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SOFT OR APPROACHES

Ren Victor Valqui Vidal1

Abstract: This paper is an inquiry into the nature and characteristics of the so-called soft
approaches in Operational Research (OR). After a first outline of soft approaches, six well-
known and widely applied soft approaches are selected for further study and
characterisation applying a multi-dimensional framework. In addition, some reflexions
about the limitations of such a framework are discussed.
Keywords: Soft OR, SWOT, Future Workshops, SODA, SCA, Scenarios, SSM.

a general framework for characterisation of


1. INTRODUCTION soft approaches. Section 6 includes an
During the past two decades, we have overall characterisation made of the
seen an increasing development and use of selected approaches. Section 7 presents
the so-called soft approaches within OR some reflexions about the limitations of
and other related disciplines. Moreover, the presented framework while the last
recent OR textbooks as Daellenback section, presents the conclusions.
(1994) and Pidd (1996) include in their
contents both hard and soft approaches. 2. WHAT ARE SOFT APPROACHES?
Although, it is clear what is meant by the A point of departure for our inquiry
concept hard approaches the situation is could be to give an answer to the following
not the same with the concept soft question: What are the differences between
approaches. There are many soft hard and soft approaches?
approaches being somehow similar, The differences between hard and soft
somehow different. Therefore, we believe approaches can be summarised as shown
that there is a need for a more systematic in Table 1.
characterisation of soft approaches. The main limitation of previous
The main purpose of this paper is to analyses (Checkland, 1981; Rosenhead,
carry out an inquiry process with the 1989) is the focus only on the
purpose of characterising the so-called soft methodological and modelling aspects of
approaches. We believe that such an the problem solving process, disregarding
inquiry will be useful to get a multi- the other dimensions outlined in Table 1.
dimensional insight on the properties of Now a day, there are soft approaches that
some selected soft approaches. not are based on applied modelling or/and
In section 2, we discuss the question: systems thinking but on negotiation,
What are soft approaches? A first dialogue, creativity and/or learning as tools
characterisation is outlined. In section 3, for group problem solving.
we select six soft approaches for further Previous characterisations of soft
study. The selected soft approaches are approaches are uni-dimensional focusing
described in section 4 in terms of function either on system thinking or/and
and methodology. In section 5, we present qualitative modelling. Therefore, we are

1
Informatics and Mathematical Modelling, Technical University of Denmark, DK-2800 Lyngby,
vvv@imm.dtu.dk

ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 4


searching for a multi-dimensional
characterisation of soft approaches.
Table 1 Hard vs. Soft approaches
Hard Soft
Problem situation Well-defined Mess (problematic)
Purpose Problem solving Problem structuring
Organisation Given To be negotiated
Methodology Logical/mathematical model, Conceptual models, the
the OR worker is an expert OR worker is a facilitator

Result Product/recommendation Learning process, action


plan

user-friendly software such as System


3. SELECTING SOFT APPROACHES Dynamics, Analytical Hierarchy Process,
Continuing with our inquiry and for the Linear Programming, etc., that make their
sake of concreteness we want to select use very easy because the final purpose is
some approaches for further study. This is the construction of a mathematical model.
not an easy task because there are many In other words, we have discarded
approaches. To keep this paper within a approaches that provide soft use of hard
reasonable length we decided to select six methods.
approaches that somehow were Another important aspect in the
representative in textbooks and related characterisation of the above mentioned
papers, and with their applicability well approaches is the role that the OR-worker
documented by solving real-life messes. is going to play in the problem solving
We consulted the following books that process. This role might change very
present several soft approaches: widely from expert (in for example a
Rosenhead (1989), Flood and Jackson specific technology), to specialist in a
(1991), Keys (1991), and more applied particular method (such as SODA), to
texts as: Dyson and OBrien (1998), facilitator of a social process (as for
Srensen and Vidal (1999), and Richie et example in the Future Workshop) and to
al. (1994). analyst (as for example in relation to
The different approaches, at first sight conflicts in group work). As we will see
could be classified as focusing either on later, some approaches demand one or
supporting the groups work in the several roles of the OR-worker.
problem solving processing or in
supporting the modelling process. From 4. SIX SOFT APPROACHES
the first group we selected: the SWOT The soft approaches selected in the last
analysis and the Future Workshop. From section have been applied to many
the second group, we selected: Strategic different problematic situations to support
Options Development and Analysis problem solving. Classical applications can
(SODA), Strategic Choice Approach be found within the areas of: strategic
(SCA), and Soft Systems Methodology development, planning, design, project
(SSM). In addition, we have also included selection/evaluation, etc.
the Scenario approach because depending In this section we will give a short
in how it is designed; it could be situated presentation of each approach in its more
in the first or the second group. Obviously, general form as originally presented by the
we could have included other approaches originators of each of these approaches.
but the approaches selected are those that Obviously, in real-life problem solving
we have more practical experiences with each approach will be modified or tailored
through our research, teaching and to the specific situation and to how the
consulting work. Moreover, we have problem solving process will be carried
disregarded very popular approaches that out. These were easy to implement for five
provide very advanced interactive and of the six approaches, the Scenario
ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 5
approach being problematic. This is due to
the fact that the Scenario approach 1. Identify the organisations internal
represents a whole spectrum of approaches strengths and weaknesses and its
from quantitative modelling to soft external options and threats. The
sociological approaches. The presentation different points are usually found by
on the scenario approach is, therefore, our using the experience and knowledge
own based on several real-life soft of the individuals in the organisation
applications. through a discussion and
brainstorming process (workshops).
4.1 THE SWOT ANALYSIS (WEIRICH, 2. If a large number of points have been
1982) identified, it may be necessary and
The SWOT analysis is one of worthwhile to make a qualitative
the simplest approaches that can be carried evaluation of each point to prioritise
out and be used in supporting strategy the different points. For each of the
development and planning. It has the points identified under the strengths
overall purpose to structure both and options, evaluations are carried
qualitatively and quantitatively the out in terms of stability and
situation a specific organisation is in, and consequence. Stability and
to investigate which elements in the consequence can be either significant
organisation and its surroundings may or small. This means that for example
influence its future existence. It was strengths with significant consequence
originally developed and used in business and stability have a higher priority
organisations and is based on a business than other points. Correspondingly,
view of planning. the weaknesses and threats are
evaluated in terms of consequence and
Going through a SWOT analysis change (again on a significant small
The analysis concentrates on the grounds scale).
for the existence of the organisation, on its 3. The different points are then placed
current situation, development of into the so-called SWOT matrix. If the
strategies, and selection of one or more points have been prioritised, they
strategies to implement. should be placed in the boxes after
The SWOT analysis can formally be importance. The matrix is shown in
described through the following steps: Figure 1.

Internal strengths Internal weaknesses




External options
Maxi-maxi strategies Mini-maxi strategies

External threats
Maxi-mini strategies Mini-mini strategies

Figure 1 The SWOT matrix


weaknesses and maximise options
4 Now strategy areas can be identified (mini-maxi), strategies that maximise
based on matching of the SWOT strengths and minimise threats (maxi-
points. In principle there are four types mini), and strategies that minimise
of strategies to formulate (see again both threats and weaknesses (mini-
figure 1): the strategies that maximise mini). In spite of the different types of
options and strengths (maxi-maxi), the strategies, they are not always
strategies that minimise the independent. Organisations often find
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themselves having a mixture of The phases of the future workshop
strengths, weaknesses, options and By establishing a future workshop it is the
threats and therefore it is important to intention to focus on a specific problematic
analyse and prioritise all the above- situation, generate visions about the future
mentioned types of strategies. The and discuss how these visions can be
strategies themselves are formulated realised. Participants of the workshop
using experience, common sense, share the same problem, and have a wish
intuition, and fantasy of the to change the situation. As the name
participants and/or the OR-worker. implies, a workshop is carried out. The
5 Finally, the strategy or strategies that future workshop is made up by the
seems most relevant are analysed following five phases:
further and an implementation plan is
developed. 1. The preparation phase has the
overall purpose of creating the
SWOT is a very simple matrix model necessary frames for the workshop
for structuring ideas and concepts to be so it will not be disturbed by
able to identify strategy areas. SWOT does practicalities when started. Examples
not specify how the problem solving on practicalities are deciding on the
process is to be carried out. theme, finding locations for carrying
When applying the SWOT analysis it is out the workshop, finding
up to the OR-worker (and clients of the participants, getting pens, paper, 3-M
organisation) to define the extent to which Notes blocks, etc., buying food and
the approach shall be used as a model or a drinks for the participants.
part of a problem solving process. 2. The critical phase where the problem
Therefore, the OR-workers role can be is described through criticism of
anything from an expert to a facilitator. each of the members of the
SWOT has been used by single workshop. Presenting individual
individuals, to support a group process, or critical views on the problem
in workshops in both public and business situation shall both broaden the
organisations. theme with details, and create a
common knowledge base for all
4.2 THE FUTURE WORKSHOP (JUNK participants on the problem situation.
AND MLLERT, 1987) Each member of the workshop
The future workshop was developed presents his/her critical items,
among citizen groups and grassroots. The complaints, anger or worries related
fundamentals behind the workshop were to to the problem. It is not allowed for
provide these people with common others to respond to, criticise or
background for formulating suggestions comment on these points. After this
(strategies) for changing a problematic first presentation, some points are
situation into a situation they agreed on selected for further work. Such
would be improved. The suggestions were selection may be based on
to be presented for others to decide on. The prioritising the items for example by
workshop builds on democratic principles, allocating points to each item (or
engagement, participation, and an interest simple voting). Hereby, the group
for common problems. formulates one or more themes for
The future workshop has been applied the remaining workshop.
in a large number of cases within 3. The fantasy phase where positive
municipalities, youth centres, unions, etc. solutions are formulated based on
Also it is seen used in business visions, wishes and hopes. In this
organisations and firms. Through these phase the critical items and themes
applications and evaluations, the workshop are changed into positive statements,
has been modified and changed according visions and even utopias for the
to the situation in which it was used. future. As the name implies,
ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 7
creativity and fantasy is used to of thinking have given a more flexible
formulate visions. Suggestions on structure to the act of creating scenarios. In
solutions are given on a spontaneous some situations, the meaning of the
basis and brainstorming. Prioritising concepts is more a flexible frame for the
the visions for future work also users to decide which tools, methods, and
finishes this phase. models to support and carry out different
4. The realistic phase where the critical parts. Therefore, we refer to the scenario
problem areas and the positive approach to represent the flexibility more
solutions are compared with the than the precise stepwise directions.
options and limitations of reality to The concepts of scenario and scenario
form realistic strategies. More approach have come to mean different
realistic suggestions must now be things to different people. Here we operate
formed. The visions must be with the broad definition of a scenario
changed into real project proposals meaning a description or presentation of a
through looking at the limitations of future as well as the corresponding actions
reality and making adaptations (the ways) that lead to this future.
accordingly. This takes place For years, scenarios have been used in
through discussions, more planning activities in public and private
prioritisation, getting information organisations. Scenarios are here used as a
from literature, media, etc., to get part of the first steps in the process leading
ideas of how they can be realised. to strategy and plans. Usage of scenarios,
Also economic aspects must be therefore, has several purposes:
looked into as well as the expected
critique or support that may follow To find and identify priority problems
the presentation of the suggestions. (key variables) for the organisation by
Suggestions are presented for looking at relations between variables
decision-makers. in the areas of focus
5. The follow-up phase where the To determine the central actors and
process itself is evaluated as well as their strategies as well as resources and
the new situation. Also the results of means to make a successful project
the workshop are to be presented to a To describe (in scenarios) the
larger crowd. development of a certain system in
focus by taking into account the most
The Future Workshop primarily focuses likely developmental trends of the key
on the problem solving process. variables and to look on the different
Carrying out the workshop requires a actors influence.
facilitator. He/she shall lead the workshop
through the phases of the workshop and The Frames of the Approach
make sure that timeframes are held, all The scenario approach involves problem
phases are carried out, and all individuals structuring, a methodological aspect in the
are heard. At the same time he may assist process, and engagement between the
as secretary for the workshop and have a different actors. There exists a long
limited leading role. number of ways of structuring the problem
as well as methodological approaches and
4.3 THE SCENARIO APPROACH techniquesit is up to the OR-
(VIDAL, 1996) worker/participants of the scenario
Originally, scenario analysis, scenario methodology to select which ones to use
method, scenario writing are concepts used and through this choose the level of
about certain techniques and steps leading interplay between the actors. Here we shall
to construction of quantitative scenarios comment on two aspects of the scenario
pictures of the future. Traditional OR methodology: the problem structuring, and
methods have been used as techniques and the methodological aspects.
tool. However, applications and new ways

ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 8


The problem structuring of methods and methodologies, intuition,
In the problem structuring the following discussions and workshops (Godet, 1987).
areas are considered: In either case the scenario methodology
can technically be based on a combination
Approaches for describing the system of steps. The steps are directed to
in focus using either the inductive or investigating the system (organisation or
deductive principle. Using the problem area), the surroundings of the
inductive principle implies looking at system, historical trends, present situation,
the system and its partsits identifying key variables, constructing
fundamental factorsand their scenarios and alternative strategies. Each
functions and relations are analysed. step can be carried out or supported
From this picture, alternative scenarios technically and methodologically by
are constructed. The deductive various approaches.
principle also analyses the whole It shall be mentioned that scenarios are
system but decomposition is not constructed based on different themes, as
performed. Using this principle various types and with different meanings,
requires a large number of factors to with varying time horizon, and in different
describe alternative futures. The numbers.
deductive principle is often carried out It is the methodological aspects used
using qualitative data; intuition and that define the role of the OR-worker in
soft approaches while the inductive the scenario methodology. He may
principle more commonly uses therefore be both expert and facilitator in
quantitative data, analytical thinking the process.
and traditional OR methods.
Approaches that can take care of the 4.4 Strategic Option Development
dynamics of the system in focus by and Analysis (Eden, 1988)
applying the anticipatory or Strategic Option Development and
explanatory principle. Focusing on the Analysis (SODA) has its roots in the fields
structuring of the dynamics in the of soft OR and cognitive psychology.
system, the anticipatory approach can SODA is a way of working with a group of
be used. Here one starts with a certain people and a technique for constructing
future picture of the system as it has cognitive maps of how people perceive
more or less been decided would be and think about a problematic situation. It
the most desirable picture (could be is used when groups of people both
specified from for example political individually and commonly may have
goals and directions). The problem is difficulties in defining and structuring their
then to finding the possible ways perception of a problematic situation.
leading from the specific future SODA is made up by a number of
picture to the known present situation. concepts and theoretical perceptions about
In the explanatory approach, the how we think and act. The concepts and
present situation is investigated under theories are based on the following views:
different sets of trends and
assumptions giving a range of That each individual perceives the
different future pictures of the system world subjectively.
in focus. That processes and negotiations
make up the organisation more than
The methodological aspects structures. Little weight is put into
Two schools of thought are behind the official power relations.
scenario methodology: the American That the planners function is
school building on quantitatively oriented defined as being supportive in the
methods (Kahn and Wiener, 1967), and the above mentioned negotiation
French school based on more informal processes so decisions can be
ways of handling the situation in a mixture reached through consensus in
ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 9
contrast through demonstrations of the sequence of strategies being the
power. visible results of SODA.
That the primary tool or technique
used is cognitive maps. The The OR-worker has a facilitative role in
cognitive map is a way of trying to supporting the process. However, he also
grasp different ways of thinking and has an analysing role and hereby easily
to involve all partners to redefine the becomes in a position where he may lead
problem perceptions and form the process.
ground for commitment and It shall be mentioned that SODA is a
consensus decisions. dynamic, cyclic process that may jump
between the outlined steps.
The SODA Dynamics
SODA is technically based on the creation 4.5 STRATEGIC CHOICE APPROACH
and analysis of cognitive maps. A (FRIEND AND HICKLING, 1997)
cognitive map is a way of visually The Strategic Choice Approach, SCA,
presenting an individuals perceptions has a background in OR. It has been used
about a problematic situation and the especially in public organisations for
linkages between the different actions and strategy development and planning. SCA
consequences. As such a sort of network is can be characterised as a planning
formed. Cognitive maps are based on approach that centres on dealing with the
Kellys theory on personal construct. uncertainty of problematic situations and
Cognitive maps are constructed through an decisions. SCA is carried out to support a
interview where the planner creates the group of decision-makers in deciding on
map along the way. which strategies to follow.
Shortly, the process of SODA can be Through its focus on decision areas,
outlined as follows: uncertainty and criteria, SCA has common
features with the field of Multicriteria
Individual problem construction where Decision Analysis (MCDA). However,
each individual of the group is SCA uses a structuring of the problem
interviewed about the problem situation and discusses solutions through
situation and cognitive maps are workshops while the MCDA field builds
created. on quantitative representations and
Individual problem acknowledgement calculations for solutions.
where maps are analysed and each
map is presented for the individuals The Modes of SCA
again for discussion and acceptance. In SCA the planning process is divided
Some times another interview can be into four modes: shaping, designing,
carried out. comparing and choosing. The modes can
Group redefining the situation, which be operated in a cyclic process where the
involves that, a merged map is users of SCA can jump between the
created, based on the individual maps. different modes. In the following the
The merged map includes perceptions modes of SCA are referred to in a linear
of all individuals and in this way it way. Each mode consists of a number of
represents all the members of the steps that are carried out using special
group. Through the merged map, they techniques. The modes are:
can commonly redefine the problem
situation. Shaping. In the shaping mode, the
Group consensus on a number of decision areas and problem focus is
strategies where a negotiation process decided upon. This means that the
has been carried out based on the group of participants outlines the
redefined problem situation, and decision areas of their planning
solutions are found. It is assumed that problem, looks at their linkages and
consensus and engagement lies behind decides which ones are more urgent to
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focus on. to improve the situation. SSM is used in a
Designing. The most urgent decision group of individuals.
areas are now analysed in terms of
different decision options and their The Process of SSM
interconnectedness. A special technique SSM works its way through mixing the
is used to limit the decision options by real worlds perceptions with a Systems
looking at their incompatibility. Thinking way of working with the
Decision schemes are constructed to perceptions. It is, in short, based on the
outline the different feasible following steps:
combinations of decision options to
work with for the remains of the Structuring and expressing the problem
workshop. situation. In this first step the
Comparing. Different criteria or unstructured problem situation is
comparison areas are now discussed to described for each participant in terms
find out about the requirements for the of his worldview (the German concept
strategies to construct. Assessments of of Weltanschauungen is used). Rich
the various combinations of decision pictures (cartoon like pictures) are
options and comparisons are made. constructed to visualise the way one
Choosing. For the combinations of person perceives the problematic
decision options that look most situation.
promising, considerations to Construction of conceptual models.
uncertainties of different types are From the rich pictures, a conceptual
made. Additionally, it is decided how model is constructed. The model
these uncertainties can be dealt with for intends to stimulate to debate and
example by taking stepwise decisions. visually present what needs to be
Action schemes and commitment decided on. The verbal models are
packages are constructed to outline the constructed by looking at operational
different decisions that are made now activities needed to change the
and in the future. problematic situation, activities to
monitor and control that the change
It is the intention that the OR-worker takes place and the criteria for
shall work as a facilitator of the process. monitoring.
However, he may have to be an expert in Comparing and changing worldviews.
using the concepts and techniques of SCA Now the models are compared and used
to be able to support the process. to discuss differences in perception and
ways of solving the problems. Hereby,
4.6 SOFT SYSTEMS METHODOLOGY accommodations to subjective
(CHECKLAND, 1981) worldviews take place. Another cycle in
Through the 1970s the Soft Systems the process can then be taken or
Methodology, SSM, was developed. Since decisions on which strategies to develop
then, SSM has been modified and changed to confront the problems may be
several times and it is in that way a decided on.
methodology that tries to fit into the
applications where it is used. The OR-worker is here again both the
SSM is used to analyse and improve facilitator in terms of supporting the
problematic situations characterised as process but must also be the expert in the
messy. It acknowledges that individuals concepts and way of thinking that lies in
have subjective views on the problematic the approach.
situation (their world views) and through a
learning system, they are learning about 5. CHARACTERISATIONS
the problem, acknowledging others views, Even though the six approaches are
comparing, and finding ways (strategies) based on the same fundamental purpose of
supporting problem solving, they are quite
ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 11
different in terms of focus point, the role of The approach is characterised in terms
the OR-worker, involvement of the of the four measures: process, products,
individuals in the organisation, organisation and technology. The diamond
organisational view, technologies used, symbolises that the dimensions are
etc. In order to evaluate and compare the interrelated and cannot be evaluated alone.
approaches in terms of their support in Each of the dimensions shall be presented
specific problematic situations and to get a in the following.
quick introduction to their features, and
differences, a characterisation framework The Process
can be used. This dimension considers whether the
approach includes explicit or implicit
5.1 THE CHARACTERISATION guidelines for how the OR-worker and/or
FRAMEWORK the group of participants shall address the
The characterisation framework is groups way towards obtaining visible or
presented using a diamond as symbol for a invisible products. The process focuses
specific approach to be evaluated. The on how time is used most efficiently while
diamond symbolises four central it at the same time is seen to that the group
dimensions of the features of the specific of individuals goes through the necessary
approach. Figure 2 illustrates the considerations in terms of reaching the
framework. wanted results of applying the approach.

P ro c e s s
C h a n g e o f o r ie n ta tio n :
R o u tin e p ro c e d u re s
?

O p e ra tio n a l g u id e lin e s :
?

P ro d u c t
T e c h n o lo g y C h a n g e o f o rie n ta tio n :
P ro b le m s o lv in g
C h a n g e o f o rie n ta tio n : ?
E x p e rt te c h n iq u e
?
O p e ra tio n a l g u id e lin e s :
?
O p e ra tio n a l g u id e lin e s :
?

O r g a n is a tio n
C h a n g e o f o rie n ta tio n :
In d iv id u a l w o rk
?

O p e ra tio n a l g u id e lin e s :
?

Figure 2 Overview of the dimensions of an approach (based on Friend


and Hickling, 1997). The figure shows how an approach is oriented in
terms of guidelines in relation to process, product, organisation and
technology. For each dimension it is evaluated how the approach in
focus is different from the traditional OR methods
products, which are rather concrete and
The Products clear for the involved individuals. They
Products of can be obtained at different can be either visible or invisible. Visible
levels, in terms of substance and in terms products of substance are associated with
of processes. Products of substance are actions, policies and strategies developed
ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 12
as part of the process. Those are the being willing to change the situation,
products traditional OR methods focus on. exploring it and using various procedures.
Invisible products of substance are Invisible products of the process are the
associated with changes in perception; the common appreciation to being willing to
individuals themselves have followed working with the limitations of the social,
during and after the application. An political, cultural and resourceful systems
example of invisible products of substance of the organisation. It is here looked upon
is an extension of individual views on the if the approach in focus supports a process
problem situation. that leads to obtaining this kind of results
Products of the process are linked to the and relating to the problem situation.
approach and the way it guides the An illustrative overview of the different
process. Visible products of the process are products can be found in Figure 3.
more or less documented commitment to
D o c u m e n te d D o c u m e n te d
V is ib le
c o m m it m e n t t o : c o m m itm e n t t o :
A c ti o n s C o m m o n w ill to
P o lit ic s c h a n g e t h e s it u a ti o n
S tr a te g i e s
P r o d u c ts fr o m
S u b s ta n c e P ro c e s s
a p p ro a c h

C o n s c i o u s a p p r e c ia t i o n o f: C o n s c i o u s a p p r e c ia ti o n o f:
E x te n d e d p e r c e p tio n s W a y s o f w o r k i n g a s w e ll
In v is ib l e a s th e e x is ti n g s o c i a l,
p o l iti c a l , c u l tu r a l a n d
r e s o u r c e f u l lim i ta ti o n s

Figure 3 Classification of products

The Organisation 6. CHARACTERISATION OF THE


The third dimension describes how the SIX APPROACHES
work is organised. This includes looking at The framework has been used to evaluate
the individuals and their way of being and compare the six approaches presented
involved in the process (interactive in the paper. Tables 2 and 3 include a short
modus). Hereby reflections can be made to description of each of the approaches using
the organisational view lying behind and the concepts from the framework,
inherently in the approaches. This has an information on background, and the role of
important meaning in terms of the products the OR-worker involved.
the process will leave. Comparing the approaches, it is clear that
the SWOT analysis and the scenario
The Technology methodology are close to traditional OR.
The last dimension, the technology, refers Both approaches are in terms of
to the tools or techniques used in the background and the linear way of working
process, i.e., the special structuring, not necessarily supported by a dynamic
modelling, and perhaps programming tools group process. The characterisation of
such as pencils and software programmes. being soft approaches is dependent on the
An evaluation of these tools and way they are applied both by the OR-
techniques is important because of their worker and the involved participants.
influence on the process and the Viewing objectively on the descriptions of
individuals possibility to understand the their way of working, they have no focus
process and its results. The more on supporting an interactive learning
complicated the technologies the more process, they focus on visible results of
likely it is that the participants will have substance, can be applied individually or in
difficulties in understanding and accepting groups, uses various technologies, and
the products produced. require an OR-worker who must be an
expert of the approach but also can be an
analyst. It is the way they are applied, and
ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 13
the OR-worker and participants (and the view to the more soft approach
clients/decision-makers of the characterisations.
organisation) who decide whether there are
changes from the traditional OR methods

Table 2 Overview of the evaluation of the three approaches the SWOT-analysis, future
workshop and the scenario methodology
Characteristics SWOT analysis Future workshop Scenario
of methodology
Background Business Social psychology/ OR and systems
sociology analysis
Focus Identification of critical Based on individual Formulation of strategy
success factors. Match dissatisfaction, a for the organisation
between the org. And common strategy is
its surroundings searched
Process No special conside- Three work phases No special conside-
rations and guidelines with individual and rations and guidelines
to the process, usually interactive par- in the process, usually
guided in a linear ticipation of all guided in a linear
process by the analyst involved process by the analyst
Products Focus on visible Products in all cate- Focus on visible
products of substance gories. Focus on in- products of substance
and establishment of visible results and establishment of
action oriented stra- action orientated
tegies strategies
Organisation Carried on individually Workshop with inter- Individual or with
or through workshops active participation workshops as part of
the process
Technology SWOT-matrix Tools and Techniques for
techniques that construction of
support workshops scenarios
OR-worker Expert/analyst/ Facilitator Expert/analyst/
function facilitator facilitator
relations implicating the situation. The
The future workshop is on technology used is tools and techniques
the other hand far from the traditional OR that support workshops (as for example
in especially one concept: the objectivity. brainstorming) and there is not specific
Throughout the whole workshop, focus is modelling or problem solving techniques.
on giving room to subjectivity. We define The future workshop requires a facilitator.
objectivity here as intersubjectivity and SODA supports also a group process
consensus. One can say that it is the however more indirectly by focusing on
subjectivity that drives the process. Even the individuals and gathering their
though the workshop in some forms tries opinions on the problematic situation
to give a total description of strategy before a real workshop is carried out.
development, it is not developed or built to Through its way of working and its view
deal with these issues. Decision-makers on individuals in the organisation, SODA
must carry on work on the visible supports a learning process and gives
productsthe strategies. The future products in all four categories. Again all
workshop supports a learning process for participants are seen as equal members of
the individuals participating. This support the workshop, and there are only given
is built into the approachs way of consideration to the organisation by
working. Products, therefore, can be found selecting the individuals for the interviews
in all four categories. However, in the idea and for the workshop. The technology (the
behind the workshop lies a special focus cognitive maps) in SODA is focused more
on the invisible products. The organisation on the individuals than on dealing with the
as such is not given any special group. The OR-worker is especially
consideration. It is assumed that all important in SODA. He is the one that
individuals participate without any power analyses the maps, merges maps and
ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 14
discusses the issues. This can be carried directly) he may set the outline for the
out using a whiteboard, paper or by use of workshop. The OR-worker must be a
the existing software Decision Explorer facilitator but also an analyst and perhaps
(Banxia Software Limited, 1996). expert in using the cognitive maps.
Indirectly (or perhaps in some cases
Table 3 Overview of the evaluation of the approaches SODA, SCA and SSM
Characteristics SODA SCA SSM
of
Background Psychology/social OR/decision theory Systems Engineering
psychology
Focus Support in percep- Analytical support of Structuring of a messy
tion and structuring depending decision problem situation
of a messy problem areas
situation
Process Learning process Learning process Learning process
where dialectic think- where there is a where individual world
ing comes from dialectic interchange views are described
analysing individual between different ways and systematised
perceptions and of working
these are gathered in
an aggregated model
Products Products in all cate- Products in all Products in all
gories. Special focus categories categories. Special
on invisible products focus on invisible
products
Organisation Individual interviews Workshops with inter- Description between
and workshops active participation client-system and root
definitions. Workshops
with interactive partici-
pation
Technology Cognitive maps and Tools and techniques Modelling techniques
use of software. for modelling use of based on systems
Tools and tech- software. Tools and thinking
niques for supporting techniques for
workshops supporting workshops
OR-worker Facilitator and Facilitator and expert Facilitator and expert
function analyst in methodology on the approach acting
in different roles

SCA is clearly a methodology that in facilitator who also must be expert in the
explicit form takes up with the traditional approach and the different technologies
methods in terms of assuming full that make up the approach. Also SCA can
information and certainty. SCA is be supported by existing software named
fundamentally developed to accept STRAD (Stradspan Limited, 1994).
uncertainties associated with problematic SSM is a classical example on a soft
situations and decisions. SCA has a very OR approach. The methodology has a
analytical way of working with the cyclic, iterative approach to strategy
problematic situation and developing development. Focus lies on subjective
strategies. Anyhow, the SCA supports a values and perceptions, the problem is
learning process by changing between never solved but structured, and explicit
different ways of working and the cyclic cause-effect relations are modelled (using
view on the process. Products can be conceptual models). Even though SSM
obtained in all four categories. However, does not address uncertainties, there lies an
the focus (in the end) is more on the visible indirect recognition of the presence of
products of substance. It is assumed that uncertainties. Through its cyclic way of
SCA is organised through a workshop with working and the acknowledgement that
interactive participation of decision- problems are never solved but must be
makers. As such people are considered to monitored and dealt with almost
be equally placed in the organisational continuously, it deals with future
hierarchy. SCA is dependent upon a uncertainties in the way that decisions
ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 15
are never definitive but can and must be a problem-solving framework (see for
changed all the time. The functionality of instance Ormerod, 1999).
SSM is however dependent upon the The limitation of our inquiry resides in
fundamental assumptions that reflect the the fact that we are only focusing on the
organisation in focus. SSM is based on anatomy of the soft approaches. However,
principles of a learning process, systems the context (the real-life situation) in
thinking, and focus is on the invisible which the approaches will be applied is as
products. However, products in all well an important factor that will influence
categories are found. The organisation as on the selection of approaches and the final
such is dealt with through the individual outcome of a given problem solving
world-views and the descriptions of these. process.
The way of working with the real world The social reality for applying soft
and then seeing systematically on things approaches is based on the process in
may be rather difficult for some which it is usedhere referred to as the
individuals. It is, therefore, very dependent social process. In its more elementary
upon the OR-worker to facilitate this form, the social process is constituted by
process and be an expert in how the four elements: the clients, the OR-worker,
different technologies are dealt with. the approach applied, and the problematic
situation in focus. The dynamic interplay
7. REFLEXIONS of the four elements interact in different
The characterisation presented in the ways, and it is these interactions that
last section based on dimensions of the define the social process, how soft
diamond provides a multidimensional approaches can be applied, and the
insight into each of the discussed soft outcome of this application. Figure 4
approaches. This insight is valuable illustrates the social framework and the
dealing with real-life problematic interactions between the four elements.
situations since in practice several
approaches often will be combined within
Client OR-workers
interface

Clients OR-workers

Social praxis Epistemological


interface stipulations

Problematic
situation Approaches

Theory-praxis
interface
Figure 4 The social process framework
in the well-defined group. The OR-
The clients are the group, individual or workers are consultants that have
organisation with a problematic situation specialised tools to deal with the
or decision problem. They are the decision problematic situation. They may be a part
makers and/or problem owners with of the same organisation as the clients but
individual subjective perceptions on the more often they are not. They can play
problematic situation. They can describe different roles: facilitators, experts,
the problem (from their point of view) and advisors, analysts, etc. The problematic
give judgements about possible actions. It situation is any mess that needs to be
is not always easy to identify the clients of solved or dealt with through a problem
the organisation since they can be placed at solving process. Usually, the problematic
any level or in any group of the situation is characterised through a focus
organisation and not necessarily are placed
ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 16
on systems and problematic decision areas. with to a certain extent. However, they
The problematic situation can, however, may retain in a latent state and their
also involve actions in the sense that negative potential might show again later
interrelations between members of the in time and grow in importance as
organisation can constitute the problematic conditions change.
situation. An approach is applied either to Figure 3 outlines various sources for
organise, to structure or to model the contradictionsthe linkages between the
problematic situation. four elements. The interaction between the
Between the elements and the way they OR-worker and the approaches is ruled by
interact, contradictions can be identified contradictions linked to epistemological
determining and controlling the social stipulations. The OR-worker normally will
process and the outcome of the process. choose and use approaches of their
Contradictions are here broadly defined as epistemological traditions and experiences.
controversies, unsuitability, conflicts, The analysts can only perceive and work
differences of opinions, etc., that give with the problem situation and the
contrast in perceptions and descriptions of approaches in terms, they know of. Every
the problematic situation. They are scientific field and school of thought has
implicitly or explicitly always present in a their own perceptions, traditions, ways of
problem solving process. describing problems and dealing with
Contradictions may be originated by these. Assumptions, ways of limiting the
objective reasons existing for the problem description and applying the
interaction. Such example may be a buyer approach may all be in conflict with the
seller relationship where both the client real world (perhaps the perception of the
and the OR-worker know about he clients). Contradictions (conflicts) arise
situation and its premises but have because of different perceptions,
differences in spite of this. Contradictions limitations in the way analysts
can also be originated due to subjective epistemologically can see the problem,
reasons and placements in the limitations in the approach itself,
organisation. An example can be different conflicting assumptions and interests, lack
problem views of a production chief and a of directing the problem as it is without
sales chief in a company focusing on using approaches that always are used, etc.
expanding the market. Contradictions Also OR-workers may view the problem
usually involve individuals but the term from their own point of view and have
can also be used in the case that an political interests associated with the
approach is not appropriate for a problem solving. In that way, they may
problematic situation. add to the contradictions of the
Contradictions are present in decision epistemological interactions. The OR-
making at all times but are to a certain workers are in many situations also
extent controlled by traditional or strict responsible fore presenting and translating
ways of dealing with problematic the results of the methodological
situations. In this situation, clients and OR- application for the clients. In this
workers have well-established roles, have presentation epistemological limitations
recognised approaches to use and ways of also lie in how they can make reflexions
applying them. In complex (messy) and present the results from objective and
problem situations, the roles of the actors neutral perspectives. Hard, soft and critical
must be established based on the premises approaches represent different
of their interaction. The problem situation epistemological assumptions about
must be described and recognised as a new scientific work.
type of problem. The contradictions between the
Contradictions cannot always be solved, problematic situation and approaches are
resolved, or addressed completely (as it associated with the theory-praxis
would be attempted by establishing interactions. These contradictions have to
consensus). They can be controlled or dealt do with successful problem solving and

ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 17


implementation of approaches. There are other contradictions in society. Even if
two sides to the contradictions of the both clients and OR-worker recognise the
theory-praxis interactions; how well or same problem, they do not necessarily
appropriate the approach used, captures the perceive the problem in the same way.
problematic situation, and how well clients Also the problematic situation can be
understand and identify themselves with interlinked with other problematic
the approach used. This interaction is often situations that can complicate the
ruled by traditional ways of looking upon relationship between the clients and the
problematic situations using a strategic and OR-worker. In some situations, the
political view on them. In this way of relationship is based on political aspects
looking at the problem, there may also be that may disregard the technical
limitations to the detail or broadness of the considerations and constraints and runs the
problem. Having a perception of a risk of being only an example of policy
problematic situation, clients often have an planning. In other situations, OR-workers
expectation to the results of the analysis. may isolate themselves from the clients
This means that the clients have an idea of and potential socio-political contradictions.
how solutions should be investigated and In this situation, the study will not raise
represented. Often this again is based on interest by clients, who see it as an
traditions and experience. Using an academic exercise.
approach, which perhaps directs the Finally, it shall be mentioned that other
problem situation better but not has been contradictions often are present. These
introduced to the clients before, there is a have to do with internal conflicts among
risk that the clients have reluctance the individuals in the groups of actors
towards using the approach and its results. between the clients and OR-workers.
This also means that the approach has a Important sources of conflict are the power
central role in the description and relations related to who coordinates and
translation of the problem situation and the finances the studies, the view on the
way it is solved, perceived, understood and problem situation, and inter-personal,
accepted by the clients. human relations.
The social-praxis interface has to do Obviously, any OR intervention to
with the contradictions that are present tackle problematic situations has to reflect
between the clients and the problematic on the above mentioned interactions and
situation. In praxis, the clients own the contradictions before selecting and using
problem and must act upon it. The clients soft approaches, while carrying out the
are also the ones who in reality determine intervention and the end while evaluating
or set the frames for how the problem the whole process. Moreover, failures in
situation shall be looked upon and solved tackling problematic situations might give
by the OR-worker. The social and political fruitful insight into the abilities
function of the clients as well as public and (strengths/weaknesses) of an organisation
inter-organisational opinion may be to cope with messes; this is often called
determining for how the clients respond to learning from failure (Fortune and Peters,
the problematic situation. 1995).
When two groups interact to support
each other, there is always a risk of 8. CONCLUSIONS
conflicts at the socio-psychological level Our inquiry into the nature and
that must be managed some way. These characteristics of soft approaches has taken
risks will differ according to the nature of us through what we call the anatomy of
the relationship and contradictions may soft approaches. The study shows that
arise as a consequence of the so-called characterising soft approaches not only can
client - OR-worker interaction. The two be based on quantitative or qualitative
groups might belong to different modelling aspects and systems thinking. A
organisations with different traditions, multi-dimensional framework is needed to
culture, nationality, and might also reflect outline the many different facets and

ENGEVISTA, v. 7, n. 1, p. 4-20, abril 2005 18


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