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European Journal of Operational Research 249 (2016) 796–805

Contents lists available at ScienceDirect

European Journal of Operational Research


journal homepage: www.elsevier.com/locate/ejor

The what, the why and the how of behavioural operational research—An
invitation to potential sceptics
John Brocklesby∗
Victoria University, Victoria Management School, Rutherford House, Box 600, Wellington, New Zealand

a r t i c l e i n f o a b s t r a c t

Article history: Primarily this paper addresses those members of the OR community who remain unconvinced that widening
Received 14 December 2014 the Behavioural Operational Research agenda beyond decision behaviour modelling to encompass research
Accepted 18 September 2015
on the modelling process itself, is a desirable and/or necessary step for the parent discipline to take. Using
Available online 28 September 2015
a process perspective that emphasises human activity and the temporal evolution of OR projects, the paper
Keywords: shows that the appeal of this particular strand of BOR lies in its ability to strengthen the bridge between
Behavioural operational research academic OR and its professional practice in which the human and social challenges can be just as important
OR process as the intellectual and technical ones. In so doing, this wider remit for BOR better positions practitioners to
Behavioural science and OR reduce the reliance that they currently have on apprenticeship and the gradual accumulation of craft skills in
Social science and OR meeting the various challenges that they face. An immediate priority outlined in this paper is for academic
and practitioner authors to turn further in the direction of relevant theory in an attempt to communicate
process understandings of OR interventions through the literature that better resonate with experience.
© 2015 Elsevier B.V. and Association of European Operational Research Societies (EURO) within the
International Federation of Operational Research Societies (IFORS). All rights reserved.

1. Introduction understand some of the less rational aspects of human decision mak-
ing; they have also examined how human behaviours intersect with
‘Behavioural Operational Research’ (‘BOR’ hereafter) is positioned the technical aspects of the regularly recurring problem situations
as a new area of specialisation that is interested in aspects of be- that attract so much OR attention. The current agenda, however, fore-
haviour that are deemed to be relevant to the use of OR in problem shadows extending BOR’s jurisdiction to include research on the myr-
solving and decision support. The espoused aim is to provide a bet- iad of human/social forces that initiate the use of OR in the first place,
ter understanding of how these affect the conduct of, and interac- that influence what components of OR are used, how they are used
tion with, model-based processes that support problem solving and and for what purpose, and, as a result of all of this, largely determine
decision-making. Whilst recognising that for some time behavioural the overall outcomes. The critic might claim that focusing on these
issues have been studied by particular OR communities the claim is kinds of issues is not a central concern for the discipline, and/or that
that more such research is needed to sustain the overall purpose of when they arise in professional practice they are best left in the ca-
BOR which is: “ . . . to make better use of OR by both experts and users, pable hands of clients, decision makers, change agents, OD experts,
so that the intended benefits of OR are effectively realized in practice” professional managers and anyone else who for example, might be
(Franco & Hämäläinen, 2014). responsible for implementation. In response it is worth remember-
While this paper seeks to be of interest to a wider audience, its ing that long standing debates have sought to impress upon the OR
main aim is to appeal to those from the mainstream mathemat- community the need to better align the largely technical agendas
ical modelling community who might be wondering why BOR is pursued by the academic wing of the core discipline with the client-
now attracting so much attention. The motivation for offering this oriented nature of its professional practice; the argument being that
commentary reflects a belief that broadening the current footprint a prolonged imbalance between the two is detrimental to the longer
that BOR has in the parent discipline not only offers tangible bene- term sustainability of the discipline (see, for example, Ackoff, 1979;
fits to those who may not have engaged with it previously, but can Checkland, 1989; Dando & Bennett, 1981).
also expedite its shift from OR’s periphery to a position closer to In order to demonstrate why BOR is important, it is first neces-
its central core. For some time OR researchers have sought to better sary to be clear about what it is. Here, the paper takes a deliberately
broad view that covers the long standing interest that OR has had
in adding behavioural components to models, as well as the more

Tel.: +64 212435136; Fax: +64 4 471 2200. recent interest in examining the human and social influences that
E-mail address: john.brocklesby@vuw.ac.nz

http://dx.doi.org/10.1016/j.ejor.2015.09.034
0377-2217/© 2015 Elsevier B.V. and Association of European Operational Research Societies (EURO) within the International Federation of Operational Research Societies (IFORS).
All rights reserved.
J. Brocklesby / European Journal of Operational Research 249 (2016) 796–805 797

intersect with the modelling process. As Franco and Rouwette (2014) back to Simon’s (1947) seminal work on the behavioural and
note, this distinction between models and modelling can be taken cognitive processes of human decision making, and later on,
to reflect the long standing ontological conundrum of whether re- Kahneman and Tversky’s (1973) work on decision biases and heuris-
ality is best understood as an aggregation of noun/objects or, as tics. Extending this, OR has long been interested in understanding
verb/processes. Here however, I am using the idea of process in a less how behavioural factors such as weight judgements impact upon
philosophically sophisticated manner. Essentially it is to indicate that decision making (see, for example, Ho, Xiaowei, & Prasanta, 2010;
instead of seeing OR practice as a discrete analytical/technical event Liu, H. & G. Wang, 2007). In similar vein, OR scholars have sought to
carried out by one or more analysts, it is better to think of it as a wider capture, model, and simulate a range of human behaviours that arise
set of iteratively linked activities that occur over time, and which of- alongside OR’s recurring problems. The decision ‘games’ that people
ten involves a range of other actors including clients, decision mak- play in the well-known ‘beer game’ (Sterman, 1988; Strozzi, Bosch, &
ers and various other stakeholders. It is suggested that this is where Zaldivar, 2007), their ‘stopping behaviour’ in the ‘secretary’ or ‘fi-
many of professional OR’s human and behavioural complications and ance’ problem (Corbin, 1980; Seale, 1997), and their interactions in
challenges originate. queuing theory (Squazzoni & Boero, 2005) are good examples of this.
In covering the ‘what’ and the ‘why’ of BOR it makes sense to also Even though BOR is described as a relatively new area of special-
ask the ‘how’ question. Looking at how something is done, in this case ization, this type of behavioural research has generated literally hun-
how BOR is currently configured, is very much defining of what it is. dreds of published articles, including several EJOR special issues (see,
Beyond that, looking at the gaps in its provision and thinking about for example, Bisdorf, R. & G. Lundberg, 2007). For that reason there is
how these might best be plugged could hold the key to convincing little need to press its case further. If there remains opposition, which
the critics that what is proposed is beneficial. I doubt, then it is too late; the horse has well and truly bolted.
The structure of the paper is as follows. It begins by taking a quick ‘Type 2’ BOR, i.e. research that is interested in the behavioural as-
look at the aforementioned distinction between research that inves- pects of modelling is an entirely different proposition; it is newer,
tigates the human behaviours that pertain to specific OR phenom- there is less of it, and since there are aspects of it that do not sit too
ena, and that which is more interested in how human behaviours in- comfortably with some of the understandings, traditions and cultures
tersect with the process of modelling. Both of these aspects, which of OR, its case needs to be laid out and more persuasively argued.
are nicely captured through Robinson’s (2014) distinction between
research that ‘models behaviour’ and research on ‘behaviour with mod- 2.2. The case against
els’, sit comfortably with the view that BOR is: “ . . . the study of be-
It is generally agreed that OR originated out of the attachment
havioural aspects related to the use of operational research methods in
of mathematically astute scientists to support the efforts of military
modelling, problem solving and decision support.” (Hämäläinen, Luoma,
planners during World War II. From there the discipline has spread
& Saarinen, 2013:623). As I have already indicated, academic OR has
its wings across all sectors of the public, private, manufacturing, and
had a sustained interest in the former aspect primarily in a quest to
service economies. Subsequent developments highlighting the man-
help managers better problem solve and provide effective decision
ifest inability of optimizing methods to cope with ‘messy’ or ‘wicked’
support. The paper takes this to signify its general acceptance, and
ill-defined problem situations ushered in a range of what are now
for that reason only a short commentary is provided at the begin-
known as ‘soft OR’ non-mathematical methods that target areas such
ning. The main purpose is to flesh out the distinction between the
as strategic planning as well as problem structuring more generally
two categories and to provide some illustrations.
(see, for example, Checkland, 1981; Rosenhead, 1989; Eden, 1989;
In coming up with an argument for more research on the sec-
Friend, 1989). Fundamentally though, OR is mainly about using math-
ond aspect, i.e. the human and social aspects of the OR process, the
ematical models to promote supposedly rational decision-making
most strident opponent might first want to know why any such re-
and optimize system design. From an applied mathematics skill base,
search is necessary. Since OR’s historical constitution, and its strong
this is achieved using a ‘scientific method’ model of practice that, in
connection with the philosophy of objectivist science and its meth-
a nutshell, and through controlled experimentation, involves testing
ods of inquiry would almost certainly crop up as part of such an
hypotheses about the nature and strength of relationships between
argument, these aspects are outlined next. Following that, in illus-
entities in a manner that leads to repeatable results and generalis-
trating how human particularities mediate the relationship between
able theory.
abstract models and their application and outcomes in concrete set-
Although it is hard to escape the essential fact that OR is some-
tings, participants’ biases and predispositions and the social dynam-
thing that is done by particular human beings, a critic of BOR might
ics that circumscribe their involvement in projects are singled out
want to debate how much significance one might want to attach to
for attention. This part of paper pieces together and elaborates upon
this aspect. Witness for example, constitutional documents such as
views that have been expressed about OR for some time, so while
the historically significant US Operations Research Society’s ‘Guide-
they are not new, they are central to the case for BOR.
lines for the Practice of OR’ (Berger et al., 1971; see also Mason, 1994).
In the final ‘how’ section, the paper argues that much can be done
Its portrayal of the emotionally detached and inter-changeable ana-
in both the logical-positivist and interpretive BOR research paradigms
lyst working diligently to establish the essential ‘facts’ of the situa-
to make it a more attractive proposition. Particular attention is paid
tion, to build models with scientific precision and then to ‘objectively’
to the need for more theoretically informed accounts of the human
evaluate the range of possible solutions, surely implies that providing
and social aspects of modelling interventions, and the role that so-
the analyst has the requisite skills, it does not overly matter who, how
cial scientists, OR academics, and most importantly, OR practitioners
and where they are involved (for discussions on this, see Checkland,
themselves might play in this.
1981; Rosenhead, 1989). On this account of OR, the case against BOR
might simply be that it is an unnecessary distraction and that the
2. The what: from modelling behaviour to the behaviour of
discipline would be better advised to continue developing and fine-
modelling
tuning the undoubtedly impressive and very often highly effective
technical weaponry upon which its reputation has been built.
2.1. The two basic ‘types’ of BOR
2.3. From models to the process of using them
In very simple terms what here is referred to as ‘type 1’ BOR,
involves building human behaviour, particularly so-called ‘non- Integral to the case being made here to better integrate the
rational’ behaviour, into models. The origins of this can be traced human, social, and technical aspects of OR is to think about
798 J. Brocklesby / European Journal of Operational Research 249 (2016) 796–805

it in process terms. What this means however, is subject to vary- 1989); between the ‘technical’ and the ‘social’ (Keys, 1998), and be-
ing interpretations and, as a result, there are varying degrees of tween the ‘intellectual’ aspects and the ‘action’ ones (Lesourne, 1990).
difficulty attached to doing it. As was alluded to in the introduc- What is new here, is the proposition that a well conceived, well orga-
tion, if this is taken to reflect the perennial philosophical question nized, and appropriately researched and reported-on BOR, might at
of whether ontological primacy is accorded to either substance or last allow the parent discipline to start making some real progress in
process it can be a complicated matter and certainly shifting from dealing with these issues.
the former, which is our normal everyday way of relating to our
circumstances, to the latter, can be an intensely personal transition 3. The why: OR as a situated human activity process
that some will undoubtedly be unwilling to take. Certainly in the
academic world, such a shift has been shown to have major ram- 3.1. On ‘the logic of the situation’
ifications for research, theory development, and indeed for prac-
In technical OR, the idea that a regularly recurring problem situ-
tice, as debates in other disciplines: organisation studies, strate-
ation can have a ‘logic’ of its own that can succumb to standardized
gic management, operations management, psychotherapy, to name
analytical and modelling techniques is not only intuitively compelling
but a few, have shown lately (see, for example: Carter, Clegg, &
but, in part correct; there are indeed many areas of intersection when
Kornberger, 2008; Jarzabkowsi, 2004; Langley, 2007; Pettigrew, 1997;
a particular problem keeps cropping up on a regular basis. Yet expe-
Efran, Lukens & Lukens, 1990). In passing, it is worth noting that
rienced practitioners also know that while OR algorithms are formu-
Franco and Rouwette (2014) have recently categorised different ap-
lated on the basis of aggregating the results of repeated operations,
proaches to BOR on this basis.
this does not mean that ostensibly similar situations can be addressed
In the current context however, ‘thinking process’ does not have
in a uniform manner; situations almost always contain some degree
to be overly complicated. It simply involves focussing on the dy-
of novelty which means that individual unique solutions often have
namic aspects of organisational and professional life and consider-
to be found that are adapted to the particular problem and setting,
ing how and why ‘things’ – contexts, activities, practices, strategies –
and not least, as some have rightly argued (see, for example Midgley,
change and evolve over time. This is not difficult: thinking about OR
2000), to the needs of the particular people involved. In OR, even
in such terms is an almost inevitable conclusion that one would draw
seemingly straightforward product mix and other related problems
through even a cursory glance at its practice. Rarely does OR’s in-
in linear and goal programming cannot be appropriately and effec-
volvement result in decisions being made or actions taken through
tively addressed without striking up a decent relationship with the
some one-point-in-time snapshot ‘measurement’ of a problem situa-
client, and possibly other stakeholders, in order to tailor the model to
tion, akin in science for example, to the way in which a seismograph
their needs and the specific situation at hand (Mabin & Davies, 2003).
might measure the intensity and magnitude of an earthquake, or the
Indeed for the client, it can be as much his/her unique requirements
triple-beam balance might measure the mass of an object. As many
and the ‘content details’ of a situation that makes it problematic as
have pointed out (Boothroyd, 1978; Tomlinson & Kiss, 1984; Mason,
it is the form that makes it general (Checkland, 1989; Pidd, 2010). As
1994; Little, 1994; Pidd, 1996; Wallace, 1994; Ormerod, 2010), OR is
such it is the ‘to-ing and fro-ing’ human processes of working these
not like this; it is almost always an iterative sequence of analysis, for-
aspects through that is often critical to the success of the entire ven-
mulation, decisions and actions that is inextricably tied to the inter-
ture. To the extent that BOR is interested in this aspect of practical OR
actions of real people, to particular events, and to evolving contexts.
clearly speaks to its relevance.
In other words it is a process where the activity – modelling – cap-
Even if there is sufficient similarity across situations to imply that
tures just as much, if not more about what is important and what
there might be something of a ‘situation logic’ that can produce com-
really matters, as does the ‘object’ or ‘entity’ – model.
mon outcomes, BOR sends the message that practical OR always oc-
While thinking about OR in these terms inevitably forces consid-
curs in the context of human meanings so what actually happens still
eration of how human agency intersects with and operates on OR’s
depends upon the significance that people attach to the situation as it
models, it does not undermine the pivotal role these play in defining
evolves through time. What arises as salient and in need of urgent at-
the discipline for what it is. If there are no models and/or no tools
tention in one situation, or at one point in time, can easily go unseen,
for measurement, and if there is no analysis that aspires to be objec-
non-prioritised and not acted upon elsewhere, or even later in the
tive, or decisions that aspire to be rational, then what we are observ-
same situation. Even if recognised and acted upon, the response still
ing is undoubtedly something else, perhaps action research, manage-
depends upon people’s worldviews, their personal agendas and/or
ment or systems science. But without these things one would be hard
those of the host organisation. It surely follows that OR’s problems,
pushed to say that it is OR.
its problem formulations, and therefore its problem solutions are in-
All that is being said here is what most practitioners will already
extricably part of a human process.
know, namely that focusing exclusively on the technical aspects of
OR cannot account for the fundamental nature of its practice; nor 3.2. On predispositions and biases
can it foreshadow the many human, social and organisational chal-
lenges that crop up on a regular basis. Making some sense of these, The notion that human particularities can have a significant im-
which is really all BOR seeks to do, and signalling ways of alleviat- pact on outcomes, stands in stark contrast to the traditional view of
ing their worst excesses can only be done by studying the situation- OR, which as Tomlinson (1998:404) points out, was often thought
specific interaction between the models and associated technology about as being to “ . . . discover the truth, to present that truth to the
on the one hand, and the human/social processes and organisational decision-maker . . . (and) that the OR analyst had to remain scientific,
context in which they are used on the other. So while the discipline objective and separate.” (Tomlinson, 1998:404). On this account, the
of OR is quite justifiably rooted in the natural and mathematical sci- analyst is taken to be a “universalistic, ahistorical, acultural, disembod-
ences, its professional practice inescapably also places it as a disci- ied anyone” (Mingers, 1997:427; see also: Taket, 1994; Taket & White,
pline of the behavioural and social sciences. The caveat is that this 1993), and not, in any way, as a particular someone.
is not some new revelation; whole conferences have been devoted While the analyst can clearly aspire to deal with the situation in
to the topic (Lawrence, 1966; Jackson, Keys & Cropper, 1989), and for the sort of dispassionate arms-length manner about which Tomlin-
decades writers have often warned of dangerous ‘imbalances’ in OR, son speaks, accomplishing this in practice is by no means easy. Why
for example between its ‘solution’ and ‘client-oriented’ aspects (Eden, would the OR community want to believe otherwise? In modelling
1989); between the ‘knowledge discovery’ motivations of the analyst decision making behaviour the discipline has had a long-term inter-
and wider purposeful ‘human intentions’ of managers (Checkland, est in the role played by human biases, heuristics, perceptions of risk,
J. Brocklesby / European Journal of Operational Research 249 (2016) 796–805 799

and so on. On that basis alone it would surely be anomalous to believe and success of the project. Using the central idea that practical OR
that the agent, or anyone else, can engage in a project in a manner (and organisations more generally) is more ‘negotiated order’ than an
akin to an ‘objective’ scientist entering a laboratory, or even follow- embodiment of a unifying purpose or single rationality respectively,
ing some framework (see, for example, Jackson & Keys, 1984; Mingers Eden (1989) claims that the success of OR depends upon the ability of
and Brocklesby, 1996) that some might mistakenly interpret as pro- the analyst to understand the nature of this order and to continually
viding a set of rules for dealing with particular kinds of situations in negotiate and ‘manage meanings’ such that any ‘objective analysis’
particular ways. that does take place is considered relevant by the key players.
In OR, Churchman (1971) is generally recognised as being the The extent to which social dynamics exert themselves in a project
first to highlight the tacit ‘positioning’ that influences how people is, of course, highly contingent. In all likelihood, even though person-
frame problems; how they make decisions about who will be in- ality clashes, communication difficulties and power plays can radi-
volved and how they will be involved; about what technology will cally alter the shape of any project, if the analyst is working alone
be used and how will it be used; about what variables will, and will modelling a regularly recurring situation according to some per-
not be included in the model (see also Brocklesby, 1995a; Brocklesby ceived standard procedure, the overall effect will likely be much less
and Cummings, 1995b; Carrier & Wallace, 1994; Wilby, 1997). BOR than when teams of analysts and other actors are involved in less
can provide a context for further investigating the impact of these structured and more drawn-out investigations. In situations such as
kinds of enabling and constraining predispositions, as well as their these, while initial predispositions may constrain the range of possi-
origins which in most cases are likely to arise through some combina- bilities, what actually happens will depend upon an evolving ‘present’
tion of educational, training, and professional socialisation processes, as people interact, as experiences are reflected upon, and as actions
and even personal characteristics such as age, personality, gender and are negotiated or determined by key decision makers. Often these
ethnicity. interactions can be a highly positive thing, shared experiences and
None of this is to say that the analyst or any of those involved ar- opinions leading to better decisions through the process and better
rive at a situation with a ‘hard-wired’ set of predispositions, merely outcomes beyond it. However negative tensions in social interaction,
that there is no such thing as a ‘clean slate’. Neither is it to say that personality clashes and irreconcilable opinions on what needs to be
participants are incapable of reflecting upon how their predisposi- done can also seriously undermine the process. Delving beneath ob-
tions translate into what are now often referred to as ‘boundary judg- servable behaviours the sometimes explicit but often more subtle and
ments’ (Ulrich, 1982; Midgley, Munro, & Brown, 1998). It is to say less visible manner in which power relations shape all aspects of the
however that nullifying the worst excesses of one’s positioning is not process can also be pivotal in determining outcomes.
easy. The analyst can certainly have some awareness of their biases Not only does this client-focused and social process perspective
and predispositions and genuinely make an effort to proceed in as on OR speak to the relevance of BOR, but it also has major ramifi-
objective a manner as possible. However since it is clients or key de- cations for its research agenda. And while it would be reasonable to
cision makers who initiate the OR work in the first place, it is they claim that the ‘softer’ regions of OR have always thought about in-
who determine the broad parameters within which the work is car- terventions in these terms, advocating, for example, that streams of
ried out, if not necessarily the finer outcome details. As Eden (1989) ‘political’ and ‘cultural’ analyses be conducted alongside the ‘logic-
points out ‘success’ in OR terms is not measured through the varacity based’ (see, for example, Checkland & Scholes, 1990), there is a world
or elegance of technical solutions; what counts is how OR is practiced of difference between doing this to facilitate the accommodation of
in the meaningful context in which it occurs. ‘Factual analyses’ then, diverse viewpoints in a particular setting, and doing it as a part of a
have to confront personal and organisational biases and prejudices wider BOR project to develop a better all-round social science of OR
and not all scientific approaches pass the quality test of practical ap- practice.
plicability and usefulness (see also Bardmann, 1996; Keys, 1989, 1991,
1998; Mingers, 2001; White & Taket, 1994). Considered purely from 4. The how: research options, challenges and future directions
an intellectual perspective an OR project can be a great success, but if
clients/decision makers do not see it that way, it will almost certainly In outlining this process perspective on OR, the writer is hopeful
fail to gain traction. that, in principle at least, the sceptic is now beginning to better ap-
Under these circumstances it would be erroneous to suggest that preciate the role that BOR might play not only in drawing together
professional OR practice could ever be entirely conducted in an objec- existing work that has been done on the human and social aspects
tive manner that is akin to the scientist’s dispassionate search for ‘the of OR, but also charting a more orderly course for the future that will
facts’, under an ethic of truth and for the general good. This squarely bring it from the periphery of the parent discipline to a position closer
ties the ethical concerns of BOR to daily OR practice. When OR is to its central core. From there it will be better placed to have a real
largely thought about as depersonalised knowledge discovery in sup- impact on professional practice. ‘In principle’ approval however, does
port of rational decision making about situations that have a singular not necessarily translate into support, so in order to press the case
logic, the agent is relieved of the ethical imperative to take an appro- further some consideration must be given to the challenges and dif-
priate share of responsibility for outcomes. Under the conception of ficulties that, in the eyes of the critic, might prevent what appears to
OR provided here there is no such relief. be a decent enough idea from delivering on its promise.

3.3. On interactions and relationships 4.1. The vast disciplinary and methodological landscapes of the
behavioural and social sciences
Although the biases and predispositions that the various parties
bring to OR may mean that certain choices have already been made Foremost amongst the difficulties facing BOR in developing a
and some options effectively already either ruled in or out, the strong behavioural/social science of OR, is the challenge of priori-
substantive character of a project is invariably shaped by the social tising amongst a seemingly unlimited set of possibilities. These
dynamics of the situation as the process unfolds through time. possibilities cover different levels of analysis each one of which
Indeed in Soft OR where key stakeholders work collectively to reach opens up multiple potential strands of research with a commensu-
accommodation and a common view on how to proceed, this is the rate number of logical connections to other disciplines and fields of
whole point of the exercise. While Soft OR’s organised and purpose- study. For example, research propositions formulated from economic
ful interactions are usually less evident in technical OR, its social and political perspectives can help to better elucidate some of the
dynamics can be just as pivotal in determining the shape, content macro-level constraints on OR practice. Systems theory, while strictly
800 J. Brocklesby / European Journal of Operational Research 249 (2016) 796–805

speaking not a social science, has plenty to say about human and so- ‘variance’ versus ‘socio-material’ research on the other, provides a
cial processes, and it is potentially useful for understanding how the useful starting point. More needs to be done however; compared with
self-organising tendencies of OR contexts are enabling or constrain- cognate disciplines such as behavioural accounting and behavioural
ing whatever the analyst is seeking to accomplish. Social psychology economics (see, for example, Birnberg, 2011; Wilkinson, 2008) this
has a vast body of empirical knowledge and theory that specifically aspect of BOR is relatively under-developed. Without frameworks
bears upon the social and organisational dynamics that, as we have that are capable of organizing and making things coherent, the whole
suggested, characterise, colour and shape particular interventions. exercise could easily turn into a highly fragmented and disconnected
As we can deduce from OR’s past work in behaviour modelling, at set of projects and individual agendas with little cross-project learn-
finer levels of granularity, cognitive and decision science, as well ing and no shared vision for future research directions. One way of
as psychology more generally, can help in exploring the individual thinking about this might to suggest that BOR needs some plausi-
cognitive biases and decision processes of those involved in the ble and useful ‘jigsaw puzzles’ in order to fit and connect the vari-
process. Moreover, neuro-scientific researchers are now exploiting ous ‘pieces’. Without these, the BOR research agenda runs the risk
the capabilities of sophisticated imaging technology to observe of being developed in an ad hoc fashion as and when researchers re-
patterns of brain activation as individuals make choices thereby spond to specific behavioural conundrums that, from time to time,
allowing some, admittedly tentative, conclusions to be drawn about get thrown up from within OR’s various specialisms. This is unlikely
what might underlie observed behaviour (see, for example, Naqvi, to enhance the standing of BOR in the parent discipline.
Shiv, & Bechara, 2006; Rilling & Sanfey, 2011).
While disciplinary connections such as these provide a rich source
of knowledge that bears upon the BOR project, different sets of prin- 4.3. The interpretivist alternative
ciples exist about how research questions should be formulated, in-
vestigations conducted, data analysed, and findings written up. Ul- Longer term, developing BOR through a coherent logical-positivist
timately many of these differences can be traced back to various research agenda can deliver a corpus of evidence-based knowledge
paradigm-related assumptions that are made about the nature of re- that has the potential to assist practitioners in foreshadowing some
ality, about what constitutes ‘valid’ knowledge, and about how these of the human/social challenges that they might face out in the field.
assumptions translate into different forms of ‘research praxis’ (for a The caveat however is that developing useful knowledge of this sort is
BOR perspective on this, see Franco & Rouwette, 2014). Here however, not easy; indeed causal explanation of human/social behaviour is no-
the discussion is going to avoid the intellectual minefield that in- toriously difficult, especially when it requires disentangling multiple
evitably characterises paradigm-related debate and instead just con- behavioural interactions. Relatedly, since the generalizable proposi-
centrate on what are most likely to be the main methodological op- tions of this form of research are formulated out of the aggregated
tions that BOR researchers will draw upon. These provide a basis for results of large data populations, and are typically limited to a small
thinking about where the key gaps in current BOR provision lie and number of variables, they are not always going to be applicable under
what might be done to plug them. particular circumstances where the overall behavioural ‘outcome’ is
both complex and emergent.
4.2. Logical-positivism Generally speaking, when the analyst is looking to successfully
navigate a route through the often convoluted stages of a project,
Understandably, since it aligns well with OR’s traditional scien- their engagement is not with particular ‘types’ of people who can be
tific grounding, research conducted in the so-called logical-positivist relied upon to act in a stereotypical manner; rather it is with real peo-
tradition has been the most widely used approach in BOR thus far. ple whose response to events and circumstances will reflect whatever
Hence the basic praxis of logical-positivism is well understood: for- meaning they attach to the situation at hand. So while variance the-
mulate hypotheses, test these empirically and then develop theory ories are very good at identifying and measuring general patterns of
that specifies the directionality and strength of interactions between relationships between, for example, personal characteristics and be-
two or more entities. havioural outcomes, they do not tell us much about how, in particular
Franco and Hämäläinen (2014) specifically highlight the need for situations, these patterns come to be. And this matters because, in the
more of this type of research; speaking, for example, of research that often messy reality of professional OR, understanding the often com-
examines the effect of individual and group behavioural character- plex process steps that are required to achieve particular results with
istics on model-based interactions. Amongst other possibilities one real people, is what really counts.
could include research that examines the impact of age, gender, eth- Despite their lack of generalizability, compared with the relatively
nicity, and organisational and cultural variables on various OR pro- ‘thin’ representations of the OR process provided by variance-type
cesses and outcomes. A project along these lines might simply inves- research, projects that incorporate narrative, interpretive and qual-
tigate the impact of one variable on another; alternatively so-called itative data are more immediately appealing for the ‘thick’ or ‘rich’
‘complexity’ studies (Franco & Rouwette, 2014) can use sophisticated process detail that they provide. In placing situational specifics and
mathematical and simulation modelling to explain more complex in- human meanings at the forefront of investigation, this kind of re-
teractions and their dynamic consequences across a wider range of search generally adopts observational and ethnographic-type meth-
variables. ods. Where such research is conducted with a particular theory in
Generally speaking the expertise that is required to conduct these mind, this is much more about providing a language and a set of con-
kinds of investigations aligns well with that used in OR’s behaviour cepts that allows people to look at, grasp, represent, and generate
modelling outlined earlier, so capability does not immediately arise insight into complex phenomena and particular situations (Abend,
as a critical issue. Since the possibilities are vast however, a critic 2008; Midgley, 1998), than it is about testing the relationships be-
might want to know more about how BOR will go about prioritizing tween or the dynamic consequences of interacting variables. This is
from among the myriad of opportunities that exist for this type of re- surely important in professional OR. Indeed knowing how to look at,
search. This is a very good question that the BOR community will have think about, and grasp the novelty and complexity of situations, and
to address. One logical priority is to construct relevant frameworks as a result, act in a manner that will maximise the chances of a project
that can organise, provide bridges across, and integrate the findings of being successful in the context where it occurs, will often be a much
different research projects. Franco and Rouwette’s (2014) ‘two by two’ more pressing requirement than striving to cobble together and in-
matrix that identifies four basic types of BOR characterised accord- tegrate the insights of a vast array of cause-effect theories in a vain
ing to the underlying ontology of the research on the one-hand, and attempt to figure out ‘what might be going on.
J. Brocklesby / European Journal of Operational Research 249 (2016) 796–805 801

4.4. Reporting on OR interventions often with limited resources and under severe time constraints.
Admittedly, once the writer is removed from the heat of the battle
At this point the yet-to-be-convinced critic of BOR might want the task becomes more manageable. But even then, for someone who
to argue that the many published case accounts of OR interventions has been intensively engaged in all the twists and turns of a project
provides sufficient evidence that a distinctive interpretive form of re- there is the problem of ‘sifting the wheat from the chaff’; and as
search and reporting already exists, and that nothing more needs to Ormerod (2014b:1254) rightly points out, much of what is interesting
be done. But does it? As has been said, the social aspects of the OR about the dynamics of OR projects lies in the ‘discarded chaff’. This
process can be pivotal in determining outcomes, so this immediately resonates very strongly with the view, long held in philosophy,
raises questions about the relevance of the typical intervention ac- that much of what is critically important about expert practice is
count which: “. . . is deliberately centred upon the individual and hence concealed in unrecognised ‘commonsense’ understandings (see, for
is limited in that it has not given sufficient attention to the way ana- example, Dreyfuss, 1996; Merleau-Ponty, 1961; Varela, Thompson,
lysts act as part of wider social groups and the influence that these may & Rosch, 1991). In an ideal world, this might signal the need for
have upon them……” (Keys, 2000:311). Adding to the chorus of crit- BOR to engage the services of a dedicated social science-trained
icism, Franco and Rouwette (2011) consider the typical intervention ‘outsiders’ who can work alongside analysts to record and make
account that merely highlights the context, rationale and chronology sense of qualitative data as an intervention proceeds. Something
of the intervention to be equally unenlightening. Examples cited by similar often happens in technology-mediated Soft OR interventions
these authors include Barcus and Montibeller (2008); Connell (2002); that have separate content and process facilitation roles (see, Eden,
Franco, Cushman, and Rosenhead (2004); Ormerod (1995); Vennix 1989b). While this kind of approach is entirely possible for particular
et al. (1996). In the interests of consistency and fairness, case ac- BOR projects, it would not be feasible on a larger scale.
counts provided by Brocklesby (1995b); and Brocklesby and Cum-
mings (1996), are equally culpable, and can be added to the list. 4.5. Turning to theory
Against this background, Ormerod’s (2014a) analysis of OR case re-
search published in the main OR journals makes for interesting read- From a BOR agenda-setting perspective, there is perhaps another
ing. The most common cases, it seems, mainly focus on the technical explanation as to why there are so few accounts of OR interventions
aspects of the model used, less common ones report on why it was that communicate process understandings well in ways that resonate
used, and, even less commonly, there are those that report on out- with experience. Returning to the metaphor used earlier, if you want
comes. While case reports such as these have their place, earlier the to even begin to understand the various ‘puppet strings’ that surrep-
lack of attention to social process, including the non-linear, iterative, titiously direct social action, you need to know where to look. Therein
and often delicately negotiated aspects of the model-use-in-practice lies one of the main value propositions of good theory: it brings into
prompted Ormerod (1998:428) to issue the plea that the discipline view that which otherwise remains out of sight, hidden away in the
desperately needs to “coax more practitioners with a good story to tell background. For the practitioner, good theory at least generates an
into the open”. Echoing that theme, and borrowing a turn of phrase awareness, if not a complete understanding of things; for the re-
from Watson (1994:778), my sense is that one of the key things that searcher it delineates phenomena that can be investigated with an
BOR can do is to encourage researchers and/or practitioner authors eye on explanation. And OR is not exactly short of situations that need
to produce a type of research, a reflexivity and a style of writing that to be better understood. Witness, for example, Peter Checkland, who
‘lets the audience see the puppet’s strings as they watch the puppet show’ in response to questioning about how his conceptual modelling pro-
(Watson, 1994:78). Whether the critic will consider this to be neces- cess can promote accommodations among stakeholders with diver-
sary will I suppose depend upon his/her experiences. My own sense gent worldviews, admits that such “mysterious processes” are deliber-
is that in OR and similar interventions, the ‘strings’ are always ‘be- ately obscured because “ . . . they defy description, let alone prescrip-
ing pulled’, to some extent, somewhere, somehow and by, at least, tion.” (Checkland & Stowell, 2012). Likewise Franco (2013), refers to
someone. the micro-dynamics of facilitated model building interventions as a
All of this raises the question as to why research/writing of this “black box”. On these accounts the implied blindness may be as much
sort is rarely seen in the OR literature. Most obviously some authors a theoretical and conceptual problem as it is an empirical one.
may simply be blind to their own culpability in influencing outcomes What advice then might be given to the OR academic or practi-
and cling to the view that what they do is an exercise in objectivist tioner who is a potential contributor to the BOR agenda, but is unsure
science; hence they report on it using the accepted scientific conven- as to what aspects of process might be worth paying particular atten-
tion of an observer-independent reality. If not, maybe they are co- tion to, either through targeted research, or more commonly perhaps,
erced into such reporting at the behest of reviewers/journal editors. conducted in parallel with a substantive intervention. By now it ought
Maybe it is because the journal guardians of the discipline’s reputa- to be clear that for both scholarly and performative reasons it is vital
tion believe that publishing richer descriptions of interventions that that OR be understood, not just in scientific/technical terms, but also
sheds light on its interpretive ambiguity, its ‘messiness’, its politics, in the context of a broader set of theories and discourses from the be-
and the more-than-occasional failure of OR to have any sustained im- havioural and the social sciences. Both of these areas are critical to the
pact, would destroy the image of a clear-cut heroic story of success. overall BOR agenda and both provide a rich source of potentially use-
Maybe it is just that the overall discourse of the literature has en- ful conceptual and theoretical knowledge. There are important differ-
couraged publishing OR researchers to deepen their training and per- ences however. Generally speaking, whereas the core capability of the
sonal investment in quantitative methods and statistical analysis; in behavioural sciences is to develop theory through controlled cause-
other words to stay in the comfort-zone of what they already know effect empirical investigation, that of the social sciences is to develop
rather than consider other approaches that may illuminate other as- frameworks and theories that provide a much broader window on,
pects and be helpful from a practice point of view, but which require and into, the unerringly complex processes of social systems. In that
a very different set of skills regard, the social sciences are better equipped for the specific task
For practitioner authors it may simply be that they lack the incli- under discussion here. The caveat, issued particularly for social psy-
nation and/or the time to systematically investigate and report on the chology which has a foot in both the behavioural and social science
intervention in this more discursive manner. Certainly compiling real camps, is that the difference can be a matter of emphasis, and it is un-
time diary notes that describe and reflect on the processual aspects doubtedly the case that both broad fields can provide concepts and a
of a project adds significantly to the demands, especially for the sole language that can better illuminate the OR process, as well as advance
analyst who is concurrently working on a substantive technical issue, knowledge and develop theory through empirical methods.
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Because its predominantly positivist approach to empirical inves- to proceed in a particular direction that, had it not been curtailed
tigation is a continuation of what is taught in the natural sciences, through Government intervention, could have led to major social
it is probably reasonable to conclude that many OR researchers will dislocation.
initially have a greater natural affinity with the behavioural sciences The third example draws upon Carlile’s work on organizational
than they do with the social. Yet OR’s recent history reveals plenty of knowledge management to examine the role played by OR’s mod-
scientifically-trained writers who have turned to the social sciences, els in drawing attention to some of the key barriers that can stand
and social theories in particular: Habermas, Foucault, Marx, to name in the way of successful collaboration (Franco, 2013). The theoretical
but a few. Sometimes this has been to outline distinctive approaches contribution here is to show that models are not static intervention
to OR, or raise questions about its practice; sometimes it has been tools but play highly specific roles in the OR process. On this partic-
to provide greater clarity on the philosophical underpinnings of dif- ular account, case vignettes, taken from facilitated model-building
ferent OR research paradigms, and/or to integrate them within vari- workshops, are used to illustrate the different roles that models, as
ous meta-level frameworks (Brocklesby & Cummings, 1996; Jackson, ‘boundary objects’, can play in developing shared language, shared
1991, 1993; Mingers, 2001; Ormerod, 2008; Rosenhead & Thunhurst, meaning, and shared commitment to action respectively. Depending
1982). Others have turned to the social sciences in order to tease out upon the context, different models have different ‘affordances’, or ca-
the theoretical underpinnings of particular methodologies. The inter- pabilities that facilitate or constrain the interaction that is necessary
est of Checkland and Casar (1986) and Eden (1989), in Vickers’ notion for successful collaboration
of the ‘Appreciative System’ and Kelly’s ‘Personal Construct Theory’ These kinds of accounts of the modelling process are interesting
respectively, stand as good examples of this. because they illustrate the distinctive insights generated by particu-
Despite such theoretical engagement, there are relatively few ex- lar theories. By now one hopes that the sceptic will agree that these
amples of work that use social science theory to frame and conduct kinds of insights are important, i.e. that networks, language, peoples’
research on the modelling process. This stands in stark contrast to emotions, and models with distinctive capabilities can play key roles
cognate disciplines where there is now a long tradition of drawing in the negotiation of meanings that can make or break OR interven-
upon the social sciences in a quest to better understand professional tions. What is interesting though is that these papers were written
practice in the various contexts in which it occurs. In Accounting by OR academics all of whom have had a long standing interest in
for example, a ‘collective non-positivist enterprise’ (Baxter & Chua, its behavioural and/or its social aspects. So while it is eagerly antici-
2003), has variously converged around ‘Naturalistic Research’, ‘Struc- pated that BOR will provide a context for more research of this type,
turation Theory’, ‘Institutional Theory’, as well as different ‘schools doubts remain about whether it is possible to build a sustainable new
of thought’ such as ‘Foucauldian’, and ‘Latourian’. Investigations have sub-discipline purely around the interests and efforts of a few like-
explored a wide range of process-related phenomena: examples in- minded scholars; others need to get involved.
clude the manner in which practice is constrained by the ‘habits of This brings us to the fourth example. The case in question is
mind’ of its exponents, the different rationalities of practice and the Ormerod’s (2014b) application of Pickering’s (1992, 1995) so called
ways in which these are enacted and given meaning, the receptive- ‘sociology of science as practice and culture’ to reflect upon the devel-
ness to and potency of particular techniques in particular contexts opment of the National Coal Board (NCB) UK Energy Model in the
and the role that accounting practices play in buttressing organiza- 1970’s and 80’s. In short, Pickering conceptualizes scientific/technical
tional power relations (see, Hopwood, 1983; Boland & Tenkasi, 1995; practice as a dynamic of intertwined elements that involves action
Baxter & Chua, 2003; Hopwood & Miller, 1994; Miller & O’Leary, over time, the forward momentum of which arises out of the inter-
1987). As an aside, it is worth noting that these perspectives on Ac- play of human, material, and cultural forces. While expressed in dif-
counting have also filtered through into the tertiary level teaching of ferent terms all of this is consistent with the portrayal of OR through-
the subject which clearly links the conceptualization of professional out this paper. Methodologically, the task facing the researcher is to
practice with its competency requirements. The paper returns to this identify how these elements combine to initiate a project in the first
issue in the concluding section. place, and then to examine how what is described as the ‘mangled’
What then can be said about the few examples in OR that have intersection of people, technology, and concepts is adjusted as a re-
looked at its processes in similar ways. Here I highlight four contri- sult of problems being met, and/or change occurring in people, their
butions. The first uses ‘Actor Network Theory’ to study the socially activities, new goals, new ideas, new technology and so on.
constructed interpretations of multiple stakeholders in an OR inter- In terms of the argument being developed here the significance of
vention concerned with the development of a regional biofuels in- Ormerod’s contribution is less the specific theoretical aspect, rather
dustry (White, 2009). ‘Narrative analysis’ is used to reveal the hidden it is the manner in which this has been translated into some rela-
patterns and themes of communication that characterise these net- tively straightforward research and writing protocols that, irrespec-
works. In this case, which broadly rehearses the conception of OR por- tive of their area of specialization, are well within the capabilities of
trayed in Section 3, a storyline is developed that shows how networks most academic and practitioner OR professionals. Whereas the ap-
provide a mechanism through which the technical and social aspects proach taken in the first three examples sits comfortably within the
of OR become are inextricably interwined, as well as how they are BOR agenda, the investment and time required in getting to grips
formed and how they can fall apart. with the theory, organizing the logistics of the research, designing the
A second example uses Maturana’s ‘Theory of the Observer’ methodology, collecting and analysing data is likely to be of interest
to analyse the processes through which senior executives worked to and feasible for a relatively small number of researchers.
with analysts in re-modelling organisational structures in a national Ormerod’s approach however, which provides clear guidelines
telecommunications company (Brocklesby, 2009). The main theoret- such as writing up accounts of projects that describe the wider con-
ical proposition here is that language and emotions are ‘braided’ each text, that identifies the roles of the authors and other key actors, de-
one affecting the other in continually flowing conversations that be- scribes the managerial and technical processes and progress of the
come the source of people’s rationalities and conceptions of actions intervention including ‘blind alleys’, and so on, is a much more fea-
that are deemed to be ‘sensible’ or otherwise. In the case in ques- sible proposition for a wider population. This is important, because
tion, the early emergence of broad consensuality among a relatively as Ormerod rightly points out, you can’t expect scientifically-trained
small and tightly knit group of people, and a strong ‘emotional flow’ OR practitioners to fully immerse themselves in the complexities of
in support of a particular course of action generated premature cog- social theories just for the sake of writing a more informative case
nitive closure in which key conversations became circular and self- study. In these aspects, his self-proclaimed ‘modest move’ towards
referential, each one solidifying a potentially dangerous commitment more theoretically-informed but experience-resonating work signals
J. Brocklesby / European Journal of Operational Research 249 (2016) 796–805 803

very strongly a direction that BOR might now usefully extend to other literature on the role of ethics in OR (see, for example, Barraba, 1994;
areas of the social sciences that offer a myriad of other lenses on the Brocklesby, 2009; Le Menestrel & Van Wassenhoven, 2004, 2009;
OR process. Ormerod & Ulrich, 2013; Wallace, 1994).
Finally the paper has signalled important priorities for both the
5. Conclusion logical-positivist and the interpretive BOR paradigms. With regard to
the former, but with an eye on the complete BOR enterprise as well,
This paper set out to persuade critics that a research agenda the paper has identified an urgent need for conceptual frameworks
geared towards better understanding the human and social chal- to accommodate and organise different types of research along the
lenges that OR professionals face in their modelling work with organ- lines of the tentative steps in this direction that have already been
isations is important not only to improve tangible outcomes but also taken. For the latter the paper has shown that while traditional lin-
to dampen long-standing concerns that have been expressed about ear accounts of OR interventions can help to sketch out some of their
the relationship between academic and professional OR. The argu- contextual and processual aspects, they rarely provide much insight
ment has been that since the human and social challenges facing the into the more nuanced human and social aspects, not least the inter-
analyst can be just as important as the intellectual and technical ones, pretations that participants attach to a situation that are so critical in
any serious attempt to bridge the gap between academic and profes- explaining how they respond to it. This is unfortunate because this is
sional OR must surely be welcome. where the greatest practitioner challenges often lie.
From a practitioner perspective a successful BOR stands to pro- In addition to the wealth of knowledge in the behavioural and so-
vide a better understanding of the OR process thereby enhancing and cial sciences that can be usefully drawn upon, the paper has fore-
short-circuiting the knowledge of the human and social aspects of shadowed an important role for social theories in the BOR agenda
modelling that currently mainly accumulates through practical ex- primarily because it provides the basic categories for understanding
perience. In OR there has always been an awareness that successful phenomena that otherwise can go undetected or are deemed to be
practice requires the analyst to have good listening and communi- too difficult to grasp. To date, social theory accounts of the OR process
cation skills, as well as be “adaptive, opportunistic, articulate and are relatively few in number and there is great potential to for BOR to
sensitive to the political and social environment around him/her” provide the sort of context that is now quite common in the afore-
(Eden, 1989a:44). Influential figures have even suggested that the an- mentioned cognate disciplines and which, as has been said, is im-
alyst needs to be as much a ‘social therapist’ as a ‘scientist/engineer’ pacting upon the training curriculum in these fields. Yet while these
(Lesourne, 1989), and while literally this is not a realistic proposition, social theory-informed accounts of OR are a necessary component of
there is more than a grain of truth to it. Getting clients to appreciate the BOR agenda, doubts remain about whether they, in themselves,
the benefits of modelling, let alone getting them to commit to doing will be sufficient to sustain it longer term. The fact is that grasping the
it, and then making change happen, almost always involves engaging finer points of complex social theory can require a considerable com-
people emotionally as well as logically. Maintaining credibility and mitment, even for academics who are trained in the social sciences or,
‘staying onside’ with different stakeholders might require the analyst as in the case of the few OR academics who write about social theory
to ‘tread carefully’ and negotiate their way through difficult political in some manner or other, and have had a long standing interest in it.
situations; making informed decisions about what method or combi- Critical to the longer term sustainability of BOR however is the need
nation of methods might best ‘fit’ in a particular intervention might to bring it much closer to the central core of the parent discipline
require as much consideration be given to the receptiveness of the than is currently the case. Since you cannot build a subdiscipline out
people involved to different approaches as it does to the perceived of the goodwill of outsiders the future of BOR cannot be left in the
needs of the situation under investigation. All of this is consistent hands of social scientists themselves; a minority might consider OR
with the need to maintain a sensible balance between the technical to be an interesting object of inquiry, but this is not sustainable longer
and the human/social in order to produce tangible results. term. This foreshadows an active role being played by not only by
The promise of BOR is that in key respects it can help the OR pro- social-theory minded academics from within the discipline, but also
fessional do these things. This may be through the direct application by practitioner/authors. It is on that basis that the paper has outlined
of knowledge from particular BOR investigations or, more sustainably the virtues of OR applications of social theories that translate the core
perhaps, by influencing the core tertiary OR curriculum. The example ideas into a form that is readily accessible to members of the wider
of how tertiary-level accounting training has incorporated insights community who see the value of reflecting upon their practice from
from behavioural accounting and other non-positivist research on its new angles and sharing this with their colleagues.
human and social aspects is noteworthy. Thus far there have been no
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