Ch10

Chapter 10 – Sociotechnical Systems
Lecture 1
1Chapter 10 Sociotechnical Systems

Topics covered
 Complex systems
 Systems engineering
 Systems procurement
 System development
 System operation
Chapter 10 Sociotechnical Systems 2

Systems
 Software engineering is not an isolated activity but is part
of a broader systems engineering process.
 Software systems are therefore not isolated systems but
are essential components of broader systems that have
a human, social or organizational purpose.
 Example
 Wilderness weather system is part of broader weather recording
and forecasting systems
 These include hardware and software, forecasting processes,
system users, the organizations that depend on weather
forecasts, etc.

The sociotechnical systems stack

Layers in the STS stack
 Equipment
 Hardware devices, some of which may be computers. Most
devices will include an embedded system of some kind.
 Operating system
 Provides a set of common facilities for higher levels in the
system.
 Communications and data management
 Middleware that provides access to remote systems and
databases.
 Application systems
 Specific functionality to meet some organization requirements.

Layers in the STS stack
 Business processes
 A set of processes involving people and computer systems that
support the activities of the business.
 Organizations
 Higher level strategic business activities that affect the operation
of the system.
 Society
 Laws, regulation and culture that affect the operation of the
system.

Holistic system design
 There are interactions and dependencies between the
layers in a system and changes at one level ripple
through the other levels
 Example: Change in regulations (society) leads to changes in
business processes and application software.
 For dependability, a systems perspective is essential
 Contain software failures within the enclosing layers of the STS
stack.
 Understand how faults and failures in adjacent layers may affect
the software in a system.

Complex systems
 A system is a purposeful collection of inter-related
components working together to achieve some
common objective.
 A system may include software, mechanical, electrical
and electronic hardware and be operated by people.
 System components are dependent on other
system components.
 The properties and behaviour of system components
are inextricably inter-mingled. This leads to
complexity.

System categories
 Technical computer-based systems
 Systems that include hardware and software but where the
operators and operational processes are not normally
considered to be part of the system. The system is not self-
aware.
 Example: A word processor used to write a book.
 Socio-technical systems
 Systems that include technical systems but also operational
processes and people who use and interact with the technical
system. Socio-technical systems are governed by organisational
policies and rules.
 Example: A publishing system to produce a book.

Organizational affects
 Process changes
 Systems may require changes to business processes so training
may be required. Significant changes may be resisted by users.
 Job changes
 Systems may de-skill users or cause changes to the way they
work. The status of individuals in an organization may be
affected by the introduction of a new system.
 Organizational changes
 Systems may change the political power structure in an
organization. If an organization depends on a system then those
that control the system have more power.

Socio-technical system characteristics
 Emergent properties
 Properties of the system of a whole that depend on the system
components and their relationships.
 Non-deterministic
 They do not always produce the same output when presented
with the same input because the systems’s behaviour is partially
dependent on human operators.
 Complex relationships with organisational objectives
 The extent to which the system supports organisational
objectives does not just depend on the system itself.

Emergent properties
 Properties of the system as a whole rather than
properties that can be derived from the properties of
components of a system
 Emergent properties are a consequence of the
relationships between system components
 They can therefore only be assessed and measured
once the components have been integrated into a
system

Examples of emergent properties
Property Description
Volume The volume of a system (the total space occupied) varies depending on how
the component assemblies are arranged and connected.
Reliability System reliability depends on component reliability but unexpected
interactions can cause new types of failures and therefore affect the reliability
of the system.
Security The security of the system (its ability to resist attack) is a complex property
that cannot be easily measured. Attacks may be devised that were not
anticipated by the system designers and so may defeat built-in safeguards.
Repairability This property reflects how easy it is to fix a problem with the system once it
has been discovered. It depends on being able to diagnose the problem,
access the components that are faulty, and modify or replace these
components.
Usability This property reflects how easy it is to use the system. It depends on the
technical system components, its operators, and its operating environment.

Types of emergent property
 Functional properties
 These appear when all the parts of a system work together to
achieve some objective. For example, a bicycle has the
functional property of being a transportation device once it has
been assembled from its components.
 Non-functional emergent properties
 Examples are reliability, performance, safety, and security. These
relate to the behaviour of the system in its operational
environment. They are often critical for computer-based systems
as failure to achieve some minimal defined level in these
properties may make the system unusable.

 Because of component inter-dependencies,
faults can be propagated through the system.
 System failures often occur because of
unforeseen inter-relationships between
components.
 It is practically impossible to anticipate all
possible component relationships.
 Software reliability measures may give a false
picture of the overall system reliability.
Reliability as an emergent property

 Hardware reliability
 What is the probability of a hardware component failing and how
long does it take to repair that component?
 Software reliability
 How likely is it that a software component will produce an
incorrect output. Software failure is usually distinct from
hardware failure in that software does not wear out.
 Operator reliability
 How likely is it that the operator of a system will make an error?
 Failures are not independent and they propagate from
one level to another.
Influences on reliability

Failure propagation

Non-determinism
 A deterministic system is one where a given sequence of
inputs will always produce the same sequence of
outputs.
 Software systems are deterministic; systems that include
humans are non-deterministic
 A socio-technical system will not always produce the same
sequence of outputs from the same input sequence
 Human elements
• People do not always behave in the same way
 System changes
• System behaviour is unpredictable because of frequent changes to
hardware, software and data.

Success criteria
 Complex systems are developed to address ‘wicked
problems’ – problems where there cannot be a complete
specification.
 Different stakeholders see the problem in different ways
and each has a partial understanding of the issues
affecting the system.
 Consequently, different stakeholders have their own
views about whether or not a system is ‘successful’
 Success is a judgment and cannot be objectively measured.
 Success is judged using the effectiveness of the system when
deployed rather than judged against the original reasons for
procuement.

Conflicting views of success
 MHC-PMS designed to support multiple, conflicting goals
 Improve quality of care.
 Provide better information and care costs and so increase
revenue.
 Fundamental conflict
 To satisfy reporting goal, doctors and nurses had to provide
additional information over and above that required for clinical
purposes.
 They had less time to interact with patients, so quality of care
reduced. System was not a success.
 However, managers had better reports
 System was a success from a managerial perspective.

Systems engineering
 Procuring, specifying, designing, implementing,
validating, deploying and maintaining socio-technical
systems.
 Concerned with the services provided by the system,
constraints on its construction and operation and the
ways in which it is used to fulfil its purpose or purposes.

Stages of systems engineering

Systems engineering stages
 Procurement (acquisition)
 The purpose of the system is established, high-level system
requirements are defined, decisions are made on how
functionality is distributed and the system components are
purchased.
 Development
 The system is developed – requirements are defined in detail,
the system is implemented and tested and operational
processes are defined.
 Operation
 The system is deployed and put into use. Changes are made as
new requirements emerge. Eventually, the system is
decommissioned.

Security and dependability considerations
 Design options limited by procurement decisions
 Purchased components may make some safeguards impossible
to implement.
 Human errors made during development may introduce
faults into the system.
 Inadequate testing may mean faults are not discovered
before deployment.
 Configuration errors during deployment may introduce
vulnerabilities.
 Assumptions made during procurement may be forgotten
when system changes are made.

Professional disciplines involved in systems
engineering

Inter-disciplinary working
 Communication difficulties
 Different disciplines use the same terminology to mean different
things. This can lead to misunderstandings about what will be
implemented.
 Differing assumptions
 Each discipline makes assumptions about what can and can’t be
done by other disciplines.
 Professional boundaries
 Each discipline tries to protect their professional boundaries and
expertise and this affects their judgments on the system.

Key points
 Socio-technical systems include computer hardware,
software and people and are designed to meet some
business goal.
 Human and organizational factors, such as the
organizational structure, have a significant effect on the
operation of socio-technical systems.
 Emergent properties are properties that are
characteristic of the system as a whole and not its
component parts.
 The fundamental stages of systems engineering are
procurement, development and operation.

Chapter 10 – Sociotechnical Systems
Lecture 2

System procurement
 Acquiring a system (or systems) to meet some identified
organizational need.
 Before procurement, decisions are made on:
 Scope of the system
 System budgets and timescales
 High-level system requirements
 Based on this information, decisions are made on
whether to procure a system, the type of system and the
potential system suppliers.

Decision drivers
 The state of other organizational systems
 The need to comply with external regulations
 External competition
 Business re-organization
 Available budget

Procurement and development
 Some system specification and architectural design is
usually necessary before procurement
 You need a specification to let a contract for system
development
 The specification may allow you to buy a commercial off-the-
shelf (COTS) system. Almost always cheaper than developing a
system from scratch
 Large complex systems usually consist of a mix of off the
shelf and specially designed components. The
procurement processes for these different types of
component are usually different.

System procurement processes

Procurement issues
 Requirements may have to be modified to match the
capabilities of off-the-shelf components.
 The requirements specification may be part of the
contract for the development of the system.
 There is usually a contract negotiation period to agree
changes after the contractor to build a system has been
selected.

Contractors and sub-contractors
 The procurement of large hardware/software systems is
usually based around some principal contractor.
 Sub-contracts are issued to other suppliers to supply
parts of the system.
 Customer liases with the principal contractor and does
not deal directly with sub-contractors.

Procurement and dependability
 Procurement decisions have profound effects on system
dependability as these decisions limit the scope of
dependability requirements.
 For an off-the-shelf system, the procurer has very limited
influence on the security and dependability requirements
of the system.
 For a custom system, considerable effort has to be
expended in defining security and dependability
requirements.

System development
 Usually follows a plan-driven approach because of the
need for parallel development of different parts of the
system
 Little scope for iteration between phases because hardware
changes are very expensive. Software may have to compensate
for hardware problems.
 Inevitably involves engineers from different disciplines
who must work together
 Much scope for misunderstanding here.
 As explained, different disciplines use a different vocabulary and
much negotiation is required. Engineers may have personal
agendas to fulfil.

Systems development

System requirements definition
 Three types of requirement defined at this stage
 Abstract functional requirements. System functions are defined
in an abstract way;
 System properties. Non-functional requirements for the system in
general are defined;
 Undesirable characteristics. Unacceptable system behaviour is
specified.
 Should also define overall organisational objectives for
the system.

The system design process
 Partition requirements
 Organise requirements into related groups.
 Identify sub-systems
 Identify a set of sub-systems which collectively can meet the
system requirements.
 Assign requirements to sub-systems
 Causes particular problems when COTS are integrated.
 Specify sub-system functionality.
 Define sub-system interfaces
 Critical activity for parallel sub-system development.

Requirements and design
 Requirements engineering and system design are
inextricably linked.
 Constraints posed by the system’s environment and
other systems limit design choices so the actual design
to be used may be a requirement.
 Initial design may be necessary to structure the
requirements.
 As you do design, you learn more about the
requirements.

Requirements and design spiral

Sub-system development
 Typically parallel projects developing the hardware,
software and communications.
 May involve some COTS (Commercial Off-the-Shelf)
systems procurement.
 Lack of communication across implementation teams
can cause problems.
 There may be a bureaucratic and slow mechanism for
proposing system changes, which means that the
development schedule may be extended because of the
need for rework.

 The process of putting hardware, software and
people together to make a system.
 Should ideally be tackled incrementally so that sub-
systems are integrated one at a time.
 The system is tested as it is integrated.
 Interface problems between sub-systems are usually
found at this stage.
 May be problems with uncoordinated deliveries
of system components.
System integration

 After completion, the system has to be installed in the
customer’s environment
 Environmental assumptions may be incorrect;
 May be human resistance to the introduction of a new system;
 System may have to coexist with alternative systems for some
time;
 May be physical installation problems (e.g. cabling problems);
 Data cleanup may be required;
 Operator training has to be identified.
System delivery and deployment

Development and dependability
 Decisions are made on dependability and security
requirements and trade-offs made between costs,
schedule, performance and dependability.
 Human errors may lead to the introduction of faults into
the system.
 Testing and validation processes may be limited because
of limited budgets.
 Problems in deployment mean there may be a mismatch
between the system and its operational environment.

System operation
 Operational processes are the processes involved in
using the system for its defined purpose.
 For new systems, these processes may have to be
designed and tested and operators trained in the use of
the system.
 Operational processes should be flexible to allow
operators to cope with problems and periods of
fluctuating workload.

Human error
 Human errors occur in operational processes that
influence the overall dependability of the system.
 Viewing human errors:
 The person approach makes errors the responsibility of the
individual and places the blame for error on the operator
concerned. Actions to reduce error include threats of
punishment, better training, more stringent procedures, etc.
 The systems approach assumes that people are fallible and will
make mistakes. The system is designed to detect these mistakes
before they lead to system failure. When a failure occurs, the aim
is not to blame an individual but to understand why the system
defenses did not trap the error.

System defenses
 To improve security and dependability, designers should
think about the checks for human error that should be
included in a system.
 As I discuss in later lectures, there should be multiple
(redundant) barriers which should be different (diverse)
 No single barrier can be perfect.
 There will be latent conditions in the system that may lead to
failure.
 However, with multiple barriers, all have to fail for a
system failure to occur.

Reason’s Swiss cheese model of system failure

Defenses in an ATC system
 Conflict alert system
 Raises an audible alarm when aircraft are on conflicting paths
 Recording of instructions
 Allows instructions issues to be reviewed and checked.
 Sharing of information
 The team of controllers cross-check each other’s work.

System evolution
 Large systems have a long lifetime. They must evolve to
meet changing requirements.
 Evolution is inherently costly
 Changes must be analysed from a technical and business
perspective;
 Sub-systems interact so unanticipated problems can arise;
 There is rarely a rationale for original design decisions;
 System structure is corrupted as changes are made to it.
 Existing systems which must be maintained are
sometimes called legacy systems.

Evolution and dependability
 Changes to a system are often a source of problems and
vulnerabilities.
 Changes may be made without knowledge of previous
design decisions made for security and dependability
reasons.
 Built-in safeguards may stop working.
 New faults may be introduced or latent faults exposed by
changes.
 These may not be discovered because complete system
retesting is too expensive.

Key points
 System procurement covers all of the activities involved in
deciding what system to buy and who should supply that
system.
 System development includes requirements specification,
design, construction, integration and testing.
 When a system is put into use, the operational processes
and the system itself have to change to reflect changing
business requirements.
 Human errors are inevitable and systems should include
barriers to detect these errors before they lead to system
failure.

Ch10

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