1. Soft Systems Modelling 1 David Millard dem@soton.ac.uk | @hoosfoos | davidmillard.org

2. Overview Reminder: Soft Systems 7 stage method Methods of Analysis ▫ CATWOE ▫ Critical Systems Heuristics Expressing the Model ▫ Systems Diagram ▫ Stakeholder Personas

3. Soft Systems Method: 7 Stage Method Construct conceptual model Compare models with problem situation Work with users Get information Draw pictures Analyse problem situation Formulate root definitions Debate with actors Actions for change Real world Conceptual world People at the heart of the process But how do we do these things?

4. Methods of Analysis

5. CATWOE

6. Root Definition? Used when gathering evidence for a system Called a root definition because it describes the root or core of the activity to be modelled Explores the problem situation as a basis for change Brings users into the heart of the system Has been observed that the most successful root definitions include the people, processes and environment (described by the mnemonic CATWOE)…

7. CATWOE a system owned by Owner populated by Actors with different World Views driving a Transformation (given the constraints of some Environment) for a particular Customer Customers/clients Actors Transformation World view Owners Environment Customers/clients Actors Transformation World view Owners Environment

8. Example: Consider the air traffic control system for landing planes at an airport CATWOEIn example… CustomersPassengers ActorsPilots, Air Traffic Controllers TransformationPlanes land based on instructions World ViewCommercial considerations of airport operators, local residents may have concerns over noise pollution, safety requirements OwnersAirport operators and Airlines EnvironmentAirport topography and geography, weather, commercial competition

9. Example: Consider the air traffic control system for landing planes at an airport CATWOEIn example… CustomersPassengers ActorsPilots, Air Traffic Controllers TransformationPlanes land based on instructions World ViewCommercial considerations of airport operators, local residents may have concerns over noise pollution, safety requirements OwnersAirport operators and Airlines EnvironmentAirport topography and geography, weather, commercial competition

10. Critical Systems Heuristics

11. Definition: a heuristic is… A heuristic is a replicable method or approach for directing one's attention in learning, discovery, or problem-solving. It is derived from the Greek "heurisko" (ε ὑ ρίσκω), which means "I find". (A form of the same verb is found in Archimedes' famous exclamation "eureka!" – "I have found [it]!") The term was introduced in the 4th century AD by Pappus of Alexandria. – wikipedia

12. Critical Systems Heuristics: another soft systems approach for discovery “The basic idea of CSH is to support a systematic handling of boundary judgments critically. Boundary judgments determine which empirical observations and value considerations count as relevant and which others are left out or are considered less important.” Definition: Werner Ulrich

13. Critical Systems Heuristics: another soft systems approach for discovery “The basic idea of CSH is to support a systematic handling of boundary judgments critically. Boundary judgments determine which empirical observations and value considerations count as relevant and which others are left out or are considered less important.” Definition: Werner Ulrich A framework for asking questions To identify boundary judgments systematically ▫ Boundary judgements are selective ▫ They are intended to leave things out to fit the purpose of the model. So they are partial ▫ Different boundary judgments create a different model ▫ Heuristics help us to explore ‘soft’ (ill-defined, qualitative) issues such as values and assumptions

14. Ulrich, Werner and Reynolds, Martin (2010). Critical systems heuristics. In: Reynolds, Martin and Holwell, Sue eds. Systems Approaches to Managing Change: A Practical Guide. London: Springer, pp. 243–292 Sources of influenceSocial roles (Stakeholders) Specific concerns (Stakes) Key problems (Stakeholding issues) Sources of motivation1. Beneficiary Who ought to be/ is the intended beneficiary of the system (S)? 2. Purpose What ought to be/is the purpose of S? 3. Measure of improvement What ought to be/is S’s measure of success Sources of control4. Decision maker Who ought to be/is in control of the conditions of success of S? 5. Resources What conditions of success ought to be/are under the control of S? 6. Decision environment What conditions of success ought to be/are outside the control of the decision maker? Sources of knowledge7. Expert Who ought to be/is providing relevant knowledge and skills for S? 8. Expertise What ought to be/are relevant new knowledge and skills for S? 9. Guarantor What ought to be/are regarded as assurances of successful implementation? Sources of legitimacy10. Witness Who ought to be/ is representing the interests of those negatively affected by but not involved with S? 11. Emancipation What ought to be/are the opportunities for the interests of those negatively affected to have expression and freedom from the worldview of S? 12. Worldview What space ought to be/ is available for reconciling differing worldviews regarding S among those involved and affected? Basis of motivation – Where does a sense of purposefulness and value come from? Who benefits? Basis of power – Who is in control of what is going on and is needed for success? Basis of knowledge – What experience and expertise support the claim? Basis of legitimacy – Where does legitimacy lie?

15. Ulrich, Werner and Reynolds, Martin (2010). Critical systems heuristics. In: Reynolds, Martin and Holwell, Sue eds. Systems Approaches to Managing Change: A Practical Guide. London: Springer, pp. 243–292 Sources of influenceSocial roles (Stakeholders) Specific concerns (Stakes) Key problems (Stakeholding issues) Sources of motivation1. Beneficiary Who ought to be/ is the intended beneficiary of the system (S)? 2. Purpose What ought to be/is the purpose of S? 3. Measure of improvement What ought to be/is S’s measure of success Sources of control4. Decision maker Who ought to be/is in control of the conditions of success of S? 5. Resources What conditions of success ought to be/are under the control of S? 6. Decision environment What conditions of success ought to be/are outside the control of the decision maker? Sources of knowledge7. Expert Who ought to be/is providing relevant knowledge and skills for S? 8. Expertise What ought to be/are relevant new knowledge and skills for S? 9. Guarantor What ought to be/are regarded as assurances of successful implementation? Sources of legitimacy10. Witness Who ought to be/ is representing the interests of those negatively affected by but not involved with S? 11. Emancipation What ought to be/are the opportunities for the interests of those negatively affected to have expression and freedom from the worldview of S? 12. Worldview What space ought to be/ is available for reconciling differing worldviews regarding S among those involved and affected? Basis of power – Who is in control of what is going on and is needed for success? Basis of knowledge – What experience and expertise support the claim? Basis of legitimacy – Where does legitimacy lie?

16. Ulrich, Werner and Reynolds, Martin (2010). Critical systems heuristics. In: Reynolds, Martin and Holwell, Sue eds. Systems Approaches to Managing Change: A Practical Guide. London: Springer, pp. 243–292 Sources of influenceSocial roles (Stakeholders) Specific concerns (Stakes) Key problems (Stakeholding issues) Sources of motivation1. Beneficiary Who ought to be/ is the intended beneficiary of the system (S)? 2. Purpose What ought to be/is the purpose of S? 3. Measure of improvement What ought to be/is S’s measure of success Sources of control4. Decision maker Who ought to be/is in control of the conditions of success of S? 5. Resources What conditions of success ought to be/are under the control of S? 6. Decision environment What conditions of success ought to be/are outside the control of the decision maker? Sources of knowledge7. Expert Who ought to be/is providing relevant knowledge and skills for S? 8. Expertise What ought to be/are relevant new knowledge and skills for S? 9. Guarantor What ought to be/are regarded as assurances of successful implementation? Sources of legitimacy10. Witness Who ought to be/ is representing the interests of those negatively affected by but not involved with S? 11. Emancipation What ought to be/are the opportunities for the interests of those negatively affected to have expression and freedom from the worldview of S? 12. Worldview What space ought to be/ is available for reconciling differing worldviews regarding S among those involved and affected? Basis of knowledge – What experience and expertise support the claim? Basis of legitimacy – Where does legitimacy lie?

17. Ulrich, Werner and Reynolds, Martin (2010). Critical systems heuristics. In: Reynolds, Martin and Holwell, Sue eds. Systems Approaches to Managing Change: A Practical Guide. London: Springer, pp. 243–292 Sources of influenceSocial roles (Stakeholders) Specific concerns (Stakes) Key problems (Stakeholding issues) Sources of motivation1. Beneficiary Who ought to be/ is the intended beneficiary of the system (S)? 2. Purpose What ought to be/is the purpose of S? 3. Measure of improvement What ought to be/is S’s measure of success Sources of control4. Decision maker Who ought to be/is in control of the conditions of success of S? 5. Resources What conditions of success ought to be/are under the control of S? 6. Decision environment What conditions of success ought to be/are outside the control of the decision maker? Sources of knowledge7. Expert Who ought to be/is providing relevant knowledge and skills for S? 8. Expertise What ought to be/are relevant new knowledge and skills for S? 9. Guarantor What ought to be/are regarded as assurances of successful implementation? Sources of legitimacy10. Witness Who ought to be/ is representing the interests of those negatively affected by but not involved with S? 11. Emancipation What ought to be/are the opportunities for the interests of those negatively affected to have expression and freedom from the worldview of S? 12. Worldview What space ought to be/ is available for reconciling differing worldviews regarding S among those involved and affected? Basis of legitimacy – Where does legitimacy lie?

18. Ulrich, Werner and Reynolds, Martin (2010). Critical systems heuristics. In: Reynolds, Martin and Holwell, Sue eds. Systems Approaches to Managing Change: A Practical Guide. London: Springer, pp. 243–292 Sources of influenceSocial roles (Stakeholders) Specific concerns (Stakes) Key problems (Stakeholding issues) Sources of motivation1. Beneficiary Who ought to be/ is the intended beneficiary of the system (S)? 2. Purpose What ought to be/is the purpose of S? 3. Measure of improvement What ought to be/is S’s measure of success Sources of control4. Decision maker Who ought to be/is in control of the conditions of success of S? 5. Resources What conditions of success ought to be/are under the control of S? 6. Decision environment What conditions of success ought to be/are outside the control of the decision maker? Sources of knowledge7. Expert Who ought to be/is providing relevant knowledge and skills for S? 8. Expertise What ought to be/are relevant new knowledge and skills for S? 9. Guarantor What ought to be/are regarded as assurances of successful implementation? Sources of legitimacy10. Witness Who ought to be/ is representing the interests of those negatively affected by but not involved with S? 11. Emancipation What ought to be/are the opportunities for the interests of those negatively affected to have expression and freedom from the worldview of S? 12. Worldview What space ought to be/ is available for reconciling differing worldviews regarding S among those involved and affected?

19. Ulrich, Werner and Reynolds, Martin (2010). Critical systems heuristics. In: Reynolds, Martin and Holwell, Sue eds. Systems Approaches to Managing Change: A Practical Guide. London: Springer, pp. 243–292 Sources of influenceSocial roles (Stakeholders) Specific concerns (Stakes) Key problems (Stakeholding issues) Sources of motivation1. Beneficiary Who ought to be/ is the intended beneficiary of the system (S)? 2. Purpose What ought to be/is the purpose of S? 3. Measure of improvement What ought to be/is S’s measure of success Sources of control4. Decision maker Who ought to be/is in control of the conditions of success of S? 5. Resources What conditions of success ought to be/are under the control of S? 6. Decision environment What conditions of success ought to be/are outside the control of the decision maker? Sources of knowledge7. Expert Who ought to be/is providing relevant knowledge and skills for S? 8. Expertise What ought to be/are relevant new knowledge and skills for S? 9. Guarantor What ought to be/are regarded as assurances of successful implementation? Sources of legitimacy10. Witness Who ought to be/ is representing the interests of those negatively affected by but not involved with S? 11. Emancipation What ought to be/are the opportunities for the interests of those negatively affected to have expression and freedom from the worldview of S? 12. Worldview What space ought to be/ is available for reconciling differing worldviews regarding S among those involved and affected? How might our airport example map to these questions? How might our airport example map to these questions?

20. Expressing the Model

21. Soft Systems Diagram

22. Is a diagram of the reference system which can provide a narrative for the evidence that is collected Shows where evidence and information is missing or unsupported Encourages critical questioning of: Legitimacy, Ownership, Assumptions, Motivations Captures your understanding of the problem Communicates your understanding of the problem If we can’t explain and qualify the reference system, we probably don’t know enough to solve the problem

23. Systems Diagram System Name System owner Inputs Outputs Beneficiaries & victims C C B B D D A A processes Actors Standards Manager/Supervisor measurementsCorrective action resource authority Emergent properties alliances conflicts Beliefs Values Attitudes Motivation

24. Systems diagram components Soft: Interpersonal, political organisational, Hard: Technical AlliancesBeliefsManagers/sup ervisors System boundary standards conflictsperceptionsBeneficiaries/ victims InputsControl sub system Authorityvaluesactorsoutputsmeasurements resourcesMotivationsSystem owners processesCorrective actions attitudesEmergent properties

25. How do we build the Soft Systems Diagram? Boundary Judgments – what is in and what is to be left out Critical Questioning of ▫ Basis of motivation – Where does a sense of purposefulness and value come from? Who benefits? ▫ Basis of power – Who is in control of what is going on and is needed for success? ▫ Basis of knowledge – What experience and expertise support the claim? ▫ Basis of legitimacy – Where does legitimacy lie? CATWOE – what is the system? ▫ Customers, Actors, Transformations, World Views, Owners and Environement What relationships and values cause behaviour in the system Identify where evidence and information is missing or unsupported

26. Users (Stakeholders) Stakeholders - a stakeholder is anyone that is involved in or affected by the activity in a domain or system. ▫ Actor ▫ Beneficiary ▫ Victim ▫ Customer ▫ Owner We need to gather evidence about the characteristics and concerns associated with each stakeholder We need to gather evidence about difficulties arising from those concerns (can’t be met or competing)

27. Stakeholder Personas

28. Using Personas is a technique that allows us to examine values and motivations that cause behaviour Personas are representatives describing stakeholders in some detail ▫ describing their background, ▫ job function, ▫ situation in the organisation, ▫ Beliefs, anxieties and so on, ▫ often including a representative image. Personas can describe variants of a particular role, ▫ for instance, the ideal student, the laid back student, the anxious student. Stakeholder Personas

29. Louise is a new graduate working for the airport, she is enthusiastic about how new technology might improve the running of the airport, but concerned that her views might not be taken seriously by more senior colleagues. New Graduate working in the Airport’s business development unit Example Persona

30. Why Use Personas? Using personas adds a motivational aspect to the stakeholders, and can be a useful method of reflecting on what they actually want from the system. Personas are not real people! The characteristics of the personas should be backed up by evidence from the range of people in each stakeholder group For each Persona we can develop scenarios of their typical interactions with the model and/or other personas using the model. ▫ The scenarios are independent of any technology and may represent best practice, current practice, or intended practice.

31. Louise is a new graduate working for the airport, she is enthusiastic about how new technology might improve the running of the airport, but concerned that her views might not be taken seriously by more senior colleagues. New Graduate working in the Airport’s business development unit Example Persona As part of an effort to improve the image of the airport Louise has been tasked with looking at how the aircraft landing process might be changed to reduce noise pollution.

32. Louise is a new graduate working for the airport, she is enthusiastic about how new technology might improve the running of the airport, but concerned that her views might not be taken seriously by more senior colleagues. New Graduate working in the Airport’s business development unit Example Persona As part of an effort to improve the image of the airport Louise has been tasked with looking at how the aircraft landing process might be changed to reduce noise pollution. What Alliances and/or Conflicts does this suggest? What Alliances and/or Conflicts does this suggest?

33. Summary Soft Systems Method ▫7 stage process ▫emphasises users (stakeholders) Variety of methods to analyse and critique a system ▫Building a root definition using CATWOE ▫Exploring boundary conditions with CSH Variety of ways to express the resulting model ▫Soft Systems Diagram ▫Stakeholder Personas Week 3: Explore engagement techniques to gather this info Week 4: Exercise in creating a SSM using a Systems Diagram and Personas