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Business Process Management Standards Tutorial

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Information about Business Process Management Standards Tutorial

Published on October 27, 2007

Author: mzurmuehlen

Source: slideshare.net

Description

PDF download: http://bpm07.fit.qut.edu.au/program/slides/Thursday/Thursday-Tutorials/Muehlen.pdf
Audio recording:
http://bpm07.fit.qut.edu.au/program/audio/Thursday/Tutorials/zurMuehlen.jsp
This Tutorial on BPM standards was delivered at the 5th International Conference on Business Process Management (BPM 2007) in Brisbane Australia, August 2007, by Michael zur Muehlen (mzurmuehlen@stevens.edu)
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Business Process Management Standards Origin, Overview, and Directions Michael zur Muehlen, Ph.D. Center of Excellence in Business Process Innovation Howe School of Technology Management Stevens Institute of Technology Hoboken NJ [email_address] 1 BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Michael zur Muehlen, Ph.D.

Center of Excellence in Business Process Innovation

Howe School of Technology Management

Stevens Institute of Technology

Hoboken NJ

[email_address]

Stevens Institute of Technology Private university, founded 1870 1800 undergraduate, 2600 graduate students Located in Hoboken, NJ (across the Hudson from Manhattan) Three Schools Technology Management Engineering Arts & Sciences Rankings: Top 5 technology management program, on par with Stanford, MIT, CMU, Babson (Optimize Magazine) #1 for best distance learning program (Princeton Review) Top 25 for most connected Campus (Sloan Foundation) http://www.stevens.edu

Private university, founded 1870

1800 undergraduate, 2600 graduate students

Located in Hoboken, NJ (across the Hudson from Manhattan)

Three Schools

Technology Management

Engineering

Arts & Sciences

Rankings:

Top 5 technology management program, on par with Stanford, MIT, CMU, Babson (Optimize Magazine)

#1 for best distance learning program (Princeton Review)

Top 25 for most connected Campus (Sloan Foundation)

http://www.stevens.edu

Howe School of Technology Management Offers MBA in Technology Management, Master of Science (IS, Telecom Mgmt, Mgmt, EMTM), Bachelor’s Degree (Business & Technology) Programs taught on campus and off-site in corporate locations Clients: ADP, Avaya, BASF, Bristol-Myers Squibb, Chubb, Citigroup, Deutsche Bank, J&J, Lockheed, Merrill Lynch, PaineWebber, Pearson, Prudential, PSE&G, UBS, UPS, Verizon and others Research centers with focus on Process Management Project Management Product Innovation http://howe.stevens.edu

Offers MBA in Technology Management, Master of Science (IS, Telecom Mgmt, Mgmt, EMTM), Bachelor’s Degree (Business & Technology)

Programs taught on campus and off-site in corporate locations

Clients: ADP, Avaya, BASF, Bristol-Myers Squibb, Chubb, Citigroup, Deutsche Bank, J&J, Lockheed, Merrill Lynch, PaineWebber, Pearson, Prudential, PSE&G, UBS, UPS, Verizon and others

Research centers with focus on

Process Management

Project Management

Product Innovation

http://howe.stevens.edu

Agenda Background Standardization Venues Current Standardization Efforts Industry Directions Research Around Standards BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Background

Standardization Venues

Current Standardization Efforts

Industry Directions

Research Around Standards

Background Web Services/SOA idea: Plug & Play applications on top of a standardized infrastructure Impact of Standards is potentially large Standards making is risky: Choosing the wrong technology may be counterproductive, incompatible, and lead to lack of adoption Standards adoption is risky: Choosing the wrong standard may obstruct technology upgrade paths, limit business partner connectivity, and force resource training in (obsolete) technology  Lack of understanding how the standardization process really works BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Web Services/SOA idea: Plug & Play applications on top of a standardized infrastructure

Impact of Standards is potentially large

Standards making is risky: Choosing the wrong technology may be counterproductive, incompatible, and lead to lack of adoption

Standards adoption is risky: Choosing the wrong standard may obstruct technology upgrade paths, limit business partner connectivity, and force resource training in (obsolete) technology

 Lack of understanding how the standardization process really works

What’s in a Standard? Technical Standard: Agreed upon specification for a way of communicating or performing actions. Internet Standard: Protocols through which people and programs interact over the Internet. Built on top of TCP/IP, and mostly HTTP Use of Internet Standards is discretionary: For developers: Direct choice of which standard to implement For customers: Indirect choice of which standards-compliant product to use  User’s vote with their feet, developers with their hands BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Technical Standard: Agreed upon specification for a way of communicating or performing actions.

Internet Standard: Protocols through which people and programs interact over the Internet.

Built on top of TCP/IP, and mostly HTTP

Use of Internet Standards is discretionary:

For developers: Direct choice of which standard to implement

For customers: Indirect choice of which standards-compliant product to use

 User’s vote with their feet, developers with their hands

Standardization Phases Diffusion Adoption BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Ratification Development Inception

Inception Phase Who initiates standards? Government-sanctioned standardization (e.g. COSO / SOX) User-initiated standardization (typically vertical) Vendor-initiated standardization (often horizontal) Developer-initiated standardization (e.g. first IETF RFPs) When does a specification emerge? Industry practice: Develop 80% of specification outside, then submit Rare: Define charter, then seek out ideas Unsolicited (IETF) vs. solicited (OMG) specifications BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Diffusion Adoption Ratification Development Inception

Who initiates standards?

Government-sanctioned standardization (e.g. COSO / SOX)

User-initiated standardization (typically vertical)

Vendor-initiated standardization (often horizontal)

Developer-initiated standardization (e.g. first IETF RFPs)

When does a specification emerge?

Industry practice: Develop 80% of specification outside, then submit

Rare: Define charter, then seek out ideas

Unsolicited (IETF) vs. solicited (OMG) specifications

Development Phase Rules of the organization Strict procedural and voting rules Loose cooperation Virtual vs. physical meetings Outside input Openly available drafts vs. closed sessions Invited experts Other standards groups Implementation before ratification BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Diffusion Adoption Ratification Development Inception

Rules of the organization

Strict procedural and voting rules

Loose cooperation

Virtual vs. physical meetings

Outside input

Openly available drafts vs. closed sessions

Invited experts

Other standards groups

Implementation before ratification

Ratification Phase Votes Microsoft OOXML case Participating vs. voting organizations Role of the advisory board/steering committee Form of the specification Recommendation Request for Comments Standard Validity of the specification BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Diffusion Adoption Ratification Development Inception Inception

Votes

Microsoft OOXML case

Participating vs. voting organizations

Role of the advisory board/steering committee

Form of the specification

Recommendation

Request for Comments

Standard

Validity of the specification

Adoption Phase Adoption by submitters Adoption by other companies Adoption by open source community Mandatory vs. recommended standards Check-list compliance vs. usable implementation Diffusion BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Adoption Ratification Development Inception Inception

Adoption by submitters

Adoption by other companies

Adoption by open source community

Mandatory vs. recommended standards

Check-list compliance vs. usable implementation

Diffusion Phase Use of standards-compliant products by end users Presence in the market place “Management by Magazine” BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Diffusion Adoption Ratification Development Inception Inception

Use of standards-compliant products by end users

Presence in the market place

“Management by Magazine”

BPM Standardization 1995 1 standardization group for workflow Reference model + 5 interface standards Size of the average specification ~40 pages 2007 10+ working groups with interest in BPM 7+ standards for process models alone Size of the average specification ~150 pages BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

1995

1 standardization group for workflow

Reference model + 5 interface standards

Size of the average specification ~40 pages

2007

10+ working groups with interest in BPM

7+ standards for process models alone

Size of the average specification ~150 pages

World Views - OMG OMG: Model-driven Architecture Goal: Specify applications starting with a model of the business context, generate running code from the models Components in place: OMA, UML, CORBA Next step: Business Process Definition Meta Model BPM Experience: CORBA Workflow Facility, BPMN, BPDM BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

OMG: Model-driven Architecture

Goal: Specify applications starting with a model of the business context, generate running code from the models

Components in place: OMA, UML, CORBA

Next step: Business Process Definition Meta Model

BPM Experience: CORBA Workflow Facility, BPMN, BPDM

World Views - W3C W3C: Web Architecture Goal: Provide protocol stack for application integration over TCP/IP and HTTP Components in place: SOAP, WSDL, XML Next step: Web Services Choreography BPM Experience: none BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

W3C: Web Architecture

Goal: Provide protocol stack for application integration over TCP/IP and HTTP

Components in place: SOAP, WSDL, XML

Next step: Web Services Choreography

BPM Experience: none

World Views - OASIS OASIS: XML-centric standards Goal: Provide transparent venue for standards that can be used by both vertical and horizontal interest groups Components in place: ebXML, BPEL Next step: updated ebXML components, ASAP, WS Resource Model BPM Experience: workgroup-specific BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

OASIS: XML-centric standards

Goal: Provide transparent venue for standards that can be used by both vertical and horizontal interest groups

Components in place: ebXML, BPEL

Next step: updated ebXML components, ASAP, WS Resource Model

BPM Experience: workgroup-specific

World Views - WfMC WfMC: Life-Cycle View of BPM Goal: Provide integration standards for different phases of the BPM lifecycle Components in place: Reference model, XPDL, Wf-XML Next step: Evolve XPDL BPM Experience: “Grandfathers” of BPM BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

WfMC: Life-Cycle View of BPM

Goal: Provide integration standards for different phases of the BPM lifecycle

Components in place: Reference model, XPDL, Wf-XML

Next step: Evolve XPDL

BPM Experience: “Grandfathers” of BPM

Origins: WfMC Black Forest Group Charter First meetings in 1993 Driven by IBM, FileNet, Staffware Reference Model Glossary Interface Specifications BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Black Forest Group Charter

First meetings in 1993

Driven by IBM, FileNet, Staffware

Reference Model

Glossary

Interface Specifications

BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Business Process Management Business Process Automation Business Process Innovation Business Process Monitoring Notation Standard Integration Standards Interaction Standards Standard Metrics Audit Standards

The Workflow Reference Model BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Process Definition Tools Administration & Monitoring Tools Interface 1 Interface 4 Interoperability Interface 5 Workflow Enactment Service Other Workflow Enactment Service(s) Worklist Handler Interface 3 Interface 2 Invoked Applications Tool Agent Process Definition Import/Export Client Apps Workflow Engine(s) Workflow Engine(s) see: www.wfmc.org/standards/docs/tc003v11.pdf Typically Web Services BPMN XPDL Wf-XML SOAP BPEL

Process Design Ecosystem BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Vendor B Vendor C Design Tool Design Tool Modeling Tools Optimization Tools Simulation Tools Execution Engine Execution Engine BPEL or some engine specific format BPEL or some engine specific format Process Repository Vendor A Vendor D ASAP Wf-XML

BPMN - Modeling Notation BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

BPMN 1.1 Mainly cosmetic changes New symbol for Multiple Event and Gateway (used to be star, now pentagram) New Signal Event Separation of “catching” and “throwing” events

Mainly cosmetic changes

New symbol for Multiple Event and Gateway (used to be star, now pentagram)

New Signal Event

Separation of “catching” and “throwing” events

Practical Use of BPMN Symbols BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Symbols per Diagram BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Business Process Definition Metamodel (BPDM) Designed to supplement BPMN with a formal metamodel of its modeling constructs BPMN 1.0 did not contain a formal metamodel specification OMG mindset of MDA is based on multiple levels of metamodels BPDM replaces efforts to create a UML profile for BPMN BPDM contains more constructs than BPMN 1.0/1.1 Mapping to MOF and XMI Envisioned to become persistency format for BPMN BPMN 2.0 = BPMN + BPDM + possibly other notations There may be a UML profile for BPDM BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Designed to supplement BPMN with a formal metamodel of its modeling constructs

BPMN 1.0 did not contain a formal metamodel specification

OMG mindset of MDA is based on multiple levels of metamodels

BPDM replaces efforts to create a UML profile for BPMN

BPDM contains more constructs than BPMN 1.0/1.1

Mapping to MOF and XMI

Envisioned to become persistency format for BPMN

BPMN 2.0 = BPMN + BPDM + possibly other notations

There may be a UML profile for BPDM

SBVR Semantics of Business, Vocabulary and Rules Formally defined taxonomy to describe elementary business operations and rules Metamodel expressed in UML Business-level specification aims at enterprises to formally express their operations BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Semantics of Business, Vocabulary and Rules

Formally defined taxonomy to describe elementary business operations and rules

Metamodel expressed in UML

Business-level specification aims at enterprises to formally express their operations

BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

XPDL: Process Definition Interchange Allow tools to exchange process models between components in a Workflow/BPM Products different BPM/Workflow Products Process Modeling / Simulation tools and BPM/Workflow Products Implemented by commercial products Full support for BPMN 1.0 in XPDL 2.0 Interoperability demonstrated at public events Support in the Open Source Community BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Allow tools to exchange process models between

components in a Workflow/BPM Products

different BPM/Workflow Products

Process Modeling / Simulation tools and BPM/Workflow Products

Implemented by commercial products

Full support for BPMN 1.0 in XPDL 2.0

Interoperability demonstrated at public events

Support in the Open Source Community

BPEL – Execution Language BPEL is an “executable” language Includes only executable operations Does not contain the graphical diagram Many Engines have proprietary formats They have a design tool Some BPEL engines have proprietary extensions It is typically not possible to design a process with a tool from one vendor and execute it in another vendor’s engine But exchange between design tools is possible BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

BPEL is an “executable” language

Includes only executable operations

Does not contain the graphical diagram

Many Engines have proprietary formats

They have a design tool

Some BPEL engines have proprietary extensions

It is typically not possible to design a process with a tool from one vendor and execute it in another vendor’s engine

But exchange between design tools is possible

BPEL extension for Human Tasks Source: Agrawal et al. (2007) BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Source: Agrawal et al. (2007)

BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

ebXML Business Process (ebBP) Also known as ebXML Business Process Specification Schema(BPSS) V 2.0.4 released in December 2006 Complements ebXML document definitions, Collaboration Partner Protocols, and Collaboration Partner Agreements BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Also known as ebXML Business Process Specification Schema(BPSS)

V 2.0.4 released in December 2006

Complements ebXML document definitions, Collaboration Partner Protocols, and Collaboration Partner Agreements

BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Trading Partner Agreements BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Tight Coupling BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Wf-XML Interoperability Sematics for Cross-System Business Processes Successor to Simple Workflow Access Protocol (SWAP) Based on Asynchronous Service Access Protocol (ASAP) REST-style Interaction with externally hosted processes (Wf-XML) or long-running services (ASAP) BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Interoperability Sematics for Cross-System Business Processes

Successor to Simple Workflow Access Protocol (SWAP)

Based on Asynchronous Service Access Protocol (ASAP)

REST-style Interaction with externally hosted processes (Wf-XML) or long-running services (ASAP)

What is Work? Consider a process where three activities need to be performed. But … The workflow system does not do the work! It only coordinates the work of others. And .. The workflow system did not initiate the process, it is merely performing in response BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Request Purchase Approval Initiate Purchase

Consider a process where three activities need to be performed.

But …

The workflow system does not do the work! It only coordinates the work of others.

And ..

The workflow system did not initiate the process, it is merely performing in response

Process and Activity Decomposition BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Request Purchase Approval Initiate Purchase Purchase Supplies

Processes as Services The BPMS acts as an intermediary Complete process can be controlled through standardized interfaces Process can control activities through standardized interfaces BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. BPMS

The BPMS acts as an intermediary

Complete process can be controlled through standardized interfaces

Process can control activities through standardized interfaces

Wf-XML Interaction BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Loose Coupling (REST) BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Production Rule Representation Exchange format for Business Rules (Production Rules) Defined by Fair Isaac & Co and ILOG Current revision submitted 09/03/2007 PRR Core defines basic metamodel PRR OCL defines conditions and actions BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Exchange format for Business Rules (Production Rules)

Defined by Fair Isaac & Co and ILOG

Current revision submitted 09/03/2007

PRR Core defines basic metamodel

PRR OCL defines conditions and actions

PRR Taxonomy PRR Focus BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Business Motivation Metamodel Taxonomy to specify goals and objectives of organizational activities and structures Targeted at business users rather than technical personnel Provides a vocabulary around goals, means, ends, influencers and related concepts Intention: To clarify the reasons underlying organizational design decisions Status: OMG Adopted Specification (dtc/2006-07-01) BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Taxonomy to specify goals and objectives of organizational activities and structures

Targeted at business users rather than technical personnel

Provides a vocabulary around goals, means, ends, influencers and related concepts

Intention: To clarify the reasons underlying organizational design decisions

Status: OMG Adopted Specification (dtc/2006-07-01)

BMM - Means and Ends BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

BMM - Means and Ends BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Standards should be discovered, not invented BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Vincent Cerf, in: Haffer, Lyon: “Where the Wizards stay up late”, 1998 p. 254

Complexity BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Group Standard Year Version Pages W3C WSCL 2002 1.0 22 DAMLSC DAML-S 2002 0.9 26 W3C WSDL 2002 1.2 30 NIST PSL 1998 0.98 32 OASIS ASAP 2003 0.1 34 WfMC Wf-XML 2002 1.1 57 W3C XML 2000 1.0 59 IETF HTTP 1996 1.0 60 IETF FTP 1980 1.0 70 IETF HTML 1995 2.0 70 WfMC XPDL 2003 1.0 87 OMG Wf-Facility 1997 1.0 95 BPMI BPML 2002 1.0 103 IBM WSFL 2001 1.0 108 W3C SOAP 2003 1.2 128 OASIS BPEL 2003 1.1 136 OASIS BPSS 2001 1.01 136 RosettaNet RN Implementation Framework 2002 2.00.01 143 ISO SGML 1986 1.0 155 IETF HTTP 1999 1.1 176 OASIS BTP 2002 1.0 188 OMG UML 2003 1.5 736

BPM and SOA Standardization Michael zur Muehlen, Ph.D. Center of Excellence in Business Process Innovation Howe School of Technology Management Stevens Institute of Technology Hoboken NJ [email_address] 2 BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Michael zur Muehlen, Ph.D.

Center of Excellence in Business Process Innovation

Howe School of Technology Management

Stevens Institute of Technology

Hoboken NJ

[email_address]

No BPM = Monolithic Enterprise Application Built as a unit, Internals not visible User Interface built in for all functions In order to “extend” to a new function, need to call in a programmer... BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Enterprise Application “ Account Management” list Accts new Acct update Acct delete Acct User Interface Program and Logic Internal Protocols are Proprietary C, C++, Visual Basic, Etc. Swenson (2007)

Built as a unit, Internals not visible

User Interface built in for all functions

In order to “extend” to a new function, need to call in a programmer...

BPM 1990: Workflow in the Brain BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Background Check Conformance Guidelines Application Logic in Monolithic Program UI “ Screens” Enterprise Application “ Account Management” list Accts new Acct update Acct delete Acct Swenson (2007)

BPM 1993: Task Management BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. background check create account check guidelines Launches UI User accesses original UI directly Human BPM/Workflow: Background Check Conformance Guidelines Application Logic in Monolithic Program UI “ Screens” Enterprise Application “ Account Management” list Accts new Acct update Acct delete Acct Swenson (2007)

BPM 1996: Workflow Routing BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. background check Launches UI User accesses original UI directly Human BPM/Workflow: Background Check Conformance Guidelines Application Logic in Monolithic Program UI “ Screens” Enterprise Application “ Account Management” list Accts new Acct update Acct delete Acct create account check guidelines Swenson (2007)

BPM 2002: Services Integration BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Enter Information Background Check Conformance Rules Application Logic and SOA Services Interfaces Enterprise Application “ Account Management” list Accts new Acct update Acct delete Acct Review rules check backgr. check create account UI connects user to BPMS, not the back-end applications Swenson (2007)

BPM 2007: Composite Services BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Enter Information Background Check New Rules Application Logic and SOA Enterprise Application “ Account Management” list Accts new Acct update Acct delete Acct Review Check Create account ESB/BPEL Composite Service Swenson (2007)

BPM 2007: Composite Services BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Enter Information Background Check New Rules Application Logic and SOA Enterprise Application “ Account Management” list Accts new Acct update Acct delete Acct Review Check Create account ESB/BPEL Composite Services Swenson (2007)

Separation of Responsibility Business Retains Control of Assignment of Responsibility Groups, Roles, Skills Deadlines Alerts, Reminders, Escalations Order of Tasks Addition of Manual Tasks User Interface BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. IT Retains Control of Computational Logic Data Representations Scalability / Performance Interoperability Master Data Management Enter Information Background Check New Rules Enterprise Application “ Account Management” list Accts new Acct update Acct delete Acct Review Check Create account ESB/BPEL Swenson (2007)

Business Retains Control of

Assignment of Responsibility

Groups, Roles, Skills

Deadlines

Alerts, Reminders, Escalations

Order of Tasks

Addition of Manual Tasks

User Interface

IT Retains Control of

Computational Logic

Data Representations

Scalability / Performance

Interoperability

Master Data Management

Research Around Standards Michael zur Muehlen, Ph.D. Center of Excellence in Business Process Innovation Howe School of Technology Management Stevens Institute of Technology Hoboken NJ [email_address] 3 BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Michael zur Muehlen, Ph.D.

Center of Excellence in Business Process Innovation

Howe School of Technology Management

Stevens Institute of Technology

Hoboken NJ

[email_address]

Learning from History BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Products Academia Standards

Research Question We have tried (unsuccessfully) for more than 12 years to standardize how to coordinate business processes across the Internet. Why are these standards missing? Individual standard makers are joining, leaving, and generally moving between different standards bodies in sometime random seeming paths Commercial interest is often deliberately silenced in the development of standards The prevailing economic models of standard making insufficiently explain the behavior we witnessed  How can we explain the observed phenomena during the standard making process? BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

We have tried (unsuccessfully) for more than 12 years to standardize how to coordinate business processes across the Internet. Why are these standards missing?

Individual standard makers are joining, leaving, and generally moving between different standards bodies in sometime random seeming paths

Commercial interest is often deliberately silenced in the development of standards

The prevailing economic models of standard making insufficiently explain the behavior we witnessed

 How can we explain the observed phenomena during the standard making process?

Research Design Longitudinal Case Study based on public and restricted archival data and participation in standards venues Detailed Case Analysis of selected Vignettes IETF Case W3C Case Collected observations (events, incidents, significant behavior) from cases (a la process theory) Evaluated significant observations both from an economic and an ecological perspective Documented results as conjectures and testing strategies for further work BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Longitudinal Case Study based on public and restricted archival data and participation in standards venues

Detailed Case Analysis of selected Vignettes

IETF Case

W3C Case

Collected observations (events, incidents, significant behavior) from cases (a la process theory)

Evaluated significant observations both from an economic and an ecological perspective

Documented results as conjectures and testing strategies for further work

Data Collection Extracted participant information from public and members-only standards documents Protocols from standards meetings 1993-2006 Standards documents Call sheets Gathered insight through participation Went to 20+ standards meetings Participated in numerous phone conferences Multiple supplementary interviews (in person and via email) Standards authors Standards bodies representatives Contemporary witnesses BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Extracted participant information from public and members-only standards documents

Protocols from standards meetings 1993-2006

Standards documents

Call sheets

Gathered insight through participation

Went to 20+ standards meetings

Participated in numerous phone conferences

Multiple supplementary interviews (in person and via email)

Standards authors

Standards bodies representatives

Contemporary witnesses

Standardization Venues Standardization is not standardized No dominant standards organization that regulates Internet standards (W3C, IETF, OMG, OASIS etc.) No common set of procedures across different standards bodies (bylaws) Large areas of domain overlap (both vertically and horizontally) Government-sanctioned standards organizations often fail, losing power to market consortia [Schoechle 2003] Cultural clash between design culture striving for “good” architecture and commercial culture striving for quick marketability [Monteiro 1998, zur Muehlen et al. 2005] The “right” standards body lends legitimacy to an idea [compare Barley and Tolbert 1987] BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Standardization is not standardized

No dominant standards organization that regulates Internet standards (W3C, IETF, OMG, OASIS etc.)

No common set of procedures across different standards bodies (bylaws)

Large areas of domain overlap (both vertically and horizontally)

Government-sanctioned standards organizations often fail, losing power to market consortia [Schoechle 2003]

Cultural clash between design culture striving for “good” architecture and commercial culture striving for quick marketability [Monteiro 1998, zur Muehlen et al. 2005]

The “right” standards body lends legitimacy to an idea [compare Barley and Tolbert 1987]

Vignette 1: WfMC/IETF Episode Theme: Death of a Standards Group WfMC members tried to start an IETF working group around process integration IETF bylaws allow for 2 birds-of-a-feathers meeting Minutes of the second meeting: Informal poll: who wants to work on that (very few); something else (slightly more); Lisa Li[ppert] asked if everyone else here was to prevent a WG forming (larger still, but still a minority). Established IETF members did not condone what they perceived as “Marketing Garbage” – Working Group did not form BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Theme: Death of a Standards Group

WfMC members tried to start an IETF working group around process integration

IETF bylaws allow for 2 birds-of-a-feathers meeting

Minutes of the second meeting:

Informal poll: who wants to work on that (very few); something else (slightly more); Lisa Li[ppert] asked if everyone else here was to prevent a WG forming (larger still, but still a minority).

Established IETF members did not condone what they perceived as “Marketing Garbage” – Working Group did not form

Genealogy of BPM Standards BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

“ Rough Consensus and Running Code” BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Sir Tim Berners-Lee in: “Weaving the Web”, 1999

Mobility of Standards Makers BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Vignette 2: W3C Episode Theme: Maintaining the Values of an Institution W3C tried to change its IP licensing schema to RAND licensing More than 2,000 individuals commented on the proposed change The policy would discriminate against the poor The policy undermines the “Spirit of the Web” The policy would be self-defeating for W3C The proposal is a conspiracy The committee reversed their position and produced a Royalty-Free proposal BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Theme: Maintaining the Values of an Institution

W3C tried to change its IP licensing schema to RAND licensing

More than 2,000 individuals commented on the proposed change

The policy would discriminate against the poor

The policy undermines the “Spirit of the Web”

The policy would be self-defeating for W3C

The proposal is a conspiracy

The committee reversed their position and produced a Royalty-Free proposal

Standardization Venues BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. IETF OASIS OMG W3C WfMC Entrance Barrier Low ($0) Low-High ($250-45,000) Medium-High ($500-70,0000) Medium-High ($635-63,500) or invitation Medium ($500-5000) or fellowship WG formation 2 BOF + Charter, approval required 3 members, max cycle 30 days Ad hoc, DTC charters topics Only within current W3C activities Ad hoc, TC charters topics Procedural Rules Strict Formal Strict Strict Relaxed IP Rules RAND RAND RAND W3C License Royalty-free license Conceptual Framework Areas None MDA WS Architecture WfMC Reference Model Interest in BPM None Individual WGs BEIDTF + BPMI WS-CDL Focus Implementation Required Yes Yes, not enforced Yes, not enforced Yes No

Social Movements: Individuals BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

BPMN Working Group BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Attendance: Power-Law at work BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. # of BPMN meetings attended 2001-2006, all attendees

Explaining Standardization Venues Standards Bodies are not Companies They can organize around ideologies Identity = ideology (beliefs) + legitimacy Competition forces legitimacy Standards Bodies are Forums for Design Ideas Individual contributions shape specifications Specifications shape attitudes “ Thought Collectives” reject outside ideas Working Groups are born, merge, and die If similar groups exist, new groups emerge easier Resources are finite Competition affects cloning BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Standards Bodies are not Companies

They can organize around ideologies

Identity = ideology (beliefs) + legitimacy

Competition forces legitimacy

Standards Bodies are Forums for Design Ideas

Individual contributions shape specifications

Specifications shape attitudes

“ Thought Collectives” reject outside ideas

Working Groups are born, merge, and die

If similar groups exist, new groups emerge easier

Resources are finite

Competition affects cloning

Developing a Theory of Social Ecology BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Social Ecology Phenomena supporting an ecological perspective: The birth, merger, and death of standards institutions The creation and survival of institutions depending largely on their legitimacy Individual actions shaping and shaped by the institutions Institutional inertia obstructing rapid institutional change and affecting the movement of ideas Phenomena supporting an economical perspective: Standards participants joining standards bodies, competing or cooperating based on their perception of market share and market size, their technological competence and their assets BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Phenomena supporting an ecological perspective:

The birth, merger, and death of standards institutions

The creation and survival of institutions depending largely on their legitimacy

Individual actions shaping and shaped by the institutions

Institutional inertia obstructing rapid institutional change and affecting the movement of ideas

Phenomena supporting an economical perspective:

Standards participants joining standards bodies, competing or cooperating based on their perception of market share and market size, their technological competence and their assets

Contrasting Explanations BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved. Example Economical Explanation Ecological Explanation New industry groups submit their standards to older bodies (for example, IBM et al. submit to OASIS; WfMC submits to IETF) Vendors need a branded standard that will attract more adopters. Vendors migrate to habitats that can confer the greatest legitimacy. A standards effort is rejected by an established institution (for example, IETF prevents the formation of a working group around the WfMC proposal) The institution doesn’t believe the standard will increase market size. The institution is protecting its niche; its criteria for rejection are an expression of its values. Attempts to control IP (for example, the W3C proposal to change IP policy in vendors’ favor) Economic self-interest of vendors favors privately owned IP. Companies will try to protect their niches. Attempts to make IP public (for example, the W3C decision not to change IP policy in vendors’ favor) Shared IP is in the long run better for companies, as it reduces legal costs associated with disputes and expands markets. The Internet emerged as an ecosystem where resources are shared, and this ethos persists.

Conjectures Working groups in Internet standard making function as a population ecology Test: Apply Hannan and Freeman’s techniques to the formation of Working Groups at W3C, IETF etc. Standard makers function as part of an interactional field, in which their actions are interdependent with those of other standard makers Test: Sequence analysis of standard makers The bylaws of the standard making bodies are the source of institutional stability in Internet standard making Test: Study relationship between changes to bylaws and working group formation and dissolution BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Working groups in Internet standard making function as a population ecology

Test: Apply Hannan and Freeman’s techniques to the formation of Working Groups at W3C, IETF etc.

Standard makers function as part of an interactional field, in which their actions are interdependent with those of other standard makers

Test: Sequence analysis of standard makers

The bylaws of the standard making bodies are the source of institutional stability in Internet standard making

Test: Study relationship between changes to bylaws and working group formation and dissolution

Publications BPM Standards Tutorial © 2007 Michael zur Muehlen. All Rights Reserved.

Thank You – Questions? Michael zur Muehlen, Ph.D. Center of Excellence in Business Process Innovation Howe School of Technology Management Stevens Institute of Technology Castle Point on the Hudson Hoboken, NJ 07030 Phone: +1 (201) 216-8293 Fax: +1 (201) 216-5385 E-mail: [email_address] Web: http://www.cebpi.org

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