dickson k.w. chiu senior member, ieee kwchiu@acm, dicksonchiu@ieee

1

Enhancing E-service Collaboration beyond Process Enactment: from

Requirements to Event Driven Realization

Dickson K.W. CHIU Senior Member, IEEE

[email protected], [email protected]

Shing-Chi CHEUNG, Sven TILLDept. of Computer Science

Hong Kong University of Science & Technology{scc, till}@cs.ust.hk

eService Collaboration-2

Introduction e-service - service provided over the Internet adoption of e-services for B2B process collaboration need for a more in depth study

not just “regular” process enactment – basic knowledge requirement engineering beyond basic enactment is almost

unexplored Enforcement

Exception detection – how do you know what is happening inside your partners’ organization?

Exception handling – how deviations can be controlled or compensated

Business relationship management quality collaboration need to do extra things process “transparency”


Project Background My PhD thesis research on exceptions in WFMS

D.K.W. Chiu, Q. Li and K. Karlapalem. A Meta Modeling Approach for Workflow Management System Supporting Exception Handling. Information Systems, 24(2):159-184, 1999.

D.K.W. Chiu, Q. Li and K. Karlapalem. Web Interface-Driven Cooperative Exception Handling in ADOME Workflow Management System. Information Systems, 26(2):93-120, 2001.

Extension to cross-organization workflows D.K.W. Chiu, K. Karlapalem, Q. Li and E. Kafeza. Workflow Views

Based E-Contracts in a Cross-Organization E-Service Environment. Distributed and Parallel Databases, 12(2-3):193-216, 2002.

CRM D.K.W. Chiu, et al. An Event Driven Approach to Customer

Relationship Management in an e-Brokerage Environment. HICSS36, IEEE Computer Society Press, Jan 2003.

Conference Paper D.K.W. Chiu, S.C. Cheung, and S. Till. An Architecture for E-

Contract Enforcement in an E-service Environment. HICSS36 best paper nomination.


Objectives a methodology to structure B2B process collaboration in

multiple layers and multiple perspectives Conceptual models expressed in UML life cycle similar to that of a software system, i.e., definition,

analysis, and realization a more thorough understanding of B2B process

collaboration from its fundamentals to system design a methodology is presented for the engineering of e-

service process collaboration from high-level business requirements down to system design details

a system architecture and feasible implementation outline with Enterprise Java Bean (EJB) and Web services

evaluate our approach from the perspective of three main stakeholders of e-collaboration, namely users, management, and systems developers


Simplified Business Contract Lifecycle

BusinessInformationExchange

Contract Enactment

ContractEnforcement

Contract Negotiation

Based on business experience and requirements, contract templates (with variables) are abstracted from previous contracts

A contract template is modeled as an e-Contract template Each successful e-Negotiation will lead to an e-Contract Enforcement and enactment are executed differently and in

parallel CRM should be anywhere anytime …


Motivating Business Process Example

Can this show anything beyond regular process execution -enforcement and relationship management?

Sub-process


Example Enforcement Requirements

End user notify system integrator: changes in delivery requirements or payment arrangement -

System integrator notify end user - changes in delivery date When a vendor changes the lead-time but the delivery

schedule can still be met within the end user’s deadline, the change can be tolerated.

The system integrator should present a revised delivery schedule to the end user according to the parts vendor’s reported lead-time.

When a certain part is stopped from production, the system integrator request the end user’s approval of using an alternative part.

When there is a significant aggregated price change in parts during the end user’s evaluation, a revised quotation (price) is sent to the end user through an event-triggering mechanism.

Most of the above are related to exception handling…


Enforcement Requirements in General

Recognition (monitoring) and handling of contract breaches

Enforcement and enactment are handled differently(enactment deals with regular activities)

Compliance of a contract has to be kept under constant surveillance

Monitoring of variables – states of the business process

Challenges constantly checking validity of all these variables incurs

tremendous overheads extended across organizational boundaries may include confidential information, e.g., bank accounts


Example Relationship Management Requirements

Any involved organization wants to be able to inquire the progress of business processes at other business partners’ side such as order processing, payment.

A service provider wants to relay relevant information to business partners from other sources or upon enquiry, such as technical information, drivers update, product news.

Effective measures for handling complaints and feedbacks from business partners are essential to help rescue threatened relationship and reduce attrition.


A Three-Layered Architecture for B2B Collaboration

Enterprise JavaBeans

Web Services

ECA Rules

WorkflowProcesses

EnforcementPolicies

Enforcement RequirementsEnactment

Requirements

CollaborationRequirements

Business Rules

System Design

RelationshipPolicies

Relationship Management Requirements


Artifacts of B2B Collaboration Architecture

Layer Perspective Artifacts

Collaborationrequirements

Users, managers,Analysts

Meta-model for B2B Collaboration:Enactment requirements (Workflow Processes)Enforcement requirements (Enforcement Polices) Relationship management requirements (Relationship Management Polices) Parties and Roles

Business rules Analysts Meta-model for process enactment and exception handling: Business events, Business rules, Business actions and Business entities

System design Analysts & Programmers

Task system design (Enterprise JavaBeans components)Process system design (BPEL or workflow engine)Cross-organizational interface (Web Services XML schemas)


A Meta-model of B2B Process Collaboration

1

specifies

**

*

+publisher1

*

1..**

performs

1..*

1

EnforcementRequirement

*

*

specifies EnforcementPolicy

CollaborationRequirement

EnactmentRequirement

WorkflowProcess

specifies

1

BusinessRule

*

1

Event

Action

Condition

BusinessParty*

BusinessEvent

Exception

TemporalEvent

+subscriber *

Obligation Permission Prohibition

aggregation

inheritance

realizes

realizes

Relationship MgmtRequirement

Relationship Mgmt Policy

*

realizes

1..*


System Architecture based on ECA rules

Motivated by the active database paradigm Event - occurrence of something interesting to the system itself

or to user applications Event driven execution of rules in event-condition-action (ECA)

form ECA (active) rules: On event if condition then action Exceptions and alerts are events too (action = handler) Ensure efficiency and timeliness - monitor becomes only active

when an interesting event occurs

Requirement Enforcer

Collaboration ProcessEnactor

Event Adapter

Web Service Interface

Event Event

A Party as an e-Service

Provider

Database

ECA rulesEvent Repository

Event Subscribers List Business Entities

Internet E

vent

Event

Eve

nt

Other Collaboration

Parties

Timer Event


Enactment Requirements to ECA rules

Event-driven workflow execution model (that is, ECA rule based)

Business partners have to trigger the corresponding start-events (say, quotation enquiry) to start B2B process collaboration.

If the process is a composite one, the collaboration process enactor will raise a start-event for the first sub-process

This will continue recursively downward the composition hierarchy until a leaf sub-process or task.

The collaboration process enactor sends a start-event to the task to initiate it.

After the task is finished successfully, the task replies to the collaboration process enactor by raising a finish-event with the results (if any).

The collaboration process enactor then carries on with the next step according to the returned result.

Upon failures or timeouts, an appropriate exception event will also be raised accordingly.


Enactment ECA rules example E: received (QUOTATION_ENQUIRY), C: true,

A: perform (CHECK_PART_INFO) E: finish (CHECK_PART_INFO), C: true,

A: perform (PREPARE_QUOTATION) E: finish (PREPARE_QUOTATION), C: true,

A: perform (PREPARE_EXTRA_INFO)


Enforcement Requirements to ECA rules

Improvement from deontic logic – well-defined execution semantics and when to execute

BAO stands for an object that encapsulates a business action whose execution triggers the object creation

Case study – “Terms and Conditions of Sale, Service and Technical Support”, Dell, Hong Kong http://www.ap.dell.com/ap/hk/en/gen/local/legal_terms.htm

Clause type Event Condition Action

Obligation (Shall …)

onDay(deadline(BAO ) ) NOT occurred( BAO )

raise( exception( BAO ) )Prohibition

(Shall not …) onOccurred( BAO) prohibitionCondition( BAO )

Permission (may …)

NOT permitted( BAO )


Enforcing Obligation

Upon reaching the deadline Tobl, a temporal event is generated by the Timer

Contract enforcer (of counter party of the action) check if the obliged party has performed the required business action Aobl, searching the log file for invoked actions / occurrence of related events

If the obligation has not been fulfilled, the contract enforcer raises an exception

E: onDay( deadline( BAO ) )C: NOT occurred( BAO )A: raise( exception( BAO ) )


Enforcing Obligation Example 7.1 Dell shall deliver the Products to the place of delivery

designated by Customer and agreed to by Dell as evidenced in Customer’s invoice (“Place of Delivery”)

Enforcement rule (Customer)

Enactment rule (DELL)

E: onDay( deadline( DELIVER ) )C: NOT occurred( DELIVER ) A: raise( exception( DELIVER ) )

E: onDay( before( deadline( DELIVER ), 6 ) )C: valid( place( DELIVER ) ) & ready( DELIVER )A: perform( DELIVER )

10.7 …Dell shall respond to a request for such Emergency Service as soon as practicable after its receipt of such request.

Analyst has to clarify and substitute ambiguities with concrete deadline in the formulation

E: onDay( after( receiptDate( EMERGENCY_REQUEST ), N ) ) ) C: NOT responded( EMERGENCY_REQUEST ) )A: raise( exception( EMERGENCY_REQUEST )


Enforcing Prohibition

Enforcement rule form Enforcement rule (Both Parties)

E: onOccurred( BAO )C: NOT permitted( BOA ) A: raise( exception( BAO ) )

E: onOccurred( INFO ) C: confidential( INFO ) A: raise( exception( INFO ) )

The contract enforcer should treat an occurrence of a prohibited action as an exception.

Problem - observation of prohibitions if a party performs a prohibited action, the party will

probably try to hide or distract this fact as long as possible unless the party does this by mistake or misunderstandings) autonomous nature of different organizations

Example - 14. Each party shall treat as confidential all information obtained from the other pursuant to a Contract which is marked 'confidential’ …


Enforcing Permission

Enforcement rule form Enforcement rule example (Both Parties)

E: onOccurred( BAO )C: prohibitionCondition( BAO )A: raise( exception( BAO ) )

E: onOccurred( REFUSE_ORDER ) C: NOT badlisted( customer( REFUSE_ORDER ) ) A: raise( exception( REFUSE_ORDER ) ) Temporary allowance to perform an otherwise

prohibited action within a certain allowed time period under certain situations (i.e., events plus conditions) otherwise exception

Example - 2.1 … Dell shall be entitled to refuse to accept orders placed by the Customer if the Customer breaches or Dell, on reasonable grounds, suspects that the Customer will breach this warranty …


Enforcing Permission - Problem

Enforcement rule form Enforcement rule example (Both Parties)

E: onOccurred( BAO )C: prohibitionCondition( BAO )A: raise( exception( BAO ) )

E: onOccurred( LEVY )

C: NOT ( dateOfCancellation( order( LEVY ) ) > dateOfManufacture( order( LEVY ) ) & cancellationApproved( order( LEVY ) ) )

A: raise( exception( LEVY ) ) Example - 3.1 … If Dell allows a Customer to cancel its order after manufacture but before shipment of the Product, Dell shall be entitled to levy a cancellation charge equal to 20% of the price of the Products. …

Customer can hardly know the commencement of manufacture of the product - almost non-monitorable

Dell may improve the situation by informing the customer when the commencement starts through its enactment system. (CRM!)


Relationship Management Requirements

CRM help an organization to streamline customer services and maximize the value of customers

New in the B2B context – objectives: provision of quality service monitoring of collaborating processes better dissemination of information effective handling of complaints

Automation for CRM is even more essential for B2B Approach

Concentrated on business rule designs for asynchronous event driven

particularly for exceptions Transform business rules from if-then form to ECA form Isolate the relevant events record the objectives of each rule to determine its

usefulness and hence its priority of implementation in a phased approach


Quality of service

Often not explicitly enforced in a contract But this should not just be optional Do better than required or specified =>

competitive Example, though some obliged actions may

have a distant deadline, the management may decide to perform it as soon as feasible.

Example ECA-rule for quicker delivery E: received (ORDER) C: valid( place( DELIVER ) ) & ready( DELIVER ) A: perform( DELIVER )


Monitoring of collaborating processes

Helps business partners to plan ahead and reduce uncertainties

Example: a customer can hardly tell whether the manufacture process of the product has already commenced when the order is cancelled

Improve the situation by informing the customer when the manufacturing process has commenced

Better than handling enquiries passively => reduce the need for human enquiries and thus operating costs.

Non-monitorable => monitorable ECA rule example:

E: start (DELIVERY) C: true A: notify (customer (DELIVER))


Dissemination of useful information

Widely in practice for B2C relationship management. Financial institutions often provide market information to

their customers as extra services. Facilitate the customer to make decision and in turn may

help effective collaboration. For example, system integrator forward vendor’s

technical information or software updates to the relevant customers.

Prevent problems from occurring improves the service quality reduce the cost of support

Example ECA rule: E: received (INFO) C: relevant (INFO, customer) A: notify (customer ( INFO) )


Effective handling of complaints

Avoids customer attrition Help rescue threatened relationship Complaints involve exception conditions

need to be handled by appropriate trained personnel or even the management manually

should be performed as soon as possible to reduce customer grievance

Example ECA rule: E: received (COMPLAINT) C: true A: notify (handling_personnel (customer

( COMLAINT)))


Discussion of Problems General measures to handle contract breaches or

exception involves domain specific knowledge explicitly specified in other contract clauses implicitly regulated by laws and standards

Ambiguity and impreciseness of natural languages reference to other laws, regulations, standard trade

practices parties involved should discuss and clarify the matter amend existing or forthcoming contracts accordingly

Autonomous nature of individual organizations Required events might not be monitorable Cooperation and trust - improves the transparency of

operations (CRM!) Add explicit clauses in the contract to demand these events

Lack of e-services standards


Web Service Implementation Outline

Event Adaptor – event publish-and-subscribe paradigm

Web ServicesManager

EventAdapter

publish

subscribe

receive

notify

Database

Event RepositorySubscribers ListSecurity Policies

Web ServicesManager receive

event

event

event

event

Counter Party Party

requestsubscribe

request

request

interface

depend

event

subscriptionrequest

component

NOTATIONS


Web Services of the Event Adaptor

Publish Web service invoked by the event adaptor input parameter is the occurred event or exception checks the subscribers list and the security policies, and then

notifies the valid subscribers (via e-mail, fax, ICQ message, or even via another Web service)

Subscribe Web service registers requests for an event subscription parameters: the requester, the subscribed event, and how

the requester wants to receive the event notification Receive Web service

receive subscribed events published by the counter party received events are recorded at the Event Repository and

forwarded to the Event Adapter in turn transforms them into the forms as required by the

Contract Enforcer and the Contract Enacter


Example Web Services for Collaboration

takeOrder Web ServiceInput: OrderRequest Buyer

Name Address E-Mail

ProductList Product

Product ID Product Name Quantity Price

Output: OrderResponse OrderResult

OrderNr Password

Estimated Delivery Date

trackOrder Web ServiceInput: OrderStatusRequest OrderNr Password Output: OrderStatus Progress Estimated Delivery Date Optional: DeliveryNr


Web Services for External Exception / Event Reception

Example Web ServiceName: ChangeOrderRequestInput: ChangeContractDataRequest

ChangeRequestID Customer Id OrderNumber ToChangeContractData OldValue NewValue

ReasonOfChange Output: ChangeContractDataResponse

ChangeRequestID Approved (Yes/No) AuthorizedBy AdditionalComment ToChangeContractData

NewValue

“Catch-all-exception” Web service Precaution – unhandled exceptions

forward to administrators Each events / exceptions sub-class

hierarchy as Web service Extra parameters / data

E.g., End User -> System Integrator Cancel Order Request Change Order Request

Change Delivery Date Request Change Delivery Location Request

Delay Payment Request Return Unsatisfied System Request

E.g., Part Vendor -> System Integrator Price List Update Price Update

New Parts Update Part Recall Notification

Part Obsolescence Notification Driver Update


Event Chaining

Possible because of automated receipt and sending of events

Efficient and effective knowledge dissemination E.g., driver update:

part vendor -> system integrator -> end user


Process Monitoring

Name: GetProcessStatus Input: ProcessStatusRequest

CustomerId OrderNumber

Output: ProcessStatusResponse CustomerID OrderNumber StatusReport (content depend on the customer,

status, etc.) ContactPersonInfo (for further information)


Evaluation - Concerns of different stakeholders

General Concerns Enactment Enforcement RM

User Assist their workInteroperability and connectivitySystem / information availability Convenience and ease of use

Workflow automationReliability – retries, search alternatives

Reduce tedious manual checkingTimeliness of services

Improved service call-center or web page More transparent business processes

Management Cost vs. BenefitImprove productivityScalabilitySecurityReduction in total development costCommunications cost

Increase business opportunitiesConvergence of disparate business functionalities

Business process monitorabilityCompliance to contracts / trade standard / regulations / lawsException and crisis managementKnowledge management

Improve customer relationshipsImproved servicesKnowledge management

System Developer

Development / Maintenance effort & costRequirement elicitationReusabilityScalabilityUncertainty in the use of new technologiesOverall system complexityIntegration with existing systems

Phase approach that accommodate existing basic enactment information systems

Event monitorabilityDifficulties in programming captured knowledge

Difficulties in programming captured knowledge


Conclusions A pragmatic three-layer architecture for B2B e-service

process collaboration (collaboration requirement layer, business rule layer, and system design layer)

Support for enactment, enforcement, and relationship management

A meta-model for B2B collaboration based on a unified artifact of event-condition-action

A methodology for eliciting knowledge of collaboration requirements into business rules in ECA format

Typical problems that can be discovered by our methodology, together with some measures of overcoming them

A system architecture and feasible implementation outline with Enterprise Java Bean (EJB) and Web services

Evaluation of our approach from the perspective of three main stakeholders of e-collaboration, namely users, management, and systems developers


Continuing and Future Work

Methodologies for preventive measures avoiding contract breaches.

Process adaptation for interoperability with process views and event flows analysis – different partners have different interactions.

Alerts – urgency in process integration (esp. healthcare)

Application of this framework in other domains, particularly B2B process enforcement (exceptions) and *CRM*

Financial institutions, insurance, … e-tourism, e-government, e-learning, …

dickson k.w. chiu senior member, ieee kwchiu@acm, dicksonchiu@ieee

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