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    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>Context-aware Process Design: Exploring the Extrinsic Drivers for Process Flexibility</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Michael Rosemann</string-name>
          <email>m.rosemann@qut.edu.au</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Jan Recker</string-name>
          <email>j.recker@qut.edu.au</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Business Process Management Group Queensland University of Technology 126</institution>
          <addr-line>Margaret Street, Brisbane QLD 4000</addr-line>
          ,
          <country country="AU">Australia</country>
        </aff>
      </contrib-group>
      <fpage>149</fpage>
      <lpage>158</lpage>
      <abstract>
        <p>Research on process flexibility has traditionally explored alternative ways of considering flexibility during the design of a business process. The focus typically has been on ways of how the demand for process flexibility can be satisfied by advanced process modeling techniques, i.e., issues intrinsic to the process. This paper proposes to extent current research by studying the extrinsic drivers for flexibility. These drivers can be found in the context of the process, which may include among others time, location, legislation, culture, performance requirements etc. Exemplary scenarios for such extrinsic flexibility drivers will be discussed and preliminary thoughts on context-aware process design approaches will be shared. The paper ends with a proposed research agenda in this area.</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>1 Introduction</title>
      <p>
        The notion of flexibility has emerged as a pivotal research topic in Business Process
Management (BPM) over the last years [
        <xref ref-type="bibr" rid="ref1 ref2">1, 2</xref>
        ]. The need for flexibility stems from the
observation that organizations often face continuous and unprecedented changes in
their respective business environments. Such disturbances and perturbations of
business routines need to be reflected within the business processes in the sense that
processes need to be able to adapt to such change. Business process flexibility is the
capability to yield to externally triggered changes by modifying only those parts of a
process that need to be changed and keeping other parts stable, i.e., the ability to change
the process without completely replacing it [
        <xref ref-type="bibr" rid="ref1 ref2 ref3">1-3</xref>
        ]. Thus, process flexibility consists of
an extrinsic trigger for change and mechanisms for intrinsic process adaptation.
      </p>
      <p>
        Recently, a significant number of research efforts related to process flexibility
have been undertaken, mostly in the form of approaches for “adaptive” or “flexible”
process models that are able to cope with such changes. Rosemann and van der Aalst
[
        <xref ref-type="bibr" rid="ref4">4</xref>
        ] for instance developed a process modeling technique that supports adaptability by
extending a process modeling language with variation points; and Schmidt [
        <xref ref-type="bibr" rid="ref5">5</xref>
        ]
suggested an approach to support process flexibility through the use of web services.
Reinhartz-Berger, Soffer and Sturm [
        <xref ref-type="bibr" rid="ref6">6</xref>
        ] approached the adaptation of process models
via reuse-by-specialization, while Narendra [
        <xref ref-type="bibr" rid="ref7">7</xref>
        ] introduced a method to provide
support and management of adaptive workflows. Regarding empirical work in this field,
Olsson and Henfridsson [
        <xref ref-type="bibr" rid="ref8">8</xref>
        ] developed and tested design principles for context-aware
interactive applications.
      </p>
      <p>This body of research has in common that it is concentrated on intrinsic ways of
adopting or modifying business processes. However, the actual drivers for flexibility
have not yet been discussed thoroughly. As a consequence, current process modeling
techniques only capture the reactive part of process flexibility, but not the stimulus
for change. However, we argue that it is exactly this stimulus for change that needs to
be taken into consideration. The motivation for an increased consideration of context
in a process model is that it provides a stronger cause-effect relationship between the
demands for process flexibility and their impact on processes. Such an explicit
context awareness encourages monitoring of the relevant process context (e.g., weather,
competitors’ price changes, etc.). The early identification of context changes together
with knowledge about what type of process changes are required leads to increased
process flexibility and decreased reaction time.1</p>
      <p>The related challenge is to identify, document and analyze requirements for
flexibility. The combination of all situational circumstances that impact process design
and execution can be termed the context (aka situation) in which a business process is
embedded. In short, a business process context consists of values of variables, which,
when being changed, require a business process to adapt to the modified set of
context variables.2 But what exactly constitutes the context of a business process? This
question can be broken down into the two sub-questions: 1) What contextual
variables have impact on process design and/or execution (e.g., location, but not
legislation), and 2) How do different values for these variables actually impact process
design and subsequent changes (e.g., processes in France require an additional quality
assurance, while the same processes in Italy can be completed without such a check)?
This leads to the question of how the context of a business process can be
conceptualized. Moreover, how can processes be designed so that they adhere to certain
contextual values (“design for context”)? We subsume these and related questions under the
notion of context-aware business processes.</p>
      <p>
        This paper seeks to discuss the concept of business process context and its
constitution. In particular, we seek to identify and discuss research challenges related to the
development of a context-aware process design approach. We will proceed as
follows: In Section 2, we present selected business examples to highlight the need for
context awareness in business process design. Then, in Section 3 we outline and
briefly discuss research questions that need to be approached in order to develop an
1 Note that generally, process flexibility has to cover both expected and unexpected cases
(‘planned’, e.g., escalation procedures, and ‘ad hoc’, e.g., exception handling, as per the
taxonomy of process flexibility [
        <xref ref-type="bibr" rid="ref9">9</xref>
        ]) of context changes, in the latter of which it is not clear what
process changes a new context requires. Technical solutions for ad hoc changes in processes
such as exception handling are already available; see, for instance, [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ]. Thus, this paper
focuses on a subset of all possible cases of process flexibility, i.e., those cases in which there is
a clear, anticipated correlation between a change in context and corresponding process
changes.
2 In the following we tend to refer just to variables, but typically this will also include the
values of these variables.
understanding for the context requirements for process flexibility. We suggest
potential approaches towards these research questions and point to some relevant related
literature. We close in Section 4 by recapitulating the main arguments and presenting
some outlook to further research.
2 Examples of Contextual Variables with Process Impact
As an example for contextual changes that demand process flexibility, we consider
the ”teleclaims” process of a large Australian insurance company. The teleclaims
process deals with the handling of inbound phone calls, whereby different types of
insurance claims (household, car etc.) are lodged over the phone. The process is
supported by two separate call centers operating for two different organizational entities
(Brisbane and Sydney). Both centers are similar in terms of incoming call volume,
average call handling time, number of call center agents and performance objectives.
The main differences between the two centers are the underlying IT systems, the
physical locations and the modes of operation (24 hrs. versus 9 am to 5 pm).
      </p>
      <p>While this process runs smoothly in a regular business context, the organization
faces an increasing number of incoming phone calls during the Australian storm
season (October-March). Storms cause a higher number of damages and increase the
number of incoming weekly phone calls to more than 20,000. This change in the
context not only puts significant burden on both call centers, but also on the
succeeding back-office processes related to evaluating and managing these claims. In order to
cope with increased call traffic, the insurance company operates an ”event-based
response system” that differentiates a number of categories of situations based on
how severe the storms are. Based on the guidelines of this system, the first category
includes localized storms and flooding and leads to a call volume of 10-50 % above
average and an increased wait time of about 5-10 minutes for a period of at least two
hours. The second category is triggered when strong winds, hail and structural
damage occurs. This leads already to a wait time of 10-30 minutes and the call volume is
50-100 % above the forecast for at least two hours. The third category covers
widespread damage leading to wait times of more than 30 minutes.</p>
      <p>Individual response strategies have been defined for each of these categories,
utilizing additional external resources as well as changes in the procedure by which
claims are lodged. First, additional resources are utilized through redeployment of
employees from other departments (e.g., sales) and hiring of casual staff. While most
of these people are trained, their performance in terms of average call handling time
is lower than the performance of the professional call center agents. Second, a
streamlined way of lodging the claims is applied in order to reduce the average call handling
time and to reduce the waiting time in the queue. In this so-called “rapid lodgment
process” only a reduced amount of information is collected from the claimant. This
leads to an average call handling time of 380 seconds for experienced call center
agents and 450 seconds for additionally employed agents, down from the usual
average of 550 seconds. One mechanism to deal with the different performance of these
two types of agents is call routing which directs new and straight-forward cases to the
casual additional workforce, while more complicated follow-up calls are directed to
the experienced workforce.</p>
      <p>Two managers in charge for claim services and the related back-office processes
evaluate the severance of the weather conditions, i.e., they monitor the relevant
context of this business process, and trigger the different escalation categories leading to
different variations of the process.</p>
      <p>This example shows how a change in the context requires flexible process
adaptation. This change can be anticipated and is triggered when the relevant contextual
change occurs (e.g., change in weather). Current process modeling techniques,
however, provide no support for modeling the relevant context. A work-around that can
often be observed in modeling practice is that relevant contextual variables become
an explicit part of the control flow leading to a decision point such as “Check, if
process occurs within storm season”. Such an explicit consideration leads to
unnecessary model extensions, mixes individual run-time with build-time decisions and tends
to reduce the acceptance of the process models by end users who would not be
exposed to this decision in the daily execution of the process. An operational process
model is supposed to focus on the intrinsic control flow; information related to the
underlying context should rather be modeled in an orthogonal view that has potential
impact on a number of process and other models (e.g., the organizational model).</p>
      <p>
        Another example for context would be the impact of locations. While location as a
contextual factor is widely discussed as part of research related to mobile applications
[
        <xref ref-type="bibr" rid="ref11 ref12">11, 12</xref>
        ], it has wider implications for process management. Usually, the impact of
location on the execution of a process is explicitly captured within a process model,
for instance by including a decision point “Check the state in which the process
occurs”. Again, information regarding the location should rather be “outsourced” to a
model dedicated to capture relevant contextual information. The main advantage of
capturing context information external to a process model is the potential to build a
library of contextual variables, which can be easier maintained and extended as
opposed to context information that is buried within various process models.
      </p>
      <p>Consider another example. Internet banking applications allow overseas
transactions up to a certain threshold. The maximum transferable amount is geared by the
respective legislative regulations of the country. The “overseas money transfer”
process thus contains a business rule that is context-dependant, viz., the business rule r is
a function of the context c [r = f(c)].</p>
      <p>
        The process model depicted in Fig. 1 adheres to the principle of maintaining
context information external to the process. The model merely captures a generic
business rule, and a separate business rule editor specifies the rule as dependant on certain
context information (i.e., country, currency and threshold). The context-dependant
process information itself is described orthogonal to the process. As an example, a
business rule editor could specify placeholders for relevant context variables, the
values of which could be kept in a context library. When the process is instantiated,
relevant values are filled into the accordant business rule and the process can be
enacted within that particular context. Such an approach would follow the general
concept of depicting business rules in separate views, see, for instance, [
        <xref ref-type="bibr" rid="ref13">13</xref>
        ].
      </p>
      <p>However, in contrast to such an approach it can also be observed how
organizations with global operations try to increase the number of context-independent
business rules as part of international process standardization initiatives. In such cases
organizations seek to identify and capture business rules that are independent from a
given context (or that should be enacted regardless of the respective context), in order
to allow for a wider uptake of the process across various contexts. Nevertheless, to be
able to streamline processes across contexts even in these scenarios firstly those parts
of the processes need to be identified that have a need to be locally individualized due
to the impact of context on its design and execution.</p>
      <p>Customer logged on to
InternetBanking</p>
      <p>Customer
specifies
transfer</p>
      <p>Check feasibility
transferAmount</p>
      <p>Transfer
possible</p>
      <p>Conduct transfer
Transfer
impossible</p>
      <p>Business Rule 1</p>
      <p>Display
error
message</p>
      <p>Transfer
conducted
dEirsrpolramyeedssage</p>
      <p>
        Business Rule Editor (excerpt)
Business Rule 1
If transferAmount &lt; threshold(country)
Then accept Else reject
Context Library (excerpt)
Country Currency Threshold
Germany EUR (€) 12,000
UU.nSit.eAd. Kingdom UGSBDP ((£$)) 1150,,000000
3 Context-aware Process Design. Selected Research Questions
As the selected examples indicate there is a need to identify and document extrinsic
requirements for process flexibility. We argue that the model-based design of
processes needs to take into account these external conditions and we propose the
conception of Context-aware Process Design in order to approach the problem of identifying
contextual variables that drive the need for flexible business processes. Overall, we
see in context-aware process design a path towards a deeper exploration of the root
causes of process flexibility as it investigates the initial flexibility drivers. As such, it
precedes existing and future technical solutions that deal with intrinsic ways of
adopting processes to change, e.g., [
        <xref ref-type="bibr" rid="ref10 ref4 ref5 ref7">4, 5, 7, 10</xref>
        ].
      </p>
      <p>
        The idea of context awareness is not really new. In fact, we adopted it from related
disciplines such as web systems engineering [
        <xref ref-type="bibr" rid="ref14">14</xref>
        ], knowledge management [
        <xref ref-type="bibr" rid="ref15">15</xref>
        ] and
mobile applications research [
        <xref ref-type="bibr" rid="ref16">16</xref>
        ]. Even within the Information Systems discipline
itself has contextualization emerged as a notion related to conceptual modeling [
        <xref ref-type="bibr" rid="ref17">17</xref>
        ].
The term “context-aware” was coined by Schilit and Theimer [
        <xref ref-type="bibr" rid="ref18">18</xref>
        ] and a very generic
definition of context is provided by Dey [19, p. 5], who defines context as “any
information that can be used to characterize the situation of an entity”. Transferring this
definition to the domain of business process management, a useful definition of a
business process context in alignment with the definition above could be:
      </p>
      <p>The minimum set of variables containing all relevant information that impact the
design and execution of a business process.</p>
      <p>Forthcoming from this definition we essentially foresee three main research
challenges related to a context-aware process design approach (see Fig. 2), namely
context description, design for context and process adaptation.</p>
      <p>Context-aware process design
Context description</p>
      <p>Design for context
What are relevant
context variables of
business processes?</p>
      <p>How can relevant
context variables be
conceptualized?</p>
      <p>What are relevant
context variables that
impact the design of
processes?</p>
      <p>How can processes be
designed so that they
can be re-used across</p>
      <p>contexts?</p>
      <p>Process adaptation
How can relevant
context changes be
monitored and
measured?</p>
      <p>How can the adaptation
of processes to context
changes be supported?</p>
      <p>We see a significant demand for research on context-aware process design.
Consequently, we propose a first set of research questions in order to derive a starting point
for a possible research agenda in this area. Each of the research questions will further
be described in the following using selected investigative questions.</p>
      <p>RQ1: How can the context of a business process be conceptualized?
1. What are the relevant constituent variables of a business process context?
2. What is an appropriate taxonomy for contextual variables?
3. How can these variables and their relevant values be captured in a conceptual
model that appropriately complements existing process models?</p>
      <p>We see research challenges related to the identification and appropriate description
of business process context variables, in particular in the development of appropriate
conceptualizations of context and notations for context models. Also, how can
context modeling be integrated with business rule specifications? Another challenge is
related to the required extensions to existing meta models of process modeling
languages.</p>
      <p>
        Such research could benefit from research in related disciplines. In the field of
mobile and ubiquitous computing, for instance, a series of workshops on the
Modeling and Retrieval of Context or on Context Awareness have been initiated over the
years, refer, for instance, to [
        <xref ref-type="bibr" rid="ref20">20</xref>
        ]. We found that in the area of context modeling and
description a significant amount of research has already been conducted, for instance
in the form of context architectures [
        <xref ref-type="bibr" rid="ref21">21</xref>
        ] or context ontologies [
        <xref ref-type="bibr" rid="ref22">22</xref>
        ]. Future research
approaches could furthermore leverage existing work on ontology-based method
engineering [
        <xref ref-type="bibr" rid="ref23">23</xref>
        ], and could aim at extending modeling language meta models with
context-related concepts.
      </p>
      <p>RQ2: How can contextual elements be incorporated in the design of business
processes?
1. Which contextual variables are relevant to process design?
2. How can the impact of context on the design of a business process be modeled?
3. How can flexible business processes be designed so that they can be re-used in
different contexts?</p>
      <p>
        Forthcoming from the identification and description of process context variables is
the need for embedding and utilizing this knowledge in what we call “process design
for context”. In particular, in light of context information, the question is how flexible
processes can be designed and modeled so that they support process adaptation to a
contextual change (i.e., the support for a process to maintain its general design in the
face of context change while modifying only those parts of the process that are
impacted by the change), and process re-use (i.e., the support for a process design to be
modifiable in a way that the same design can effectively and efficiently be
implemented across different contexts). As an example, the approach by Andersson et al.
[
        <xref ref-type="bibr" rid="ref24">24</xref>
        ] allows for flexible adaptation of the structure of processes on both design and
run-time, meaning that forthcoming from general business models more detailed, i.e.,
operative, process models can be tailored to contextual changes (“the situation at
hand”) based on a selection of process patterns. This set of patterns could be
developed and maintained in a context-oriented information base, e.g., a “case base”.
Generally, existing approaches related to process flexibility, e.g., [
        <xref ref-type="bibr" rid="ref4">4</xref>
        ], could be utilized
and extended in order to incorporate the identified reasons for flexibility, i.e., the
stimuli for change.
      </p>
      <p>
        A significant challenge is related to the identification of contextual variables that
ought, respectively should, be embedded in the design of processes. Some contextual
variables may not be relevant, others may not be observable. Facets of a context that
cannot be observed cannot be subjected to control; hence, such variables should be
not be taken into consideration in the design of processes. Further challenges related
to design for context stem from the fact that contextual change may have various
facets (for instance, anticipated or not (exceptional), aware or not (hidden), durable or
not (temporary), etc.). Hence, context-aware process design should incorporate
monitoring capacities for observing and controlling contextual variables upon their impact
on process design and/or execution. Work that may be of interest in this context
includes previous research on process stability (see, for instance, [
        <xref ref-type="bibr" rid="ref25">25</xref>
        ]).
      </p>
      <p>
        Yet another important challenge in process design for context stems from the
observation that context awareness and adaptation may also lead to increased risk and
instability of the resulting process. In this context, again, we see an opportunity to
benefit from existing work. Rosemann and zur Muehlen, for instance, [
        <xref ref-type="bibr" rid="ref26">26</xref>
        ] outline an
approach to incorporate aspects and measures of risks into process models including
risk structures, risk goals and risk states.
      </p>
      <p>RQ3: How can context-aware business processes be supported?
1. How can adaptive process management systems be designed so that they are able
to monitor and measure changes in the relevant process context?
2. How can adaptive process management systems be designed so that they support
the re-use of processes across different contexts?
3. How can adaptive process management systems be designed so that they support
the adaptation of processes to context changes?</p>
      <p>
        Recently, efforts have been undertaken to make process management systems
(PMSs) more flexible. ADEPT [
        <xref ref-type="bibr" rid="ref27">27</xref>
        ] for instance offers flexibility at both process type
and instance level, and CAKE [
        <xref ref-type="bibr" rid="ref15">15</xref>
        ] offers support for both empirical processes, i.e.,
ad-hoc processes that are subject to changes during enactment, and
knowledgeintense processes, by providing expansible general data and process models for
specific domains. Other approaches, e.g., the work by Adams [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ], rely on case-based
reasoning to support the ad-hoc change of workflows during run-time.
      </p>
      <p>
        However, these approaches have in common that they have not yet addressed the
question how knowledge about process changes can be discovered and used for
deriving optimized process models from it, and how we can learn from such additional
information. Nevertheless, extensions of frameworks such as ProM [
        <xref ref-type="bibr" rid="ref28">28</xref>
        ], which build
upon process mining techniques, offer a promising perspective for context-aware
extensions and may enable future PMS architectures to discover, use and learn from
process context changes in an intelligent manner. A first step towards such an effort
would be a consolidation of existing approaches in order to counteract an increasing
fragmentation of the field with multiple technical proposals. If these and related
research problems within the field of adaptive PMSs can sufficiently be resolved we
anticipate that process support can be offered that takes into account the relevant
context when designing and enacting flexible business processes via adaptive PMSs.
      </p>
    </sec>
    <sec id="sec-2">
      <title>4 Conclusions</title>
      <p>In this paper we sought to discuss drivers and requirements for process flexibility.
Our discussion rests on the observation that business processes are always situated in
a certain context, i.e., a set of extrinsic environmental variables that, upon their
modification, require a process to adapt to these changes. These context variables denote
the drivers and requirements for process flexibility, and thus, first of all, need to be
identified, classified and described. We introduced the notion of context-aware
process design as an approach that we envisage to support the engineering and use of
flexible business processes in adherence to the underlying context. In particular, we
discussed a set of research questions around this approach that we think need to be
approached in related research efforts.</p>
      <p>We perceive this paper as a starting point for further exploration of the issues
presented as well as other related challenges. We sought to give initial guidance on
research on process context and flexibility by detailing important research questions
and providing some background on these questions including links to related
research. Ultimately we envisage a holistic process management approach that
embodies and aligns contextual variables that drive process flexibility with appropriate
design and support of process flexibility through adaptive process management systems.</p>
    </sec>
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