Systems Research and Behavioral Science — 2003 3/12/15 - 1 The Legacy of C. West Churchman: A Framework for Social Systems Assessments. Harold G. Nelson [email protected]ABSTRACT This paper is an overview of a framework for social systems assessment based on my study and work with C. West Churchman. The framework is an outgrowth of the systems categories developed by Churchman as part of his definition of teleological systems. It is an expansion of the methodologies used for socio-economic impact assessments that has evolved out of the value distribution assessment process first used in my graduate studies of the impact of geothermal energy development on rural communities in northern California. This social systems assessment framework is inclusive of social systems analysis, social systems intervention and social systems re- design and provides an organizing structure for relating the diverse theories, methods and experiences of systems scholars and practitioners. This framework is part of the rich legacy of systems approaches that continue to be developed from the seminal work of C. West Churchman Key Words: C. West Churchman, social systems, systems assessment, value distribution assessment, systems design.
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Systems Research and Behavioral Science — 2003
3/12/15 - 1
The Legacy of C. West Churchman: A Framework for Social Systems
This paper is an overview of a framework for social systems assessment based on my
study and work with C. West Churchman. The framework is an outgrowth of the
systems categories developed by Churchman as part of his definition of teleological
systems. It is an expansion of the methodologies used for socio-economic impact
assessments that has evolved out of the value distribution assessment process first used
in my graduate studies of the impact of geothermal energy development on rural
communities in northern California. This social systems assessment framework is
inclusive of social systems analysis, social systems intervention and social systems re-
design and provides an organizing structure for relating the diverse theories, methods
and experiences of systems scholars and practitioners. This framework is part of the rich
legacy of systems approaches that continue to be developed from the seminal work of
C. West Churchman
Key Words: C. West Churchman, social systems, systems assessment, value distribution
assessment, systems design.
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INTRODUCTION
Based on the substantial scholarship of C. West Churchman, this is an overview of
the ongoing development of a systemic framework for making value distribution
assessments, social systems assessments and social systems re-designs. It is also a
reflection on the integrative influence of both West Churchman’s ideas and his integrity
as a person. It is an appreciative account of the professional influence of his character
and his intellect on the evolution of the role of a systems designer. Finally this is the
thread of a historical narrative that has evolved out of a life long collegial relationship
and a deep personal friendship that has formed between West Churchman and myself.
PERSONAL CONNECTION
I first met C. West Churchman in 1974 when I was a graduate student in
architecture in the College of Environmental Design at the University of California at
Berkeley. My introduction to him came when I attended a seminar given by a
distinguished professor from the Hass School of Business, who was also the Director of
the Center for Management Science. Professor West Churchman, or ‘West’ as all of his
students addressed him, talked about issues that went directly to the heart of questions I
had been struggling with professionally well before I came to Berkeley. My questions
were not just academic abstractions but were grounded in real world complexities and
contradictions. West Churchman offered a perspective that fit both reflection and
action.
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Horst Rittel, a well-known design professor in the School of Architecture, told
me that he had been persuaded to come to Berkeley because West Churchman was a
professor there. I had great respect for Professor Rittel and his scholarship in design
thus I felt it would be well worth my time to become better acquainted with Professor
Churchman and his engaging ideas. As a consequence, I became one of the students
attending his seminars and participating in independent studies.
I became a regular in his famous Tuesday noon seminar that was open to any
and all who wished to attend, graduate student or not. The seminar focused on a wide
range of topics. For instance, it was in this seminar that I learned how Immanuel Kant,
the Eighteenth Century German philosopher, had direct relevance to the pragmatic
issues faced by decision-makers in everyday situations. I also learned about the
emergence of unintended consequences—too often negative—impacting people and
their environments that came as a consequence of outside interventions, even when well
intended. I was introduced to the consideration of how it should be possible, in his
words, to “secure improvement in the human condition” without causing such
unintended damage. This became an ongoing focus in my academic studies.
VALUE DISTRIBUTION ASSESSMENT
My interest in systems science and systems design led me to apply to the Ad
Hoc Ph.D. program that was offered at U.C. Berkeley. To be accepted into the program
I was required to design my own field of study—the Design of Social Systems—which
included the right to assemble my own faculty. West Churchman became the Chair of
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my committee and the principle investigator for a research grant received from the
Department of Energy through the Lawrence Berkeley National Research Laboratory
(LBL). The grant was for support of my field research, which focused on the impact of
large-scale energy resource development projects on small rural communities (Nelson
1979).
It was during this research that I came to understand and appreciate many of
West Churchman’s seminal ideas as they played out in real world situations. Growing
out of the design of my doctoral program, the field research was focused on the impact
of geothermal development on farms, recreation areas, Native American enclaves and
small towns in Northern California. Under Churchman’s influence, my research
interests were not just concerned with the impact of resource development on the
environment and economy but on the residents of the area as well. This was an
exceptionally complex challenge because it involved Federal, State and local decision
makers as well as special interest groups in addition to the local citizens of the region.
The distinctive research strategy taken in this study was a value distribution
assessment approach (Churchman et al 1979). This was in contrast to the more common
means of analysis typically used in projects like this—the aggregate socio-economic
impact assessment of costs and benefits. The purpose of this innovative new approach
was to assess whom in particular was benefiting and who exactly was paying the
costs—social, cultural, economic, etc.—of the geothermal energy development program
in this rural California region. This turned out to be a controversial approach for some
authorities.
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I learned that by taking this particular approach to an impact assessment process
an abstract philosophic concept could be operationalized in a concrete-particular
context. The abstract concept in this case was based on a corollary of Immanuel Kant’s
imperative to never treat a person as a means only, but as an end in himself or herself
(Kant 1788).
The ability to systemically model extremely complex situations and make some
sense out of them was a key consideration for using a systems approach when making
value distribution assessments. The systems approach used in this case was based on
Churchman’s earlier work beginning with his response to the basic question of “what is
a system?” (Churchman 1971):
We postulate that systems are examples of teleological things, i.e., things some of whose properties are functional.
• • •
Briefly, the necessary conditions that something S be conceived as a system are as follows:
1. S is teleological
2. S has a measure of performance
3. There exists a client whose interests (values) are served by S in such a manner that the higher the measure of performance, the better the interests are served, and more generally, the client is the standard of the measure of performance.
4. S has teleological components which coproduce the measure of performances of S.
5. S has an environment (defined either teleologically or ateleologically), which also coproduces the measure of performance of S
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6. There exists a decision maker who – via his resources- can produce changes in the measures of performance of S’s components and hence changes in the measure of performance of S.
7. There exist a designer, who conceptualizes the nature of S in such a manner that the designer’s concepts potentially produce actions in the decision maker, and hence changes in the measures of performance of S’s Components, and hence changes in the measure of performance of S
8. The designer’s intention is to change S so as to maximize S’s value to the client.
9. S is “stable” with respect to the designer, in the sense that there is a built-in guarantee that the designer’s intention is ultimately realizable.1
From this definition Churchman formulated a set of categories (see Fig. 1) based
on the roles that people play in teleological systems which he continued to expand and
refine for several years2 (Churchman 1979). In his model one or more individuals can
fill a particular role, or the same person can fill different roles at the same time.
Therefore, this is not a political or psychological approach to systems assessment. His
approach is based on differentiating the functions served by people in a system rather
than on the behavior of particular people in a system. The focus is on roles and not
individuals. Each role has particular decision making responsibilities identified with it
that define the purpose of that role as a teleological function. The functionality of the
role is not defined so much by activity as it is by authority and responsibility.
1 The Design of Inquiring Systems, Pg. 43 2 The Systems Approach and Its Enemies, Pg. 79-80
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Client Purpose of system
Measure of performance of system
Decision maker Environment of system Components of system
Planner
Implementation of plans Guarantor-of-design
Systems philosopher
Significance of systems approach Enemies of the systems approach
Fig. 1 Social Systems Categories—(Churchman 1979)
In this case the fundamental approach to the development of systems categories
that Churchman took was dramatically different from what I had come to expect from
systems scientists. The distinction that made this so startlingly different for me was the
focus on people as the scaffolding of a system, rather than merely a set in a
classification of elements. People are often considered as components of systems
models, but typically not as the organizing principle around which systems take shape.
This was also my introduction to the idea of an epistemological approach to
systems assessment in contrast to a strictly ontological approach. That is, one could
choose how to conceptualize a system. This is in distinction to the approaches that
assume discernible systems exists and need only to be rendered visible through
description and explanation using various systems nomenclature. A key insight for me
that took some time to become embodied in my thinking was the realization that how a
system is seen, depends on how you choose to look at it:
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Indeed, the selection of a definition of “systems” is a design choice, because throughout this essay it is the designer who is the chief figure. In other words, whether or not something is a system is regarded as a specific choice of the designer.3
Churchman’s systems approach included a significant ethical component. In our
research, using a value distribution assessment approach, there were two contingencies
to be looked at sequentially using Churchman’s teleological categories as reference. The
first task was to describe who is filling each role. The second task involved determining
who ought to be filling each role from a deontic perspective. The distinction being made
was between what is the case—systems analysis—and what ought-to-be the case—
systems critique (see Fig. 2). The difference between the two—the is and the ought-to-
be—forms a problematic situation which is used to formulate the strategic direction for
a systems intervention.
systems analysis
systems critique
that-which-is that-which- ought-to-be
problematic situation
Fig. 2 Churchman’s Ethical Systems Assessment
3 The Design of Inquiring Systems, Pg. 42
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For Churchman, the judgments required to bridge is statements to ought
statements come by way of an informed consensus4. An agreement that is to be reached
among all those who will be affected by the decisions made concerning possible choices
or actions to be taken in response to the existence of an undesirable situation
(Churchman 1961). Therefore one of the activities of our research team was to create a
newsletter providing information concerning the geothermal development process:
providing residents with information necessary to make informed decisions if given the
opportunity. We were informed by LBL that this was not the kind of activity (i.e. a
scientific intervention) researchers should be engaged in and our activity was stopped.
Because Lawrence Livermore National Research Laboratory (LLL) was
involved in making an impact analysis of the geothermal development in the same area
at the same time, we were able to make a comparison of their approach in contrast to
our own. The LLL approach resulted in the generation of immense amounts of detailed
measurable data such as: the actual or predicted quantities of particulate in the air,
levels of noise generated by steam wells now and in the future, and volumes of
industrial traffic on rural roads during construction and operation of the power plants.
The massive amount of data that was generated overwhelmed the local decision makers.
They had no way of objectively determining what was too loud, too dusty or too
anything. They could make their own quality-of-life judgments but such judgments
carry no credibility in an objective impact assessment process.
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When the local decision makers could not reach consensus in the face of the
immense amount of objective data that had been generated for them decision making
was eventually taken over by the Federal and State decision makers. Of course the
question that remained was what objective means would State and Federal decision
makers use to reach equitable decisions based on the same kind and amount of data,
without being subjective themselves. The answer is that they couldn’t. Decisions were
made by using political reasoning.
The critical issue missed by all of us involved in these impact assessment
processes was, that objective descriptions and explanations do not prescribe what ought
to be the case—only what the case is from a rational perspective. Also, predictions of
outcomes from cause-effect chains do not justify what the intended outcomes ought to
be. Therefore, our value distribution assessment approach needed to be broadened to
include methods for determining strategies for action concomitant with more inclusive
systemic methods of inquiry.
SOCIAL SYSTEMS ASSESSMENT
I have continued to expand and refine the strategy for making social systems
assessments, based on the initial work I did with West Churchman as a graduate
student. This includes the development of a more inclusive framework for making such
assessments, which has proven to be an effective organizing strategy for conceptually
relating a multitude of systems models, theories, approaches and methods. It is also a
4 The Design of Inquiring Systems, Pg. 201-202
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way to integrate, mindfully, the diversity of good ideas flowing from the work of other
scholars and practitioners in an ever more inclusive social systems assessment
approach.
A process that is both iterative and emergent animates the framework. As
presented here, it is much more fluid than might be implied by the graphics shown
below and in the way that the elements of the framework are presented individually in
the text. In reality there are no sharply delineated boundaries between the stages and
phases of the social systems assessment process. There are never-the-less identifiable
transitions between them. The transitions are not necessarily linear although there is a
composite arrow of time.
The first step taken in the expansion of the framework was to add systems
synthesis and systems intervention as bookend activities to the inceptive stages of
systems analysis and systems critique. The systems critique phase has also been
expanded to include: a focus on that which needs-to-be, in addition to that which ought-
to-be. Finally, the category of systems re-design has been added as a terminus stage in
the assessment process (see Fig. 3). Systems design is treated as an entirely different
process that is related to, but not part of the social systems assessment approach
introduced here.
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systems re-design
that-which-is- desired-to-be
systems synthesis
systems analysis
systems critique
systems intervention
that-which-is that-which- ought-to-be
the whole
that-which- needs-to-be
that-which-is resolved-to-be
Fig. 3 An Organizing Framework for Social Systems Assessment
Systems synthesis is the critical first step in any assessment, because it provides
the holistic grasp of a system, from which all systemic components and relationships are
given meaning and functional, or even ultimate value. This step is also important
because it makes explicitly visible such often-missed details as the inseparable and
interconnected nature of the observers of systems and the systems observed.
The concept of wicked problems, in distinction to tame problems, becomes a
central consideration in the system intervention step (see Fig. 4). Horst Rittel made the
case that most significant problems cannot be treated as tame problems with clear, easy
steps for reaching a solution. They are in fact wicked problems (Rittel 1972), or messes
as Russell Ackoff prefers to call them (Ackoff 1974)—indeterminate and confounding
(see Fig. 5).
Systems intervention makes the intentional outcome of the system assessment
process explicit. Through iterations, this will reflexively determine how the emergent
problem is conceived, as it is taken up or extracted from the complexity of the situation
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under assessment. In this phase, strategies are developed for getting from undesirable
situations to desired outcomes. It is within this phase that wicked problems are
transcended and messes are transformed into actionable situations.
systems synthesis
systems analysis
systems critique
systems intervention
that-which-is that-which- ought-to-be
the whole
that-which- needs-to-be
1
23
• wicked problems • messes
that-which-is resolved-to-be
• tame problems
• problematic situation
• discernment
• problematic situation
Fig. 4 Social Systems Assessment Framework Integrating ‘Problem’ Focused
Concepts from Churchman, Rittel and Ackoff.
STEPS IN TAME PROBLEM SOLVING: 1. UNDERSTAND PROBLEM
2. GATHER INFORMATION
3. ANALYZE INFORMATION
4. GENERATE SOLUTIONS
5. ASSESS THE SOLUTIONS
6. IMPLEMENT
7. TEST
8. MODIFY
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CHARACTERISTICS OF WICKED PROBLEMS
• CANNOT BE EXHAUSTIVELY FORMULATED
• EVERY FORMULATION IS A STATEMENT OF A SOLUTION
• NO STOPPING RULE
• NO TRUE OR FALSE
• NO EXHAUSTIVE LIST OF OPERATIONS
• MANY EXPLANATIONS FOR THE SAME PROBLEM
• EVERY PROBLEM IS A SYMPTOM OF ANOTHER PROBLEM
• NO IMMEDIATE OR ULTIMATE TEST
• ONE-SHOT SOLUTIONS
• EVERY PROBLEM IS ESSENTIALLY UNIQUE
• PROBLEM SOLVER HAS NO RIGHT TO BE WRONG
Fig. 5 Tame and Wicked Problems—Rittel (1972)
Two types of problems emerge as a consequence of the discerned difference
between the assessment of the system as it is (synthetically and analytically) and the
situation that is determined to be either what ought to be the case—ethical problems—
or what needs to be the case—functional problems (see Fig. 6).
Churchman’s use of the term enemy has perplexed some people who assume that
he is making a case against other designs of inquiry. However, he said that he used the
term in the spirit of a Christian tradition—to love your enemy. His intent was not to
polarize his systems approach, which for him was based on reason, against other
traditions of inquiry. He only wanted to demonstrate that these designs of inquiry could
be compelling, despite their distortion or exclusion of rational thought; thus denying the
full benefit of human reason as advanced by the systems approach. This led me to an
important insight concerning the consequences of being inclusive rather than exclusive
in my selection of approaches to inquiry and action. This inclusionary approach is
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different from merely respecting and accepting a diversity of approaches. It is an
approach that leads to the creation of compound forms of inquiry embodying the best of
the traditions of inquiry chosen for inclusion.
RE-DESIGN
A degree of academic emancipation came from my introduction to Churchman’s
belief in the Singerian concept of sweeping in any form of inquiry, or information that
would contribute to a successful solution or best approximation of a real world
situation. First as his graduate student and later in my professional collaborations with
him, I was encouraged to consider including any approach that had relevance to the
work at hand—as long as it did not compromise quality or integrity. This became an
essential part of my systems approach.
As a consequence, this opened many productive avenues for the further
development of a Churchman inspired approach to social systems assessment. This
included the development of a systems approach that is multi-modal rather than
interdisciplinary or multidisciplinary. One such multi-modal assessment process is
based on design, or redesign, as a form of systemic inquiry and action. A colleague,
Prof. Erik Stolterman, and I have explored the concept of design thinking as a separate
and unique tradition of inquiry, which is distinct from traditional forms of inquiry such
as art or science (Nelson & Stolterman 2000a, 2000b, 2002, 2003).
An important point to restate here is that there is no clear, logical bridge
between dealing with wicked problems or messes and re-designing systems. Rittel’s
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characterization of wicked problems leads to a form of assessment paralysis—a dead
end. There is no simple or direct way to go forward. To avoid paralysis, the strategist
needs to reframe the problematic circumstance into a design situation.
As presented here, the social systems assessment process is essential to any
successful re-design situation (it is equally essential in support of an inceptive design
process). However, there is a substantial difference between the two approaches—
systems assessment and re-designing. This is a crucial point that is not often made clear
in discourses on systems designing. Systems theories, methods, models etc. are essential
logical elements in any design composition process but they are just ingredients and not
the full recipe.
ASSESSMENT ASSERTIONS
A mnemonic aid for facilitating communication with stakeholders in social
systems assessment projects (an addendum to the teleological questions developed from
West Churchman’s original systems categories) consists of a list of assertions:
Synthesis and analysis: • The situation is this… • This is why… Critique and intervention: • The situation ought/should be this… • This is because… • This is how it is to be changed…
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Ideal intervention: • The ideal situation is this… • This is the authority for the ideal… • This is how it can be approximated… Re-design intervention: • The desired improvements are these… • It is desired by (decision makers)… • It is desired for (clients, surrogate clients)… • These are the measure of performance… • These are the contexts & environment… • These are the means & resources… • These are the people involved… • These are the relationships and protocols…
Design intervention: • (Requires stepping out of assessment mind set)
This short list of assertions for each phase of the assessment process helps to
quickly give a sense of what the intended outcomes are for each stage. A distilled list
such as this, serves as a quick reference for stakeholders and participants in any social
systems assessment process. This set of assertions must be unpacked, expanded and
specified in great detail for any particular project or situation. Combinations of research,
observations, judgments and beliefs, are needed to support and complete each assertion.
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SUMMARY
Each division of this systems assessment framework can obviously be expanded
and refined far beyond the examples given. The intention here has been to give a few
illustrations of the way Churchman’s ideas, concomitant with the work of others he has
influenced or been influenced by, can be fit into a generalized social systems
assessment framework. In actuality, each stage and phase of this assessment framework
would be filled out in great detail for every unique application.
This conceptual framework is a valuable and pragmatic means of ordering
information and guiding learning strategies in specific educational settings as well.
Churchman’s seminal ideas will continue to inform the future development of this
framework as both a practitioner’s and an academic’s aid in understanding and
changing human systems of immense complexity and richness.
Because this approach to social systems assessment was founded on the idea that
people are integral to any system formulation, it provides a means for including equal
concerns for what is true and what is right and just, what is aesthetically pleasing and
what is desirable—a seminal Churchman legacy. It is a human centered approach that is
both rigorous and relevant—another Churchman legacy. The focus on people as ends in
themselves, on ethical behavior, on sensing and acting on moral outrage, on being
inclusive and sweeping in, on respectful discourse and creative formulations of
systems—all Churchman legacies—flavors the substance of the framework.
The inclusion of future generations and others who cannot represent their own
interests as clients of systems assessments—a fundamental Churchman legacy—has
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played an imperative role in the employment of this framework. The never-ending
questioning of pat answers and taken-for-granted assumptions—another Churchman
legacy—has given color and dimension to the framework. Most especially his legacy
guides the ongoing concern for how we are obliged to secure improvement in the human
condition.
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REFERENCES
Ackoff, Russell L. (1974). Beyond Problem Solving. General Systems, XIX: 237-239
Churchman, C. W. (1961). Prediction and Optimal Decision: Philosophical Issues of a Science of Values. Prentice-Hall: Englewood Cliffs, NJ. Churchman, C. W. (1971). The Design of Inquiring Systems; Basic Concepts of Systems and Organization. Basic Books, Inc.: New York, NY. Churchman, C. W. (1979). The Systems Approach and Its Enemies. Basic Books, Inc.: New York, NY. Churchman, C. West, Harold G. Nelson and Kreg Eacret (1979). Value Distribution Assessment of Geothermal Development in Lake County. Lawrence Berkeley Laboratory, University of California, Berkeley, Department of Energy Contract No. W-7405-ENG-48, CA. LBL-6875, UC-66, TID-4500-R66. Kant, Immanuel (1788) Critique of Practical Reason. transl. By L. Whitebeck, 1956. Bobbs-Merrill: New York, NY. Linstone, H. A. (1984). Multiple Perspectives for Decision Making. North-Holland: New York, NY. Linstone, H. A. (1999). Decision Making for Technology Executives: Using Multiple Perspectives to Improve Performance. Artech House Publishers: Boston, MA. Nelson, H. G. (1979). Energy Resource Development and Community: Vanishing Community, Boom Town, Home Town. Ph.D. Dissertation in Design of Social Systems. Graduate Division of the University of California at Berkeley. Nelson, H. G. and E. Stolterman (2000). The Case for Design: Creating a Culture of Intention. Educational Technology XL (No. 6): 29-35. Nelson, H. G. and E. Stolterman (2000). Design as Being in Service. Foundations for the Future; Doctoral Education in Design:23-33. D. Durling and K. Friedman (eds.). Staffordshire University Press: Staffordshire, GB. Nelson, H. G. and E. Stolterman (2002). Design Judgment, Decision Making in the "Real World". Common Ground: 125. D. Durling and J. Shackleton (eds.). Staffordshire University Press: Staffordshire, GB.
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Nelson, H. G. and E. Stolterman (2003). The Design Way; Intentional Change in an Unpredictable World, Foundations and Fundamentals of Design Competence. Educational Technology Publications, Inc.: Englewood Cliffs, NJ. Rittel, H. (1972). On the Planning Crisis: Systems Analysis of the 'First and Second Generations'. in Bedrifts Okonomen (Norway)(No. 8): 390-396.