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  <front>
    <journal-meta>
      <journal-title-group>
        <journal-title>Expanding on the Process Perspective in Software Process Improvement Practices •</journal-title>
      </journal-title-group>
      <issn pub-type="ppub">1613-0073</issn>
    </journal-meta>
    <article-meta>
      <title-group>
        <article-title>Expanding on the Process Perspective in Software Process Improvement Practices</article-title>
      </title-group>
      <contrib-group>
        <aff id="aff0">
          <label>0</label>
          <institution>HARRI KETO, JARI PALOMÄKI and HANNU JAAKKOLA, Tampere University of Technology</institution>
        </aff>
      </contrib-group>
      <pub-date>
        <year>2018</year>
      </pub-date>
      <volume>7</volume>
      <issue>3</issue>
      <fpage>27</fpage>
      <lpage>30</lpage>
      <abstract>
        <p>Process modeling is an essential part of software process improvement. This article aims at expanding the dominant paradigm of processes modeling where the organization's operations is seen as an idealistic mechanistic process. Our view is that enhancement of the process improvement practices requires re-evaluation of the main concept, that is the process view. Process philosophy and system thinking is offered to expand the perspective. Modeling involves essentially the ability of the modeler to abstract, i.e., the ability to look at the modeling object from a chosen point of view, and thereby distinguish and conceptualize the properties considered relevant to the purpose of the modeling.</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>1. INTRODUCTION</title>
      <p>
        Looking at the development of software engineering (SE) practices from the beginning of the
discipline to this day, a significant change in generic processes and practices in the field can be
seen. In the last two decades, the agile methods have become part of the official practices of
software organizations. The software industry has developed instead of the traditional linear
predetermined process to adhere more and more adaptable and iterative process. This change
seems to have contributed to the software process improvement (SPI) practices as well. The
change of perspective is also seen as an interest in the research papers and development of
standards [
        <xref ref-type="bibr" rid="ref15">Henriques and Tanner, 2017</xref>
        ] [
        <xref ref-type="bibr" rid="ref18">Keto and Jaakkola, 2017</xref>
        ]] [
        <xref ref-type="bibr" rid="ref21">Kuhrmann, Diebold and
Münch, 2016</xref>
        ].
      </p>
      <p>
        The concept of the process is in many ways central. SE processes are modeled to provide a
unified concept as a foundation for process improvement. The process is usually modeled as a
system that, by means of related functions and resources, converts inputs into meaningful
products. This provides a structured and easily understandable perspective. At the same time,
however, it must be remembered that this is only an abstraction involving certain features. We
call this kind of systematic structural partitioning approach a mechanistic process conception
because it easily creates an illusion system which behavior is wrongly assumed to be predictable
by understanding the behavior of its components [
        <xref ref-type="bibr" rid="ref20">Keto, Palomäki and Jaakkola, 2010</xref>
        ] [
        <xref ref-type="bibr" rid="ref23">Lindsay,
Downs and Lunn, 2003</xref>
        ].
      </p>
      <p>This article aims at expanding the dominant paradigm of processes modeling where the
organization's operations simply become an idealistic mechanistic process. Our view is that
enhancement of the process improvement practices requires re-evaluation of the main concept,
that is the process view. The writing relies partly on the historical perspective, as we want to
highlight the background of the prevailing paradigm’s development over time. Chapter 2 gives
an overview of changes in the process improvement. We look at the evolution of the overall
process of software development and the appropriateness of SPI from a process management
perspective. In Chapter 3, we point out a basis for critical review by making a brief overview on
process philosophy and system thinking. One motivation behind our view is the criticism of the
system thinking and the process philosophy to the reductive thinking of classical science. In
Chapter 4 we open the discussion about the subject.</p>
    </sec>
    <sec id="sec-2">
      <title>2. PROCESS PERSPECTIVE CHANGE IN SPI</title>
      <p>
        Many process management practices in SE have been adapted through practical experience from
closely related sciences and industry. SE has been characterized by the development of process
innovations in practical projects. These lead to good practices that get gradually gaining foothold
in the industry. At some point, researchers summarize these features as theories that get the
official label in the industry [
        <xref ref-type="bibr" rid="ref34">Shaw, 1990</xref>
        ]. In this section, we first propose how the change in the
SE process enables new kinds of practices to improve processes, but on the other hand, it also
poses challenges for comprehensive development. Then we look at the development of process
thinking in process management.
      </p>
    </sec>
    <sec id="sec-3">
      <title>2.1 Evolution of the software engineering process and implications on SPI</title>
      <p>
        In the early days of information technology, SE was seen as a straightforward linear process, like
a manufacturing industry, where the product is first defined and planned accurately and the
specification is fixed before implementation and test. This sounds a well-controlled process, but
there were also early warnings about making the process too linear. The famous writing of
Winston Royce demonstrated the nature of the SE's distinction with the traditional
manufacturing industry [
        <xref ref-type="bibr" rid="ref29">Royce, 1970</xref>
        ]. Instead of using a linear top-down process, Royce
suggested to use early simulation, which can be interpreted as prototyping. The use of a
prototype in producing computer programs was reported already in 1956 [
        <xref ref-type="bibr" rid="ref4">Benington, 1983</xref>
        ].
Since the 1970s, the linear model was commonly referred to as the Waterfall Model, and various
variations were developed based on it. The SE was aimed to pursue as a plan-based process.
      </p>
      <p>
        The Spiral Model released by Barry Boehm highlighted the features of modern SE such as
iteration, a gradual refinement of the product, utilization of prototypes and risk management, see
[
        <xref ref-type="bibr" rid="ref5">Boehm, 1988</xref>
        ]. To the model was embedded a notable feature that is nowadays apparent in the
applications of all agile methods: today the sequential steps of the waterfall model have been
translated into assignments that repeat in each cycle of the iteration. The purpose is to produce a
ready-to-evaluate outcome as an output of each cycle. Balancing between a plan-based process
and the agility has led to iterative and incremental ways to implement software. The incremental
refers to a progressive development process in which the customer gets access to some of the
software while at the same time new increments are planned. A process is called evolutionary
development, when the specification of the software may not necessarily be entirely attached at
the beginning of the project but it may change during the process, as the design is refined.
      </p>
      <p>
        In agile SE, short iterations are intended to produce a concrete result to be evaluated and
which adds value to the system. A concrete process example can be found in the Scrum method,
which process is based on sprints of 1-4 weeks, of which the self-managed team is responsible
[
        <xref ref-type="bibr" rid="ref32">Schwaber and Beedle, 2001</xref>
        ]. The basis for method was described by Takeuchi and Nonaka, see
[
        <xref ref-type="bibr" rid="ref36">Takeuchi and Nonaka, 1986</xref>
        ]. Self-managed teams are characterized by features such as a
common task, versatile members, the ability to decide on their work patterns, schedule and
distribution of tasks, and it gets feedback as a team [
        <xref ref-type="bibr" rid="ref7">Cummings, 1978</xref>
        ]. Self-management means
that the team has the prerequisites for acting as freely within the work unit and that it can
change its performance strategy in a changing operating environment to solve problems
[
        <xref ref-type="bibr" rid="ref39">Wageman, 1997</xref>
        ].
      </p>
      <p>
        The agile process is based not only on iterativity and incrementality, but also the most
straightforward and rapid communication between the different stakeholders and within the
development team. Process performance relies more on team expertise than on the predefined
and external controlled process, though many of the practices to be followed are highly
disciplined and automated. For example, in XP programming, a maximum automation is sought
for configuration and version control, and this requires compliance with common rules [
        <xref ref-type="bibr" rid="ref3">Beck,
2004</xref>
        ]. Development seems to have led to the popularity of agile process frameworks which
include a knowledge-base and workflow patterns, see for example [
        <xref ref-type="bibr" rid="ref31">Scaled Agile, 2018</xref>
        ]. It is
common for them, that they are not content with just describing the steps of the process, but
they provide tangible and experimental information on the best practices and tools to support the
project resources, roles and tasks. The aim is to provide work models that can be tailored for an
individual organization or for a project.
      </p>
      <p>
        The Scrum process possesses an important feature for improvement of operations, namely
Sprint Retrospective. Instead of external activity of an outside expert, the retrospective is
practically embedded into the process as one of the required process event. During the
retrospective, the team discusses what went well in the last iteration (sprint) and how to improve
work processes. By the end of the retrospective, the team should have identified improvements
that it will implement in the next iteration [
        <xref ref-type="bibr" rid="ref33">Schwaber and Sutherland, 2017</xref>
        ]. The popularity of
agile methods, and in particular the Scrum, poses challenges on the one hand, but also provides
a practical platform for improving processes. Emphasizing the team's expertise and
communication creates a favorable soil for commitment. The project specific retrospective cannot
replace a wider development program, but on the other hand, agile projects may provide them
with a good platform to implement and experiment with new practices.
2.2
      </p>
    </sec>
    <sec id="sec-4">
      <title>Considerations of process thinking in process management</title>
      <p>
        Philosopher and economist Adam Smith presented the idea that the work can be parsed into
basic tasks. The work was organized in a new way to mass production. From the point of view of
systemic thinking, the production process was seen as a machine controlled by instructions and
rules, all of which could be controlled by the "owner" [
        <xref ref-type="bibr" rid="ref1">Ackoff, 1994</xref>
        ]. At the beginning of the 20th
century, Henry Ford designed a new kind of way to produce high-quality cars to their
competitors much more efficiently and more economically in a well-defined serial production
process. This and Frederick Taylor's "Principles of Scientific Management" have a remarkable
impact as a model for modern production process. Taylor emphasized, among other things, the
importance of simplifying work, evaluating and improving performance, and the importance of
controlling work results that can be clearly seen as an application of the open system feedback
loop. The idea of a company's organization changed substantially. Ackoff notes that it was
inevitable for management to see an organization as a social system, some of which could have
goals of their own [
        <xref ref-type="bibr" rid="ref1">Ackoff, 1994</xref>
        ]. This can be seen as an attempt to move from a mechanistic
process to a wider perspective.
      </p>
      <p>
        Process Management (PM) is a management discipline where the basic unit of management
and organization is a business process that crosses horizontal organizational boundaries. PM
includes several trends. One of the key drivers of PM can be seen in Michael Porter's value chain
concept, where the core processes of a company constitute a level, in where each step of the action
chain adds value to the product, see [
        <xref ref-type="bibr" rid="ref26">Porter, 1985</xref>
        ]. In addition, Geary Rummler emphasized the
importance of organizational performance enhancement and process re-design, see [
        <xref ref-type="bibr" rid="ref30">Rummler
and Brache, 1990</xref>
        ]. Process improvement practices include modeling, evaluating, and measuring
operational processes as well as making improvement actions based on these. In most Total
Quality Management (TQM) approach quality improvements are achieved through using the
“Plan-Do-Check-Act” cycle, an approach associated originally with the ideas of Schewhart and
Deming [
        <xref ref-type="bibr" rid="ref17">Houston and Dockstader, 1988</xref>
        ].
      </p>
      <p>
        In the early 1990s, the position of information technology (IT) in relation to organizations'
business processes changed substantially. The role of IT, previously the automation of work,
became one of the key business transformation factors that would allow a radical re-engineering
of business processes, see [
        <xref ref-type="bibr" rid="ref12">Hammer, 1990</xref>
        ], [
        <xref ref-type="bibr" rid="ref9">Davenport and Short, 1990</xref>
        ] and [
        <xref ref-type="bibr" rid="ref13">Harrington, 1991</xref>
        ].
Business Process Reengineering (BPR) did not finally prove successful. Instead of gradually
improving the process, the idea was to create a completely new kind of process that would
radically differ from old practices. After initial interest, however, the favor of BPR gradually
faded. One reason was the misuse of the methodology [
        <xref ref-type="bibr" rid="ref14">Harrington, 1998</xref>
        ]. Both Hammer and
Davenport have noted that the approach did not take into account the human dimension and
Davenport wrote: “Reengineering treated people as interchangeable parts to be reengineered”
[
        <xref ref-type="bibr" rid="ref40">Wang, 2008</xref>
        , 27]. It can be concluded that the transfer of the process control mechanism from
the manufacturing industry to design and service-oriented business seems to have led to
deadlock because the perception of the process was highly mechanistic. The rise and fall of BPR
is a good example of the risks of a mechanistic process conception.
      </p>
      <p>
        In the mid-1980s, the trend to develop the productivity and quality of SE from a process point
of view was strengthened. At the same time, ISO 9000-based quality development programs
became increasingly popular also in the development of software organizations. The roots of the
quality movement are strongly in PM and TQM practices, which both share process thinking as
an important aspect of the organization management. Particularly in the context of TQM,
process improvement is seen as iterative and controlled change practice [
        <xref ref-type="bibr" rid="ref17">Houston and
Dockstader, 1988</xref>
        ] [
        <xref ref-type="bibr" rid="ref11">Hackman and Wageman, 1995</xref>
        ]. Software Engineering Institute (SEI)
research can be considered as one of the first impulses in Software Process Improvement (SPI)
[
        <xref ref-type="bibr" rid="ref8">Curtis, Kellner and Over, 1992</xref>
        ]. Today the most famous models are SEI's CMM (Capability
Maturity Model) and ISO standard ISO 15504, which is to be renewed into the ISO 33000 series.
The use of large standard models has been debated by researchers, especially in the case of small
and medium-sized software organizations. [Richardson and Cresse von Wangenheim 2007]
[Raninen 2014]. Despite criticism, in any case, standardization has brought together a lot of
significant information about the SE.
      </p>
    </sec>
    <sec id="sec-5">
      <title>3. A GROUND TO EXPAND THE PERSPECTIVE</title>
      <p>In connection with the criticism of reductive thinking, we present two significant philosophical
approaches. The first, Process Philosophy can be used to explain the object as a dynamic
phenomenon. The second, System Thinking has had a major impact on process modeling. They
have affected many methods and practices of SE, but their impact is not necessarily known or
their interpretation is superficial.</p>
    </sec>
    <sec id="sec-6">
      <title>3.1 Process philosophy</title>
      <p>
        Process philosophy is based on the claim that the existence is of a procedural nature and that
change is the dominant feature of reality everywhere [
        <xref ref-type="bibr" rid="ref28">Rescher, 1996</xref>
        , 7-8]. Process philosophy is
characterized by emphasizing the primacy of activity and related concepts such as time, change
and evolution [
        <xref ref-type="bibr" rid="ref28">Rescher, 1996</xref>
        , 27-28]. In process philosophy, reality is perceived to be dynamic
and is generally presented as a contrast to the more static substance-based philosophy.
Substance is a permanent independent object that may exist irrespective of other objects. In the
ancient era, Heracleus emphasized the process and the constant movement, as opposed to
Parmenide's idea that nothing moves. Platon later combined these two opposite ways of thinking.
According to him, the sensible world is in motion and changing, and we only have "doxa", that is,
common belief. However, Plato's pupil, Aristotle established substance thinking on philosophical
and scientific thinking so that a more dynamic understanding of reality began only in the late
18th century to come back to philosophical consideration.
      </p>
      <p>
        According to Alfred Whitehead, the world is best understood as systems of large and small
finite four-dimensional space-time events, some of which are relatively stable [
        <xref ref-type="bibr" rid="ref41">Whitehead, 1929</xref>
        ].
Space-time events are linked either on within other or overlap and cut together so that chains of
events can be formed. Events are in constant change. The change represents the realization of
certain opportunities and the disappearance of others. The world simply does not exist as such
but is in a state of continuous becoming. According to Whitehead, reality is the process of
becoming of actual entities (or actual occasions) [
        <xref ref-type="bibr" rid="ref41">Whitehead 1929</xref>
        , 22]. They endure only a short
time, and they are processes of their own self-creation. There are also eternal objects to be
understood as conceptual objects. They express a concrete reality without actually being real.
      </p>
      <p>
        Following Whitehead’s idea that everything is made up of processes, for every phenomenon
there is a modeling point of view, by which it can be seen as a process or group of processes.
These processes can be divided into eternal processes interpreted as concepts and into real
processes interpreted as finite four-dimensional time-space events. When looking at process
modeling and the processes involving people, we also need to take into account the different
subjective perceptions of the process. Thus, we can distinguish three interrelated process
abstraction levels: the ideal conceptual level, the subjective conceptual level and the level of
physical real time events, see more in [
        <xref ref-type="bibr" rid="ref19">Keto, Mäkinen and Linna, 2011</xref>
        ]. The ideal level consists
of the concepts of the process. The subjective level is the individual actor’s point of view to the
actual physical process.
      </p>
    </sec>
    <sec id="sec-7">
      <title>3.2 System thinking</title>
      <p>
        By systemic thinking (ST), we refer to a broad range of interdisciplinary approaches that are
bound together by the concept of the system and the holistic approach to analysis [
        <xref ref-type="bibr" rid="ref6">Checkland,
1999</xref>
        ] [
        <xref ref-type="bibr" rid="ref27">Pyster and Olwell, 2013</xref>
        ] [
        <xref ref-type="bibr" rid="ref24">Mingers and White, 2010</xref>
        ] [
        <xref ref-type="bibr" rid="ref22">Lane, 2016</xref>
        ]. According to the
classical concept of science, the system can be extracted from the constituents and their
properties. Reductionist analysis, through which a complete understanding of the world was
achieved, was however criticized at the beginning of the 20th century. This ultimately led to the
birth of the modern system thinking. Checkland examines the evolution of ST as part of the
general evolution of science, see [
        <xref ref-type="bibr" rid="ref6">Checkland, 1999</xref>
        , 23-58]. He presents, that the method of
traditional science is still evolving methodologically to reductive direction, and that the diversity
of the world leads to a situation that the phenomenon under examination has to be considered as
a simplification of reality [
        <xref ref-type="bibr" rid="ref6">Checkland, 1999</xref>
        , 51]. Checkland perceives the evolution of system
thinking using a comparison to a machine [
        <xref ref-type="bibr" rid="ref6">Checkland, 1999</xref>
        , 97]. At the time of the industrial
revolution, the view about the world was based on the classic science looking the world a
deterministic and "programmable" clock-like machine. System thinking was further developed
through cybernetics and general system theory to look at the system as a self-regulating machine
that controls its own behavior. During the industrial revolution, looking by reductive thinking,
an organization was structured like a closed system. In the 20th century, the perception of the
organization was based on the concept of the open system of general system theory. The
organization was now seen as a changing system, which communicates with its environment and
strives towards balance.
      </p>
      <p>
        Checkland presents the concepts of hierarchy, emergence, communication, control, and
especially positive and negative feedback as a basis for system thinking [
        <xref ref-type="bibr" rid="ref6">Checkland, 1999</xref>
        ,
7492]. Mingers and White recognize three phases in the theoretical development of system
thinking: the first early years from the 1920s to the 1960s, when the basic concepts were
developed; the second period from the 1970s to the 1990s, when different system-based
approaches were developed; as well as third, later development of Chaos and Complexity theory
[
        <xref ref-type="bibr" rid="ref24">Mingers and White, 2010</xref>
        ]. They recognize the following theories and methodologies in the
development of system thinking in the 21st century: general system theory and complexity
theory; cybernetics; system dynamics (including learning organization); as well as the
methodology of soft systems and problem solving. Pirjo Ståhle has drawn attention from the
1960s to the complexity of the system and the intrinsic ability to change [
        <xref ref-type="bibr" rid="ref35">Ståhle, 2009</xref>
        ]. She
argues that systemic thinking has proceeded to investigate instead of control and stability, the
chaotic and unpredictable behavior of the system, and the internal dynamics of the system.
      </p>
    </sec>
    <sec id="sec-8">
      <title>4. DISCUSSION</title>
      <p>
        We point out the idea that the mechanistic (reductive) process conception behind the modeling
practice can guide the outcome and will circumscribe the essential aspects of the object being
modeled. In process development, it is not enough to find out the mechanical structure of the
process, as the process always involves the subjective and mental aspects of the actors. To make
the model adaptive and flexible we can leave room for interpretation. For example, in standards,
this has often been done so that the standard tells what should be done, but it does not tell how.
The real behavior of the subjects in the process is determined by the combination of the observed
process and the process being interpreted, as well as by the actors' stimuli, errors and personal
preferences. Subjectivity causes uncertainty in the system of feedback chains that can be
influenced by reducing deviations between the desired, official, interpreted real and observed
processes [
        <xref ref-type="bibr" rid="ref2">Bandinelli et al., 1995</xref>
        ].
      </p>
      <p>
        The concept of process and system thinking have had a strong impact on modeling practices
and methods. Different formal languages and notations have been developed to describe the
system, see for example [
        <xref ref-type="bibr" rid="ref25">OMG, 2011</xref>
        ]. They have evolved from the interaction between system
thinking and software technology. In the 20th century, process thinking and process modeling
became a tangible part of the company's strategic planning tool and the importance of modeling
was emphasized. However, one can ask, whether the methods of modeling the system and in
particular the practices have developed in the same way that system thinking and process
philosophy have progressed? Especially when looking at pragmatic guides and literature on the
process re-engineering and improvement, it seems that the approach of reductionism is very
prevalent. One of the reasons might be that reductive thinking provides strong visual illustrative
technology for Western thinking, and that systemic thinking based on the ideas of holism and
emergence does not provide a sufficiently clear philosophy [
        <xref ref-type="bibr" rid="ref6">Checkland, 1999</xref>
        , 97]. This raises the
question of whether other disciplines offer theories that could be utilized in SE. Some examples
can be shown. For example, the qualitative action research contains similar elements (interviews
and data analysis, for example), which are followed in process assessment. Robert Flood notes
that soft system theory has provided the intellectual basis for many of the methods used in the
action research [
        <xref ref-type="bibr" rid="ref10">Flood, 2010</xref>
        ]. Another similar example is explaining the change and evolution of
a research subject through process theory. The qualitative process research, which collects data
by concentrating on the events of the subject and their temporal order, has emerged in many
fields as a valuable research method [
        <xref ref-type="bibr" rid="ref38">Van de Ven and Poole, 1995</xref>
        ] [
        <xref ref-type="bibr" rid="ref37">Van de Ven, 2007</xref>
        ]. As a third
example, we mention the evolution of the systems engineering as an interdisciplinary field of
engineering science. It uses the system thinking principles to study development and
management of complex systems over their life cycle. The historical background of the system
engineering is partly in the soft system methodology and it has a strong process-based
connection to SE [
        <xref ref-type="bibr" rid="ref27">Pyster and Olwell, 2013</xref>
        ] [
        <xref ref-type="bibr" rid="ref16">Honour, 2018</xref>
        ].
      </p>
    </sec>
    <sec id="sec-9">
      <title>5. CONCLUSION</title>
      <p>Process modelling is an important part of the process improvement. In this article, we wanted to
emphasize the importance of system thinking and process thinking in utilizing processes. There
is a risk that practical improvement will not be able to take advantage of a holistic perspective.
The modeling approach is easily reductive, providing a simplified mechanistic view of the
organization's processes. There is a risk to see and utilize the process description of an
organization as a nearly closed system. The model can be very detailed, but it does not
necessarily take into account all aspects of the activity and changing connections to the
surrounding reality. The modeling method and modeler's own theoretical process concept puts
the constraints on the modeling situation. Modeling involves essentially the ability of the
modeler to abstract, i.e., the ability to look at the modeling object from a chosen point of view,
and thereby distinguish and conceptualize the properties considered relevant to the purpose of
the modeling. We suggest three interrelated process abstraction levels: the ideal conceptual level,
the subjective conceptual level and the level of physical real time events. Modeling is an
epistemological process that describes the aspects considered relevant to objects in the target
area. In addition to abstraction, modeling requires the categorization, generalization and
axiomatization of objects, as well as the choice of presentation format of the model.</p>
      <p>Harri Keto et al</p>
    </sec>
  </body>
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