Research Methodologies

Guohua Bai (Ph.D.)

Blekinge Institute of Technology
Guohua.bai@bth.se
 Introduction
- What is about research

 The good researcher is not ”one who knows the right

answers” but ” one who is struggling to find out what
the right questions might be”.
 ”Original investigation undertaken in order to gain
knowledge and understanding”.
 “It is all about asking the right question and then
work systematically to address it.”
 Evaluation or change oriented research?
 Real world (field) or basic research?

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 Introduction
- Academia vs. Industry:

 We are primarily concerned with research projects

conducted in an academic setting. This means:
– that you should adhere to certain criteria regarding research
methods and so forth.
– Academia: critical thinking, justification and develop your
own thoughts, arguments, ideas and concepts.
– Industry: more oriented towards developing a particular
solution to a problem. In particular, you must balance these
two views if doing your thesis in industry.

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 Introduction
- Types of Methodologies

– Fixed design: pre-specifications, assumptions,

quantitative often
– Flexible design: qualitative often, unfold type
– Mixed: Use both in different sub-problems.

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 Introduction
- A typology of methodologies

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 Introduction
- Being scientific

A scientific attitude: carry out research

systematically, sceptically, ethically
 The standard view (positivism) of science
p.20 box 2.1 and critiques p.22 box 2.2

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 Introduction
- Some of the most common methods

 Actionresearch
 Experiment
 Case study
 Survey

Those methods will be mainly introduced in this course.

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 Introduction
- Example of research process (Blaxter. L.)

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 Introduction
- Example of research process (Blaxter. L.)

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 Introduction
- process of doing research

1. Choose a practically and theoretically meaningful subject

2. Form your hypothesis/questions (see hypothesis) and predict
possible outcome, i.e., the goal or contribution of your work.
3. Work out a time table or procedure for the work (when, where
to do what).
4. Collect data, design experiment, and test hypothesis (see
experiment design)
5. Explain, analyse, or synthesise the result of your data or
testing according to your hypothesis, and draw your
conclusion
6. Write report, evaluation

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 Introduction
- Inductive & deductive research process
(Blaxter.L)

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 Research Design

Design is concerned with turning

research questions into projects
This part deals with:
– How to identify topics
– Originality,
– Types of research project,
– Tactics in project conduting,
– Hypothesis,
– Problem formulation.

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 Research Design
- A general framework

Purpose(s) Theory

Research
questions

Data
Methods
collecting

Fixed design strategy: The above are pre-defined, typical like an traditional experiment,
normally involving hypothesis testing.
Flexible design strategy: The above are evolved through the study or in the end of study,
typical like ethnographic study, and even some case studies.

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 Research Design
- Originality

 Think about how the ways of originality/innovation

– Tools, techniques, procedures and methods
– Exploring the unknown (rare)
– Exploring the unanticipated
– The use of data
 Two original things you may do:
– You can be original in the way you do things.
– You can be original by developing or producing something
new

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 Research Design
- Some hints

 Project diary! Start writing notes when your project

starts and write continuously throughout the project
(this is an important document for the course assignment and
examination).
 Divide the total time in the project among different
tasks (how large should different tasks be relatively
each other, relative time).
 This is actually a good piece of advice also when it
comes to working with different assignments in
courses in general.

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 Research Design
- Choose a right subject

 Your knowledge about the subject

 Your interest (your motivation)
 Scientific and current interest
 Challenge v.s. your capability (‘lagom’ in
Swedish)
 Empirical evidence available (case available)

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 Research Design
- Risks to be not scientific

 Too general, or too specific (figure below)

 Too much raw work (e.g., coding, practical
implementation)
 Descriptive (survey), not analytical (case study)
 Only reference to others’ work, no critical thinking
Width
 Too bad 
Too general

 
  Problem domain
 Proper position

18 Deepness
08-10-23 Too specific Guohua Bai (Ph.D. Docent)
 Research Design
- Decide types of projects

 Five types:
– Research-based project
– Development project
– Evaluation project
– Industry-based project
– Problem solving
 The five types are not mutually exclusive.

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 Research Design
- Estimate your project

 Capability to do it in time
 Interesting project
 Serious purpose (related to impact)
 Clear outcome
 Project suitably linked to your degree
 Sufficient scope and quality
 Not a personal issue
 Make a risk assessment

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 Research Design
- Finding a project

 Several ways of identifying a project:

– List of projects (primarily industry)
– Past projects
– Talking with colleagues
– Reading around
– Clustering (keyword-driven)
– Brainstorming

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 Research Design
- Formulate hypothesis

 Hypothesis can be generalised in a semantic form:

If [conditions] then [result]
(not necessarily the same syntax form)
 Hypothesis should tell exactly what you are going to examine about
(what is input, output, and their relationship).
 Hypothesis must be a meaningful statement (påstående) which is
generally not answered yet.
 Hypothesis examples:
 If users are provided with a structured interface, then they will learn
quicker than with an unstructured interface.
 Large organizations mostly employ recognized standard design
methods for maintaining software quality.
 Probability of accident is higher when people talk in portable telephone
under car driving

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 Research Design
- From hypothesis to questions

 Pick-up key concepts in the hypothesis and

ask youself ’is this concept theoretical and
meaningful to study’
 How the concepts related to each other
 How to prove the assumed/hypothetical
relationship
 Then formulate questions around the
concepts and relationship.

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 Research Design
- Examples: hypothesis to questions
 Hypothesis 1: If users are provided with a structured
interface, then they will learn quicker than with an
unstructured interface.
 Key concepts: structured interace & unstructured interface,
learning, and speed of learning (quicker)
 Relationship: more structured leads to quick learning
 Questions: how to categorize levels of interface structure?
How users (novice & expert) learn to use a system through an
interface? How to measure the speed of users’ learning?

Do the same excise as above to hypothesis 2 and 3.

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 Research Design
- Preparing a project proposal

Mind-road for the proposal

 Introduction to the subject area (context)
 Current research in the field (position where
you are)
 Identify a gap (problems identification, goals)
 Identify how your work fills that gap
(innovation, contributions, and method to
implement a solution).

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 Research Design
- Project planning

 Thisis among the first things you have to do

when the project has been approved.
 Work breakdown
 Time estimates (lead time and effort)
 Milestone identification
 Activity sequencing
 Scheduling
 Re-planning
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 Managing your project

 This part will deal with

– Managing time
– Mapping your project (Scheduling into time slots)
– Piloting (testing in small scale)
– Dealing with key actors
– Labor division
– Managing your temper

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 Managing your project
- Managing your time

 Your habits toward time

 Time is short without motivation
 Your priority dealing with parallel tasks
 Time buffer to prepare unexpected
happenings
 By using project diary

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 Managing your project
- Mapping your project (see also ex. p121, p122, Blaxter)
Week Date Deliverable

4 02/10 Created a schedule for our project.

5 02/17 Developed project idea. We presented our initial idea based on
collaborative applications that featured shared displays.
6 02/24 Further refinement to the ideas occurred. Our project concept became
focused on collaborative data collection and visualization. In
studio, we presented our refined ideas.
7 03/02 First low-fi prototype was shown to class. Revisions were suggetested.
8 03/09 First revision of Low-Fi prototype will be presented. User testing will
take place this week.
9 03/16 user testing will continue and rapid prototype will begin to be developed

10 03/23 Spring Break

11 04/06 Testing and development of rapid prototype..
12 04/13 Evaluation of rapid prototype.
13 04/20 Development of final Interactive Prototype: First Half
14 04/27 Final Interactive Prototype: Second Half will be developed.
15 05/04 Pilot User Studies will occur.
16 05/08 Final Iteration on Prototype will occur. Final reserach product will be
released.
17 05/15 Presentation of project.
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 Managing your project
- Piloting

 Never believe things will go according to the

planed.
 Strategy to select the parts of project for
pilot.

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 Managing your project
- Dealing with key actors

 Supervisor:expectation & self-responsibility

 Project managers: knowing resources for
projects
 Examiner: knowing criteria of examination
 Project owner: making a contract with those
who have right to decide access to data
sources, and financing

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 Managing your project
- Labor division

 Team work and co-operation must be based

on a clear labor division.
 Shared responsibility
 Positive attitude toward different opinions
(contradictions as source of development,
avoid conflicting)

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 Managing your project
- Managing your temper

 Remeber research is a process of learning and you

are allowed to make mistake.
 20 often made mistakes (p136, box 66, Blaxter)
 Expect changes and mistak and never loss your
temper
 Prepare youself according to those 20 mistakes in
box 66, what to do if you made the mistake?

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 Data Collection and Analysis

 This part deals with the followings:

– Data- what is about?
– Techniques for collecting data, including:
 Reading documents
 Survey and Questionnaries
 Observation
 Interview

– Quantitative and Qualitative analysis

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 Data Collection and Analysis
- What is about data?

 Data – Information – Knowledge – Wisdom

 Information is a form of processed data or facts
about objects, events or persons, which are
meaningful for the receiver, inasmuch as an increase
in knowledge reduces uncertainty.
 Information becomes knowledge only when we
decide to put it into use.
 Information I= i (D,S.t), where i represents an
interpretation process, D a set of data, S: previous
knowledge, and t: the time which the information is
available.

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 Data Collection and Analysis
- Reading documents

 Regarded as secondary data (knowing the author

and context of the documents)
– Statistics and report
– Government white papers
– Company annual report
– Institutional documents
– Books and journals
– Newspaper, television and radio

 Why using secondary data? (p153 box 74 )

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 Data Collection and Analysis
- Surverys and questionnaries

 Stepsin conducting interview-based

questionnare survey （ 100% time).
– Develop research questions, and study design
(25%)
– Informal test of questionare and revise
questionnaire (5%)
– Carry out main data collection interview (30%)
– Code data and data files (15%)
– Analyse data and write report (25%)

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 Data Collection and Analysis
- Surveys and questionnaries

A survey can be done by face to face

interview (time consuming), telephone, postal
reply (low response), and increasing via
Internet or e-mail (representative validity?)

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 Data Collection and Analysis
- Observation

 Participation in observation (action research)

 Independent observation
 Structured observation and open mind
observation
 Observation in enthnography study
 Use tools, dictaphone, video, etc. to
observation

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 Data Collection and Analysis
- Interview

 The most powerful way to collect data

 Structured & open-ended interview
 Select right places to conduct interview
 Work in team, one conducts questioning,
another takes notes
 Let the interviewees prepare questions
 Think about how to deal with the data
collected

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 Quantitative and Qualitative Analysis

 Quality & quantity-two sides of the same

coin?
 Quality first (knowing what) and quantity later
(knowing how much)
 The dialetical and independent relationship
between quality and quantity

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 Quantitative and Qualitative Analysis
- Analysis

 Data analysis (interpretation)  meaning

(information)
 Unstructured data analysis (representation)
structured data
 Mass data  Analysis (Abstracting) visible and key
findings
 Analysis as a break-down or ’drill-in’ process (not a
summary or add-up process)
 Analysis must apply theories/concepts to link your
findings to existed knowledge/understanding.

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 Quantitative and Qualitative Analysis
- Process

 There is no standard method to analyse all

kinds of data (documents, interview,
observation, questionaries) p.185-200,
Blaxter)
 The right choice of a method for data
analysis depends on the quality of data,
purpose of study,and your knowledge.
 Using statistics software for analysis
quantitative analysis
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 Some Basic Types of Research Methodologies
(* indicates the weight on the subject)

Methodologies Questions Application Contemporary Tools or instruments

used theory events and
data collection
Survey who, what, where, * **** statistics, interview
how many(much)
Exploratory what, where, how ** *** participatory, ethnography
Experiment What, how ** ** prototyping, technique
Case Study Why, how **** *** systems analysis, synthesis
Modelling what, how **** ** logic, mathematics
Theory what, how, why ***** * inductive, intuition, logic
generalisation

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 Basic Methods
- Experiment

 Experiments are carefully planned and fully

controlled. An experiment should be replicable, i.e.
somebody else should be able to repeat it.
 You observe or measure outputs of the examined
system (dependent variables) by systemically
change/manipulate the value of the input
(independent variables), and to identify if the
relationship of input-output agrees with your
hypothesis.

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 Basic Methods
- Experiment principle

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 Basic Methods
- Experiment

 Example: to test if different rates of learning (output) exist for three

different type of interfaces (input as command, ask/answer, window
based), this examination can be shown as this figure:

Environment
(disturbance)
Input
Output
(independent variables)
Examined (Dependent Variables)
(types of interfaces) System or phenomena (Rate of Learning)

Hypothesis of In/out relation

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 Basic Methods
- Experiment process

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 Basic Methods
- Experiment planning

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 Basic Methods
- Experiment operation

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 Basic Methods
- Case Study

What is case study?

The essence of a case study, the central tendency among all
types of case study, is that it tries to illuminate a decision or set
of decisions: why they were taken, how they were implemented,
and with what result. (Schramm, 1971, emphasis added)
– We extend the topic ‘decision’ to include ‘individuals’, ‘organisations’,
‘process’, ‘program’, ‘methodologies’, ‘policies’, ‘events’, ‘society’ in our
case studies.
– Emphasis on explanatory, not descriptive, and on single- embedded (type
2) , not on multiple-embedded (type 4, see table 1.).

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 Basic Methods
- Basic types of case study

Table 1: basic types of case study

Singles-case multiple-case
Holistic
(single unit
of analysis) Type 1 Type 3

Embedded
(multiple unit
of analysis) Type 2 Type 4

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 Basic Methods
(end L5)
- Choose a right case

The case represents the critical case to confirm, challenge, or extend a

theory by testing its proposition, or alternative explanations.
☛ The case represent an extreme or unique case.
☛ The case is an revelatory (avslöjand, uppenbarande) case.

Why (not) to choose multiple case study?

Evidence is more compelling, robust, and representative.
Replication logic (every case should serve a specific purpose within the
overall scope of inquiry, not sampling logic (multiple respondents in a
survey)
Extensive resource and time, beyond a single student or researcher

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 Measurement

 1: Nominal Scale: A classification of categories, qualitative differences,

no quantitative meaning (e.g., group 1, group 2,......).

 2: Ordinal Scale: Ordering according to quantitative differences,

though it does not exactly tell how much the differences are (good,
bad, ..).

 3: Interval Scale: Assigning an equidistant to different status of

measured phenomena (e.g., Fahrenheit temperature scale)

 4: Ratio Scale: There is an absolute zero point so we can make ratio

calculation (e.g, distance, mass, time)

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 Reliability (method), Validity (data),
and generalisability (analyses)

 Reliability is judged by the consistency with which known method

(instruments) produce certain measurement. If you measure the same
phenomenon more than once with the same instrument, method, then
you should get the same result (free of subjective-bias, standard
methods)
 Validity is judged by whether you are measuring, or explaining what
you claim to be measuring or explaining (Validity of data generation
methods and validity of interpretation).
 Generalisability is judged by the extent which your explanations are
still valid and reliable (deduction).
Accurate (reliable), and correct (valid) Accurate (reliable), not correct (not valid) Not accurate (not reliable), correct (valid)

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 Criteria for a Valid Examination

 1: The examiner must systematically manipulate/observe one or more

independent variables in the domain under investigation;

 2: The examination must be made under controlled conditions,

such that all variables which could affect the outcome of the
experiment are controlled;

 3: The examiner must measure output as a function of the input

variables.

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 Conditions for a valid and reliable
examination

 System being observable: To transform quality to quantity:

 System being stable: The system must be able to remain at some
determined status under constant experimental conditions.
 System being controllable :The system output (dependent variables)
must be sensitive to the change of input (independent variables).
(The selected dependent variables and independent variables must
have an observable cause-effect relationship. )
 You must have a goal for an experiment, e.g, to test some predefined
hypotheses, to gain more information about problem space, to identify
variables in relation to a problem under investigation.

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 Basic Methods
- Prototyping in Design

 To understand, evaluate and validate a

product solution, a prototype may be built.
We may do the same for processes/methods
using empirical studies.
 Especially, experiments using human
subjects or simulation may be used for
process evaluation.

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 ❶ Lifecycle or Waterfall Approach

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 Problems About the Iifecycle Model

1: Real projects are not sequential in the rigid way that this
model assumes, but in a different order with iteration.
2: It is not possible to elicit or identify all the requirements
at the start of the project because of unpredictable
changes.
3: It is often expensive to correct design and coding errors
in the late process of testing and maintenance.

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 Advantage About the Lifecycle/Waterfall Model

1: It provides a comprehensive template (as of DNA) in

which many important aspects of design can be placed.
2: It provides generic steps that are found in most
software engineering paradigms.
3: It is the most widely used model at least in large
software project.
4: It is superior than unplanned design (haphazard).

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 ❷ Prototyping Approach

Introduction:
 The use of experimenting with prototypes has
become prominent due to a number of
claimed advantages in the case that users
requirements are difficult to specify. In
principle users should be highly motivated in
acting since they are provided with more
chances to improve their work, to verify if their
needs are taken care of and that the terms
used in the interface, functions of the designed
system are consistent with their work.

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 Types of Prototypes

 Throwaway prototype: to initiate user

interest, develop builder skills, to reduce risk
and investment.
 Evolving prototype: Adaptive, prototype to
be product
 Co-operative Prototype: Participatory
Design (PD)
 Embryonic Prototype: Feedback Learning,
organic development.

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 Model of Prototyping Approach

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 Steps in Prototyping

 Requirements Gathering: Designers and the customer define the

overall objectives of the system, and some known requirements.
 Quick Design: Focuses on the design of interface.
 Build Prototype: Choose the types of prototypes and build
quickly.
 Evaluate and Refine: Involving the designers, the customers, and
the users to experience the prototype and elicit requirement
more specific than requirement gathering.
 Engineer product: Based on the prototype, the final product is
engineered.
 Iteration: Occurs at any stage where an error is detected or an
evaluation is identified, until the product is satisfied by the users
and customers.
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 Dimensions of Prototyping

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 Techniques for Implementing
Prototypes

 Verbal prototyping: verbal description of choices and

results.
 Paper mock-ups: printouts or sketches of screen
designs.
 Wizard of Oz: human expert operating behind
scenes.
 Fake data: similar data, images instead of video, etc.
Simple algorithms: ignore special cases.
 Prototyping tools: e.g. HyperCard, ToolBook.
 UIMS (User Interface Management Systems):
interactive interface builders such as Visual C++.

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 EmPA System Development Model

Weeks or Monthes
User satisfied
Architectural Kernel
Days or weeks Days or weeks Hours or days
Work done
(Re)design Prototype Work with prototpye Work Evaluation

Start with
Communication Links

User not satisfied

Hours or days

Feedback to designer

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 Problems with Prototyping Approach

☛ "Throwaway" type of prototype will have adaptive problem in case

the customer or user will hold and work with the prototype
☛ It is a trial and error approach to design, so it could be expensive
in view of customers time and resources.
☛ It is a learning-oriented and feedback communication process
(participatory Design), there will be many contradictions involved
the whole process.
☛ Inadequate problem analysis.
☛ Difficulty in resource planning.

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 Problems with Prototyping Approach

☛ difficulty in making a good decision on whether to enhance an old

system or build a new version

☛ the boredom that the Nth iteration of a system may bring to the
designers one iteration after another

☛ difficulty for documentation, because the system is so easily changed

that keeping documentation up to date is a problem.
☛ Difficulty to develop large system because of multi-site testing and
difficulty in integration

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 Advantages with Prototyping Approach

1. The customers and users can be motivated in

acting since they are provided with more
chances to improve their work, to verify their
needs, to check if the interface, functions are
consistent with their work.
2. Errors in design can be checked out in an
early stage.
3. The final product can be more suitable and
accepted by the specific users than lifecycle
71 model. 08-10-23 Guohua Bai (Ph.D. Docent)
 When Not to Use Prototyping

◆ when the designers do not have a good

understanding of the programming tools
◆ when the organisation's data resources are not
organised and managed for quick access
◆ when information department is unwilling to develop
a staff of professional prototype builders
◆ the users is unwilling to invest time during the
development

72 08-10-23 Guohua Bai (Ph.D. Docent)

 How Prototyping differs

◆ Different tools
◆ Different Skills:
◆ Interview skills are not as important as they are
with conventional methods
◆ Designers spend more time with users and less
time coding (more people oriented)
◆ On user’s side, prototyping requires the most
knowledgeable users (the manager) and more
time to work on the system design.

73 08-10-23 Guohua Bai (Ph.D. Docent)

 ❸ Participatory Design Approach

PD

The Scandinavian tradition of socio-

technical approach to the design of
work and artefacts

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 Two objectives of PD

 Increase the satisfaction of the end-users

 Increase their work efficiency, effectiveness,

and aesthetics

75 08-10-23 Guohua Bai (Ph.D. Docent)

 Three levels of participation

 Consultative participation: leaves the bulk of

decisions on how a new work system shall be designed and
jobs structured to the traditional systems design group.
 Representative participation: requires a higher level
of involvement from the staff of a user department.
 consensus participation: takes the democratic
approach to a higher level by attempting to involve all staff in
the user department continuously throughout the system
design process.

76 08-10-23 Guohua Bai (Ph.D. Docent)

 PD Condition and Conflict

☛ Conditions for PD approach: No-one must suffer and as many

employees as possible should gain from the changes.
☛ All change involves some conflicts of interest. To be resolved,
these conflicts need to be recognised, brought out into the open,
negotiated and a solution arrived at which largely meet the
interest of all parties in the solution. PD approach is one way of
bringing about differences and conflicts of interest into the open.

77 08-10-23 Guohua Bai (Ph.D. Docent)

 What to take care of
when the project is established

☛ Have Management support

☛ Specify in a contract how much time the users can/shall
spend on the project.
☛ Have a steering group in which conflicts can be discussed.
☛ Be sure the required equipment is available for systems
experts and users.

78 08-10-23 Guohua Bai (Ph.D. Docent)

 What to take care of
during the project

☛ If the users don´t want some thing, don´t do it, even if it

seems to be the perfect computer systems for their needs from a
systems expert point of view.
☛ Do not do everything the users proposed. The users are not
always aware of the consequences of their proposals, and they
can often be conservative in that they do not utilise the
possibilities given by computer technologies.
☛ Do not forget to inform users about any progress, otherwise
the users will feel left out, and it will no longer be a PD project.
79 08-10-23 Guohua Bai (Ph.D. Docent)
 Problems in PD

 PD is too idealistic;
 PD is biased toward workers;
 PD lack method or model;
 PD designers need to rely strictly on
experience

80 08-10-23 Guohua Bai (Ph.D. Docent)

 Prototyping in PD

 Prototyping as learning process between

designers and end-users
 prototyping as skill learning for both end-
users and designers
 Problems in PD prototyping.

81 08-10-23 Guohua Bai (Ph.D. Docent)

 System Thinking and Methodologies

•What is about GST

–A theory of everything (interdisciplinary, cross-scientific, universal, law of
laws)?
–Enlightenment v.s. instrument (why, what and how)
–Abstract v.s. Specialised

•Words by Kenneth Boulding (1956):

General Systems Theory is the skeleton of science in the sense that
it aims to provide a framework or structure of systems on which to
hang the flesh and blood of particular disciplines and particular
subject´matters in an orderly and coherent corpus of knowledge.

82 08-10-23 Guohua Bai (Ph.D. Docent)

 System Thinking and Methodologies

Why Study System Methodologies

• Introduce order and meaning to observations that may otherwise

seem chaotic.
• Explain complexity in a simple manner by establishing connections
and laws.
• Guide future research direction, prediction, make
recommendations, and find problem solving methods.

The stages of human knowledge in the history

Mechanistic and
Pre-science Rise of Science 2000
determinism;
(Scholastic paradigm) (Renaissance paradigm) Relativity and
hegemony of determinism;
(The theological stage) (metaphysical stage) quantum theory The systems age
Positive Stage

2 Century 16 Century 18 century 19 century Mid. 20 century

83 08-10-23 Guohua Bai (Ph.D. Docent)
 The Reductionism Thinking and Analysis

Reductionism argues that from scientific theories which explain

phenomena on one level, explanations for a higher level can be
deducted. Reality and our experience can be reduced to a number of
indivisible basic elements. Qualitative properties are possible to reduce
to quantitative ones

The reductionism provide foundation for the analytical method :

Dissect conceptually/physically
Learn the properties/behaviour of the separate parts
From the properties of the parts, deduce the properties/behaviour of the
whole.
Free from environment influence: standard scientific laboratory
Free from observer’s subjective influence: non-intervention, neutrality and objectivity

84 08-10-23 Guohua Bai (Ph.D. Docent)

 The Scientific Method

In conducting scientific activities (such as to describe, control,

predict, and explain phenomena) was formed by the following
orders:

 Reduction of complexity through analysis

 Development of hypotheses
 Design and replication of experiments
 Deduction of results and rejection of hypotheses
 Evaluation and correction

85 08-10-23 Guohua Bai (Ph.D. Docent)

 What is the big thing ?
- A metaphor of analysis

86 08-10-23 Guohua Bai (Ph.D. Docent)

 Some propositions from systems scientists

"The whole is more than the sum of its parts"

(Aristotle, 384-322 B.C. Greek) is a definition of the
basic system problem.
"The properties and model of action of higher levels
are not explicable by the summation of the properties
and modes of action of their components taken in
isolation. If, however, we ensemble of the components
and relations existing between them, then the higher
levels are derivable from the components" That is, in
order to understand an organised whole we must
know both the parts and the relations between them .
(Ludwig Von Bertalanffy, 1972)
87 08-10-23 Guohua Bai (Ph.D. Docent)
 Systems Synthesis

Synthesis is a prerequisite for the systems thinking, just as

analysis was for the mechanistic thinking. It takes steps from
whole to parts:
1. Identify the system of which the unit in focus is a part;
2. Explain the properties or behaviour of the system;
3. Finally, explain the properties or behaviour of the unit in focus
as a part or function of the system.
@ Synthesis does not create detailed knowledge of a system’s structure. Instead it
creates knowledge of its function. Therefore, synthesis must be considered as
explaining (why, functions, understanding) while the scientific method must be
considered as describing (what, how).

88 08-10-23 Guohua Bai (Ph.D. Docent)

 Why does the big thing behaviour as such ?
- A metaphor of synthesis
em
ys t
ys
log
ec o
ig
eb
Th

89 08-10-23 Guohua Bai (Ph.D. Docent)

 Basic Ideas of System Thinking
What is a “system”

☛ A system is not something presented to the observer, it is something to be

recognised by him. Most often the word does not refer to existing things in the
real world but rather to a way of organising our thoughts about the real world
(Constructivist view)”

☛ ”A system is anything that is not chaos. (Kenneth Boulding, 1985)”

☛ ”A system is a structure that has organised components (Churchman, 1979)

☛ A system is a set of interacting units or elements that form an integrated whole

intended to perform some function (Lars Skyttner, 1996).

☛ A system is the organised collection of men, machines and material required to

accomplish a specific purpose and tied together by communication links
(Business management).

90 08-10-23 Guohua Bai (Ph.D. Docent)

 System
A relationship
An element

ut
Outp
Inpu
t

’The system’

’The environment’
These three elements are
on a feedback loop Boundary

A general conception of ’system’ (Flood R. and Jackson M., 1991)

91 08-10-23 Guohua Bai (Ph.D. Docent)
 Kinds of Systems (Ludwig Von Bertalanffy,1972)

☛ Real System (concrete, or physical) which entities are

perceived in or inferred from observation and existing independently of
an observer; they can be man-made or natural, living or non-living
systems

☛ Conceptual Systems which essentially are symbolic idea

constructs(linguistic, mathematics, logic);

☛ Abstracted System which is conceptual systems corresponding

with reality (model of traffic, a bridge)
☛ Living and Organic Systems: see p55 specific qualities
differentiate living systems from non-living ones (Structure & genetic;
co-ordination &subordination, control &freedom; qualitatively transform
92 &continuously renew). 08-10-23 Guohua Bai (Ph.D. Docent)
 Kinds of Systems (Ludwig Von Bertalanffy,1972)

☛ Open/closed systems
An open system (all living systems) is always dependent upon an
environment with which it can exchange matter, energy and information,
while a closed system is only open for the input of information (energy).
The differences between open and closed systems are relative. An organism is a
typical example of open system but, taken together with its environment, it may be
considered as a closed system.
Closed systems is not isolated systems which are totally closed from their
environment, and the concept is not applicable in reality (cosmos is
environmentless, and hence it is isolated)
Environment (not the boundary) should be seen as those parts that 1) beyond
the direct control the system, and 2) yet they influence the behaviour of the system.
The immediate environment is next higher level of system minus the system itself.
The entire environment to a system includes this immediate environment plus all
systems at higher levels which contain it.

93 08-10-23 Guohua Bai (Ph.D. Docent)

 Properties of Systems

☛ Interrelationship and Interdependence of objects and their attributes

Unrelated and independent elements can never constitute a system.
☛ Holism Holistic properties not possible to detect by analysis should be possible to
define in the system.
☛ Goal seeking Systemic interaction must result in some goal or final state to be
reached or some equilibrium point being approached.
☛ Transformation process All systems, if they are to attain their goal, must transform
inputs into outputs. In living systems this transformation is mainly of a cyclical nature.
☛ Inputs and outputs In a closed system the inputs are determined once and for all; in
an open system additional inputs are admitted from its environment.

94 08-10-23 Guohua Bai (Ph.D. Docent)

 Properties of Systems

☛ Entropy This is the amount of disorder or randomness present in any system.

All non-living systems tend to toward disorder; left alone they will eventually
lose all motion and degenerate into an inert mass. When this permanent stage
is reached and no events occur, maximum entropy is attained. A living system
can, for a finite time, avert this unalterable process by importing energy from its
environment. It is then said to create negentropy, something which is
characteristic of all kinds of life.

☛ Regulation The interrelated objects constituting the system must be

regulated in some fashion so that goals can be realised. Regulation implies that
necessary deviations will be detected and corrected. Feedback is therefore a
requisite of effective control. Typical of surviving open systems is a stable state
of dynamic equilibrium.

95 08-10-23 Guohua Bai (Ph.D. Docent)

 Properties of Systems

☛ Hierarchy Systems are generally complex wholes made up of smaller

subsystems. This nesting of systems within other systems is what is implied by
hierarchy.

☛ Differentiation In complex systems, specialised units perform specialised

functions. This is a characteristic of all complex systems and may also be
called specialisation or division of labour.

☛ Equifinality and multifinality A profound difference between most closed

systems and open systems is expressed by the concept of "equifinality." In an
closed system the final state of the system is determined by its initial
conditions. A change in the initial conditions produces a change in the final
conditions. A different behaviour is shown among open systems : under many
conditions the same final state may be reached from different ways.

96 08-10-23 Guohua Bai (Ph.D. Docent)

 Example of Systems Hierarchy

Holon Hierarchy represented by circles

97 08-10-23 Guohua Bai (Ph.D. Docent)
 Hierarchy of Systems

An organism hierarchy
Multilevel of systems hierarchy
98 08-10-23 Guohua Bai (Ph.D. Docent)
 Checkland’s Soft Systems Methodology

 Philosophy: hard and soft paradigms

 Principles: Learning; Participation; Culture.
 Methodology (7 steps)
 Step 1: The problem situation: unstructured
 Step 2: The problem situation: expressed
 Step 3: Root definitions of relevant systems (CATWOE)
 Step 4: Conceptual model
 Step 5: Comparison of 4 with 2
 Step 6: Feasible, desirable changes
 Step 7: Action to improve the problem situation
 Critique of SSM

99 08-10-23 Guohua Bai (Ph.D. Docent)

Checkland’s Soft Systems Methodology

The problem Action to Feasible, desirable

6 changes:
situation: improve the
unstructured problem -------
situation ------
1
7 ------

2 Real World
5 Systems thinking
The problem
situation: Comparison
expressed of 4 with 2 4

Conceptual
models
3
4a
Formal 4b
system Other systems
Root definition of thinks
concept
relevant systems
 Activity Theory Approach

What is an Activity
– Activity is a necessity of human social life
– Activity is an interaction between subjects and their physical, social and
cultural environment
– Activity is a reciprocal transformation between subject and object.
– Activity can be analysed in a hierarchical structure.
– Activity is always mediated by artefacts.
– Activity is initially social in nature.
– Activity theory considers contradictions as a basic resource of
development.

101 08-10-23 Guohua Bai (Ph.D. Docent)

Activity Theory
Perspective
 Design
 What is design?…It’s where you stand with a
foot in two worlds — the world of technology
and the world of people and human purposes
—and you try to bring the two together’
Mitch Kapor in T. Winograd Bringing design to Software (1996), p.1)

103 08-10-23 Guohua Bai (Ph.D. Docent)

 Interaction – A feedback loop

Feedback

By using tools
Acting on Transform
Subject Object Outcome

Actors Being acted Result

104 08-10-23 Guohua Bai (Ph.D. Docent)

 IT Design – More Than an Actions

Activity/Motives
Why? For what purpose?

S Action: Design IT Outcome

analysis, design,
implementation, test

Operations
coding software, running test, etc.

105 08-10-23 Guohua Bai (Ph.D. Docent)

 Tool Mediation (Leontiev)

Tool

Activity Motive
Actions Goals
Operations Tasks
Subject Object Outcome

106 08-10-23 Guohua Bai (Ph.D. Docent)

 Activity Structure: the Triangle
(Y. Engestrom)

Tools

Transformatio
n
Subject Object process Outcome

Rules Community Division

of labour
107 08-10-23 Guohua Bai (Ph.D. Docent)
 Learning Activity in IT Design

Feedback-learning

Hard/software

Designers’ outcome
Designers IS in Design
IS in Use

Contracts, Agreement IS Companies, Dept. of Analysis,Coding, Users Work

Time table, standards research units Evaluation, User Education Users’ outcome

Designers’ Activity System Users’ work

Rules, norms, Work distribution
communities, other
standards, etc. for work and responsibility
organisations

Users’ Activity System

108 08-10-23 Guohua Bai (Ph.D. Docent)
109 08-10-23 Guohua Bai (Ph.D. Docent)
 The simplified IMIS architecture
IMIS Web Service

Medical Care

Hospital Patient home or out

Other services
Home care and
service

Other services Home services

providers

Man-materials flows

Information flows

110 08-10-23 Guohua Bai (Ph.D. Docent)

 IMIS project context

Component 3: Web based Intelligent

monitoring and alarming system
Hospital
Web Service

Home services

Component 2
Elderly home
(data collection/fusion
and transition, gateway)

Component 1
(needed devices with sensors)
Other services providers

Component 4
A test environment (Lab.)
111 08-10-23 Guohua Bai (Ph.D. Docent)
 Practicing the triangle in e-health

Eva’s Working tools

Eva’s own info.

Eva’s care
Receivers

Eva’s IMIS
Eva’s
(Eva) Healthcare Platform Outcome
Operations in the field

Eva’s taska and

Personal rules responsibility
Eva’s
Virtual Community

112 08-10-23 Guohua Bai (Ph.D. Docent)

 AT as a construction tool for IT architecture
Evaluation and measures

Team’s working tools

Teams’ info. Healthcare Receivers

IMIS Web
services
Healthcare
Team leader (team) outcome

Rules, agreements in Healthcare

Healthcare, labor division

To field workers
Healthcare
Community

113 08-10-23 Guohua Bai (Ph.D. Docent)

 Networked and distributed activity in
healthcare
ld
th e fie
n from Portable
i o
luat
Eva
Information system

Field worker 1 Healthcare

outcome (field 1)

Field 1

E-health
warehouse Other field nodes

Team leader 1 Healthcare

(team) outcome

Healthcare
outcome (field 2)
Ev
alu
atio Portable
nf
rom Information system
the
fie Field worker 2
ld

Field n

114 08-10-23 Guohua Bai (Ph.D. Docent)

 An example of IMIS interface

115 08-10-23 Guohua Bai (Ph.D. Docent)

 What does AT help us to understand?

– A broader view of the IT

– Understanding IT as a tool for work
– Structured observation of the “real life situations” (social
and cultural context)
– Construction IT as info-logical world of real activity

116 08-10-23 Guohua Bai (Ph.D. Docent)

 What is about IMIS

 The IMIS project is to build up a shared, mobile,

and web based communication platform for both
diabetic healthcare providers (hospitals, nurses,
home services, family members etc.) and the
diabetic patients to communicate each other
through some intelligent terminals (such as IBG:
Intelligent Blood Glucose, IM: Intelligent Monitoring, II-Pen:
Intelligent Insulin-Pen, VR: Vibrating receiver Device) as shown in
figure (next page)

117 08-10-23 Guohua Bai (Ph.D. Docent)

 Cybernetics
 In 1948 Norbert Wiener defined the ”Cybernetics” in his book Cybernetics
or control and communication in the Animal and the Machine. Later on it
became part of GST.

 The words Cybernetics is derived from the Greek noun, Kubernetes, which
associates to pilot or rudder.
 The essential feature of intelligent machine and human is that they must
operate according to feedback-the control of a machine or man on the
basis of its actual performance.
 The black-box approach (Input-processing-output -feedback)

Input Processing Output

Feedback
118 08-10-23 Guohua Bai (Ph.D. Docent)
 Basic Elements of Cybernetic Systems

 A Cybernetic system consists of five basic elements (which are

themselves subsystems). They are:
– A control object, or the variables to be controlled
– A detector, or scanning subsystem (sensor)
– A comparator
– An effector, or action-taking subsystem
– A transformer (Feedback)
– Input and output

Input Output
or
+ Effector Object
t
p ara
m
Co Detector

Feedback
Transformer
119 08-10-23 Guohua Bai (Ph.D. Docent)
 Cybernetics (Example 1)
- Control the speed of an engine

Feedback
James Watt’s speed controlling regulator
Regulation
Engine speed changes generates counteracting
forces from the regulator. The steam is chokes or
released, there by returning the engine to normal
operating speed.

120 08-10-23 Guohua Bai (Ph.D. Docent)

 Water entry
Float

Open
Closed

121 08-10-23 Guohua Bai (Ph.D. Docent)

 Cybernetics (Example 2)
- Control the temperature of an oven

V(500)

Controlled Oven

E-Input set Input-Output Compare

(Goal) H-Output (at 250 _ e)
+
V(250)
E H

Feedback loop
V(0)
E H
Output Measurement

E : Electrical type signal

H : Heat type signal
Transforming to
122 e : Allowed deviation
08-10-23 Guohua Bai (Ph.D. Docent)
 Cybernetics (Example 3)
- Control the navigation of a ship

Information System Human Operator Control System Executive system

Target e(t) F(t) U(t) O(t)

-
Cursor

Feedback

123 08-10-23 Guohua Bai (Ph.D. Docent)

 Cybernetics (Example 4)
- Feedback Learning

Input
Learning and Effector Output
Receptor
decision Unit (Executive unit)
(Filter)

_
+

Comparator

Goal Setter

A Learning System With a Positive and Negative Feedback

124 08-10-23 Guohua Bai (Ph.D. Docent)

 Cybernetics (Example 5)
- Management Cybernetics

η
θi µ
+ Operator 2 + Operator 4 + Operator 1
θo

Operator 3

θi : Input desired production goal

θL : New orders arrived θL
θo : Output of production
125 Based on S. Beer (1959) Cybernetics and Management,
08-10-23 New York:
Guohua Bai John Wiley
(Ph.D. & Sons, PP171
Docent)
 Cybernetics (Example 6)
- City Government Cybernetics

Disturbances

Recommended Executive State of

objectives and Administration City and the city
PBS + legislative
decision its people

MIS

Source: Adapted from E.S. Savas, ”City Hall and Cybernetics,” in Cybernetics and the management of Large systems, ed.
Edmond M. Dewan, American Society for Cybernetics, New York: Spartan Books, 1969. pp134-135
126 08-10-23 Guohua Bai (Ph.D. Docent)
 Example (Sociocybernetics)
Open for Enquiring and Learning

Military, political or
democratic decisions

Materials needs for re-production

Social law, Distribution

rules, norm, Market/Planned Production
culture, etc, economy control (IS marketing for
(IS design)
- re-design)

Market needs for consumption

Consumption Exchange
(IS in use) (IS marketing)
Inner loop sociocybernetic system

Social sensor
Statistics bureau
Mass media
Investigator

Outer loop sociocybernetic system

127 08-10-23 Guohua Bai (Ph.D. Docent)

 Cybernetics (Negative and Positive Feedback)
A system with negative feedback will
Situation approach the goal - an equilibrium state no
at the start Equilibrium matter the initiate status, and automatically
compensate for disturbing forces not
necessarily known where it comes and what
Situation is the disturbing force.
at the start
Time
Negative feedback

Explosion A system with positive feedback will

Situation eventually run away, explode and
at the start
destroy the system.
Positive feedback can be used only
Blocking temporarily.
Time
Positive feedback
128 08-10-23 Guohua Bai (Ph.D. Docent)