Root Definition and Conceptual Model

1. Lecture 2
Root Definition and
Conceptual Model
Systems Analysis and Design (UCM0558E)
Abdisalam Issa-Salwe
Thames Valley University
Faculty of Professional Studies
Overview of SSM Stages
situation 7 action to
1 considered improve the
problematic problem situation 6 changes:
systemically desirable,
culturally feasible
problem comparison of
2 situation models and
expressed real world 5
real world
systems thinking
about real world
3 conceptual models
root definition of systems described
of relevant systems in root definitions 4
Source: Checkland:
Systems Thinking,
Systems Practice
2

2. Two relevant models
Root Definitions are used to identify what the
system's purpose is, who the interested
parties are
Conceptual Models are used to say how the
system would function, i.e. what activities are
necessary for it to take place.
3
Defining systems
The variety of influences in a human activity system to be
collected in a rich picture
ordering takes place within the area of systems thinking
rather than real world investigation.
The situation is examined by defining systems (inputs-
transformations-outputs) which are relevant to it and
working out the activities that will be necessary for
such a system to function.
4

3. Formal systems model (and examples)
5
Stage 3: Root Definition (RD)
The root definition is one way of describing
what is the system
how the system will work, and
why we need this system.
It is expressed as a transformation process
some entity as input a new form of the entity as output.
Note: We should not confuse the how here with the how of
implementation,
the how in the root definitions gives a general framework of
how we are going to do this but it is not how that defines
certain technology and certain steps to be taken.
6

4. Notional description
Root definitions as notional descriptions of the purposes of
systems:
they look at an organisation or situation from different points
of view.
It is perfectly possible for there to be several views of the
same situation.
Take the following definition of the work of which produces
graduates in vocational subjects to satisfy the needs of industry
and commerce:
The university is a system in which academic departments are
responsive to the needs of industry and has its performance
judged by industry and the funding council. The assumptions
are that it is possible and necessary to define the requirements
of industry for qualified graduates in particular subjects.
7
Two types of RD
Primary Task Root Definition:
concern processes which the organization being
studied performs as a part of their regular activities
(for example, in an oil company, the process of
refinement of the oil).
Issue based Root Definition:
Issue Based Root Definitions concern processes
which are rare or one-off occurrences (such as a
management restructuring).
8

5. Root definition examples
primary task (relating to basic tasks and structures)
A university owned and operated system to award degrees and
diplomas to suitably qualified candidates (X), by means of suitable
assessment (Y), (in conformance with national standards), in order to
demonstrate the capabilities of candidates to potential employers (Z).
issue based (relating to temporary or qualitative concerns, or
concerns of judgment)
A university owned and operated system to implement a
quality service (X), by devising and operating procedures
to delight its customers and control its suppliers (Y), in
order to improve its educational products (Z).
9
Root definitions syntax
short textual statements which define the
important elements of the relevant system
being modelled - rather like mission
statements
they follow the form:
a system to do X by (means of) Y in order to Z
what the system does - X
how it does it - Y
why it’s being done - Z
10

6. CATWOE
CATWOE analysis helps to build coherent and
comprehensive root definitions
Each conceptual system has at its heart a transformation
process in which something, an input, is changed, or
transformed, into some new form of itself, an output.
Accompanying this transformation ('T' for short) is a
weltanschauung, or worldview –
Weltanschauung defines the belief or point of view
that makes the transformation reasonable - worth
achieving.
Together, T and W form the core of CATWOE analysis -
a mnemonic which helps to build coherent and
comprehensive root definitions.
11
CATWOE stands for
T = Transformation
Customers the victims or beneficiaries of T
Actors those who do T
Transformation input output
Weltanschauung the worldview that makes the T
meaningful in context
Owners those with the power to stop T
Environmental elements outside the system which
constraints are taken as given, but nevertheless
affect its behaviour
12

7. Some procedures for deriving root definitions of relevant systems
Identify a problem which seems important enough for further
investigation
Structured root definition has three parts, referred to as what,
how and why.
the 'what' is the immediate aim of the system,
the 'how' is the means of achieving that aim, and
the 'why' is the longer term aim of the purposeful
activity
We can compose root definitions by naming a series of relevant
systems using the formula:
“ A system to……..by……………in order to…………….”
13
CATWOE
to formulate and structure the real world situation in a
meaningful way and also to ensure that the RD written
does really represent the relevant system
both the root definition and the CATWOE analysis is to
consider each of them with respect to the other one, if
there is any kind of inconsistency then this is a clue that
there is something seriously wrong in the SSM
practitioner understanding of the problem situation and
he has to go back and iterate to stages one and two
14

8. Deriving relevant systems
relevant systems are conceptual (in-the-mind)
models of parts of the problem that are of interest
they are models which follow systems principles to
help structure the analyst’s impression of the problem
- not definitive descriptions of systems in the real
world
problems can be represented as they are perceived
by different stakeholders
15
CATWOE example
C candidate students
A university staff
T candidate students
degree holders and diplomates
W the belief that awarding degrees and
diplomas is a good way of demonstrating
the qualities of candidates to potential
employers
O the University governing body
E national educational and assessment
standards
16

9. Starting point:
best starting point is to think first of the output of
the transformation, the thing that the system is
there to do, working out the transformation from
that and then moving on to the Weltanschauung,
such as:
Who (A) is doing what (T) for whom (C), having
someone to whom they are answerable (O) and
working within certain assumptions (W) and
within wider constraints in the environment (E).
17
Stage 4: Conceptual Model
CM as the core of the SSM methodology:
To establish a relevant system based on
defining the minimum number of activities
required for this relevant system to be the one
described in the root definition.
It is a human activity models that is used to
show each operational activity that is
necessary to carry out the process described
in the root definition. There must be at least
one conceptual model for each RD.
18

10. Basic component of CM
19
activity models - symbols
activity - ‘do something’ verb + noun
phrase
logical dependency arrow - activity A must A
come before B, or if activity A is done badly
- so will B B
cook dinner study MSc
boundary
eat take MSc
dinner examination
20

11. How to build CM
To build a conceptual model
1. take the RD and think of the different activities
that must be implemented to fulfill this RD
2. then express each activity in a phrase
containing one verb, and
3. finally associate these activities in a CM
showing dependencies of the activities and the
flow of the information.
21
activity model - example
design
enrol students education
programm es
appreciate
educate allot
resources national
students
standards
award design
degrees + diplomas and carry out
to students reaching
assessm ent
acceptable levels
A university owned and operated system to award degrees and
diplomas to suitably qualified candidates (X), by means of
suitable assessment (Y), (in conformance with national
standards), in order to demonstrate the capabilities of
candidates to potential employers (Z).
22

12. Measurement of performance
Measurement needed to incorporate with
performance for this conceptual model.
Formal System Thinking
Monitoring the System
23
Formal Systems Thinking
applied to the development of the conceptual model.
serves as a guideline for checking the conceptual model.
Example, S is a formal system if and only if it meets the following
criteria:
S must have some mission
S must have a measure of performance
S must have a decision making process
S must have components which interact with each other such that
the effects and actions are transmitted throughout the system
S must be part of a wider system with which it interacts
S must be bounded from the wider system, based on the area
where its decision making process has power to enforce an action
24

13. Monitoring the System
Monitoring the operational system consists of
three activities:
1. Define a measure of performance:
Efficacy - does it work
Efficiency - How much of work completed given
consumed resources
Effectiveness - Are goals being met.
Note: Many including ethical, elegant, economical and other metrics
which may be dependent on the context of the work being done
2. Monitor the activities in the operational system, in
accordance with the metrics defined in step 1.
3. Take control action: Use the outcomes of these
metrics to determine and execute action to control
the operational system.
25
Example of Monitoring of performance
E1 (efficacy) - are degrees and diplomas awarded?
E2 (efficiency) - how many degrees and diplomas, of
what standard, are awarded for the resource
consumed?
E3 (effectiveness) - do employers find the degrees
and diplomas a useful way of assessing the qualities
of potential employees?
26

14. The complete model - example
A university owned and operated systemto award
degrees and diplomas to suitably qualified candidates (X),
design by means of suitable assessment (Y), (in conformance with
enroll students education
programmes
national standards), in order to demonstrate the
capabilities of candidates to potential employers (Z).
allot appreciate
educate C candidate students
resources national
students
standards A university staff
T candidate students
award design degree holders and diplomates
degrees + diplomas and carry out W the belief that awarding degrees and
to students reaching assessment diplomas is a good way of demonstrating
acceptable levels take control the qualities of candidates to potential
action employers
monitor for O the University governing body
E1, E2, E3
E national educational and assessment
standards
E1 (efficacy) - are degrees and diplomas awarded?
E2 (efficiency) - how many degrees and diplomas, of what standard, are awarded for
the resource consumed?
E3 (effectiveness) - do employers find the degrees and diplomas a useful way of
assessing the qualities of potential employees?
27
More example of building a CM
"A system to meet a perceived requirement for web-based resources
intended to help users teach and learn SSM methodologies by
constructing and publishing appropriate web pages in order to
help interested parties to teach and learn". The suggested
activities are:
1. Identify potential users for learning resources
2. Know about capabilities of world wide web medium
3. Know about authoring and publishing web pages
4. Know about methodologies and how to teach them
5. Identify likely help needed by potential users
6. Identify ways of meeting users' teaching/learning needs
7. Design web pages intended to meet users' likely needs
8. Construct web pages
9. Publish web pages
28

15. Activity dependencies and explanations for the conceptual example
29
The complete conceptual model
Root definition
CATWOE
Activity model
Measures of performance
30

16. The conceptual model for a
web-based system
31
Stage 5: Comparison
Deals with the comparison between the conceptual
model(s) developed in stage 4, and the structured
analysis of the problem situation from stage 2 .
Purpose is to analyse the similarities and differences
between the model and the real world in a thorough
and structured manner.
Note: the analyst will likely find out where the
models are unrealistic, as well as determining
where the new ideas generated from the
modelling might be of practical use in the situation
being examined.
32

17. Approaches to using comparison
several approaches to use when comparing the real
world with the models derived from the root definition.
The most important are:
1) using conceptual models as a base for ordered
questioning,
2) comparing history with model prediction,
3) general overall comparison, and
4) model overlay.
33
Conceptual models as a base for ordered
questioning
can be done when the real world situation is very
different from the conceptual model.
approach can be used when the two models are
different.
technique is simply to generate questions about the
existing system.
questions should be written down and answered
systematically. Questions should be generated for each
activity in the conceptual model.
34

18. Comparing history with model prediction
prediction involves reconstructing events that
occurred in the past and asking what would
have happened if the relevant conceptual
model had been implemented at the time.
this technique should be used diligently
because it could reveal inadequacies.
35
A general overall comparison
This can be used with a comparison table. A
comparison table usually involves systematically
going through each activity and link (i.e., a
relationship between two activities) in the conceptual
model(s) and asking specific questions about the
differences
36

19. The technique of model overlay
This involves directly overlapping the concept map
derived from the root definitions with a second model
that is used to represent what actually exists.
Although the second conceptual model has not yet
been created (there only exists a rich picture), the
conceptual model derived from the root definition
can be used to create the second conceptual
model.
Note: be wary of forgetting or misusing elements
during the construction of the real-world concept
model because the systems thinking conceptual
model may be quite different from the real world.
37
Comparison with the real world
is it done in the real situation? comments,
activity
how is it done? recommendations
1
2
3
38

20. A comparison table for estimates effort.
39
Example of a basic comparison of a conceptual model
40

21. 41
Problems and problem owners
42

22. Stage 6 and 7:
Definition of Desirable and Feasible Changes
The purpose:
to define those changes that are most feasible and
desirable.
the possible changes from the previous stage are
considered and weighed using several criteria,
including the cost and benefit of the change, and the
political feasibility.
those changes that seem likely, if implemented, to
have a positive outcome in the situation are
recommended.
43
Steps be followed
For each proposed change, the following should be
described:
1) Reason for change: The reason for the change
should include arguments for why the change was
suggested in the first place;
2) Nature of change: an explanation of the context of
the change.
3) Means to bring about change: means and steps
required to bring about the change;
4) Potential long-term effects of change: The long-term
implications of the change to the system should also
be considered.
44

23. The impact of Change
The political feasibility can be analysed by considering for whom
the expected outcome will be positive. Must be considered:
who will likely oppose the change, and why.
to examine the relative power of the individuals for and
against the change.
Cost feasibility analysis includes the cost implications.
For example, how much will the change likely cost, and do
the benefits justify the costs.
Benefits should include short and long-term benefits that might
offset or justify the cost.
Note: Stage 6 includes a general framework for how to approach the
weighing of the potential changes.
45
Stage 7:
Recommended Action
Purpose:
to help the practitioners recommend the change.
also include the actual starting of the change process.
Note:
It is important to note that the introduction of the action may
change the situation so that new problems may arise.
It may be a good idea to carry out the change in a temporary
mock system to gauge the repercussions.
This method of testing would have to be on a fairly simple
system otherwise it could require a lot of resources. Once a
temporary system is used and observed by an analyst, it
could then be introduced into the real system.
46

24. Preferred option(s)
First, select the preferred option(s) from the previous
step.
the steps that are expected to have the greatest
positive effect.
There should be a clear understanding about whose
point of view the so-called positive effect is from.
It should also be understood how the opposition will
react to the changes, and how they should be dealt
with. After these issues have been considered, the
final findings can be presented to the client in the
form of a report.
47
The Final Report
The final report should include the following
elements:
1) an outline of the measures recommended,
2) the benefits of the change,
3) the costs of the change,
4) the cultural and political implications, and
5) the feasibility of the measures. Of course, the
conclusions should be easily understandable for all of
the actors (i.e., stakeholders) within the organization.
48

25. References:
Shehata, Mohamed and Seth Bowen (2000), “Soft Systems
Methodology”,
http://sern.ucalgary.ca/~bowen/613/report/#figure8a
Dale Couprie, Alan Goodbrand, Bin Li, David Zhu (1997). Soft
System Methodology.
http://sern.ucalgary.ca/courses/seng/613/F97/grp4/ssmfinal.html
Checkland, P.(2000). System thinking, System practice. John Wiley
& Sons, New York, NY.
Checkland, P. and Scholes, J. (1990). Soft Systems Methodology
in Action. John Wiley & Sons, New York, NY.
49