFoundation,whichsponsoredmanyofthefirstprojectstocombinethinkingandconveningsystemically.PeterWoodrowinvitedmetopartnerwithhiminBurundiandhascontinuedtoworkwithDianaChigasandRobRiciglianotoapplysystemsthinkingtopeacebuilding.BatyaKallusinvitedmetodesignandleadthefirstLeveragingGrantMakingworkshop.AndrewJones,DonSeville,andGeorgieBishopofferedmeadditionalcasematerial.LindaBoothSweeneyprovidedmewithlotsofencouragementandinsightintowhatothercolleaguesaredoingto“givesystemdynamicswings.”
ThankyouaswelltoCarolGorelickforhervaluablecommentsthroughout,andtoMichelleHeritage,R.ScottSpann,andLisaSpinaliforreviewingandenhancingpartsofthemanuscript.
Noneofthisworkhappenswithoutclientswillingtoengageinit.Theyandthepeopletheyservearetheultimatereasonthisbookwaswritten.Thankstothoseofyouwhohavebeensoopentoapplyingsystemsthinkingtoyourworkinmakingabetterworld,including:JoeBartmann,JenniferBentley,Jacqueline
Claunch,BethDavis,MarkDraper,NancyFreesFountain,JasonGlass,TimJenkins,KarenKoenemann,CynthiaLamberth,NancyLeonard,JenniferLudwig,AnnMansfield,AnneMiskey,DavidNee,JohnSarisky,BretSmith,DavidTilly,SusanTucker,JoanWallaceBenjamin,JonWalz,andTraciWodlinger.
IalsowanttoacknowledgethemanypeoplewhohaveembracedandcontributedtothisworkthroughtheirparticipationinworkshopsonLeadingSystemicChangeandLeveragingGrantMakinginmanydifferentforums.Ihavelearnedfromallofyourinsightsandchallengingquestions.
SpecialthankstoTeriBehrens,editor-in-chiefofTheFoundationReview,forpublishinganearlyversionoftheseideasandpromotingtheirvalueinphilanthropy.IalsothankJoniPraded,myeditoratChelseaGreen,forinvitingmetowritethisbookandprovidingenormouslyhelpfulfeedbackalongtheway.ThankyouaswelltoNancyDaughertyforherpatienceandpersistenceindevelopingthefiguresthatareworthathousandwords.
Finally,noneofthiswouldhavebeenwrittenwithoutthelovingsupportofmywife,MarilynPaul,anaccomplishedauthorinherownrightandstaunchbelieverinthiswork.ShehasbeenmyclosestsoundingboardovertheyearsinhelpingmethinkthroughandexplainwhatIdo,andsheofferedmanyvaluableideasonthemanuscript.Iamalsosogratefultomyson,JonathanStroh,whoseenthusiasmforlifeinspiresmeeveryday.
Oakland,CAJune2015
—APPENDIXA—
ViciousCyclesofClimateChange
IncreasinggreenhousegasesorGHGssuchasCO2intheearth’satmospherecreatesseveralviciouscyclesinnaturethatarelikelytofurtherincreaseglobaltemperatures.ThesecyclesaremappedoutinfigureA.1,offeredhereasanexampleofhowtoreadadiagramshowingseveralviciouscyclesatwork.
FIGUREA.1VICIOUSCYCLESOFCLIMATECHANGE.GrowingCO2concentrationsintheatmospherehavecreatedviciouscyclesinnaturethatarelikelytoincreaseglobaltemperature
overtime.AdaptedfromAndrewJones,ClimateInteractive,2015
You’llseethatasGHGsandtemperaturesincrease,bothsoilandtheoceansreleasemoreCO2,astheFasterReleasereinforcingloop(R)infigureA.1depicts.Forestcoverdeclines,whichreducestheamountofCO2heldorsequesteredbytrees,therebyincreasingthelevelofCO2releasedintotheatmosphere(R,Forests).
Moreoverastemperaturesincrease,polaricemelts,whichhasothernegativeandamplifyingimpacts.Wheniceatthepolesdecreases,theearthbecomeslessreflectiveofthesun’srays,whichincreasestheamountofsolarheatabsorbed,therebyincreasingtemperatures(R,Albedo).Icemeltingalsoexposespermafrost,whichreleasesmethane,anothergreenhousegasthatisevenmoretoxicthanCO2(R,Methane).Inaddition,asiceatthepolesdecreases,theaveragealtitudeoftheicedecreases,whichreducesicetemperatureandincreasesicemeltevenfaster(R,IceAltitude).Finally,apotentiallylessinfluentialimpactofpolaricemeltingisbasallubrication,theflowofwaterproducedbymeltingicethatincreasesthespeedatwhichicemeltsfurther(R,BasalLubrication).
—APPENDIXB—
SampleInterviewQuestionsfor
SpecificProjects
Whenlaunchingasystems-thinkingprojectthatinvolvesmultiplestakeholders,itisbesttoconductinterviewswithprojectparticipants.You’llusetheinformationyoucollecttobuildaninitialsystemsmapfordiscussionandinputfromtheteam.Belowarethequestionsusedinsomeofthecasesdiscussedthroughoutthisbook.
B.1.QUESTIONSFORTHEAFTERPRISONINITIATIVE
1.Wherewithintheoverallfielddoyoufocusyourwork?Whydoyoufocushere?
2.Whatotherchangeeffortsareyouawareofinthefield?Howdotheseothereffortshelp/hinderyourown?Howdoyoureffortshelp—andpotentiallyhinder—theworkofothers?
3.Therearemultiplebarrierstoreentrycitedintheliterature.Inyourmind,whatarethethreemostimportant?Whydothesebarriersexist?
4.Howdoyouengageotherstakeholders,particularlythoseinrelatedfieldsandwithaccesstoadditionalresources,inaddressingtheseissues?
5.Towhatextentdoyouapproachreentryasalargerissuearoundstructuralracism?Forexample,doyouthinkintermsofenfranchisementaswellasreentryforformerprisoners,and/ortheintegrationofentiremarginalizedcommunitiesintosociety?Whatendresultsareyouaimingfor?Ifyouthinkintheselargerterms,howexplicitareyouindoingso?
B.2.QUESTIONSFORDEVELOPINGTEN-YEARPLANTOENDHOMELESSNESS
1.Whatisthepatternofhomelessnessyou’veseeninCalhounCountyoverthepasttentotwentyyears?
2.Whatdoyoubelievearetheunderlyingcausesoftheproblem?3.Whataretheconsequencesofhomelessness?Howseriousistheproblem?Whatwouldhappenovertimeifnothingelseweredonetoaddressit?
4.Whathasyourorganizationdonetoaddresstheproblem?Whathasbeensuccessful?Whathaveyoutriedthathasnotbeenassuccessfulasyouhoped?Whydoyouthinktheseshortfallsoccurred?
5.Whatwouldyoudodifferently?Why?Whathaspreventedyoufromdoingthis?
6.Noonewantshomelessnesstocontinue,yetitdoes.Inyouropinion,whydoesitpersist?
7.Inadditiontowhatyourorganizationcando,whatelseneedstobedonetoendhomelessnessinthecounty?
8.Whoelseatthestateandlocallevelsneedstobeinvolvedtocontributetotheendofhomelessness?Whatdotheyneedtocontribute—politicalleadership,funding,technicalresources?
B.3.QUESTIONSFORIMPROVINGRURALHOUSING
1.Whatisworkingnowinyourcommunitytodevelopnewhousing?2.Whatmightyoudotocultivateadditionaldevelopment?3.Whatlimitstoappropriate,affordablehousingdevelopmenthaveyouencountered?
4.Howareyoudealingwiththeselimitsnow?Howmightyoudealwiththem?
5.Whatlimitsmightyouencountergoingforward?6.Certainimprovementsinhousingandotheraspectsofcommunitydevelopmentmighttakelongertorealizethanothers.Wherearethelongestdelaysinyourcommunity?Howcanyouhelppeopleshortenthosedelaysorincreasetheirpatienceinstayingthecourse?
7.Theretendstobeanunderstandablefocusonsingle-familyunattachedhomes.Whatplace,ifany,doyouseeformultifamilyhousingor
contiguoussingle-familyhousing(suchastownhouses)?
B.4.QUESTIONSFORCOLLABORATINGFORIOWA’SKIDSQuestionstoClarifyProspectsforPartnership
1.HowdoyouwanttodefineIDEsuccess?Whatshouldbeitsuniquecontributions?
2.HowdoyouwanttodefineAEASystemsuccess?Whatshouldbeitsuniquecontributions?
3.HowwillIDE’ssuccesscontributetoAEASystemsuccess?4.HowwillAEASystemsuccesscontributetoIDEsuccess?
QuestionstoClarifyAccidentalAdversariesRelationship
1.WhenIDEhasproblemsachievingresults,whatdoesitdotogetbackontrack?
2.HowdotheseactionsunwittinglyundermineAEASystemsuccess?3.WhentheAEASystemhasproblemsachievingresults,whatdoesitdotogetbackontrack?
4.HowdotheseactionsunwittinglyundermineIDEsuccess?
—APPENDIXC—
Multiple-ArchetypeDiagrams
Thesediagramsshowhowmultiplearchetypescanilluminateasinglecomplexproblem.Inthefirstdiagram,C.1,theShiftingtheBurdendynamicaddstoandcomplementstheFixesThatBackfiredynamicofmassincarcerationinfigures7.1and7.2.FiguresC.2throughC.4showdifferentaspectsofthedeeplyrootedproblemofidentity-basedconflicts,wherebothpartiestoaconflictbelievethattheirveryrightstoexistarethreatened.C.2describestheShiftingtheBurdenarchetypeunderlyingtheseconflicts.C.3illuminatesthechallengeofConflictingGoals.Finally,C.4showshowtheseconflictsembedthemselvesevenfurtherthroughthedynamicofEscalation.Forreadersinterestedinlearningmoreaboutthesystemdynamicsofidentity-basedconflictsandrecommendedinterventionstoresolvethem,gotothereferencenotedonthesediagrams.
FIGUREC.1ANADDICTIONTOPRISON.Dependingonmassincarcerationtoreducepeople’sfearof“theother”underminessociety’sabilitytoimplementthemorefundamentalsolutionsofcommunitydevelopmentandresettlement.Thehighcostsofprisonreducethemoneyavailabletospendontheseresponses(R8).Disadvantagesexperiencedbyformerlyincarceratedpeopleoftenleadtorepeatoffenses,whichdestabilizethecommunityevenfurther(R9).Evenifthesepeopledonotcommitanothercrime,itisdifficultforthemtobecomenetcontributorstothecommunity’sresources(R10).ModifiedfromadiagramdevelopedbySeedSystemsforOpenSocietyInstitute
FIGUREC.2IDENTITY-BASEDCONFLICTS:SHIFTINGTHEBURDEN.Inordertodemonstratetheirrespectiverightstoexist,peopleonbothsidesofanidentity-basedconflicttendtobecomeaddictedtotryingtocontrolorunderminepeopleontheothersideofthisconflict.Thestrongerparty(A)—economicallyandmilitarily—seekstoexertcontrolwhiletheweakerside(B)workstounderminethestrongerone.DavidPeterStroh,“TheSystemDynamicsofIdentity-BasedConflict,”inD.Korppen,N.Ropers,andH.J.Giessmann(editors),TheNon-LinearityofPeaceProcesses(BarbaraBudrichPublishers,2011)
FIGUREC.3IDENTITY-BASEDCONFLICTS:CONFLICTINGGOALS.Eachsidealsohassubgroupsthatseektoresolvetheconflictthroughpeacefulcoexistenceratherthancompletevictory.However,thesubgroupsinfavorofcompletevictorytendtodominateovertime,sincetheirmoreaggressivetacticsgenerateemotionsoffearandangerthataremoreviscerallycompellingthanthoseofpeace.Stroh,“TheSystemDynamicsofIdentity-BasedConflict
FIGUREC.4IDENTITY-BASEDCONFLICTS:ESCALATION.Theseproblemsarecompoundedbecausebothsidesbecomecaughtinanendlessraceforbothdominationandvictimizationsinceoppressingfromthevictimpositionisoftenviewedasamorelegitimatestance.Stroh,“TheSystemDynamicsofIdentity-BasedConflict”
—APPENDIXD—
AdditionalResources
Thefollowingcompilationofbooksandwebsitessummarizes:diverseapproachestothinkingandactingsystemically;applicationsofsystemsthinkingtosuchchallengesasurbanrenewal,peacebuilding,sustainabledevelopment,K–12education,healthcare,andendinghomelessness;andnetworksofpeopleandarchivesofmaterialsdedicatedtosupportingtheuseofsystemsthinkingnationallyandaroundtheworld.
BOOKS
LindaBoothSweeney:WhenaButterflySneezes,PegasusCommunications,2001.Aguideforhelpingkids(ofallages)exploreinterconnectionsinourworldthroughfavoritestories.TheSystemsThinkingPlaybook,co-authoredwithDennisMeadows,ChelseaGreen,2010.Ahandbookofexperientialexercisesthatstretchandbuildlearningandsystemsthinkingcapabilities.
PeterChecklandandJimScholes,SoftSystemsMethodologyinAction,Wiley,1999.Offersanalternativesystemsthinkingmethodologythatisnotbasedonthevisuallanguageofcausalloopdiagramming.
GlendaEoyangandRoyceHalladay,AdaptiveAction:LeveragingUncertaintyinYourOrganization,StanfordUniversityPress,2013.Offersanothersystems
thinkingmethodologythatisnotbasedonthevisuallanguageofcausalloopdiagramming.
JayForrester,UrbanDynamics,PegasusCommunications,1969.Aclassicinthefieldofsystemdynamicsthatexplainstheshortcomingsofurbanrenewalstrategiesemployedinthe1960’sUnitedStatesWaronPoverty.
D.Korppen,N.Ropers,H.J.Giessmann(eds.),TheNon-LinearityofPeaceProcesses,BarbaraBudrichPublishers:FarmingtonHills,MI,2011.Acollectionofpapersthatapplydifferentmethodsofthinkingsystemicallytothechallengeofpeacebuilding.
DonellaMeadows:LimitstoGrowth,UniverseBooks,1972.AsystemdynamicsmodeldevelopedfortheClubofRomedescribesthelikelyenvironmentalimpactsofunbridledpopulationandeconomicgrowth.LimitstoGrowth:The30-YearUpdate,co-authoredwithJørgenRandersandDennisMeadows,ChelseaGreen,2004.This30-yearfollow-upreportbuildsonmanyofthepredictionsmadeintheoriginalreportandrecommendshowtoavoidenvironmentalcollapse.ThinkinginSystems,ChelseaGreen,2008.Anoutstandingintroductiontosystemsthinkingbyapioneeringleaderinthefield.
C.OttoScharmer,TheoryU:LeadingFromtheFutureasItEmerges,Berrett-Koehler,2009.Describesacomprehensiveframeworkformanagingcomplexdeepchangethatiscomplementarytotheoneintroducedinthisbook.
PeterSenge,etal.:TheFifthDiscipline,Doubleday,1990,secondeditionpublishedin2006.Thepioneeringframeworkunderlyingmanyoftheideasinthisbook.Systemsthinkingis“thefifthdiscipline.”TheFifthDisciplineFieldbook,co-authoredwithArtKleiner,CharlotteRoberts,RichardRoss,andBryanSmith,Doubleday,1994.GroundstheprinciplesofTheFifthDisciplineinhighlyaccessiblestrategiesandtoolsthatenablereaderstoapplyeachoftheorganizationallearningdisciplines.TheNecessaryRevolution,co-authoredwithBryanSmith,NinaKruschwitz,JoeLaur,andSaraSchley,BroadwayBooks,2008.Appliesthefivedisciplinesoforganizationallearningtobuildingasustainableworld.
SchoolsThatLearn(UpdatedandRevised),co-authoredwithNeldaCambron-McCabe,TimothyLucas,BryanSmith,JanisDutton,andArtKleiner,CrownBusiness,2012.AppliesthefivedisciplinesoforganizationallearningtomeetingthechallengeofK–12education.
WEBSITES
AppliedSystemsThinking,www.appliedsystemsthinking.com.AninformationalwebsiteonappliedsystemsthinkingdevelopedbyMichaelGoodmanandDavidPeterStroh.
BridgewayPartners,www.bridgewaypartners.com.MaterialsandservicesofferedbyDavidPeterStrohandMarilynPaultohelppeoplereframeandresolveintractableproblems—includingarangeofsocialissuesandthechallengesofindividualandorganizationaloverload.
ClimateInteractive,www.climateinteractive.org.Providescomputersimulationsandotherlearningmaterialscoveringsuchtopicsasclimatechange,cleanenergy,disasterriskreduction,andresilience.
CreativeLearningExchange,www.clexchange.org.NonprofitfoundedbyJayForrestertointroducesystemdynamicsintotheK–12schoolcurriculum.
FundersTogethertoEndHomelessness,www.funderstogether.org.Anationalnetworkoffunderscommittedtoendingandpreventinghomelessnessusingasystemsapproach.
InternationalSystemDynamicsSociety,www.systemdynamics.org.Aninternational,nonprofitorganizationdevotedtoencouragingthedevelopmentanduseofSystemDynamicsandsystemsthinking.
LeverageNetworks,www.leveragenetworks.com.Connectsknowledge,events,andpeopleengagedinsystemsthinking—includingtheextensivearchivesofPegasusCommunications.
ReThinkHealth,www.rethinkhealth.org.Developsandcompilespracticalinformation,tools,andapproachestosupportleaderscommittedtoimprovingregionalhealthcaredelivery—includingthroughitsnationallyrecognizedReThinkHealthDynamicsModel.
SystemsThinkingWorld,www.systemswiki.org.Anonlinecommunitydedicatedtocreatingcontent,fosteringinteractions,andapplyingsystemsthinkingtofurtheranunderstandingofasystemicperspectiveandenablethinkingandactingsystemically.Alsoprovidesacomprehensiveonlinelearningenvironmentathttps://kumu.io/stw/systems-kele.
NOTES
INTRODUCTION1.See,forexample,PeterSenge,TheFifthDiscipline(updatedandrevised;Doubleday,2010)and
PeterSengeetal.,TheFifthDisciplineFieldbook(Doubleday,1994).2.See,forexample,PeterChecklandandJimScholes,SoftSystemsMethodologyinAction(Wiley,
1999).3.HarvardBusinessReviewstaff,“YouCan’tBeaWimp:MaketheToughCalls”(interviewwithRam
Charan),HarvardBusinessReview,November2013.4.See,forexample,OttoScharmer,TheoryU:LeadingfromtheFutureasItEmerges(Berrett-
Koehler,2009);JohnKaniaandMarkKramer,“CollectiveImpact,”StanfordSocialInnovationReview,Winter2011;andZaidHassan,TheSocialLabsRevolution(Berrett-Koehler,2014).
5.Thisinsighthasbeenattributedtomanysystemsthinkers,includingDr.PaulBatalden,professoremeritusattheGeiselSchoolofMedicineatDartmouthCollege;DonBerwick,pastpresidentandCEOoftheInstituteforHealthcareImprovementandformeradministratoroftheUSCentersforMedicareandMedicaidServices;andEdwardDeming,founderofthequalitymovement.
CHAPTER11.MatthewB.Durose,AlexiaD.Cooper,andHowardN.Snyder,“RecidivismofPrisonersReleasedin
30Statesin2005:Patternsfrom2005to2010,”USDepartmentofJustice,OfficeofJusticePrograms,BureauofJusticeStatistics,April2014.
2.LewisThomas,TheMedusaandtheSnail(Viking,1979).3.DonellaMeadows,ThinkinginSystems(ChelseaGreen,2008).4.Forabroaderunderstandingofthedifferentschoolsofsystemsthinkingandwhentoapplywhich
methodology,readMichaelC.Jackson,SystemsThinking:CreativeHolismforManagers,Wiley&Sons,2003.
5.Senge,TheFifthDiscipline,andSengeetal.,TheFifthDisciplineFieldbook.CausalloopdiagramswereoriginallydocumentedbymycolleagueMichaelGoodmaninhispioneeringtextbookStudyNotesinSystemDynamics(1974,reprintedbyPegasusCommunicationsin1989).
CHAPTER21.CarolDweck,Mindset:TheNewPsychologyofSuccess(RandomHouse,2006).2.Senge,TheFifthDiscipline,p.231.3.Formoreinformation,youcanreadDavidPeterStroh,“TheSystemDynamicsofIdentity-Based
Conflicts,”inD.Korppen,N.Ropers,andH.J.Giessmann(editors),TheNon-LinearityofPeaceProcesses(BarbaraBudrichPublishers,2011).
4.JohnKaniaandMarkKramer,“CollectiveImpact,”StanfordSocialInnovationReview,Winter2011.5.PaulSchmitz,“TheRealChallengeforCollectiveImpact,”HuffingtonPost,September27,2012.
CHAPTER31.OSIhassincechangeditsnametoOpenSocietyFoundations.2.JonathanSimon,“GoverningThroughCrime:HowtheWaronCrimeTransformedAmerican
DemocracyandCreatedaCultureofFear,”StudiesinCrimeandPublicPolicy,2009.3.BuckminsterFullerandothershaveobservedthattheunderlyingproblemfacedbytheworldisnot
limitedresourcesbuttheineffectivedistributionofsufficientresources.4.MarvinWeisbord,ProductiveWorkplaces:Dignity,Meaning,andCommunityinthe21stCentury
(Jossey-Bass,1991).5.AlfredBlumsteinandJoelWallman,TheCrimeCropinAmerica(CambridgeUniversityPress,
2005).6.StevenD.Levitt,“UnderstandingWhyCrimeFellinthe1990s:FourFactorsThatExplainthe
DeclineandSixThatDoNot,”JournalofEconomicPerspectives18,no.1(Winter2004).7.Wikipedia,http://en.wikipedia.org/wiki/Abracadabra.8.Becausenotallnounsarevariables,agoodwaytoconfirmifafactorvariesistoputthewordslevelofinfrontofit:LevelofRepeatOffenses.Forexample,theNumberofPeopleIncarceratedisavariablebecauseitcanincreaseordecreaseovertime.However,Strategyisnotavariable,althoughRelativeEmphasisonPunishmentVersusReformisavariablebecausethatemphasiscanchangeovertime.
9.PeterWoodrow,“ConflictAnalysisofBurundi”(CDACollaborativeLearningProjects,2004).10.Itisalsopossibletosubstitutecoloredlinks—say,greenfor“same”andredfor“opposite”—on
finaldiagrams.
CHAPTER41.Meadows,ThinkinginSystems.2.JimCollins,GoodtoGreat(HarperCollins,2001)andGoodtoGreatandtheSocialSectors
(monograph;HarperCollins,2005).3.DavidPeterStroh,“ASystemsViewoftheEconomicCrisis,”TheSystemsThinker20,(February
2009).4.P.Ball,CriticalMass:HowOneThingLeadstoAnother(Farrar,StrausandGiroux,2006);Malcolm
Gladwell,TheTippingPoint(LittleBrown,2000).5.D.H.Meadowsetal.,TheLimitstoGrowth(UniverseBooks,1972).6.G.KellingandJ.Q.Wilson,“BrokenWindows,”TheAtlantic249,no.3(March1982).7.C.Johnson,“StudyBacksTheoryThatLinksConditions,Crime,”BostonGlobe,February8,2009.8.J.A.Fox,“GangingUp,”BostonGlobe,December1,2003.9.E.Moscowitz,“JustSay‘IntheKnow,’”BostonGlobe,December22,2008.10.InstituteonEducationandtheEconomy,“UsingWhatWeHavetoGettheSchoolsWeNeed:A
ProductivityFocusforAmericanEducation,”IEEDocumentNo.Bk-5(TeachersCollege,ColumbiaUniversity,October1995).IwishtothankmycolleaguesJenniferKemenyandSherryImmediato,whoworkedonthiscaseandbroughtittomyattention.
11.ThepioneeringworkoncodifyingsystemarchetypesandmakingthemaccessiblewasdonebyMichaelGoodman,JenniferKemeny,andCharlieKieferatInnovationAssociates.MostofthesearesummarizedinWilliamBraun,TheSystemArchetypes,2002,downloadablefromhttp://www.albany.edu/faculty/gpr/PAD724/724WebArticles/sys_archetypes.pdf.
12.S.Friedman,“WhenHeroinSupplyCut,CrimeRises,SaysReport,”BostonGlobe,April22,1976.13.LindaPolman,TheCrisisCaravantranslatedbyLizWaters(MetropolitanBooks,2010).14.WilliamEasterly,TheTyrannyofExperts(BasicBooks,2014).15.IntheirrecentbookAPathAppears(Knopf,2014)award-winningjournalistNicolasKristofandhis
wife,SherylWuDunn,offermanyexcellentexamplesofbottom-updevelopment.16.JohnR.Ehrenfeld,“TheRootsofSustainability,”SloanManagementReview,46,no.2(Winter
2005).17.PeterBuffett,“TheCharitable-IndustrialComplex,”NewYorkTimes,July27,2013.18.TheDanceofChange,abookbyPeterSengeetal.(DoubledayCurrency,1999),usestheLimitsto
Growtharchetypetoexplaintheobstaclestoorganizationalchangeandwhatcanbedonetoovercomethem.
19.Meadowsetal.,LimitstoGrowth.20.ThomasPiketty,Capitalinthe21stCentury,translatedbyArthurGoldhammer(Presidentand
FellowsofHarvardCollege,2014).21.PeterStroh,“TheRichGetRicher,andthePoor...”,TheSystemsThinker,March1992.22.KeithLawrenceandTerryKeleher,StructuralRacism(RaceandPublicPolicyConference,2004).23.NicholasKristofandSherylWuDunn,“TheWaytoBeatPoverty,”NewYorkTimes,September14,
2014.24.Adaptedfromcopyrightedworkon“TheLeadershipDilemmainaDemocraticSociety,”developed
byandreproducedwithpermissionofthePublicSectorConsortium,2003.Learnmoreathttp://www.public-sector.org/file/The-Leadership-Dilemma-in-Democratic-Society.pdf.
25.PeterStroh,“ConflictingGoals:StructuralTensionatItsWorst,”TheSystemsThinker,September2000.
26.DavidPeterStroh,“ASystemicViewoftheIsraeli–PalestinianConflict,”TheSystemsThinker,June–July2002.
27.DavidPeterStroh,“TheSystemDynamicsofIdentity-BasedConflict,”inKorppen,Ropers,andGiessmann(editors),TheNon-LinearityofPeaceProcesses.
28.TerrenceReal,TheNewRulesofMarriage(BallantineBooks,2007).29.ElinorOstrom,GoverningtheCommons:TheEvolutionofInstitutionsforCollectiveAction
(CambridgeUniversityPress,1990).30.NationalGeographic,“TheCarbonBathtub,”December2009.31.Levitt,“UnderstandingWhyCrimeFellinthe1990s.”
CHAPTER51.DavidPeterStrohandMichaelGoodman,“ASystemicApproachtoEndingHomelessness,”Applied
SystemsThinkingJournal,October2007.Downloadfrom:http://www.appliedsystemsthinking.com/supporting_documents/TopicalHomelessness.pdf.
2.NumbersderivedfromCalhounCounty2013–2014ReportCard,TheCoordinatingCouncil,http://www.tcccalhoun.org/CRC/2013-14%20TCC%20Report%20Card.pdf.
3.MarvinWeisbordandSandraJanoff,FutureSearch,3rdedition,Berrett-Koehler,2011;HarrisonOwen,OpenSpaceTechnology,3rdedition,Berrett-Koehler,2008;JuanitaBrown,TheWorldCafé,Berrett-Koehler,2005.
4.RamNidumoluetal.,“TheCollaborationImperative,”HarvardBusinessReview,April2014;Scharmer,TheoryU;ZaidHassan,TheSocialLabsRevolution,ReosPublications,2014.
5.Senge,TheFifthDiscipline,pp.150–55.6.Scharmer,TheoryU,p.134.
CHAPTER61.KathleenZurcherandTimothyGrieves,“CollaboratingforIowa’sKids,”IowaDepartmentof
EducationandIowaAreaEducationAgencies,August17,2012.2.ShirleyLeung,“PineSt.Inn’sBoldMovetoEndChronicHomelessness,”BostonGlobe,July16,
2014.3.Balancingadvocacyandinquiry—alongwithmanyothertoolstofacilitateteamlearning—is
describedinPeterSengeetal.,TheFifthDisciplineFieldbook.4.AdaptedfromasequencedevelopedbyCliffBarry,ShadowWorkSeminars.5.Scharmer,TheoryU.6.Real,TheNewRulesofMarriage.
CHAPTER71.Durose,Cooper,andSnyder,“RecidivismofPrisonersReleasedin30Statesin2005.”2.CharlesM.Blow,“CrimeandPunishment,”NewYorkTimes,December1,2014.3.IlyaSomin,“ConservativesRethinkingMassImprisonmentandtheWaronDrugs,”WashingtonPost,January26,2014.Oneinterestingexampleofthisshiftistherecentformationofahighlyunlikelycoalitiontofixthecriminaljusticesystemthatincludesorganizationsfromboththepoliticalrightandleft;tolearnmoreaboutthisnewCoalitionforPublicSafety,gotowww.coalitionforpublicsafety.org.
4.KristofandWuDunn,APathAppears.5.Ibid.6.Formoreonsystemdynamicsmodelingrelatedtopublicpolicy,youcanread“HowSmallSystem
DynamicsModelsCanHelpthePublicPolicyProcess”byNavidGhaffarzadegan,JohnLyneis,andGeorgeP.Richardson,awhitepaperpublishedbytheRockefellerCollegeofPublicAffairsandPolicy,UniversityofAlbany,SUNY,availableathttp://www.albany.edu/~gpr/SmallModels.pdf.
CHAPTER81.AddingmentalmodelstocausalloopdiagramswasatechniquedevelopedbyInnovationAssociates
OrganizationalLearning.
CHAPTER91.RobertKeganandLisaLaskowLahey,HowWeTalkCanChangetheWayWeWork(Jossey-Bass,
2001).2.Thisinsighthasbeenattributedtomanysystemsthinkers,includingDr.PaulBatalden,professor
emeritusattheGeiselSchoolofMedicineatDartmouthCollege;DonBerwick,pastpresidentandCEOoftheInstituteforHealthcareImprovementandtheformeradministratoroftheUSCentersforMedicareandMedicaidServices;andEdwardDeming,founderofthequalitymovement.
3.PeterStrohandWynneMiller,“LearningtoThriveonParadox,”TrainingandDevelopment,September2014.
4.Leung,PineSt.Inn’sBoldMovetoEndChronicHomelessness.5.Scharmer,TheoryU.6.EverettM.Rogers,DiffusionofInnovations,5thedition(FreePress,2003).
CHAPTER101.DavidPeterStrohandMarilynPaul,“IsMovingTooFastSlowingYouDown?HowtoPrevent
OverloadfromUnderminingYourOrganization’sPerformance,”Reflections:TheSocietyforOrganizationalLearningJournal13,no.1(Summer2013).
2.Meadows,ThinkinginSystems.3.BarbaraTuchman,TheMarchofFolly(RandomHouse,1984).4.ClaudiaDreifus,“AChroniclerofWarningsDenied,”NewYorkTimes,October28,2014.5.Leung,PineSt.Inn’sBoldMovetoEndChronicHomelessness.6.PathwaystoHousingwebsiteathttps://pathwaystohousing.org/housing-first-model.7.DavidPeterStroh,ASystemsApproachtoImprovingEnvironmentalPublicHealth,2013.
UnpublishedreportpreparedfortheCentersforDiseaseControl;copiesavailablefromtheauthor.8.DavidCooperriderandDianaWhitney,AppreciativeInquiry:APositiveRevolutioninChange
(Berrett-Koehler,2005);RichardPascale,JerrySternin,andMoniqueSternin,ThePowerofPositiveDeviance(HarvardBusinessPress,2010).
9.DavidPeterStrohandMarilynPaul,“ManagingYourTimeasaLeader,”Reflections:TheSocietyforOrganizationalLearningJournal,Winter2006.
10.Leung,PineSt.Inn’sBoldMovetoEndChronicHomelessness.11.CasestudydevelopedbyDavidPeterStrohandJohnMcGahforFundersTogethertoEnd
Homelessness,anationalassociationoffunderscommittedtoendinghomelessness.ContactFundersTogetheratwww.funderstogether.orgforcopies.MichelleHeritage,executivedirectorofCSB,wasespeciallyhelpfulinprovidinginformationabouttheorganization.
12.KaniaandKramer,“CollectiveImpact.”13.ThetoolsasdefinedhereweredevelopedbyInnovationAssociates,thoughotherversionsofboth
exist.14.Meadows,ThinkinginSystems,p.164.15.ReflectingonPeacePracticeProgram,KeyPrinciplesinEffectivePeacebuilding(CDA
CollaborativeLearningProjects,2014).16.Tolearnmore,contactPamelaWilhelmsattheWilhelmsConsultingGroup,
http://wcgsite.weebly.com/about.html.17.GrantmakersforEffectiveOrganizations,2013PathwaystoGrowImpact:Philanthropy’sRoleintheJourney(GEOResourceLibrary,January29,2013).
18.ReflectingonPeacePracticeProgram,LessonsfromProgramEffectiveness.19.KristofandWuDunn,APathAppears.
CHAPTER111.MichaelGoodmanandArtKleiner,“TheArchetypeFamilyTree,”inPeterSengeetal.,TheFifthDisciplineFieldbook.
2.AnotherexampleofaplanningapproachforsocialinnovationisdesignthinkingassummarizedbyTimBrownandJocelynWatt,“DesignThinkingforSocialInnovation,”StanfordSocialInnovationReview,Winter2010.
3.See,forexample,CooperriderandWhitney,AppreciativeInquiry;andPascale,Sternin,andSternin,ThePowerofPositiveDeviance.
4.Thereaderisencouragedtoreviewchapter9insituationswhereitisdifficulttodevelopalignmentaroundavisionforthesystem.
5.Guidelinesforscalinguparesummarizedinchapter10andcanalsobefoundatGrantmakersforEffectiveOrganizations,2013PathwaystoGrowImpact:Philanthropy’sRoleintheJourney(GEOResourceLibrary,January29,2013).
6.FinancialestimatebasedonresearchbytheMassachusettsHousingandShelterAlliance.7.DavidPeterStrohandKathleenZurcher,“LeveragingGrantmaking—Part2:AligningProgrammatic
ApproacheswithComplexSystemDynamics,”TheFoundationReview,Winter2010.8.DanielH.Kim,OrganizingforLearning(PegasusCommunications,2001).9.DavidPeterStroh,“WhattoDoWhenYouHaveTooManyGoals,”blogpost,
http://www.bridgewaypartners.com/Blog/tabid/67/entryid/17/What-to-Do-When-You-Have-Too-Many-Goals.aspx.
10.Tolearnmoreaboutcomputersimulationsthataddressclimatechangeandsustainability,lookattheC-ROADSsimulationatwww.climateinteractive.organdtheThreshold21(T21)modelathttp://millenniuminstitute.net.Tolearnmoreaboutcomputersimulationsforhealthcaredelivery,readtheworkofGaryHirsch,beginningwiththefollowingarticle:BobbyMilstein,JackHomer,andGaryHirsch,“AnalyzingNationalHealthReformStrategieswithaDynamicSimulationModel,”AmericanJournalofPublicHealth,May2010.
CHAPTER121.StrohandPaul,“IsMovingTooFastSlowingYouDown?”2.Ibid.3.AmericanProductivityandQualityCenter,WhiteCollarProductivityImprovement(APQC,1986).4.TheWaterofAyole,videodirectedbySandraNichols,availableforviewingat
http://vimeo.com/6281949.Thistwenty-seven-minutevideocanalsoserveasanexcellentintroductiontothedifferencesbetweenconventionalandsystemsthinking.Thefirsthalf(through13:43)exemplifiestheformerandthesecondhalf,thelatter.
5.KristofandWuDunn,APathAppears,pp.167–231.
CHAPTER131.Senge,TheFifthDiscipline,pp.374–75.2.Meadows,ThinkinginSystems,p.167.3.MarilynPaul,“MovingfromBlametoAccountability,”TheSystemsThinker8,no.1(1997).4.DavidPeterStroh,“TheSystemsOrientation:FromCuriositytoCourage,”TheSystemsThinker21,
no.8(2011).5.Tolearnmore,gotohttp://www.corechangecincy.com.6.Youcanlearnmoreabouttheonlineprogramandpreviewitat
http://www.iseesystems.com/store/Training/ApplySysThink.aspx.
ABOUTTHEAUTHOR
PhotobyKimKennedy
DavidPeterStrohisafoundingpartnerofBridgewayPartnersandafoundingdirectorofthewebsiteAppliedSystemsThinking.HealsocofoundedInnovationAssociates,theconsultingfirmwhosepioneeringworkintheareaoforganizationallearningformedthebasisforfellowcofounderPeterSenge’smanagementclassicTheFifthDiscipline.
Internationallyrecognizedforenablingpeopletoapplysystemsthinkingtoachievebreakthroughsaroundchronic,complexproblems,Davidhasworkedwithorganizationsandcommunitiesacrossthenonprofit,private,andpublicsectorstodevelopsocial-changeinitiativesthatimprovesystem-wideperformanceovertime.HisclientshaveincludedtheW.K.KelloggFoundation,theOpenSocietyFoundations,theAllianceforInternationalConflictPreventionandResolution,theNationalCenteronFamilyHomelessness,thenationalCentersforDiseaseControl,theWorldBank,andRoyalDutchShell,amongothers.
Davidalsoco-createdandleadstheLeadingSystemicChangeworkshop,isachartermemberoftheSocietyforOrganizationalLearning,andisafrequentspeakeronsystemsthinking,organizationallearning,andsocialchange.Hiswritinghasappearedinnumerousprofessionalbooksandjournals,includingTransformingWork,Reflections:TheSocietyforOrganizationalLearningJournal,TheSystemsThinker,andODPractitioner.DavidwasaNationalScienceFoundationfellowatMITwherehereceivedamaster’sincityplanning,andhegraduatedsummacumlaudewithundergraduatedegreesincivilengineeringandurbanstudiesfromtheUniversityofMichigan.
Formoreinformation,pleasevisitwww.bridgewaypartners.comandwww.appliedsystemsthinking.com.
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