Considering an organization as a socio-economic system allows us to describe and reveal many properties and features of the organization.

The concept of a system emphasizes orderliness, integrity, and the presence of certain patterns.

For the first time, the idea of ​​a system as a set of elements that are in certain relationships with each other and with the environment was given by Ludwig von Betalanffy.

Then, with the transition to the study of socio-economic systems, the most important thing was shown - any such system exists relative to the goal. It “lives and develops” only in relation to one general goal, and when it is no longer able to ensure its achievement, the system ceases to exist in this form and “dies off.” In this case, the life cycle of an organization goes through several stages: creation, growth, maturity, decline.

In other words, in term system At different stages of its consideration, one can insert different concepts, talk, as it were, about the existence of the system in different forms.

In our case, we consider the organization as an open system interacting with the external environment (Fig. 4.1.)

Rice. 1.2. Representation of the system in the external environment

From the standpoint of socio-economic organization, it is also very important that the system has not only inputs and outputs realized by its elements when interacting with the external environment, which have connections with the external environment. It has internal elements that carry out negative feedback in system. This is very important, since in the process of its activity the system must “fit” into the external environment and adapt to its changes. At the same time, this diverts resources from the system (organization) from its main activities aimed at achieving the general goal.

Any system has its own structure.

Structure(from the Latin “structure” - structure, arrangement, order) reflects certain relationships, the relative position of the components of the system, its structure (structure).

From the perspective of an observer (its researcher), a system can be small and large, simple and complex.

Small system always considered as a whole, without division into parts, without structuring.

Large system involves the mandatory division of the system into its components (elements), each of which can be considered separately, and then a general idea of ​​the large system can be formed based on ideas about each element and the connections between them.

Simple system- a system that can be considered (studied) only in one aspect of human knowledge (engineering and technology, economics and other). All technical systems, no matter how cumbersome and rich in various components, are simple.

A complex system– a system that is considered in several aspects (branches) of human knowledge.

All organizations are complex systems, as they affect at least two branches of knowledge: social and economic. The third is often the area of ​​technical knowledge. Moreover, organizations consist of several elements (the definition of an organization states that an organization is an association of at least two people). Therefore, an organization is always considered as a large complex system.

To date, the main patterns of functioning and development of systems have been identified, which characterize the fundamental features of the construction, functioning and development of complex large systems. They can be divided into four groups (Fig. 1.3)

2.1.1. Key principles and their definition

As G. Kunz and S. O'Donnell put it, “elements of management science, for example fundamental principles, like the principles of other sciences, remain unchanged, even if the manager in a particular situation decides to neglect them.” Principles are considered as:

the starting points of the theory,

guiding idea,

the initial phase of knowledge systematization,

and also as a meaningful generalization based on an analysis of facts, while the facts in turn serve as a constant test of the correctness of already established principles;

in control theory, principle is understood as basic rule of management organization . An example of this can be the famous principles of A. Fayol and E. Deming.

TO key principles In constructing a methodology and tools for studying management systems, four groups of principles should be included (Fig. 2.1):

1) system-wide principles , building the logic of constructing the system configuration, as well as the logic of relationships and connections between the elements of the system and the system with the external environment;

2) general principles of research , serving as the basis of the cognitive process;

3) principles of systems research , characterizing the system as a structured information fragment of some reality that determines the space of its cognition;

4) principles of cybernetics , reflecting the fundamental principles of studying the purposeful behavior of a system, regardless of the object of its application.

Rice. 2.1. Systematization of the principles of control systems research

2.1.2. System-wide principles

The main system-wide principles are integrity, structure, interdependence of the system and the environment, hierarchy, controllability, communication, unity of analysis and synthesis, multiplicity of descriptions of each system. The definitions of the principles given below are given based on materials from the works.

1) Integrity- the fundamental irreducibility of the properties of a system to the sum of the properties of its constituent elements, namely:

the property of the system as a whole is not the sum of the properties of the elements;

a property of a system depends on the properties and mutual influence of elements during the functioning of the system;

elements combined into a system may lose a number of properties inherent to them outside the system;

the property of integrity is associated with the purpose for which the system is created.

2) Structure- the ability to describe a system by establishing its structure by displaying a set of elements and connections operating between them. Moreover, the behavior of the system depends not so much on the behavior of individual elements, but on the properties of its structure.

3) Interdependence of system and environment- one of the conditions for the existence of the system. The system forms and manifests its properties in the process of interaction with the environment, while being the leading active object. The openness of the system and fusion with the environment are clearly manifested in biological, environmental, economic, social, political and other systems. And if the system is not configured, i.e. the boundary between the environment and special education is not defined, then the concept of a system extends to the entire environment.

4) Hierarchy- structural organization of complex systems, consisting of partitioning (decomposition) of the system into strata (levels) and ordering relationships (interactions) - from the highest level to the lowest. Hierarchy, or hierarchical ordering, is one of the first principles of building complex systems, implying the preparation of the system for purposeful activity, for management.

In systems with a hierarchical structure, management is decentralized. Subsystems or elements of the lower level receive the right to make decisions and inevitably acquire a goal and a certain autonomy relative to each other. The growth of a hierarchical structure is a non-ending process for the reason that contradictions between the particular and the whole are brewing in the system. This determines the constant problems of establishing the optimal measure of centralization and decentralization and the optimal distribution of functions and tasks between the hierarchical levels of the system.

5) Controllability- this is the ability of a system, in order to achieve a set goal, to direct (plan, organize, regulate and control) its development on the basis of knowledge and use of objective laws, to promptly reveal contradictions and resolve them, to overcome negative internal and external disturbances, to prepare and make decisions. In work 60] it is noted that the controllability of a system is similar in its content to the concept of achievability: both characterize the possibility of performing a management task - achieving a goal.

6) Communication. The organizational system is not isolated from other systems, but is connected by a variety of information channels with the environment, which is a complex and heterogeneous formation. When isolating an object from the environment, its connections are identified, they are given orientation, the frequency of exchange of “signals”, the strength of their influence, etc. Obtaining and processing information about the state of the environment is a complex research task. Communication is also necessary to establish connections between the structural units of an organization, thereby achieving its integrity as a system.

7) Unity of analysis and synthesis- the principle underlying the process of cognition of any object of reality; it implies the inseparability of analysis and synthesis in the process of mental activity. Analysis forms the initial knowledge for research and involves the division of an object, system, or phenomenon into its component parts, each of which is studied separately. Synthesis is the opposite of analysis, but is inextricably linked with it. Synthesis is a connection, integration of various elements, aspects of an object into a single whole, into a system.

8) Multiplicity of descriptions of each system. Due to the fundamental complexity of each system, its adequate knowledge requires the construction of many different models, each of which describes only a certain aspect of the system.

2.1.3. Principles of systems research

The principles of systems research are based on the principles of general systems theory. These include: structuring, systematicity, identification, abstraction, formalization.

1) Structuring represents the division of a system into “elementary” (structure-forming) units (elements, objects) and the establishment of relationships between them that confirm the integrity of the system. Approaches to structuring a system are very diverse and are determined by the feature chosen by the researcher for grouping homogeneous objects and recognizing objects that differ from each other. The following can be used as a feature: the type of functional activity, levels and cycles of management, types of functions and management processes, etc. The resulting structure reflects a relatively stable aspect of the system and can be considered as its structural model.

2) Systematicity is a study of an object from two interrelated positions. The first position is that the object under study is considered as a system; the second position defines the system's environment as the external environment, which is a complex system. There are two-way connections filled with signals between the system and the external environment. The principle of systematicity is based on the interdependence of the system and the environment and the unity of analysis and synthesis. When studying the internal environment of an organization, systematicity is manifested in the synthesis of structural and functional elements, parameters and factors that determine the effectiveness of its functioning.

3) Identification(identification) - determining the identity of the entire system or its element with an accepted analogue or replacing a real object with a formal object, its model. Identification also means establishing the specific impact of factors on the system. In cybernetics, the identification of control objects is the choice of the class of a mathematical model, the criterion for matching the model and the object, as well as the construction of a model based on the implementation of its input and output signals [124].

To identify management processes, K. Menard proposed a set of “schemes” (models) containing references and recommendations, namely:

historical type schemes based on accumulated experience;

external schemas based on patterns of interaction with others
organizations;

schemes such as “plans” that appeal to predetermined goals.

The widespread use of the identification principle in management is associated with the increasing use of scientific management, which develops an analytical management style.

According to the principle of multiplicity of descriptions of each system, the model of the reality being studied serves as the main research tool. Any model is an abstraction of a real system.

4) Abstraction- is the formation of an image of reality through distraction and replenishment. Distraction simplifies, and replenishment complicates the image of reality. Identification and structuring, which precede abstraction, act as a tool for simplification or replenishment in the model.

5) Formalization- this is a display of the image of reality using formal languages, namely the language of mathematics, logic, semiotics, which allows you to free yourself from turning to intuitive ideas and move on to more rigorous conclusions and statements. The results of formalization are, first of all, mathematical, simulation, semiotic models of the reality being studied, as well as various types of algorithms, artificial scientific languages, etc.

2.1.4. Principles of cybernetics

The general principles of cybernetics as a science about the unity of control processes, regardless of the object of their application, include: feedback, black box, external addition, transformation of information, purposefulness of control and equifinality. Definitions of the principles are given based on materials from the book “Cybernetics and Production Management” by S. Vir, preserving the author’s text fragments from the works and:

ü Feedback- the flow of information entering the control system after measuring the results of the functioning of the system or its part to develop an influence on the control algorithm;

ü "black box"- a system (object) in which only input and output parameters are available to an external observer, and the internal structure and processes occurring in it, due to “inaccessibility for study or due to abstraction, are not the subject of research”;

ü external addition- inclusion of a “black box” in the control chain in conditions when the formalization language used is insufficient to describe the real situation of the system and this deficiency is eliminated by the procedure of external addition;

ü information transformation- the system is considered as a “machine for processing information” in order to organize it, reduce uncertainty and diversity, and this makes the behavior of the system predictable;

ü focus of management- “control is an integral property of any system”, and the system “is an organism that has its own purpose and its own unity”;

ü equifinality- the existence of a finite unordered set of paths for the system to transition from various initial states to the final state, i.e. The transition of the system from the initial states to the final state is not specified in a unique way.

Let us give a brief explanation of the principles outlined.

1) Feedback in cybernetics, in contrast to its system-wide representation, it includes only the flow of information with the results of measuring the output flow of the system and is called information feedback. The main idea of ​​feedback is to monitor output information and dynamically analyze the results of the system’s behavior relative to the trajectory of its functioning specified by the plan. When deviations are identified and depending on their significance, control actions are developed. By introducing feedback, a closed control loop is created.

In cybernetics there are negative And positive feedback:

if, under the influence of feedback, the initial deviation of the resulting (output) parameter or indicator caused by the disturbing influence decreases, then they say that negative feedback, otherwise - positive;

­ positive feedback is formed from unipolar (only positive or only negative) parametric deviations.

They accumulate and lead to losses in the stable operation of the system as a whole. Negative feedback, presented as an alternation of positive and negative parametric deviations, adjusts control to stabilize the functioning of the system relative to a given trajectory of its development. The feedback mechanism makes the system self-adjusting, i.e. having the ability to compensate for parametric disturbances, and increases the degree of its internal organization.

A special case is homeostatic feedback, which reduces external influences to zero; the property of a system to remain unchanged in the flow of events is called invariance.

In organizational management, feedback is viewed as both reinforcing and balancing:

reinforcing ties can be both engines of growth and cause an acceleration of the decline of the organization;

We find balancing (or stabilizing) feedback wherever goal-oriented behavior exists.

Then negative feedback is balancing, and positive feedback is reinforcing.

2) Introduction of the principle "black box" - this is an opportunity to study complex systems using the relationship between input resources and output results of its activities, without considering the mechanism of resource transformation. An important feature of this principle should be noted. No matter how detailed the behavior of an object presented in the form of a “black box” is studied, it is not possible to obtain an unambiguous conclusion about its internal potential. This is due to the fact that the same behavior characterizes different objects similar to the original one. The approach based on the “black box” principle has become widespread in experimental studies of systems, when the behavior of the system rather than its structure is of greater interest.

Identification of the control system in the form of a cybernetic model with a closed loop, in which the control object is a “black box”, is shown in Fig. 2.2.

Rice. 2.2. Cybernetic model of a closed control system:

X 0 (t) - impact algorithm;

X(t) - controlled variable;

(t) - deviation;

R - regulator;

(t) - disturbing influence applied to the object;

(f) - regulatory impact

3) Principle external addition - a practical method for overcoming the incompleteness of formal languages ​​(Gödel's theorem). This principle boils down to the fact that any control language is ultimately insufficient to perform the tasks assigned to it, but this shortcoming can be eliminated by including a “black box” in the control chain. For example, the development of a production plan based on mathematical models always requires a certain addition due to “external control” to adapt (adjust) model calculations to non-formalized operating conditions or in connection with changes in some of them under the influence of the external environment. The element of “external control” is built into the decision-making chain as a “black box”, since it cannot be precisely defined.

4) Principle equifinality indicates that control is associated with the presence of several final paths or alternatives for the transition of the system from various initial states to the final state. Understanding the principle under consideration in the study of control systems expands the concept of control optimality to multicriteria optimization. This procedure is accompanied by the development of certain groups of criteria for various paths of system transitions from the initial to the final state.

In general, the stated principles are interrelated, complementary and serve as a fundamental basis for the study of control systems.

Ministry of Education of Russia

State educational institution

Higher professional education

St. Petersburg University of Service and Economics

Specialty 080501

Test

By discipline:

Control Systems Research

Basic principles and methods for studying control systems

Completed by: Dudina V.M.

3rd year student, group 0611 PT

Checked by: Timofeeva E.A.

St. Petersburg 2012

Introduction

Chapter 1. Fundamentals and principles of systems engineering

1 Principle of physicality

2 Modelability principle

3 Principle of purposefulness

Chapter 2. Methods for studying control systems

2.1 Methods based on the use of knowledge and intuition of specialists

2.1.1 Brainstorming method

1.2 Methods of expert assessments

1.3 “Synectics” method

1.4 Delphi-type methods

1.5 Script-type methods

1.6 SWOT analysis method

1.7 Goal tree method

Chapter 3. Private research methods

3.1. Experiment as a private research method

2 Observation as a private research method

3 Survey as a private research method

4 Document analysis as a private research method

Conclusion

Bibliography

Introduction

Each organization has a specific management system, which is also the object of study. The control system can only be studied on the basis of the chosen scientific concept.

The management system of any organization is complex, created to collect, analyze and process information in order to obtain the maximum final result under certain restrictions (availability of resources, for example). The effectiveness of control systems research is largely determined by the research methods chosen and used.

Research methods are methods and techniques for conducting research. Their competent use contributes to obtaining reliable and complete results from the study of problems that have arisen in the organization. The choice of research methods, the integration of various methods when conducting research is determined by the knowledge, experience and intuition of the specialists conducting the research.

Chapter 1. Fundamentals and principles of systems engineering

Systems engineering is a scientific field covering the study of processes:

creations:

tests:

operation of complex systems.

Systems engineering reveals stable cause-and-effect relationships between objects, processes and quantities and establishes the principles of the existence and operation of complex systems.

The concept of systems engineering is to simplify complex systems. There are 3 basic principles of systems engineering.

physicality;

modelability;

purposefulness.

.1 Principle of physicality

Every system (regardless of its nature) is characterized by physical laws (regularities), perhaps unique ones, that determine internal cause-and-effect relationships, existence and functioning. No other laws (except physical ones) are required to explain the action of systems of any nature (including living ones). The principle is based on the following postulates:

integrity, the system is an integral object, and not a set of subsystems, which allows for various divisions into subsystems.

This postulate is based on the principle that the loss of concepts is inadmissible either during composition (combining subsystems into a system) or during decomposition (dividing the system).

If the sum of the parts is equal to the whole, the systems are called additive with respect to the given division; if the sum is greater than the whole, they are called superadditive; if the sum is less than the whole, they are called subadditive.

The postulate of integrity is used in the disclosure and accumulation of information about system properties at all stages of research and in generalizing them into concepts, and then in applying these concepts to subsystems when studying them separately after decomposition. Identifying integrity consists of examining:

all relationships within the system;

relationships between the system and the environment;

system properties;

mechanism of formation;

properties of subsystems suppressed by a system-wide property, the mechanism of this suppression and the conditions under which it loses force;

autonomy: complex systems have an autonomous space-time metric (group of transformations) and intra-system conservation laws, determined by the physical content and structure of the system and independent of the external environment. The essence of this postulate is that each system is located in a geometric space adequate to it (real, functional, conceivable) and, limited to metric spaces, each class of systems (a specific system) can be assigned a metric determined by the corresponding group of transformations. This is an autonomous system metric, or an autonomous group of transformations.

The introduction of a metric means creating a model of the geometry of the system; the closer this model is to the true geometry of the system, the simpler the representation of the system.

1.2 Modelability principle

Representation of complex systems in the form of many models. A model focused on a specific group of properties of a complex system is always simpler than the system itself. The principle contains 3 postulates.

complementarity: complex systems, being in different environments (situations), can exhibit various system properties, including alternative ones (i.e., incompatible in any of the situations separately). For example, an electron manifests itself as a particle in some interactions, and as a wave in others;

actions: the system’s response to external influences has a threshold nature. Thus, to change the behavior of the system, an increase in impact exceeding a certain threshold is required. Such changes can be associated with energy, matter and information, which, accumulating, manifest their influence spasmodically, through a qualitative transition;

uncertainty: the maximum accuracy of determination (measurement) of the properties of a system depends on the area of ​​uncertainty inherent in a given system, within which an increase in the accuracy of determination (measurement) of one property entails a decrease in the accuracy of determination of another (others). There is an area of ​​uncertainty within which properties can only be described by probabilistic characteristics.

.3 Principle of purposefulness

Goal orientation is a functional tendency aimed at achieving a certain state by the system or at strengthening (preserving) a certain process. In this case, the system is able to withstand external influences, as well as use the environment and random events.

The principle takes into account the postulate of choice: complex systems have the ability to choose behavior and, therefore, it is impossible to unambiguously predict the mode of action and determine their state with any knowledge of the properties of the system and situation.

This postulate allows a complex system, in accordance with its purposefulness, to use rare favorable events that arise in interaction with the environment, blocking other (unfavorable) events and processes.

Chapter 2. Methods for studying control systems

Research method- is a means of knowledge, a way of conducting research to achieve a certain result.

When an organization has problems, it conducts research into the situation that gave rise to the problem.

To conduct this research, specialists responsible for resolving this problem choose a research method depending on their experience, knowledge, available information, and the nature of the problem. The correctly chosen research method will determine whether a reliable result is obtained.

All existing research methods can be combined into two large groups:

methods based on the use of knowledge and intuition of specialists;

private research methods.

Methods, based on the use of knowledge and intuition of specialists - methods,which are based on identified and summarized expert opinions:

"brainstorming";

expert assessments;

"synectics";

"Delphi" type;

type of "scenarios";

SWOT analysis;

type of “goal tree”.

Private research methods- methods based on logical and methodological techniques for analyzing empirical data when putting forward scientific hypotheses:

experiment;

observation;

document analysis.

.1 Methods based on the use of knowledge and intuition of specialists

The development of systems analysis is inextricably linked with such concepts as “brainstorming”, “scenarios”, “goal tree”, morphological methods, etc. The listed terms characterize one or another approach to enhancing the identification and generalization of the opinions of experienced specialists (the term “expert” translated from Latin means “experienced”). Sometimes all these methods are called “expert”.

.1.1 Brainstorming method

It is used when searching for solutions in an insufficiently researched area, when identifying new directions for solving a problem, and when eliminating shortcomings in an existing system.

There are 2 following forms of using the brainstorming method:

regular meeting: a meeting is held at which the manager one by one interrogates the meeting participants, who name problems that negatively affect the efficiency of the enterprise or division. At the end of the meeting, a list of problems is compiled, which is then posted for everyone to see. If the process of putting forward ideas is not effective, the meeting is postponed to another day;

holding a meeting in a round robin system: subgroups consisting of 3-4 people are formed. Each representative of the group writes down 2-3 ideas on paper, which they then exchange with other participants within their group.

2.1.2 Methods of expert assessments

Many works have been devoted to studying the possibilities and features of the use of expert assessments. They discuss forms of expert surveys (various types of questionnaires, interviews), approaches to assessment (ranking, norming, various types of ordering, etc.), methods for processing survey results, requirements for experts and the formation of expert groups, issues of training experts, assessments their competence (when processing assessments, coefficients of experts’ competence and the reliability of their opinions are introduced and taken into account), methods for organizing expert surveys.

Selection of forms and methods for conducting expert surveys, approaches to processing survey results, etc. depends on the specific task and conditions of the examination. However, there are some common issues that the systems analyst needs to keep in mind. Let's look at them in more detail.

circuitry experiment observation control

2.1.3 Synectics method

Synectics (translated from Greek) is a combination of heterogeneous and sometimes even incompatible elements. The “synectics” method as a method for finding new solutions was proposed by W. Gordon in the USA in 1961 in his book “Synectics: Development of Creative Imagination” in order to increase the likelihood of success in the process of setting and solving problems.

The main idea of ​​this method is that during creative activity, when creating special conditions, a person puts forward unexpected analogies and associations regarding the problem under study. Creative activity refers to mental activity in the process of problem solving, the result of which is an artistic or technical discovery.

In other words, a person arrives at a solution by incorporating unconscious mechanisms into the process of conscious problem exploration. The idea of ​​the “synectics” method as a method for studying control systems is to create a special, permanent “group of synectors” (5-7 people) to identify, pose and solve problems that arise during the functioning of control systems.

The synectics method consists of the following steps:

formulation of the problem;

translation of the task, “as it is posed”, into the task, “as it is understood”;

identifying the question that causes analogies;

work on finding analogies;

the use of analogies, among which.

direct analogy;

symbolic analogy;

personal analogy;

fantastic analogy;

searching for opportunities to translate found analogies and images into proposals for solving the problem.

Synectics operators are specific psychological factors that facilitate the creative process, they are designed to enhance engagement, empathy, play, etc.

.1.4 Delphi-type methods

The Delphi method, or the “Delphic oracle” method, was originally proposed by O. Helmer and his colleagues as an iterative procedure during brainstorming, which would help reduce the influence of psychological factors when repeating meetings and increase the objectivity of the results.

The main means of increasing the objectivity of the results when using the Delphi method are the use of feedback, familiarizing experts with the results of the previous round of the survey and taking these results into account when assessing the significance of expert opinions.

In specific techniques that implement the Delphi procedure, this tool is used to varying degrees. Thus, in a simplified form, a sequence of iterative brainstorming cycles is organized. In a more complex version, a program of sequential individual surveys is developed using questionnaires that exclude contacts between experts, but provide for familiarizing them with each other’s opinions between rounds. Questionnaires may be updated from round to round. To reduce factors such as suggestion or adaptation to the opinion of the majority, experts are sometimes required to justify their point of view, but this does not always lead to the desired result, but on the contrary, can enhance the effect of adaptation. In the most developed methods, experts are assigned weighting coefficients of the significance of their opinions, calculated on the basis of previous surveys, refined from round to round and taken into account when obtaining generalized assessment results.

.1.5 Methods such as “scripts”

Methods of preparing and coordinating ideas about a problem or an analyzed object, set out in writing, are called scenarios. The scenario provides not only meaningful reasoning that helps not to miss details that cannot be taken into account in the formal model (this is, in fact, the main role of the scenario), but also contains, as a rule, the results of quantitative technical-economic or statistical analysis with preliminary conclusions. The group of experts preparing the scenario usually enjoys the right to obtain the necessary certificates from enterprises and organizations and the necessary consultations.

2.1.6 SWOT analysis method

A method that allows you to get an overall picture of the development of an organization by studying:

internal environment;

external environment of the organization.

This method consists of analyzing data on the external and internal environment and establishing connections between them, followed by combining them into a single whole. Such a detailed study of the influence of various factors on the organization is necessary to adapt the organization to the changing opportunities and threats of the external environment.

SWOT analysis helps answer the following questions:

whether the company uses internal strengths or differentiating advantages in its strategy”! If a company does not have a differentiating advantage, what are its potential strengths that could become one?

Are the company's weaknesses its competitive vulnerabilities and/or do they prevent it from taking advantage of certain favorable circumstances? What weaknesses require adjustment based on strategic considerations?

What opportunities give the company a real chance of success by leveraging its skills and access to resources? SWOT is an acronym made up of 4 English words:

strengths - strengths;

weaknesses - weaknesses;

opportunities - opportunities;

threats - threats.

.1.7 Goal tree method

Idea goal tree methodwas first proposed by W. Cherman in connection with the problems of decision-making in industry.

The term “tree” implies the use of a hierarchical structure obtained by dividing the general goal into subgoals, and these, in turn, into more detailed components, which can be called subgoals of lower levels or, starting from a certain level, functions.

The “goal tree” method is aimed at obtaining a complete and relatively stable structure of goals, problems, directions, i.e. a structure that has changed little over a period of time with the inevitable changes that occur in any developing system. To achieve this, when constructing structure options, one should take into account the patterns of goal formation and use the principles and methods of forming hierarchical structures of goals and functions.

When building a “goal tree”, you must be guided by the following rules:

each formulated goal must have the means and resources to achieve it;

when decomposing goals, the condition of completeness of reduction must be met, i.e., the number of subgoals of each goal must be sufficient to achieve it;

decomposition of each goal into subgoals is carried out according to one selected classification criterion;

the development of individual branches of the tree can end at different levels of the system;

the vertices of the higher level of the system represent targets for the vertices of the underlying levels;

The development of the “tree of goals” continues until the person solving the problem has at his disposal all the means to achieve a higher goal.

Chapter 3. Particular research methods

Particular research methods are methods based on logical and methodological techniques for analyzing empirical data when putting forward scientific hypotheses:

experiment;

observation;

document analysis.

.1 Experiment as a private research method

Experiment- a method of studying a control system under certain conditions of its functioning, which can be real or artificially created by the researcher, to obtain the necessary information. An experiment is usually driven by the need to confirm or refute a scientific theory or hypothesis. The results of the experiment can be both qualitative and quantitative characteristics of the object under study. But all experimental results require theoretical interpretation.

The use of this method has the following advantages:

at the request of the researcher, the object under study can not only be observed, but also reproduced;

in artificially created conditions, new properties of the object under study may be revealed that cannot be seen in real conditions;

artificially created conditions make it possible to exclude unfavorable factors that may complicate the learning process;

the experiment allows you to use various devices and tools to study an object that cannot be used in real conditions;

the experiment can be repeated as many times as required for the study.

3.2 Observation as a private research method

Observation- a research method by collecting information about the object under study, which is carried out by observing the selected object of study. When conducting it, the researcher must use such sensory abilities as sensation, perception and representation.

The results of using this method are knowledge about the external and internal properties and characteristics of the object of study.

There are 2 types of observation difficulties:

subjective - difficulties associated with the personality of the observer.

They arise due to the influence on the results of the study of the values ​​of the observer, his emotional state, existing experience, and the established preferences of the observer;

objective - difficulties that arise during the observation process and are independent of the observer. They may arise due to a lack of time resources or the inability to observe certain factors.

.3 Survey as a private research method

Survey- a question-and-answer method of collecting information about the object of research, which is collected by addressing the people being interviewed with certain questions that contain the research problem. This method is based on a person (respondent), who becomes the source of information. To obtain information about the object under study, the respondent is asked questions. Using this method, it is possible to obtain characteristics of the research object that are not directly observable and hidden from the external eye.

When conducting a survey, you must be guided by the following rules;

the respondent must know who is interviewing him and for what purpose, be interested in the survey being conducted and in providing false information;

questions must be clear and have the same meaning;

questions must be formulated without grammatical and lexical errors; meet the level of culture of the respondent and be non-offensive to him;

questions must be formulated in such a way that the respondent can give an accurate and reasoned answer;

questions should not carry intellectual and psychological overload;

all answer options must be equivalent to each other;

the researcher should not influence the respondent’s choice of answer.

This research method has the following advantages:

allows you to collect statistical and documentary information about a low-income research object;

explores objects that are inaccessible to direct observation;

ensures a high level of standardization by asking respondents the same questions and providing the same answer options;

allows you to save material and time resources.

.4 Document analysis as a private research method

Document analysis method is a method of collecting data during research of control systems, based on the use of information recorded in written or printed form, on magnetic film, in electronic form, in iconographic form, etc.

A document is information recorded on a tangible medium with certain details.

Using this method gives the researcher the opportunity to determine the structure and. elements of the control system being studied, the relationships that exist between these elements, study the laws of operation of this system, acquire the information necessary to change the system being studied, etc. The method of document analysis is of two types:

traditional;

formalized.

Traditional document analysis consists of examining the content of documents:

purposes of creation;

forms and types;

reliability of documents;

reliability of the information used.

Formalized document analysis (content analysis) is a method of collecting data using a quantitative description of the available information in documents. Various sources of information are analyzed:

official documents of the organization (charter, decrees, orders, etc.);

logos;

labels;

video recordings;

newspaper and magazine articles;

photographs, etc.

Conclusion

The study of control systems is the main factor in the scientific approach to improving management. Every manager should be proficient in modern research techniques and methods to a certain extent. And for this it is necessary to study these methods.

Modern science has an extensive and rich arsenal of research methods. But the success of the study largely depends on how, according to what criteria, methods are selected for conducting a particular study and in what combination these methods are used.

The classification of methods allows us to organize the idea of ​​their composition, connections and features.

Research methods are methods and techniques for conducting research. Their competent use contributes to obtaining reliable and complete results from the study of problems that have arisen in the organization. The choice of research methods and the integration of various of them when conducting research is determined by the knowledge, experience and intuition of the specialists conducting the research.

The effectiveness of control systems research is largely determined by the research methods chosen and used.

Bibliography

1. Research of control systems: textbook. A.V. Ignatieva, M.M. Maksimtsov. M. 2009. 106 p.

Arkhipova N.I., Kulba V.V., Kosyachenko S.A., Chankhieva F.Yu. Research of control systems: Textbook. allowance. M.: Prior, 2007.

Barannikov A.F. Organization Theory: Textbook. M.: UNITY-DANA, 2008.

Zharkovskaya E.P., Brodsky B.E. Anti-crisis management: textbook. M.: Omega-L, 2006.

Management: Textbook. Ed. MM. Maksimtseva, M.A. Komarova. - 3rd ed. M.: UNITY-DANA, 2006.

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In general, the composition and order of work of almost any study can be as follows:

1) collecting information and identifying problems;

2) definition of a specific object and subject of research;

3) setting goals and objectives of the study and determining criteria for their achievement;

4) determining the “boundaries” of the internal and external environment and structuring the system under study (including the development of its economic and mathematical model);

5) accumulation and preliminary analysis of factual material and formulation on its basis of primary assumptions (working hypotheses);

6) analysis of available information and determination of the causes of the problem, its content and characteristics;

7) identification of factors influencing the problem and their connections;

8) identification of consequences from the formulated assumptions and determination of expected results on their basis;

9) collection of facts and data necessary to assess the accuracy of hypothetical assumptions made on their basis;

10) determination of conditions, ways and methods for solving problems;

11) formulation of initial hypotheses;

12) theoretical analysis of initial hypotheses;

13) planning and organization of experiments;

14) conducting an experiment;

15) analysis and synthesis of the results obtained;

16) testing initial hypotheses based on the facts obtained;

17) final formulation of new laws, patterns, facts, trends, explanations, justifications and (or) scientific forecasts.

Applied research, as a rule, includes the stage of implementing the results obtained.

Research principles

Principles are considered as the starting points of a theory, a guiding idea, the initial phase of systematization of knowledge, and also as a meaningful generalization based on an analysis of facts, while the facts, in turn, serve as a constant test of the correctness of already established principles. In management theory, a principle is also understood as the basic rule for organizing management. An example of this can be the famous principles of A. Fayol and E. Deming.

In relation to the study of CS, the concept of “principles” can be considered in the form of basic rules, regulations, guiding ideas and norms that determine the directions and processes of organizing cognitive activity, which researchers and specialists must adhere to. However, it should be noted that certain principles must be used strictly depending on the goals, methodological approaches and research methods used.

According to E.V. Freidina, the key principles for constructing a methodology and tools for studying management systems should include four groups of principles [E.V. Freidina. Research of control systems: textbook. allowance / edited by Yu.V. Guseva. - M.: Omega-L Publishing House, 2008.]

1) System-wide principles that build the logic of constructing the system configuration, as well as the logic of relationships and connections between the elements of the system and the system with the external environment. These include integrity, structure, interdependence of the system and environment, hierarchy, controllability, communication, unity of analysis and synthesis, multiplicity of descriptions of each system.

Integrity is the fundamental irreducibility of the properties of a system to the sum of the properties of its constituent elements, namely:

The property of the system as a whole is not the sum of the properties of the elements;

The property of a system depends on the properties and mutual influence of elements during the functioning of the system;

Elements combined into a system may lose a number of properties inherent to them outside the system;

the property of integrity is associated with the purpose for which the system is created.

Structurality is the ability to describe a system by establishing its structure by displaying a set of elements and connections operating between them. Moreover, the behavior of the system depends not so much on the behavior of individual elements, but on the properties of its structure.

The interdependence of the system and the environment is one of the conditions for the existence of the system. The system forms and manifests its properties in the process of interaction with the environment, while being the leading active object. The openness of the system and fusion with the environment are clearly manifested in biological, environmental, economic, social, political and other systems. And if the system is not configured, i.e. the boundary between the environment and special education is not defined, then the concept of a system extends to the entire environment.

Hierarchy is a structural organization of complex systems, consisting of dividing (decomposing) the system into strata (levels) and ordering relationships (interactions) - from the highest level to the lowest. Hierarchy, or hierarchical ordering, is one of the first principles of building complex systems, implying the preparation of the system for purposeful activity, for management.

In systems with a hierarchical structure, management is decentralized. Subsystems or elements of the lower level receive the right to make decisions and inevitably acquire a goal and a certain autonomy relative to each other. The growth of a hierarchical structure is not an endless process for the reason that contradictions between the particular and the whole are brewing in the system. This determines the constant problems of establishing the optimal measure of centralization and decentralization and the optimal distribution of functions and tasks between the hierarchical levels of the system.

Controllability is the ability of a system, in order to achieve a set goal, to direct (plan, organize, regulate and control) its development on the basis of knowledge and use of objective laws, to promptly reveal contradictions and resolve them, to overcome negative internal and external disturbances, to prepare and make decisions. The work notes that the controllability of a system is similar in its content to the concept of achievability: both characterize the possibility of performing a management task - achieving a goal.

Communication. The organizational system is not isolated from other systems, but is connected by a variety of information channels with the environment, which is a complex and heterogeneous formation. When an object is isolated from the environment, its connections are identified, they are given orientation, the frequency of exchange of “signals”, the strength of their influence, etc. Obtaining and processing information about the state of the environment is a complex research task. Communication is also necessary to establish connections between the structural units of an organization, thereby achieving its integrity as a system.

The unity of analysis and synthesis is the principle underlying the process of cognition of any object of reality; it implies the inseparability of analysis and synthesis in the process of mental activity. Analysis forms the initial knowledge for research and involves the division of an object, system, or phenomenon into its component parts, each of which is studied separately. Synthesis is the opposite of analysis, but is inextricably linked with it. Synthesis is a connection, integration of various elements, aspects of an object into a single whole, into a system.

Multiplicity of descriptions of each system. Due to the fundamental complexity of each system, its adequate knowledge requires the construction of many different models, each of which describes only a certain aspect of the system.

General principles of research that serve as the basis of the cognitive process. These include objectivity as an adequate representation of the object of study, reproducibility (replication), evidence (verification) and accuracy.

Principles of systems research, characterizing a system as a structured information fragment of some reality that determines the space of its cognition;

The principles of systems research are based on the principles of general systems theory. These include: structuring, systematicity, identification, abstraction, formalization.

Structuring is the division of a system into “elementary” (structure-forming) units (elements, objects) and the establishment of relationships between them that confirm the integrity of the system. Approaches to structuring a system are very diverse and are determined by the feature chosen by the researcher for grouping homogeneous objects and recognizing objects that differ from each other. The following can be used as a feature: the type of functional activity, levels and cycles of management, types of functions and management processes, etc. The resulting structure reflects a relatively stable aspect of the system and can be considered as its structural model.

Systematicity is the study of an object from two interrelated positions. The first position is that the object under study is considered as a system; the second position defines the system's environment as the external environment, which is a complex system. There are two-way connections filled with signals between the system and the external environment. The principle of systematicity is based on the interdependence of the system and the environment and the unity of analysis and synthesis. When studying the internal environment of an organization, systematicity is manifested in the synthesis of structural and functional elements, parameters and factors that determine the effectiveness of its functioning.

Identification (identification) is the determination of the identity of the entire system or its element to the accepted analogue or the replacement of a real object with a formal object, its model. Identification also means establishing the specific impact of factors on the system. In cybernetics, the identification of control objects is the selection of a class of mathematical model, a criterion for matching the model and the object, as well as the construction of a model based on the implementation of its input and output signals.

The widespread use of the identification principle in management is associated with the increasing use of scientific management, which develops an analytical management style.

According to the principle of multiplicity of descriptions of each system, the model of the reality being studied serves as the main research tool. Any model is an abstraction of a real system.

Abstraction is the formation of an image of reality through abstraction and replenishment. Distraction simplifies, and replenishment complicates the image of reality. Identification and structuring, which precede abstraction, act as a tool for simplification or replenishment in the model.

Formalization is the display of an image of reality using formal languages, namely the language of mathematics, logic, semiotics, which allows you to free yourself from appealing to intuitive ideas and move on to more rigorous conclusions and statements. The results of formatting are, first of all, mathematical, simulation, semiotic models of the reality being studied, as well as various types of algorithms, artificial scientific languages, etc.

Principles of cybernetics, reflecting the fundamental principles of studying the purposeful behavior of a system, regardless of the object of its application.

The general principles of cybernetics as a science about the unity of control processes, regardless of the object of their application, include: feedback, black box, external addition, transformation of information, purposefulness of control and equifinality.

1) feedback - a flow of information arriving after measuring the results of the functioning of a system or part of it into the control system to develop an impact on the control algorithm;

2) “black box” - a system (object) in which only input and output parameters are available to an external observer, and the internal structure and processes occurring in it, due to “inaccessibility for study or due to abstraction, are not the subject of research” ;

3) external addition - inclusion of a “black box” in the control chain in conditions when the formalization language used is insufficient to describe the real situation of the system and this deficiency is eliminated through the external addition procedure;

4) transformation of information - the system is considered as a “machine for processing information” in order to organize it, reduce uncertainty and diversity, and this makes the behavior of the system predictable;

purposefulness of management - “management is an integral property of any system,” and the system “is an organism that has its own purpose and its own unity”;

equifinality - the existence of a finite unordered set of paths for the transition of a system from various initial states to the final state, i.e. The transition of the system from the initial states to the final state is not specified in a unique way.

In the table below 1.2. The entire set of basic principles of the study and their brief description are shown.

Name of the control system research principle	Brief description of the research principle control systems
Determination	Conducting research requires a clear, definite goal and should strive, regardless of difficulties and obstacles, to achieve established goals (goals). The only exceptions may be some basic research.
Focus	Conducting research involves moving from set goals to identical results, i.e. carrying out research work to ensure target settings (goals). This is actually feasible within the framework of target subsystems and allows you to: establish the boundaries of the study; use resources according to their purpose, size, structure and time; ensure targeting of outputs
Systematicity	CS is studied as a single phenomenon and, accordingly, as an integral subsystem included in the organizational and economic system of an enterprise (organization) and consisting, in turn, of subsystems, subsubsystems and elements. In this case, the study should be carried out at all hierarchical levels of the management system itself and the managed system, considering other subjects of management of both higher and lower levels (inter-sectoral federal; sectoral federal; inter-sectoral subjects of the Federation; sectoral subjects of the Federation; territorial - city, district; associations organizations; organization; workshop, department; site, bureau; brigade, group; workplace). The need to conduct research taking into account all stages and stages of the life cycle of CS research is also important. Based on all this, the necessary completeness and reliability of the study is ensured.
Conditionality of research functions by research goals
The primacy of research functions	Research functions determine the requirements for researchers, their number, the scientific and methodological tools used, etc.
Functionality	The study examines a complete set of functions of the management system, ensuring the adoption of effective decisions to achieve the goals and objectives of the social organizational and economic system of the organization. Depending on the level of management, the content of management functions may be different. At a higher level, functions related to organization, coordination and regulation, activation and stimulation become important. Moreover, the impacts in this case, as a rule, should be of a nature that would correspond to market relations, property and levels of management
Objectivity	CS research is carried out on the basis of impartiality and impartiality, scientific correctness and compliance with reality, which is ensured by the factuality of the study, quantitative and qualitative certainty, the construction of hypotheses, the use of appropriate research methods, the selection of indicators reflecting the state of the CS and its elements, the selection of performers of certain qualifications, the choice of informative bases for comparison when conducting research, adequate assessments of research results
Legal Compliance	Conducting research and using its results is based on compliance with current legal norms and regulations
Timeliness	Conducting research and using its results at the right time
Development and movement (dynamism)	When studying the control system, all phenomena and relationships should be considered taking into account the functioning of the system and changes in quality, viability, adaptability
Scientificity	Research is carried out on the basis of modern achievements of science, technology and practice, taking into account objective laws and patterns of systemic control of cognitive processes
Progressivity	The goals, methods, principles of CS research must correspond to the advanced achievements of science and technology
Necessary variety	The complexity and quality of the research must be consistent with the management system
Verifiability by practice	The progress and results of the study of management systems are focused on obtaining a practical effect, which makes it possible to realistically evaluate the contribution to management practice
Interaction	When studying the control system, it is necessary to ensure the interconnections of goals and functioning subsystems, elements, both among themselves and with all other systems external to the organization
Complexity	There must be a mutual linkage of all research-related activities, elements, subsystems, life cycle stages, hierarchical levels and the entire complex of methods to achieve the goals of CS knowledge
Continuity	Each phenomenon under study is considered from the standpoint of its origin, stages of existence, a retrospective chain of changes and historical trends, which should be expressed in the maximum use of advanced domestic and foreign experience in CS research. This allows you to increase the likelihood of obtaining new results, minimize the labor intensity and costs of conducting research
Optimality	A multi-variant study of research work is provided and the selection, in accordance with a certain criterion, of an option appropriate for the research being carried out
Prospects	When conducting a study of the control system, the possibility of using the methodology and results of the study for the further development of research activities in the field of management in general and the development of the considered control system in particular is taken into account
Simplicity	Easily accessible, non-complicated and non-labor-intensive methods of research, development and research decision-making are used
Clarity	It is assumed that every researcher and worker understands everything that concerns the fundamental issues of research and the implementation of their results when implemented in the control system
Consistency	The research must be consistent with the goals, objectives, strategy, tactics, operating time and management levels of the management system
Specificity	It is mandatory to take into account the characteristics of the object when conducting research
Efficiency	Research operations are performed quickly and efficiently; deviations from the established course of the cognition process are promptly eliminated
Autonomy	CS research should be relatively independent
Economical	Characteristic is the desire to reduce costs at all stages of CS research in order to increase the efficiency of research work
Comfort	Researchers are provided with maximum convenience for creative work and the realization of their potential and capabilities, including psychological comfort.
Parallelism	It is mandatory to simultaneously carry out certain types of research work to reduce time and increase the efficiency of research
Specialization	There is a rational division of research labor in the SU
Concentration	The same type of research tasks are carried out in one research unit and (or) it is ensured that the efforts of workers are concentrated on achieving the main goals and solving problems of CS research
Adaptability	The adaptability of the conducted research to changing external and internal factors that influence both the organization of research work and the management system is ensured
Systematicity	It is assumed that all work on the study of control systems will be carried out continuously and relatively rhythmically, as well as a reasonable long-term duration of actions that ensure the implementation of research solutions
Scientific equality	Each researcher is provided with the free expression of hypotheses, ideas, opinions, assessments, and proposals. The truth and applicability of statements must be assessed regardless of their authorship, which excludes taking into account official position, scientific degrees and titles, previous merits, etc. each of the SU study participants
Consultativeness	When conducting research, it should be possible to freely choose consultants and use consultations. Each research participant should have the opportunity to receive and/or give consultation.
Responsibility	Real individuality and collective responsibility for the results of the SU research activities are ensured
Activation and stimulation	When conducting CS research, a set of methods is explored to ensure increased interest in high-quality, productive, innovative and, most importantly, conscious work of each researcher (employee) and the entire research team (organization personnel) as a whole
Collective creativity	A wide range of researchers and specialists of different profiles and levels are involved (from managers to ordinary specialists and workers inclusive). Collective creativity processes must be managed
Creative activity	Each research participant must have an internal desire for active action and the right to demonstrate their creative abilities and freedom of thinking (flights of thought, fantasies, imagination, expressing any ideas) to achieve the goals of the study. In existing management systems, managers and all personnel must have research creativity and innovative thinking. The development and manifestation of such properties in them should be motivated, which, ultimately, should provide both knowledge, skills and abilities, as well as interest in achieving activity goals, independent creative initiative in conducting research
Methodical approach	The research should not be carried out in a random sequence, but according to a pre-substantiated technology, formalized in a specific methodology
Closedness of general research functions (closedness of the research process)	General research functions are implemented, including foresight (forecasting), planning, organization, coordination, motivation, work execution, control, accounting, analysis and regulation of research work. All these general functions are fundamentally similar to the general functions of management.

All principles of research are interconnected and when conducting research they should be used in combination

research control system

UDC 001.891:005:330.131.7:658.1

Principles of risk management system research

N.V. Kapustina, Yu.V. Kuznetsov

1 Faculty of Economics of MSUTU, Department of Economics and Management of Small and Medium Business Enterprises

2 Faculty of Economics of St. Petersburg State University, Department of Management and Planning of Socio-Economic Processes

Annotation. Building a methodology for developing and improving an organization’s holistic risk management system, taking into account changes occurring in the external environment, is currently a priority task that requires an immediate solution.

Abstract. The paper considers the methodologies of working out and perfection of the whole system of risks" management with the account of changes occurring in the outward medium. The authors have proven that this is a top-priority task requiring an immediate solution.

Key words: management theory, economic systems, risks, system of risks" management, system approach

1. Introduction

The multiplicity of existing approaches in the theory of management of economic systems requires the selection of key methodological principles for the study of risk management as an element of the economic system. The need for such a study is due to the important socio-economic role of risk management in an organization, especially nowadays in the context of economic globalization and business transformation in times of crisis. The current trend of transition from the industrial to the post-industrial stage of development of the world community is characterized by a change in the structure of reproduction processes caused by the flow of digital information at both the macro and micro levels. This trend is global in nature and affects the development of all countries of the world, cities and regions and, ultimately, the activities of specific organizations. Consequently, building a methodology for developing and improving an organization’s holistic risk management system, taking into account changes occurring in the external environment, is currently a priority task that requires an immediate solution.

2. Methodology for developing a risk management system

The methodology for developing a risk management system in an organization finds its practical implementation in the formulation of goals; setting goals; choosing an appropriate research approach; taking into account the principles that specify the approach; choosing the necessary and most effective research tools and methods; search and selection of empirical materials.

The concept of scientific research methodology currently does not have a generally accepted definition and clear boundaries. Thus, the methodology of scientific research is considered both as “a logical organization of human activity, consisting in determining the goal, the subject of research, approaches and guidelines in its implementation, the choice of means and methods that determine the best result” (Korotkov, 2000), and as a scientific discipline - “the study of the means and methods of cognition” (Shtoff, 1975), and as a system of “general fundamental ideas, principles from which the researcher proceeds and is guided in his cognitive activity” (Elchaninov, 1990). A more common understanding of methodology, which we will adhere to in the course of studying the risk management system in an organization, is its understanding as a set of general principles, forms and methods that are used in the study of a particular scientific area, regardless of the degree of accuracy with which they are formulated (Vorozhtsov, Moskalenko, 1986). Consequently, the methodology of science makes it possible to determine the constituent components of scientific research - goals, objectives, subject, object of research, a set of research methods, approaches, means, tools and technologies necessary to solve them, and also forms the researcher’s idea of ​​the sequence of movement in the solution process scientific task.

The risk management system, like any system, consists of an object and a subject of management. The managed object here is the organization, its economic relations with others

economic agents, workers and employees of the enterprise, information flows acting on production and technological processes. The controlled variable is the calculated value - the level of risk. The management part or subject of management, in this subsystem, is a special group of people (a division or employee of the enterprise using the services of professional consultants), which, based on the information received, using various methods of risk theory, develops measures - control actions to reduce the level of risk or keep it in permissible limits.

The risk management system in an organization, being open, on the one hand, is part of the economic system, which includes all the elements that characterize a given socio-economic formation, and on the other, a subsystem that unites all processes occurring in the organization and activities related to each other through both horizontal and vertical interactions.

The risk management system must meet a number of conditions inherent in any system and specifically in economic systems. The first and main principle of the systems approach is the principle of integration (Kuznetsov, 2006). The ability of a risk management system to integrate new elements means the ability to flexibly respond and adapt the entire risk management system to the emergence of new types and risk factors.

From the principle of integration comes a chain of derived principles, the main of which are the integrity of objects and the complexity of their analysis (Kuznetsov, 2006). A risk management system is an integral complex of organizationally and functionally related elements, focused on a general assessment of the totality of all types and risk factors and management of processes that can minimize the impact of risk factors on the system, taking into account the nature of the relationship between these risks.

The complexity of the risk management system lies in the need to take into account the complexity of the management object (the set of risks), including the relationship between risks, all possible consequences of the manifestation of risk and the peculiarities of the influence of the proposed procedures on the risk (including situations when the fight against some risks gives rise to others) (Chernova, Kudryavtsev , 2005).

Trends in the development of science lead researchers to the need to develop a systematic approach on a dialectical basis as a unified general scientific methodology that has truly new possibilities. The systems approach uses one main way of analyzing an object - decomposing it into subsystems. Dialectics introduces another principle for analyzing an object - its diversity of quality, identity in polysemy. In other words, one and the same object at the same time has significantly different, largely opposite qualities. A systematic approach to risk management on a dialectical basis involves determining the internal inconsistency of a complex system as a whole.

The risk management system, like any other complex socio-economic phenomenon, develops subject to the laws of dialectics, thanks to the internal dynamic interaction of contradictions within itself. Contradictions between thinking and practical activity, goal and result arise constantly and require resolution. The organization's desire to maximally satisfy its needs (reducing costs, making a profit, etc.) gives rise to competition, since these needs can be satisfied at the expense and through their limitation or elimination from other business entities. Setting goals and determining ways to develop a risk management system is the resolution of an objective contradiction between the existing state of the risk management system and the prospects for its development. The resolution of this contradiction at a certain point in time does not mean its complete elimination; it can arise in new conditions, defining new tasks that require the adoption of new appropriate decisions.

From the point of view of synergetics, the specifics of the development of a risk management system, like any other “humanitarian systems”, according to G. Nikolis and I. Prigogine (2003), are determined by the behavior of the acting forces in interaction with the conditions imposed by the external environment. This point is key, since in the absence of strong disturbances from the outside, the system remains stable for an indefinitely long time, and there are no factors inducing the system to develop, and when this order is spontaneously violated, a large number of solutions and bifurcation phenomena arise that induce the system to develop . Development entails the emergence of new qualities of the system, which may consist in improving the use of factors of production, appropriating social values ​​(material and spiritual benefits), developing the human personality, improving social relations; an increase in order, an increase in organization, an increase in information, a decrease in the entropy of the system. Innovation is the main driver of economic development; since everything new appears only thanks to the dialectical unity of necessity and chance. Chance acts as a constructive factor of development, for which the diversity of chance, and therefore opportunities, is of fundamental importance.

Bulletin of MSTU, volume 13, No. 1, 2010

It should be noted that risk is a motivating factor for the creation and development of special independent management elements in the organization and the formation of a risk management system. The economic significance of the existence of such a system in an organization is that it allows regulating the development of the organization’s system, the quality parameters of goods and services produced, and shaping public opinion and attitudes towards the organization.

3. Approaches to methodology development

The unity, integrity and structural and functional complexity of the risk management system in an organization requires an adequate approach that would ensure appropriate perception and study of the object, its functioning and development. There are numerous approaches to developing methodology, which are characterized by different conceptual models, mathematical tools, and starting positions. Classifying approaches according to various criteria, they distinguish systemic, conceptual and aspectual (Korotkov, 2000). With the aspect approach, the choice stops at one facet of the problem. The conceptual approach involves the preliminary development of a set of key provisions that determine the general focus, architectonics and continuity of the study. The systems approach reflects a higher level of research methodology and requires the maximum possible consideration of all structural aspects of problems in their interrelation and integrity, highlighting the main and essential, determining the connections and interactions between the components, characteristics and properties of system elements and subsystems.

In any system, what matters is the working of the whole - it is the result of growth and dynamic equilibrium, adaptation and integration, not mere technical efficiency.

From the consideration of the experience of the development of economic systems, the conclusion follows that the traditional systems approach, which consists in decomposing an object into subsystems and the isolated study of individual subsystems, relationships, aspects, gives rise to numerous intractable problems. The main problem is that contradictions may arise between the elements of the system, which are associated to a greater extent not only with the study of the properties and laws of operation of elements and subsystems, but also with the choice of the best structure, the optimal organization of the interaction of elements, and the determination of operating modes under the active influence of external environment.

Multi-criteria, weak structure and uncertainty of the problems of developing a risk management system require the use of a systematic approach and the development of a holistic system methodology. The systems approach is an explicit expression of the procedures for representing objects as systems and methods for their description, explanation, prediction, construction, etc. (Spitznadel, 2000).

A systems approach on a dialectical basis involves determining the internal inconsistency of a complex system as a whole. At the moment, in the theory and practice of management, there are many examples where, as a result of changing one of the elements of the system, the entire system remained constant, or changed, but in the opposite direction.

The extraordinary complexity of society at the beginning of the 21st century, capable of “undergoing a huge number of bifurcations” (splits), creates a new situation in the world, since complex systems have “high sensitivity to fluctuations” (oscillations), and this “gives us hope at the same time, and anxiety." All this led to the fact that the world “was forever deprived of the guarantees of stable, enduring laws” (Prigogine, Stengers, 1986).

4. Chaos theory - stage of methodology development

An important step in the development of the methodology of modern science was the formation of chaos theory (Kuznetsov, 1997). In accordance with the results of modern research in the field of nonlinear dynamics and synergetics, the chaotic behavior of complex systems is not evidence of our ignorance or incompleteness of our knowledge of the relevant systems, but is due to the very nature of things. Chaos is from the beginning. Such are the nature of things that their behavior is permeated with chance, spontaneous, largely unpredictable, chaotic. One of the fundamental facts of the new theory is the discovery of strange, chaotic attractors of the behavior of complex systems in a variety of fragments of the natural and human world. This testifies to the universality, universality, and all-existence of chaos.

Chaos is like a virtual world, a world of teeming potentialities, an abyss of hidden possibilities of the world. Chaos is an element that conceals infinitely possible forms, and order is the realization, manifestation, discovery in existence of one or some of these forms.

Chaos in the physical sense is in no way identical to disorder and is not the opposite of order. Chaos in complex systems of very different nature, studied in the theory of chaos and in the theory of self-organization, is always relative. It contains a relative measure of chaos and a measure of order. Chaos is organized in a certain way. It is not structureless.

Kapustina N.V., Kuznetsov Yu.V. Principles of risk management system research

Chaos, as a complex relationship between order and disorder in real systems, performs many different functions in the processes of self-organization in nature, the human psyche and society:

Chaos as a way to achieve the tendency of self-structuralization of an open nonlinear environment;

Chaos as a way to synchronize the pace of evolution of subsystems within a complex system and thereby as a way to preserve its integrity;

Balancing on the edge of chaos as a way to maintain a complex organization (self-organized criticality);

Chaos as a factor of adaptation to changing environmental conditions;

The transition from order to chaos, from symmetry to asymmetry, and back, as a way of giving birth to beauty;

Chaos, more precisely, a share of internal chaos, as a necessary addition to external management, control, planning, as a way of self-government of a complex system;

Chaoticity, dispersion, diversity of elements as the basis for achieving their unity, organization (unity through diversity as a principle of systems theory, order through chaos (I. Prigogine), order through noise (H. von Foerster), organizing randomness (A. Atlan));

Chaos as a stimulus, a push for evolution, spontaneity as a vital impulse;

Chaos as a factor in the renewal of a complex organization (Knyazeva, 2002).

The limitlessness of the knowledge of chaos is associated with the discovery and study of the most diverse functions of chaos, both promoting self-organization and evolution and inhibiting them, both constructive and creative, and destructive and destructive.

Systems theory and chaos theory determine the need to consider the behavior of the system as a whole. Living systems are integrations, and their character depends on the whole. Looking at risk management from this perspective, it can be noted that in order to understand the problems of risk management in an organization, it is necessary to consider this process as a system that causes these problems.

Analysis of various areas of application, methodological and conceptual provisions of system research, practical experience in their use shows that the specificity of system research lies in its focus on studying problems with subsequent focus not only on understanding the essence and connections of the objects being studied, but also on creating tools that ensure management these objects, resolving existing problems (Filimonova, 2005).

The scientific literature systematizes the current problems of using a systems approach in various fields of knowledge, which are as follows (Blauberg et al., 1978):

Clarifying definitions and constructing a formalized description of the basic concepts of the systems approach;

Theoretical description of specific methods of system research;

Constructing classifications of systems;

Development of methodological foundations of management theory, which will expand the capabilities

research of complex and super complex systems;

Development of methodological foundations for the theory of hierarchical systems;

Development of methodological foundations for the design of complex technical and social

economic systems.

Thus, there is a need to identify analogues in related fields of knowledge, which will make it possible to adapt existing methods and tools to solve various kinds of problems that arise at the present time and, possibly, in the future in various types of economic systems that have a hierarchical structure.

5. Problems of risk management development

In the field of developing a risk management system as part of the economic system, the following problems can be identified:

Lack of information base necessary for analysis, forecasting and risk management in organizations;

Poor structure of problems;

Increased negative consequences in the field of management of socio-economic systems caused by rapid changes in the external environment of the systems;

Lack of methodological developments, tools, as well as adequate means to ensure timely resolution of semi-structured problems in risk management;

Lack of professional management personnel in the field of risk management, since it is very difficult for people with experience in a planned economy to adjust to the pace of the modern business environment;

Lack of ensuring social, environmental and economic safety of organizations and processes.

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The problems that arise in the process of formation and development of a risk management system are multi-criteria, poorly structured and often have the nature of uncertainty.

The literature identifies a number of approaches for conducting system analysis: system-component, system-structural, system-functional (Akimov, 2002). In relation to the risk management system, their essence is as follows:

The system-component approach reflects the study of a risk management system based on identifying its main elements and subsystems, the interaction of which provides qualitative features unique to this system. The principles on the basis of which the main elements and subsystems are identified are determined by the very structure of the risk management system, the goals and objectives of the study, as well as the scope of the factors taken into account;

The system-structural approach involves the study of internal connections and interactions between elements and subsystems. The structural properties of the risk management system are determined by the stability and nature of the relationships between the components of the subsystem. The system can detect complex behavior, however, some of its properties remain unchanged. Changing the characteristics of individual elements of the system does not always lead to a change in the quality of the system; within certain limits it remains relatively constant. As a result of the accumulation of quantitative changes within the system under the influence of the external environment, its subsequent development can occur, which can take place either evolutionarily or revolutionary.

The system-functional approach involves the analysis of functional dependencies between individual subsystems and elements. The functional description of the elements of the risk management system can be presented in the form of a hierarchical structure, which contains coordinating aspects - coordination of functions and components horizontally - and subordinating connections - coordination of functions of elements and subsystems vertically. Subordination determines the subordination of the functions of some elements and subsystems to the functions of others, determines the specific place and different significance of each component in the implementation of the functions of the entire risk management system in the organization.

Combining the approaches to systems analysis discussed above makes it possible to analyze not only the state of the research object itself, but also those established interactions carried out by this object during its reproduction. In this case, we are talking about the form of interaction between the organization and the risk management system, as an element of the organization’s economic system.

6. Methodological principles of the risk management system

When developing a risk management system in an organization, it is necessary to proceed from the multi-connected nature of this process based on defining and improving the initial model of the system through the interaction of its component parts. In this case, the component parts are considered together, in interconnection and dialectical unity, since revealing the essence of the problems of the risk management system in an organization is possible only through studying the dynamics of interaction of its component parts. This approach, in turn, requires clarification of the fundamental system principles. The following principles are highlighted in the literature: hierarchy, integration, formalization, physicality, modeling, purposefulness, combination of centralization and decentralization, etc. (Gamidov, 2000).

The selection of methodological principles is determined by the need to reveal the essence of the development of the risk management system, its functions and influence on the macroeconomic system of the organization as a whole and its individual subsystems. In this regard, the study is based on the existing methodological principles proposed by us. Based on the above, the following methodological principles can be identified.

1. The principle of hierarchy requires studying the risk management system at the micro, meso and macro levels. The risk management system is a set of interrelated and structured decisions and actions at all levels of management in the organization, adopted and implemented in various subsystems of the organization. Hierarchy is manifested through the organizational structure of the organization and lies in the fact that the risk management system operates in each division of the organization, regardless of the number of hierarchical levels and the location of the subsystem in the hierarchy. There is a high degree of dependence of the upper levels of the hierarchy on the lower ones, since any slightest change in an element of the subsystem of the lower level of the hierarchy can lead to fundamental changes at the upper level. At the center of risk management issues is the interaction of the system with the external environment, since it is the main source of uncertainty. Thus, risk management makes changes to socio-economic processes occurring at the meso and macro levels.

2. The principle of integration - the study of integrative properties and patterns of systems and their

Kapustina N.V., Kuznetsov Yu.V. Principles of risk management system research

complexes, revealing the basic mechanisms of integration of the whole. This principle is manifested in the relationship between the elements of the risk management system themselves. The problem is that the risk management system is a subsystem of the organization and is forced to function in complex, regularly changing socio-economic relations, where new types and risk factors constantly arise, requiring a flexible response of the entire system.

3. The principle of formalization necessitates the creation of methods, tools, approaches, definitions, assessments and obtaining quantitative characteristics. The problem of formalizability can be caused by rapid changes in the elements of the risk management system in the organization. Consequently, there is a need to build formalized models, which makes it possible to select methods, tools, approaches, definitions, assessments of the risk management system, which must be described in several functional spaces, consistent with each other, which will make it possible to discover a new essence, new properties and systematization possibilities the objects themselves.

4. The principle of modelability. Any system can be represented by a variety of models that reflect certain aspects of its essence. Modeling the development processes of a risk management system makes it possible to study certain properties using one or more narrowly focused models. In this case, the problem is that some of the research devoted to the risk management system considers descriptive models of a theoretical nature.

5. The principle of purposefulness, understood as a functional tendency aimed either at achieving a certain final goal, a certain state of the system by the risk management system, or at strengthening or maintaining some of its qualities. For this purpose, economic interests are realized. The economic interests of risk management lie in the systematic elimination of threats to economic security, minimizing the impact of risk factors on the organization’s activities and, consequently, on profits. At the same time, the risk management system must adapt to the influence of the external environment and adapt to it. The development of goal-oriented systems, such as the risk management system, is aimed at achieving a global goal, therefore, the choice of goal and its clear formulation acquire special importance here. Vague, incorrectly defined final goals entail ambiguities in the structure and management of the system, decision-making, which can lead to negative consequences. In practice, this principle is not reflected enough: the existing goals of the risk management system are aimed at the internal part of the system and do not take into account its interaction with the external environment, that is, its openness.

6. Combination of the principles of centralization and decentralization. A situation in which control comes from only one center (full centralization) is considered justified if the subsystems are unable to independently withstand the influence of the external environment. However, the higher the degree of decentralization of management in the system, the more difficult it is to coordinate not only the goals of one level with the global goal, but also the goals of the elements of the system themselves. Achieving a common goal in a decentralized system can be ensured by a stable monitoring mechanism that does not allow significant deviations from achieving the final goal. The complexities of combining centralization and decentralization in the risk management system must be resolved by developing a risk management standard in the organization with subsequent specification of risk management functions at the lower hierarchical levels of the organization's management.

7. The principle of expanding the boundaries of socio-economic systems means changing the quality of socio-economic systems by creating new economic institutions, expanding influence groups (stakeholders), changes in the business environment, which in general leads to expanding the boundaries of the system horizontally and vertically and involves the use new methodological approaches for infrastructure integration. The peculiarity of the modern period of development of the Russian economic system is that both the emergence of new institutions, processes and social phenomena and the modernization of old ones occur simultaneously. In the first case, adaptation is a response to innovation, in the second - to the transformation of existing institutions and organizations. In general, the described processes lead to the expansion of boundaries both inside and outside the system, which leads to the use of new methodological approaches.

8. The principle of continuity over time across the phases of the life cycle means ongoing targeted regulation of the risk management system. The risk management system must be maintained continuously, depending on the phase of the life cycle in which the organization is located.

9. The principle of ordering risk management actions in the organization. The problem is that in an emergency situation, at the slightest deviation of the system, its control becomes quite complex and may have the character of some spontaneity. It is necessary to have methodologies, tools, management algorithms with ordered actions carried out in

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a certain sequence.

10. The principle of timely awareness consists in timely informing all elements of the risk management system about its possible changes. To this end, it is necessary to ensure the free flow of information between all levels of management, both top-down and bottom-up.

11. The principle of strategic predictability is that the risk management system should carry out not only current risk management and strive to minimize losses from risks. It should also be aimed at assessing the risks of the organization’s strategic development prospects.

7. Conclusion

In accordance with the principles discussed above, it is possible to determine the basic requirements for the risk management system in the organization:

Development prospects - correspond to the organization’s development prospects and assess the risks of decisions made in the future;

Communicativeness - free movement of information and constant interaction between upper and lower levels of management;

All-situationality - the ability to manage in all emerging situations, including crisis ones, when communication with the control object may be lost for some time;

Flexibility - changing the risk management methodology depending on the situation and changes in long-term trends;

Responsiveness - the ability to respond in a timely manner and change depending on the situation and business conditions;

Efficiency - the ability to effectively implement management decisions aimed at the entire process as a whole with a minimum amount of appropriate resources;

The adequacy of management tools that are components of the system and make up the practical support of certain methods, its theoretical prerequisites that underlie the methodological justification;

Simplicity of description and accessibility of use for practical management in an organization.

The presented methodological principles for studying the risk management system can serve as the basis for building and improving management systems in modern organizations of various levels in the context of rapid changes in the external environment.

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