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  <front>
    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>An Ontological Framework of Method Engineering: An Overall Structure</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Mauri Leppänen</string-name>
          <email>mauri@cs.jyu.fi</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Department of Computer Science and Information Systems P.</institution>
          <addr-line>O. Box 35 (Agora)</addr-line>
          ,
          <institution>FI-40014 University of Jyväskylä</institution>
          ,
          <country country="FI">Finland</country>
        </aff>
      </contrib-group>
      <abstract>
        <p>A large number of strategies, approaches, meta models, techniques and procedures have been suggested to support method engineering (ME). Most of these artifacts, here called the ME artifacts, have been constructed, in an inductive manner, synthesizing ME practice and existing ISD methods without any theory-driven conceptual foundation. Also those ME artifacts which have some conceptual groundwork have been anchored on foundations that only partly cover ME. This paper presents an ontological framework, called OntoFrame, which can be used as a coherent conceptual foundation for the construction, analysis and comparison of ME artifacts. Due to its largeness, we describe here its modular structure composed of multiple ontologies. For each ontology, we highlight its purpose, sub-domains and theoretical foundations. We also mention the approaches and process by which OntoFrame has been constructed.</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>-</title>
      <p>
        Engineering of an information systems development (ISD) method is far from trivial
in practice. In the first place, ISD methods are abstract things with divergent semantic
and pragmatic meanings. The former implies that conceptions of what ISD methods
should contain may vary substantially [
        <xref ref-type="bibr" rid="ref11 ref15 ref25 ref26 ref30 ref40">11, 15, 25, 26, 30, 40</xref>
        ]. The latter suggests that
views of roles, both technical and political, that ISD methods play in ISD may be
quite different [
        <xref ref-type="bibr" rid="ref11 ref72">11, 72</xref>
        ]. Existing methods also differ from one another in their
fundamental assumptions and approaches [
        <xref ref-type="bibr" rid="ref11 ref30">11, 30</xref>
        ]. Second, it is often difficult to
characterize the target ISD situation in a way which makes it possible to conduct a
proper selection of and suitable adaptation in existing methods for an organization or
a project. Third, it is frequently unclear which kind of strategies (i.e. from “scratch”,
integration, adaptation) and processes should be applied in each stage of the
engineering of an ISD method. Fourth, most of the method engineering (ME)
situations suffer from the lack of time and other resources, causing demands for
carrying out ME actions in a more straightforward and effective manner.
      </p>
      <p>
        A large array of ME strategies and approaches (e.g. [
        <xref ref-type="bibr" rid="ref36 ref58 ref60">36, 58, 60</xref>
        ]), meta models
(e.g. [
        <xref ref-type="bibr" rid="ref15 ref21 ref25 ref32 ref54">15, 21, 25, 32, 54</xref>
        ]), ME techniques (e.g. [
        <xref ref-type="bibr" rid="ref33 ref39 ref57 ref62 ref7">7, 33, 39, 57, 62</xref>
        ]) and ME procedures
(e.g. [
        <xref ref-type="bibr" rid="ref21 ref31">21, 31</xref>
        ]) have been suggested to support method engineering. These ME
artifacts, as we call them here, sustain, however, several kinds of shortcomings and
deficiencies [
        <xref ref-type="bibr" rid="ref46">46</xref>
        ]. One of the major limitations in them is the lack of a uniform and
consistent conceptual foundation. Most of the ME artifacts have been derived, in an
inductive manner, from ME practice and existing ISD methods without any
theorybased conceptual ground. Also those ME artifacts that have a well-defined
underpinning have been anchored on foundations that only partly cover the ME
domain.
      </p>
      <p>
        ME is a very multifaceted domain. It concerns not only ME activities, ME
deliverables, ME tools, ME actors and organizational units, but, through its main
outcome, an ISD method, also ISD and more specifically ISD activities, ISD
deliverables, ISD actors, ISD tools, etc. Furthermore, ME involves indirectly, through
information system (IS) models and their implementations, IS contexts as well as
those contexts that utilize information services provided by the IS. Thus, in
constructing an ME artifact it is necessary to anchor it on a coherent conceptualization
that covers ME, ISD and IS, as well as the ISD and ME methods. In ontology
engineering literature (e.g. [
        <xref ref-type="bibr" rid="ref17">17</xref>
        ]) a specification of the conceptualization of a domain
is commonly called an ontology. Hence, what we need here is a coherent set of
ontologies which cover all the aforementioned sub-domains of ME.
      </p>
      <p>
        The purpose of this paper is to suggest an ontological framework, called
OntoFrame, that serves as a coherent conceptual foundation for the construction,
analysis and comparison of ME artifacts. OntoFrame is composed of multiple
ontologies that together embrace all the sub-domains of ME. It has been constructed
by searching for “universal” theoretic constructs in the literature (the deductive
approach), by analyzing existing frameworks, reference models and meta models (the
inductive approach), and by deriving more specific ontologies from generic ontologies
above them in the framework (the top-down approach [
        <xref ref-type="bibr" rid="ref70">70</xref>
        ]). The construction has
been directed by the goals stated in terms of extensiveness, modularity, consistency,
coherence, clarity, naturalness, generativeness, theory basis and applicability. The
ontological framework is quite large, comprising 16 individual ontologies [
        <xref ref-type="bibr" rid="ref40">40</xref>
        ]. Here,
we are only able to describe its overall structure and outline the ontologies on a
general level (Section 2). We also discuss the theoretical background and approaches
followed in engineering it (Section 3). The paper ends with the discussion and
conclusions (Section 4).
      </p>
    </sec>
    <sec id="sec-2">
      <title>2. An Overall Structure of OntoFrame</title>
      <p>
        A conceptual framework is a kind of intellectual structure which helps us determine
which phenomena are meaningful and which are not. OntoFrame, as an ontological
framework, aims to provide concepts and constructs by which we can conceive,
understand, structure and represent relevant phenomena pertaining to method
engineering. Deriving from two disciplines, ontology engineering (e.g. [
        <xref ref-type="bibr" rid="ref13 ref18">13, 18</xref>
        ]) and
conceptual modeling (e.g. [
        <xref ref-type="bibr" rid="ref34 ref9">9, 34</xref>
        ]), OntoFrame has been set the following goals. To
advance communication between people, the framework should be clear and natural.
To balance different needs for specificity and generality, OntoFrame should be
composed of ontologies that are located at different levels of generality. To build on
some more stable and solid ground, the main building blocks of OntoFrame should be
driven from relevant theories. To ease making extensions and still maintaining
coherence and consistence, OntoFrame should be modular and generative. To cover
the relevant phenomena of ME, OntoFrame should also be extensive. And last but not
least, OntoFrame should be applicable in the construction, analysis and comparison of
ME artifacts.
      </p>
      <p>The ontological framework is composed of four main parts (Figure 1). The first
main part, the core ontology, provides basic concepts and constructs to conceive and
structure human conceptions of reality and use of a language in general. The second
main part, the contextual ontologies, focuses on conceptualization of information
processing as contexts or parts thereof, on certain processing layer, from certain
perspective, and as being modeled on some model level. The third main part, the
layer-specific ontologies, has been specialized from those above in the framework to
cover the sub-domains of IS, ISD and ME with more special concepts and constructs.
The fourth main part, the method ontologies, conceptualizes the nature, structure and
contents of the ISD method and the ME method. In the following, we describe each of
these main parts and their ontologies in terms of purposes, sub-domains, and
theoretical foundations.</p>
      <p>
        The purpose of the core ontology is to provide the basic concepts and constructs
for conceiving, understanding, structuring and representing fundamentals of reality. It
comprises seven ontologies: generic ontology, semiotic ontology, intension/extension
ontology, language ontology, state transition ontology, abstraction ontology, and UoD
ontology. Each of these ontologies has the scope, purpose and role of its own in the
core ontology. The generic ontology, founded on the constructivist position [
        <xref ref-type="bibr" rid="ref9">9</xref>
        ],
provides the most generic concepts from which all the other concepts have been
derived by specialization. It is the top ontology [
        <xref ref-type="bibr" rid="ref19">19</xref>
        ] in our framework. The most
elementary concept is ‘thing’, meaning any phenomenon in the “objective” or
subjective reality. The semiotic ontology defines concepts that are needed to
recognize the semiotic roles of and relationships between the things. The main
concepts, adopted from semiotics [
        <xref ref-type="bibr" rid="ref53">53</xref>
        ], are ‘concept’, ‘sign’, and ‘referent’. The
intension / extension ontology serves as a conceptual mechanism to specialize the
notion of concept and defines its semantic meaning [
        <xref ref-type="bibr" rid="ref22">22</xref>
        ]. The notions of intension and
extension enable to differentiate between ‘basic concept’, ‘derived concept’, ‘abstract
concept’, ‘concrete concept’, ‘instance concept’ and ‘type concept’.
      </p>
      <p>
        The language ontology provides concepts for defining the syntax and semantics of
a language. Based on linguistics (e.g. [
        <xref ref-type="bibr" rid="ref50">50</xref>
        ]), it defines concepts such as ‘language’,
‘alphabet’, ‘symbol’, and ‘expression’. The state transition ontology is composed of
concepts and constructs for the recognition of dynamic phenomena in reality in terms
of states, state transitions, and events. The abstraction ontology serves concepts and
constructs for abstraction by classification, generalization, aggregation, and grouping.
Deriving from the intension/extension ontology, it also distinguishes between the first
order abstraction and the second order abstraction (or the predicate abstraction). It is
based on the philosophy of science and abstraction theories by e.g. [
        <xref ref-type="bibr" rid="ref14">14</xref>
        ], [
        <xref ref-type="bibr" rid="ref22">22</xref>
        ], [
        <xref ref-type="bibr" rid="ref51">51</xref>
        ]
and [
        <xref ref-type="bibr" rid="ref52">52</xref>
        ]. The UoD (Universe of Discourse) ontology is composed of consolidated
concepts through which reality can be conceived from a selected viewpoint. These
concepts are ‘UoD state’, ‘UoD behavior’ and ‘UoD evolution’.
      </p>
      <p>The contextual ontologies help us recognize, understand, structure and represent
phenomena in reality (a) as some contexts or parts of contexts, (b) on some processing</p>
      <p>Contextual
ontologies</p>
      <p>Layer
ontology
Layerspecific
ontologies</p>
      <p>Core ontology:
- Generic ontology
- Semiotic ontology
- Intension/extension
ontology
- Language ontology
- State transition ontology
- Abstraction ontology
- UoD ontology</p>
      <p>Context
ontology
Perspective
ontology</p>
      <p>RW process
IS ontology
ISD ontology
ME ontology</p>
      <p>
        Model level
ontology
Method
ontologies
ISD method
ontology
ME method
ontology
layers, (c) from some perspectives, and (d) as being modeled on some model
levels. These ontologies, orthogonal to one another, are: context ontology,
layer ontology, perspective ontology, and model level ontology. The context
ontology defines seven related contextual domains, called the purpose domain, the
actor domain, the action domain, the object domain, the facility domain, the location
domain, and the time domain. For each domain, the most essential concepts and
constructs are provided. The ontology is rooted in case grammar [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ], pragmatics
[
        <xref ref-type="bibr" rid="ref48">48</xref>
        ], and activity theory [
        <xref ref-type="bibr" rid="ref8">8</xref>
        ]. The layer ontology helps us structure and relate, on a
general level, phenomena of information processing and its development at three
layers, namely information systems, information systems development and method
engineering. This ontology is based on systems theory [
        <xref ref-type="bibr" rid="ref49">49</xref>
        ] and information systems
science (e.g. [
        <xref ref-type="bibr" rid="ref12 ref26 ref9">9, 12, 26</xref>
        ]). The perspective ontology provides a set of well-defined
perspectives to focus and structure the conceptions of contextual phenomena. The
perspectives are: systelogical, infological, conceptual, datalogical, and physical
perspectives. The perspective ontology is based on systems theory [
        <xref ref-type="bibr" rid="ref49">49</xref>
        ], semiotics
[
        <xref ref-type="bibr" rid="ref55">55</xref>
        ], and some seminal works (e.g. [
        <xref ref-type="bibr" rid="ref27 ref28 ref73">27, 28, 73</xref>
        ]). With the model level ontology, one
is able to create, specify and present models about reality in different modes. The
kernel of this ontology is a hierarchy composed of instance models, type models, meta
models, and meta meta models. The ontology is based on works such as [
        <xref ref-type="bibr" rid="ref6">6</xref>
        ], [
        <xref ref-type="bibr" rid="ref9">9</xref>
        ] and
[
        <xref ref-type="bibr" rid="ref27">27</xref>
        ], many of which have their roots in linguistics and philosophy of science.
      </p>
      <p>
        The third main part of OntoFrame is called the layer-specific ontologies. While the
layer ontology gives the basic structures to distinguish between and relating the
information processing layers, the layer-specific ontologies elaborate the
conceptualizations of IS, ISD and ME. These ontologies are the IS ontology, the ISD
ontology and the ME ontology, correspondingly. Each of them is specified through
the concepts and constructs of contextual domains and perspectives. The IS ontology
helps us conceive, understand, structure, and represent phenomena in the IS, its object
system and utilizing system. It has been derived from the context ontology, and by
integrating constructs from multiple works (e.g. [
        <xref ref-type="bibr" rid="ref1 ref2 ref24 ref38 ref49 ref64 ref67 ref68">1, 2, 24, 38, 49, 64, 68, 67</xref>
        ]). The
ISD ontology provides concepts for conceptualization of contextual phenomena in
ISD. Besides deriving from more generic ontologies in the framework, it has been
built by selecting, abstracting, modifying and integrating concepts from a large array
of IS and ISD literature (e.g. [
        <xref ref-type="bibr" rid="ref25 ref35 ref56 ref59 ref68">25, 35, 56, 59, 68</xref>
        ]). Respectively, the ME ontology
covers contextual phenomena in method engineering. The ontology has been built on
works such as [
        <xref ref-type="bibr" rid="ref3">3</xref>
        ], [
        <xref ref-type="bibr" rid="ref15">15</xref>
        ], [
        <xref ref-type="bibr" rid="ref20">20</xref>
        ], [
        <xref ref-type="bibr" rid="ref21">21</xref>
        ], [
        <xref ref-type="bibr" rid="ref36">36</xref>
        ], [
        <xref ref-type="bibr" rid="ref58">58</xref>
        ], [
        <xref ref-type="bibr" rid="ref61">61</xref>
        ] and [
        <xref ref-type="bibr" rid="ref69">69</xref>
        ].
      </p>
      <p>
        The fourth main part of the framework is the method ontologies, comprising the
ISD method ontology and the ME method ontology. The ontologies provide concepts
and constructs to conceive, understand, structure, and represent the nature, structure
and contents of the methods. The contents of the methods are conceptualized by the
ISD ontology and the ME ontology, correspondingly. The method ontologies have
been structured in accordance with the semantic ladder [
        <xref ref-type="bibr" rid="ref67">67</xref>
        ] and derived from a
number of frameworks of ISD methods [
        <xref ref-type="bibr" rid="ref11 ref15 ref21 ref25 ref26 ref30 ref69">11, 15, 21, 25, 26, 30, 69</xref>
        ].
      </p>
      <p>
        To summarize, OntoFrame provides a holistic view of the sub-domains involved in
ME. The rationale behind the composition of OntoFrame from ontologies is based on
modularity, contextuality and generativeness. Modularity and generativeness help one
select an appropriate level of specificity on which phenomena in reality are to be
conceived. Contextuality facilitates the use of concepts and constructs for capturing
deeper meanings of single phenomena through relating them to other phenomena in
the context(s). Generating more specific concepts from generic concepts by
specialization advances the coherence and consistence of the framework.
3. The Approaches and Process of Engineering OntoFrame
Ontology engineering means categorizing, naming and relating phenomena in reality
in an explicit way. There are two sources of ontological categories [
        <xref ref-type="bibr" rid="ref66">66</xref>
        ]: observation
and reasoning. Observation provides knowledge of the physical world, and reasoning
makes sense of observation by generating a framework of abstraction. OntoFrame is
based on the extensive reasoning from the large literature on universal theories such
as semiotics, linguistics and systems theory, and works related more specifically to IS,
ISD and ME.
      </p>
      <p>
        There are two approaches to deriving from the literature in ontology engineering.
In the inductive approach, source material is collected from single instance-level
artifacts (e.g. ontologies, frameworks, and methods) to abstract a more generic one. In
the deductive approach some universal-like theoretic constructs are first selected and
then deployed as an underlying groundwork for an ontology. We applied both of these
approaches. First, in building the core ontology we made a thorough analysis of
generic frameworks and ontologies (e.g. [
        <xref ref-type="bibr" rid="ref4 ref5 ref66 ref71 ref9">4, 5, 9, 66, 71</xref>
        ]) and derived the ontology
from them by selection, integration, and customization. In contrast, in engineering the
context ontology we first searched for disciplines and theories that address meanings
in sentence contexts [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ], conversation contexts [
        <xref ref-type="bibr" rid="ref48">48</xref>
        ] and action contexts [
        <xref ref-type="bibr" rid="ref8">8</xref>
        ], and
derived the fundamental categorization of concepts into seven contextual domains.
After that we enriched the contents and structure of each domain with constructs from
existing artifacts. The fundamental structures in the perspective ontology, the model
level ontology and the layer ontology were also inferred from the relevant theories
(e.g. systems theory, semiotics, linguistics). For the rest of OntoFrame we mostly
applied the deductive approach to generate lower-level ontologies from higher-level
ontologies. In this process the existing literature was heavily utilized to complete and
customize the derived concepts and constructs for the concerned sub-domains.
      </p>
      <p>
        Many of the conceptual frameworks in the ISD literature have been constructed
applying the inductive approach (e.g. [
        <xref ref-type="bibr" rid="ref21 ref63 ref65">21, 63, 65</xref>
        ]). Harmsen [
        <xref ref-type="bibr" rid="ref21">21</xref>
        ], for instance, built
his MDM model (Methodology Data Model) by deriving from existing classifications
and frameworks, resulting in a large set of IS-specific and ISD-specific concepts that
were justified through their source artifacts. A drawback of this kind of approach is
that it does not encourage bringing forward novel insights. In contrast, the BWW
model [
        <xref ref-type="bibr" rid="ref71">71</xref>
        ] has been anchored in Bunge’s ontology [
        <xref ref-type="bibr" rid="ref4">4</xref>
        ]. Through this deductive
approach the model pursues “universality” of concepts and constructs. In the
approach such as this there is, however, a risk that the theories originally crafted for
different domains may not cover the whole range of phenomena in the concerned
domain. We have tried to overcome these problems and risks by applying both of the
approaches. Theory-based constructs provided an underpinning that was tested,
enhanced and elaborated by the inductive derivation from current artifacts. The use of
the theories advanced not only the soundness of the framework but also innovations.
      </p>
      <p>
        Another way to characterize our process of engineering OntoFrame is to use the
categorization of the approaches into top-down, bottom-up and mixed approaches
[
        <xref ref-type="bibr" rid="ref70">70</xref>
        ]. Our process mainly proceeded in a top-down manner through the following
stages: (1) building the core ontology, (2) deriving the contextual ontologies, (3)
establishing the layer-specific ontologies, and (4) deriving the method ontologies (see
Figure 1). From the main strategies available for ontology engineering we applied the
integration strategy whenever possible. In this way we could import existing
knowledge from those sub-fields in which views and concepts are relatively stable
and fit our main premises. Adaptation was carried out when needed.
      </p>
      <p>
        For each of the ontologies in the framework we applied, in an iterative manner, an
ontology engineering procedure with the following steps (cf. [
        <xref ref-type="bibr" rid="ref70">70</xref>
        ]): (a) determine the
purpose and domain of an ontology, (b) consider reusing existing artifacts, (c)
conceptualize, (d) formalize (i.e. present in a graphical model), (e) evaluate, and (f)
document.
      </p>
      <p>
        The ontological framework is aimed at a means of communication between human
beings, not for the use of computers. It comprises a large set of concepts and
constructs, and most of them are highly abstract. For these reasons, it is important to
present the framework in a concise yet understandable form. We deploy two
presentation forms: informal and formal (cf. [
        <xref ref-type="bibr" rid="ref70">70</xref>
        ]). The concepts are defined in a
vocabulary presented in a natural language. In addition, each of the ontologies is
expressed in a graphical model. From a large set of semi-formal languages we
selected a graphical language, and preferred the UML language to special ontology
representation languages (e.g. CLEO, LINGO, DAML+OIL and OWL) because of its
large and rapidly expanding user community, intrinsic mechanism for defining
extensions, and largely available computer-support.
      </p>
    </sec>
    <sec id="sec-3">
      <title>4. Discussion and Conclusions</title>
      <p>In this paper we have described the overall structure of the large ontological
framework called Ontoframe which serves as a conceptual foundation for the
construction, analysis and comparison of ME artifacts. We have also brought out the
purposes, sub-domains and theoretical bases of the ontologies contained in
OntoFrame, as well as the approaches and process by which OntoFrame has been
constructed.</p>
      <p>
        As far as we know [
        <xref ref-type="bibr" rid="ref40">40</xref>
        ], there is no other presentation that would cover such a
large spectrum of sub-domains, on such a detailed level, as OntoFrame does. We have
intentionally aspired after this kind of holistic view in order to avoid the
fragmentation of views and conceptions that is typical of most of the research in our
field. The holistic view enables the recognition, comparison and integration of current
artifacts that have been built upon more limited foundations and views. Only some of
the existing representations (e.g. [
        <xref ref-type="bibr" rid="ref16 ref28 ref29 ref71 ref9">9, 16, 28, 29, 71</xref>
        ]) have been explicitly founded on
some theories.
      </p>
      <p>OntoFrame is of benefit to both research and practice. With the ontologies
contained in OntoFrame it is possible to achieve a better understanding of the
contextual phenomena in IS, ISD and ME. OntoFrame provides a reference
background for scientists and professionals, thus enabling them to express themselves
about matters in the concerned sub-domains in a structured way, and based on that, to
analyze, compare and construct ME artifacts. The comprehensive and unified
framework establishes bridges between various approaches, disciplines and views
across three decades. OntoFrame also provides teachers and students with a large
collection of models of sub-domains and a comprehensive vocabulary with clear
definitions. OntoFrame is very large. It is not our intention that the whole range of
ontologies is applied in every case. Contrary to that, relevant parts of OntoFrame
should be selected depending on the problem at hand.</p>
      <p>Assessment of a large ontological framework such as OntoFrame is difficult. Due
to the space limit, we discuss it here on a general level in terms of the goals set up for
OntoFrame. Coherence, generativeness, modularity, and balance between specificity
and generality of OntoFrame has been basically advanced by applying the top-down
approach by which concepts and constructs of ontologies on lower levels have been
derived by specialization from those on higher levels. Extensiveness has been aspired
at by anchoring the skeleton of the framework in universal theories. Achievement of
coherence and consistency has been aided by cross-checking the definitions in the
vocabulary and using graphical models to represent the ontologies. Clarity,
naturalness and applicability are goals that should be validated, preferably through
empirical tests.</p>
      <p>
        Validation of applicability should, in the first place, involve each of the ontologies
in the framework individually. We have responded to this demand with the discussion
of validity of individual ontologies in separate articles (i.e. the context ontology [
        <xref ref-type="bibr" rid="ref44">44</xref>
        ],
the ISD ontology [
        <xref ref-type="bibr" rid="ref43 ref46">43, 46</xref>
        ], the abstraction ontology [
        <xref ref-type="bibr" rid="ref45">45</xref>
        ], the perspective ontology
[
        <xref ref-type="bibr" rid="ref47">47</xref>
        ] and the model level ontology [
        <xref ref-type="bibr" rid="ref41">41</xref>
        ]). Second, validation should concern the
framework as the whole. Some work for that has also been done. The applicability of
OntoFrame has been demonstrated in the analysis of ME artifacts in [
        <xref ref-type="bibr" rid="ref42">42</xref>
        ]. In [
        <xref ref-type="bibr" rid="ref40">40</xref>
        ] we
have deployed OntoFrame to construct methodical support for ME in the form of a
methodical skeleton. Although some evidence of the applicability of individual
ontologies, as well as of the whole framework has been got, more experience from the
use of OntoFrame in different kinds of ME contexts is definitely needed.
      </p>
    </sec>
  </body>
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