Appendix II: Overview of Soft Systems Methodology

The Soft Systems Methodology (Checkland 1981; Checkland and Scholes 1990) enables a structured approach to a situation that is seen to be problematic or where improvement is desirable. It consists of seven principal stages, not necessarily employed sequentially and employed for systems and identified subsystems.

1	Problem situation unstructured
2	Problem situation expressed	Rich picture
3	Formulating Root definitions	CATWOE root definitions
4	Conceptual modelling	Conceptual systems model
5	Comparison system/real world	List of discrepancies
6	Feasible/desirable changes	List of changes
7	Action to improve	List of actions

1 Expressing the problem situation

The scope of the study is not restricted too early by defining at the beginning what the problems are. The aim is to capture primarily who individuals feel are the principal actors and clients of the organisation, what transformations are carried out and what expectations and constraints on the system were. This can involve:

• identifying the tasks performed
• identifying tools and methods employed
• establishing interactions between people/systems
• making drawings of structures/layouts
• conducting unstructured and informal interviews: ("tell me what you do")
• brainstorming issues
• encouraging a creative approach to formulating root definitions (what does the organisation do?)

2 Rich pictures

Rich pictures are generated to represent structures, processes and issues of the organisation which could be relevant to the problem definition, and to try to give an impression of the organisational climate. Rich pictures are usually, but not exclusively, a mixture of text and graphics and are intended to give an easily intelligible image of the organisation and the major issues involved. The production of a rich picture is not the purpose of SSM but can be viewed as a by-product of the process of investigation (Lewis 1992).

3 Root definitions

Root definitions are concise textual definitions that express the nature of the systems relevant to exploring the problem situation. They take the form: do X by Y to achieve Z. Having collected information to work with, a series of 'root definitions' are written to express the primary and secondary objectives of the system. These textual definitions inform the iterative development of a subsequent 'conceptual model' of the overall system. It is important that this formulation occurs as a team activity, so that missing information and conflicts in perceptions are highlighted

It is important that more than one root definition is formulated as each one expresses a different perspective of the organisation's purpose and serves to acknowledge that there are conflicts and problems between (for instance) actors, owners and clients of a system. Primary task definitions aim to be a neutral account of what is necessary for the organisation to fulfil its primary role, sometimes from a mission statement, charter or official description of the organisation's activity. Another approach is to seek agreement amongst the problem owners as to what the primary-task root definition is. Issue based definitions frequently look at part of the system only and focus on key problem areas.

4 CATWOE Analysis

The root definitions are written specifically to include Checkland's CATWOE components. These are: Clients, Actors, Transformations, Worldview, Owner, Environment (TWECOA is considered to be a more appropriate ordering). Describing the transformation and worldview are essential for the construction of the conceptual model.

• Transformations: all the changes which the system brings about, stated as an input andoutput.
• Worldview: how an organisation is perceived by the clients, actors and the outside world. Different groups will have different world views. It is important to highlight any conflict between worldviews as these are likely to manifest themselves as current or future problems for the organisation in question.
• Environment: things that influence but do not control the system under study.
• Clients: those who benefit from or are affected by outputs (products, services) of the system.
• Owners: individuals and organisations who could cause it to cease to exist
• Actors: those who carry out activities within the system

5 The Conceptual Model

A (graphical) 'conceptual model' is then developed which represents graphically the activities logically necessary to achieve the transformation described in the primary root definition. The model is checked to ensure that it conforms to the following requirements:

• it represents exactly the activities (as verbs) required to achieve the goals of the organisation
• it meets the criteria for being a system
• it decomposes activities in a hierarchy containing 5-7 activities at first-resolution level
• it has all components connected (except for monitoring and control units)
• it has an ongoing purpose, i.e. effects transformation
• it has provision for measure(s) of performance
• it has a decision-making or control process
• it consists of components (which are themselves systems)
• it exists as part of wider system, or environment with which it interacts
• it has bounded decision-making processes
• it has resources for its own use
• it has an expectation of continuity

6 The five E's

These are the criteria by which the transformations within the system are judged:

• Efficacy - does the means employed work?
• Efficiency - is resource use minimised?
• Effectiveness - does the transformation help to attain the long term goals?
• Ethicality - is the transformation a moral thing to do?
• Elegance - is the transformation performed aesthetically?

7 Comparison

It is important to note that the conceptual model produced is a theoretical construct - it does not represent the existing or potential structure of the organisation. A process of comparison or testing is required to link the conceptual model back to the real world. It is this process of testing which will raise issues and imply subsequent action.

Disparities between the systems model and the real world might indicate problems and/or where improvements could be made. The output from this stage of testing is a list of system activities, the corresponding activities in the real world, and the differences.

Methods for comparison:

• General discussion and observation: first impressions of disparities
• Question generation: the model could be used to generate a series of focused questions: does the activity exist? Would it be useful? etc. Issues of: how can its performance be measured? Effectiveness? Efficiency?
• Testing in practice: comparing what happens on a day to day basis in carrying out activities.
• Model overlay: comparison between the conceptual model and the model implied by the organisation.

8 Action

Issues raised in testing should be addressed and actions which bring improvements should be identified and implemented. This could necessitate changes to structure, procedures and attitudes. Proposals should then be drawn up stating what should be done and how :

• decide what needs to be done, stating clearly the aim or objective
• determine alternative ways of achieving the objective
• appraise the costs of each alternative
• build a model (if required) of the different alternatives, and test each model under different conditions
• decide, on the basis of pre-defined criteria, the preferred or optimal alternative.

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