Abstract

In this paper, we address the oriental Wu-li Shi-li Ren-li (WSR) system approach to OR practice in China. The Chinese terms, Wu-li (Theory of “Physics”), Shi-li (Theory of Managing) and Ren-li (Theory of Humanity) had emerged since the end of 1970’s to the middle of 1980’s in some papers on organizational management and systems engineering. And the combination of three li's into WSR system approach was in the end of 1994. After a brief introduction of the origin, concept, working process, methods, tools and principles of WSR approach, some of its real applications in the fields of evaluation, water resources management, regional sustainable development, labor market, safety and risk assessment, and decision support systems development are listed. One application in water resources management project is analyzed.

Keywords: Wu-li Shi-li Ren-li system approach, OR practice

1) Introduction

Practice activities always follow some laws or rules. The Chinese terms, Wu-li (Theory of “Physics”), Shi-li (Theory of Doing or Managing) and Ren-li (Theory of Humanity) are often used to reflect those laws or rules as related to different situations. Since the end of 1970s systems engineering (SE) people in China began to discuss those terms. In 1978, a paper titled Technology for Organization and Management—Systems Engineering written by Qian Xuesen (Tsien Hsueshen), Xu Guozhi (Hsu Kuo Chi) and Wang Shouyun (1978) was published in one Chinese newspaper Wen Hui Bao. That paper was regarded as the first important paper about SE in China and then became very popular around the nation. In that paper, it is addressed that operations research (OR) can also be called Shi-li to refer the way of doing and managing regarding that Wu-li (Theory of Physics) describes the movement of physical world. Professor Xu Guozhi (1980) also wrote specific paper on Shi-li, which was in consistence with the view that OR research includes OR theory, OR mathematics and OR practice. Later, Qian wrote to a MIT professor Li Yao Tsu to introduce their understandings on SE. Professor Li agreed with the concepts of Wu-li and Shi-li, and suggested adding Ren-li, which specifically means motivation. However, the saying of Ren-li had not got enough attention in the circle of Chinese SE scholars at that time.

With more practice, some SE experts started to pay attention to Ren-li. In the mid of 1980s, Professor Gu Jifa taught SE for governmental officials. He found those administrative leaders had great advantages in dealing with human relationships (Guan-xi), while they may lack necessary scientific knowledge. For the first time Professor Gu put Wu-li, Shi-li and Ren-li together and suggested a good manager should know Wu-li, sense Shi-li and care Ren-li. Academic people emphasize Wu-li and Shi-li; while Ren-li factors could not be avoidable in real life. How to deal with the relations between them is the aim of Wu-li Shi-li Ren-li (WSR) system approach. Next is the origin of WSR approach.

2) System Rethinking and Modern Oriental System Approaches

Since the 1970s, difficulties experienced in tackling with complex systems, such as socio-economic system, environmental system, etc. have impelled researchers and system practitioners to rethink system and system methodologies, and explore effective methods to overcome those difficulties. It was realized that the original system approaches fit to well-structured or programmed problems, instead to those many ill-structured or unstructured problems in reality. More considerations should be taken into the human and organizational elements which had been eliminated from mathematical modeling. Analytic thinking was quite inappropriate to unstructured messy problems, rather than synthetic thinking (Tomlinson and Kiss, 1984). Soft systems methodology (SSM) proposed by Checkland (1981) is one of those systems thinkings. SSM regards those difficult and untraceable problems as issues; then instead of a usual problem-solving process, system practice is a learning process where to take activities including analysis, debate, conceptual modeling, and achieving a practical satisfactory result under current constraints. SSM proves quite successful in reality. In the mid of 1980s, Professor Gu was undertaking a regional development project for Beijing municipality. Even applied both quantitative and qualitative methods instead of only quantitative ones as before, and the project won a municipal prize, the municipality did not use the results! Just at that time, Gu studied SSM and engaged in disseminating its ideas.

More system approaches have been emerging along the softening trend as the world is changing so tremendously. Flood and Jackson (1991) proposed total system intervention (TSI) for people selecting appropriate approaches from a bundle of methodologies when facing more complex strategic issues, or a mess of problems. During rethinking period, eastern system thoughts also aroused the interests of western system researchers. Pressman (1992), who synthesized the system inquiry and eastern mode of inquiry, mentioned the name of eastern system methodology. As a matter of fact, eastern researchers never stop in comparing both eastern and western thinking modes as they study western system approaches. Around 1990s, Japanese researchers forward Shinayakana system approach which emphasizes human support and interactive work during system modelling (Sawaragi, Naito and Nakamori, 1990). Chinese scientists propose meta-synthesis method (Qian, Yu and Dai, 1993) which emphasizes the synthesis of collected information and knowledge of various kinds of experts, and connecting quantitative methods with qualitative knowledge to deal with complex, open and giant systems. Factually, oriental philosophies always affect eastern researchers in their mind. Frequent communications have been undergone between Chinese and Japan system scholars who plan to develop oriental system approach. Even many soft system approaches had been proposed, they were too soft for SE people in China. Western researchers appreciate oriental system ideas, while they would not design modern system methodologies for oriental people. Based on long experiences, especially gained from 4 projects: Beijing regional development, global climate change, institutional evaluation, and local water resources management, Professor Gu Jifa proposed Wu-li Shi-li Ren-li system approach after his exchanges and observations during his 2-month visit at the Centre of System Studies, University of Hull in 1994. The initial ideas of WSR approach were addressed at a research report and later a paper co-authored by Gu and Zhichang Zhu (Gu and Zhu, 1995). WSR system approach is based on oriental philosophy, especially on ancient Chinese philosophy. For example ancient sayings like “the unity of Tien (objective existence), Tao (pattern of the Universe), and Ren (human relation)”, “the unity of Yin (the negative, lunar, feminine, soft, etc.) and Yang (the positive, solar, masculine, hard, etc.)”, “the unity of Zhi (knowing) and Xing (doing)” etc. are very useful for system thinking till now.

Later, Chinese scholars had applied WSR approach to some totally different projects and gained lot of practical results; on the other hand, Dr. Zhu mined much from ancient Chinese philosophies to richen WSR approach itself and dialogued frequently with international system communities, who have been showing interests and comments much in the approach. The former president of International Society of Systems Sciences Professor H. A. Linstone had compared his technology-organization-person view with WSR (Linstone and Zhu, 2000); president of Ireland Society of Operations Research, Dr. C. M. Brugha regarded WSR approach as adjusting-convincing-committing process (Brugha, 1999).

Next we address basic ideas of WSR approach.

3) The Wu-li Shi-li Ren-li (WSR) System Approach

In WSR approach, we use Wu-li, Shi-li and Ren-li to indicate three aspects of work or activities which are always carried out on purpose or unintentionally during our system practice.

The Wu-li (Theory of Physics) refers to the knowledge about the objective matter world. Usually natural sciences knowledge is needed. Considering Wu-li, we require honesty and truth to keep our system practice results in accord with the physical world. Knowledge of Wu-li is usually taught at science or engineering schools in universities.

The Shi-li (Theory of Managing) denotes the knowledge about how we build a reasonable order or organisation by which to manage or control the reality and to achieve a satisfactory return. Usually management and system sciences are required. Basic knowledge about Shi-li is often taught at industrial engineering and management schools. Relevant research on Shi-li had been undertaken in China. One view thinks OR will go to Shi-li (Miao, 2001).

The Ren-li (Theory of Humanity) can refer to the knowledge on human effects on the system or how we deal with human interrelation. It is easier to sense how Ren-li works than to define what is Ren-li. Ren-li may be experiences or the art that managers cope with the interrelation between their subordinates and bring all into a harmony. The aim of Ren-li is to initiate human's creativity, enthusiasm and participation, and to explore the human wisdom. Ren-li can also affect the results of Wu-li and Shi-li. In Japan, local residents can finally veto the construction of a nuclear power plant even though nuclear energy is better for a resources-lacking country. That is the power of Ren-li. Basic and relevant knowledge on Ren-li may be taught at social sciences or management schools in universities.

System practice activities are constituted by the dynamic unification of physical world, system organisation and human beings. All inquires and interventions are expected to cover all three aspects and their dynamic interconnection so as to get a comprehensive scenario of the concerned issue and then to find a satisfactory and feasible result. Basic knowledge can be taught in classroom, while knowing of three li’s comes from practices. Table 1 lists the basic contents of WSR.

Table 1: Contents of WSR System Approach

In short, Wu-li explains the mechanism of what is concerned, Shi-li points out the framework of managerial tasks of making the best use of everything, and Ren-li is to make the best possible of human beings and to manage in exploring available potentials for a satisfying or reasonable result of whole activities. Original working process for WSR approach has 7 steps: understanding desires, formulating objectives, investigating conditions, selecting models, making recommendations, coordinating relations and implementing proposals (Gu and Tang, 1995). Explorations of WSR approach itself had always been done with our applying WSR approach to a variety of practical problems in China (Gu, 2000). Among those practical projects, caring Ren-li does not only mean the coordination between groups with different benefits or playing politics addressed by Zhu (2000).

Those relation-coordinating endeavors aim to facilitate implementing feasible Shi-li based on right Wu-li. If with wrong Wu-li or infeasible Shi-li, more endeavors in Guan-xi still cannot ensure a satisfying end of the project. Then the 6th stage of WSR approach in system practice can refer to coordinating relations between three lis at each stage, to coordinate relations between desires, objectives, conditions, strategies, alternatives and proposals, and to coordinate the relations between input, output and outcome of system activities. A modified WSR working process is as shown in Figure 1.

Emphasis on Wu-li and Shi-li and neglicance of Ren-li will lead system practice be too mechanical and lacking communication and versatility. While only playing Ren-li and ignoring Wu-li and Shi-li will eventually leads to failure, such as many failed projects hurrily run for big memorial days or the will of some senior administrative officials in China. Then knowing Wu-li, sensing Shi-li and caring Ren-li is the ultimate doctrine of WSR approach. Next section list those methods and tools for each step along WSR working process, since each step has its own WSR focus.

4) Methods for WSR Working Process

Gu and Zhu (1996) had introduced some methods. Through more practice and exchanges, improvements are made as listed in Table 2.

Table 2. Tasks and Methods in WSR Working Process

Note: CATWOE: acronym of Customers, Actors, Transformation, Weltanschauung, Owners and Environmental constraints, CSH: Critical Systems Heuristics, IP: Interactive Planning, ISM: Interpretive Structural Modeling, SAST: Strategic Assumption Surfacing and Testing, SSM: Soft Systems Methodology; CSCW: Computer Supported Cooperative Work, GDSS: Group Decision Support Systems

Those possible methods and computerized supporting tools for each step listed in Table 2 are for people better understanding and easier applying WSR approach. More methods or tools will be brought with advances in technology and new understandings about cognitive process.

When applying WSR approach, following principles are usually followed.

Synthesis - to synthesize different kinds of knowledge organically into a unity to help depict a reachable scenario about current situation. Therefore participation of various relevant people is always expected.

Participation - better communications are based on total participation and helpful to understand desires, design reasonable objectives, select feasible strategies, discard impractical plans, etc. In reality some customers often disappeared after they paid. They are just waiting for results and forget they are also participants of the project. Such kind of project often fails in the end. That is why users should actively participate project group and coordinating group.

Operable - system approach or method should connect closely with practice, and be accepted by the users. Most of theories and methods are expected to be operable for the majority of users.

Iterative - as the very nature of iterative, recursive and learning decision-making process requires subjective evaluation and considerable compromises among conflicting goals, activities of WSR would also be done iteratively. Particular emphasis in Wu-li Shi-li and Ren-li will be different at each stage. The actors are not demanded to know all emerging phenomena, but try to think over alternatives thoroughly.

Next is a summary of some finished applications of WSR system approach.

5) Brief Introduction of Applications of WSR Approach

WSR system approach is extracted from experiences, strategies and alternative observations during long periods of system practice in China. Since its being formally proposed, it has been applied to some practical project or issues, which is summarized in Table 3.

Table 3. Applications of WSR System Approach

Endeavors in Wu-li, Shi-li and Ren-li list our considerations and methods used in each case. Ren-li endeavors mainly focus on how to enable the results practically adopted by users. Those applications cover a variety of problems, water resources management and sustainable development, evaluation, space and military tasks and relevant computerized support tools. Till now, evaluation is the most important and successful field of WSR practice. Due to the length limitation, we do not address more about WSR approach for evaluation. Next we depict WSR application to water resources management.

6）WSR Application to Computerized Decision Support For Water Resources Management

Before this project, we had participated another two water resources management projects where some improvements had been done in modeling (Shi-li) while both failed in Ren-li. Since 1991, we were involved into Qinhuangdao water resources system reconstruction project and engaged in optimal operation and flood management in that multi-disciplinary, multi-institutional project. From the beginning we emphasize WSR considerations. Till WSR approach was formally forwarded in the end of 1994, we had fulfilled our own tasks in this project and also replaced original people to undertake whole system integration with thinking of WSR approach. On the other hand, our work also brought rich materials for initial study of WSR approach.

Ren-li (Intervention)
Figure 2 depicts an integrative view of our WSR endeavors along the whole working process. The considerations in Wu-li and Shi-li are normally similar as before. Here we discuss more Ren-li endeavors, which reflect specific thinking in this project. As to more details please see Tang (1995).

（1）Combination of Qualitative and Quantitative Methods

When constructing dynamic programming models for reservoir operations, we had considered economic and probabilistic criteria models by document and expert survey. However, in Qinghuadao area, reservoirs are mainly for flood control and water supply; to meet users’ demand is much more important than power generation. Thus economic criterion does not work while probabilistic criterion is too scholastic to be understood by local users. We propose a satisfaction criterion to compute the return of reservoir operations. There is flood tendency when storage is too big and drought tendency when storage is too small. Then there exist appropriate storage. As users still questioned our modeling with excuse of not able to provide data for parameters in the satisfaction criteria. We work two ways. One way is to draw the satisfaction curve by computers, another is to strengthen communications with senior and experienced manager who told us in which season and under which water level the reservoir is in normal state, and which water levels will lead to drought or flood warning. Those are the parameters for our models. The user finally accepted our models, since he found his knowledge was expressed in delicate mathematical models. He was also the modeler, instead of being cloned and then neglected by the modelers as met during most DSS or expert systems development. For more details of modeling, refer to Gu and Tang (1996).

This case reflects how Shi-li facilitates the work of Ren-li, how to integrate both quantitative methods with qualitative knowledge.

(2) Interaction between Humans and Computers

Man-computer interactions are via interfaces. A friendly interface does not only mean a beautiful interface, but as an effective communication tool. A simple curve-drawing interface enabled users to understand more about satisfaction criteria, and then useful information rushed out.

(3) Coordination between Human and Human

Mainly two kinds of coordinating work are carried out. One is coordination of knowing, the other is coordination of benefits. Multiple institutions and multiple disciplines involved in the project bring different knowing towards the concerned problems. Even with same knowledge, different understandings exist. For better system modeling, effective coordination of knowing is also one task of Shi-li. Moreover, different institutions, different groups or participants have their own goals in the project. It is very normal and need to be considered into system design and integration. When implementing flood management module, three forecasting models are built due to conflicts between short-term forecasting research people. We were not entangled with their debates, but took time to integrate all three models into flood management module so that users can compare themselves. In pursuit of real application of our models, we also trained department directors to be familiar with the operations of our module, thus avoid the models may be discarded just because the lower-level users’ do not know or do not want to know how those modules work.

Mathematical modeling takes our time, while concentrations on Wu-li, Shi-li and Ren-li are basis of effective modeling.

7）Conclusions

In this paper we address the background, origin, basic ideas, working process and methods of WSR system approach. And list its applications in recent 6 years, one of which is under further discussion.

It is as usual that OR people still concerns more about the innovation of the models or methods even in practice. Some may concer if the results of models fit for the reality. WSR approach also concerns about the role of people in practice, and their impact to application of OR model, which are the functions of Ren-li. The WSR case in water resources management shows that if even good models will still not satisfy users if their own ideas are not absorbed into the models.

WSR system approach is not a sudden idea; it is based on oriental philosophy and comes from long system engineering practices and continual comparisons between oriental and western system thinking. With more WSR applications and further exploration in philosophy, different knowing about WSR emerged and leads to debate (Zhang and Sun, 2001), which is better for exploring new understandings of WSR system approach itself.

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