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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.
1
Informatics and Mathematical Modelling, Technical University of Denmark, DK-2800 Lyngby,
vvv@imm.dtu.dk
External threats
Maxi-mini strategies Mini-mini strategies
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 :
?
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
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
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