GB2396928A - Business process management tool framework - Google Patents

Abstract

The object of the tool is to allow a user (or system) to initiate a new task and subject it to defined business processes (workflows) held within the system. It is a suite of J2EE application server components, utilising a native XML storage system. The framework incorporates a workflow engine to model business processes dynamically, and is managed through an interface. Users with the appropriate privileges can track the progress of a task, view the full audit trail history, view all task versions and revisions, reallocate the task or terminate it. Scheduling and notification operations may be set in the workflow. Data input in propriety formats is converted into native XML which the tools can then store and manipulate as required. Output may be native XML or may be converted into propriety content formats for 3rd party tools. Interfaces to the tool allow remote, distributed and 3rd party integration.

Description

Business Process Management Tool Framework

Background of the Invention

The Invention has been developed to address the requirements for software capable of allowing business processes to be modelled, implemented and managed electronically and for this software to be distributed securely across the whole of the organization while integrating with existing software and process through an open and extendable architecture.

Problem the Invention addresses Most organizations have a number of business processes implemented. Where these business processes are implemented as a manual task, there arises the problem of these processes having a high dependency on paper, they can become labour intensive, they are susceptible to tasks 'falling between the cracks', it is more often than not a chore to find the status of any one tasks without prior knowledge of that tasks and also there are no easy ways to gain metrics such as the length of time a task took to process time and cost of processing a tasks.

To address this, software is emerging that aids an organization in the implementation of business process through automation. However most software implementations that attempt to address these issue enforce that an organization adapt their processes to fit with those already defined and modelled within the software and to replace an organizations existing software.

With this Invention it is possible to model an organizations existing business process within the Invention while also allowing the business to continue using the software that they already use and with which they are familiar via integration through the Inventions open architecture and interfaces.

What the Invention does The object of the Invention is to allow an instigator to initiate a new task and subject it to clearly defined business processes (workflows) held within the system. This instigator can be a user or an automated input. Where desired the instigator can allocate the appropriate user to a particular point in the business process, a user may be allocated automatically as part of a business process rule or they can defer the allocation and allow an appointed user to manage task allocation as the task progresses through the business process. At anytime users with the appropriate privileges can track the progress of a task, view the full audit trail history of the task, view all versions and revisions of the task, reallocate the task or terminate the task.

Where the task requires user input the Invention has the provision to connect to existing systems within the organization and allow the user to use their current system to input the information in to the Invention. It is also possible to assign various degrees of notification to any point in the business process and to have these notifications go to specified users via Small as well as communicating to 3rd party applications either directly or through scheduling.

Essential features of the Invention The Invention is written as a suite of software components that run within the confines of a J2EE application server. This allows the Invention to take advantage of the additional services that the application server may offer; such as object and connection pooling, transactional processing, enhanced security, fault tolerance and load balancing.

The Invention utilises a native XML storage system as its central repository and as such can take advantage of the implementation of such features as XPATH, XPOINTER and XQUERY for the most efficient retrieval and manipulation of the data that it stores.

The Invention utilises its native XML store as a means in which to be able to describe business process. It is then capable, through the processing of this business process definition, to subject user tasks to enforced workflows. This design allows for a flexible workflow engine where business processes can be modelled and adapted to meet an organizations needs in the system dynamically.

The Invention implements a defined architecture that allows for the provision of components to interface with 3rd party tools converting propriety content formats into native XML that the Invention can then store and manipulate as required. This provisioning as well as providing the open interface also supplies addition information such as templates with embedded help content.

The Invention implements a defined architecture that allows for the provision of components to output the content stored within the Invention as native XML.

The Invention implements a defined architecture that allows for the provision of components to take the native XML in storage and convert it into propriety content formats for 3rd party tools. This provisioning as well as providing the open interface also supplies addition information such as templates with embedded help content.

The Invention implements a defined architecture that allows for the provision of an interface, graphical or otherwise, to manage and control the application.

The Invention implements as defined architecture for scheduling and notification.

This can be in the form of email, or through custom callback interface integration with 3rd parties.

The Invention implements a defined architecture allowing identified operations to be called via the Web Services protocol, allowing for the provision of remote, distributed and 3rd party integration.

Logical Overview of the Invention - Figure 1 (Note: items numbered [N] are also shown in figures 2 to 10) Native XML Storage DAO [1] (Data Access Object) The NaVve XML Storage DAO [1] is the core of the Invention. It is used as the central information repository for the entire Invention and is actually an abstraction layer to the native storage engine. The DAO is extendable to be able to take advantage of new technology that may be implemented by the native data store, or indeed utilise a different vendor for the data store, without the need to have to re-write the entire application.

Dynamic Workflow Processing Engine [2] The Dynamic Workflow Processing Engine [2] is a set of Java Beans that are capable of interpreting an XML document and processing it as a set of defined business rules. This is achieved by using a DTD that defines a particular business process. This DTD is then stored via the Native XML Storage DAO [1] as an ASModel (Abstract Schema Model). The ASModel is a W3C defined standard that allows querying of the model to discover valid XML tags can be added to the XML Document. Using this technique the Invention is able to define a business process purely in XML and then query it to discover valid actions that it may implement at each stage of the process. Every task in the Invention is associated with a workflow, using the method described the Invention is then able to define the current state of a task and query the workflow to discover possible valid next states and what actions the it needs to perform in moving to the chosen next valid state.

Native XML Translation Engine 3 The Invention provides a Native XML Translation Engine [3] that allows it to communicate and exchange information, primarily content, with 3rd Party Software / Applications [17]. This interface is capable of supplying Template Bundles [4] to the 3rd Party Software /Applications [17] through 3rd Party Input Format Components [5] to help in the creation of 'wizards', to aid content authors and to allow the 3rd Party Software / Applications [17] to carry out content validation through the appropriate DTD if required. This engine also validates the content being supplied by 3rd Party Software / Applications [17] through 3rd Party Input Format Components [5] by use of appropriate DTD validation itself before accepting and storing the content through the Native XML Storage DAO [1]. All these processes are subject to users having the appropriate privileges, which are checked through the Authentication & User Management Engine 7, the process and attempted actions being valid, which are checked through the Dynamic Workflow Processing Engine 2, and also all activities are logged and any changes to content are versioned through the Audit Engine [9].

Template Bundles [4] The Invention supplies Template Bundles [4] as a means of supplying 3rd Party Software / Applications [17] with additional information to be able to format, integrate and supply content to the Invention. The bundle consists of the content in XML format, a DTD, template wizard mapping information and the provision for 3rd party application specific files too.

3rd Party Input Format Components [5] The Invention allows for the provision of 3rd Party Input Format Components [5] to be written to supply 3rd Party Software / Applications [17] with content in the applications propriety format. The Inventions Native XML Translation Engine [3] exposes an interface that can be connected to by the 3rd Party Input Format Components [5] these components can request the appropriate Template Bundle and it is within this component that the actual conversion from the Inventions internal XML format to the propriety 3rd party format takes place. Utilising this open architecture approach it is possible to write 3rd Party Input Format Components [5] that can connect to a variety of 3rd Party Software / Applications [17]. All requests are subject to users having the appropriate privileges, which are checked through the Authentication & User Management Engine 7, the process and attempted actions being valid, which are checked through the Dynamic Workflow Processing Engine 2, and also all activities are logged through the Audit Engine [9].

3rd Party Output Format Components [6] The Invention allows for the provision of 3rd Party Output Format Components [6] to be written to supply the Invention with content from 3rd Party Software /Applications [17] in the Inventions internal XML format. The Inventions Native XML Translation Engine [3] exposes an interface that can be connected to by the 3rd Party Output Format Components [6] it is within this component that the actual conversion from propriety 3rd party format to the Inventions internal XML format to the takes place.

Utilising this open architecture approach it is possible to write 3rd Party Output Format Components [6] that can connect to a variety of 3rd Party Software / Applications [17]. All requests are subject to users having the appropriate privileges, which are checked through the Authentication & User Management Engine 7, the process and attempted actions being valid, which are checked through the Dynamic Workflow Processing Engine 2, and also all activities are logged and any changes to content are versioned through the Audit Engine [9].

Authentication & User Management Engine [7] The Invention implements its Authentication & User Management Engine [7] as a suite of Java Beans that interact with both the Native XML Storage DAO [1] and an LDAP (Lightweight Directory Access Protocol) database through the LDAP Component Interface [8]. The Authentication Engine [7] uses LDAP, as it is an efficient technique for storing data that is high in read volume, but low in update volume. With authentication most operations against the Data Store are reading to check that the User has the correct Permissions or that they belong to a certain Role and there are less frequent demands to update User details or create new Roles.

Therefore using LDAP as the initial point of contact is ideal. The Authentication & User Management Engine [7] also uses the Native XML Storage DAO [1] for User, Roles, Privileges & Site IDs (Credentials) as these are used extensively throughout the Invention and having this information stored in the Native XML Data Store is therefore essential for XML Document integrity. For the most part the Invention is just referencing and linking this information to other XML documents that it has stored, such as a Workflow Process or an Audit Trail. Rather than have to enter or query Credentials from each of the two Data Stores separately, the Invention has a single Credentials API that it exposes, allowing it to maintain synchronization across both Data Stores. The Authentication & User Management Engine [7] is used by most of the suite of components that comprise the Invention, through its single API that allows for both querying and updating of all Credentials within the Invention and by 3rd Parties.

LDAP Component Interface [8] The LDAP Component Interface [8] is a set of Java Beans that form a wrapper to implement business logic around the standard java classes for LDAP connectivity. By using the standard Java LDAP connection architecture the Invention is able to leverage the power of the ability to connect to a variety of pre-existing LDAP Databases.

Audit Engine [9] The Invention implements its Audit Engine [9] as a suite of Java Beans capable of tracking operations that are carried out within the Invention. Most of the Invention's other software components use the Audit Engine [9] to log any activity that they carry out. In some instances logging activities are entered into a central log, in other instances each component logs information in its own log, however the majority of logging takes place against the actual activity being logged. For instance the Dynamic Workflow Processing Engine [2] logs most of its Audit information against the actual tasks (XML Document) that it is processing. Another feature of the Audit Engine [9] is that it is capable of interrogating these disperse silos of logging information and reporting on them in a unified manner. No matter what the method of logging, central vs. local, all the logging information at the most fundamental level is Native XML that is stored via the Native XML Storage DAO [1] into the Native XML Data Store where it can then be queried, manipulated and presented in a flexible fashion.

Management & Control Engine ComponenVlnterface [10] The Invention exposes a Management & Control Engine ComponenVlnterface as a suite of Java Beans and Web Services allowing for the provision of a 3rd Party Application ComponenVlnterface. The Invention uses this very interface itself to allow the development of a Web Based Management System [18], this same interface can be driven by a 3rd Party Application ComponenVlnterface allowing 3rd party software to control the Invention and once again exposing an open architecture that allows the Invention to integrate with customers existing software.

Web Based Management System [11] This system has been written as a JSP site implementing Struts for MVC and allows for full management of the Invention via any Internet Explorer or Netscape Navigator Browser Version 4+.

Message Building Engine [12] The Message Building Engine [12] will receive a notification either directly from the component responsible for raising it such as Dynamic Workflow Processing Engine [2] or indirectly from the Schedule & Notification Engine [13]. The Message Building Engine [12] is responsible for the processing of messages within the Invention.

Messages are predefined templates that go through two stages before being moved to the next stage in the Workflow. These two stages are Localisation and Personalisation. Localisation is the selecting of the correct template based on the locale of the user that the message is going to, while personalisation is the process of parsing the template and carry out a substitution on identified placeholders with their actual values from within the Invention. For example when e-mail needs to be sent the notification will contain an indication of the required action (component to use and template to parse) and all relevant parameters for the e-mail (email address, user name etc.). The actual template of the required e-mail will then be looked up in the users chosen language, via a locale-dependent Application Resources properties file, and a parametric substation will take place to insert the required user data into the correct placeholders in the template. This localised and personalized e-mail can then be passed on either to the Email Engine [14] for direct mailing or to the Schedule & Notification Engine [13]for scheduled sending.

Schedule & Notification Engine [13] The Schedule & Notification Engine [13] is a suite of Java Beans and a Queue implemented through native JMS (the Java Message System API). When a notification is required in the Invention the appropriate component will create a JMS Topic in the Queue for the Schedule & Notification Engine [13]. For example a notification could occur for the creation of a new XML Document, requiring that the Workflow Co-ordinator be informed, which would be the responsibility of the Dynamic Workflow Processing Engine [2] or the Creation of a new user in the system through the Authentication & User Management Engine 7, which would require an small conformation of the details being sent to the user through the Message Building Engine [12]. The notification format is encoded XML embedded within the JMS message text. Events are derived from a base class. The first section of the notification message is required information that all notifications will supply. The second part of the notification message is specific information depending upon the action required by the Schedule & Notification Engine [13] internal rules engine. The internal rules engine, examines the required part of the message body to determine which Component the second part of the message body should be forwarded to. This allows the Schedule & Notification Engine [13] to implement a custom callback interface to existing Invention Components, future Components that may be added to the Invention and also 3rd parties to perform the required action. Examples could be requesting that an small be sent or starting a timer which will cause a notification to be sent at the required time in the future. Therefore as well as acting as a notification engine capable of raising events throughout the system and to 3rd parties the Schedule & Notification Engine [13] can also delay the sending of these notifications to a future time hence also becoming a scheduling engine.

Email Engine [14] The Email Engine [14] is a wrapper around the JavaMail API. Using this technique the Invention is able to abstract the actual mailing implementation from the component that sends the mail and it allows the Invention to take advantages of future enhancements to the JavaMailAPI without the need to have to redevelopment the entire application. This also allows the Invention to connect to a number of 3rd party SMTP mailing applications.

Native XML Output Transformation Services [15] The Invention exposes Native XML Output Transformation Services [15] through a suite of Java Beans. These services take the requested XML Document (content) and then transform them in accordance with an XSL Document associated with the content. Both the XML Document (content) and the XSL Document are stored and accessed in the Inventions native XML data store through the Native XML Storage DAO [1]. The result of the transformed XML Document (content) is then passed back from the Native XML Output Transformation Services [15]. The Invention uses the Native XML Output Transformation Services [15] through the Web Based Management System [11] to display XML Documents (content) as HTML. 3d Party Software/Application Component/lnteffaces [19] can also call the Native XML Output Transformation Services [15]. t

Claims (17)

1. Claims 1. A business process management tool framework (subsequently

   referred to as a framework), comprising of a suite of interacting Java based software components.
2. 2. A framework as claimed in Claim 1 implemented using open standards from, but not exclusively the W3C.
3. 3. A framework as claimed in claimed in Claim 1 or Claim 2 operating on a 3rd party J2EE application server.
4. 4. A framework as claimed in Claim 3 implementing a DAO (component) to a native XML store.
5. 5. A framework as claimed in any preceding claim implementing a configurable business process control system (workflow engine) utilising XML as its formal

   description language.
6. 6. A framework as claimed in any preceding claim implementing a defined interface allowing communication to a component, which converts information input to the system from 3rd party proprietary formats into valid XML for internal storage and manipulation.
7. 7. A framework as claimed in any preceding claim implementing a defined interface allowing communication to a component, which converts internal XML into 3rd party proprietary formats.
8. 8. A framework as claimed in any preceding claim implementing a defined interface allowing communication to a component capable of outputting information in XML format.
9. 9. A framework as claimed in any preceding claim implementing a defined interface allowing communication to a component, visual or otherwise, that can control and manage the Invention.
10. 10.A framework as claimed in any preceding claim implementing a defined interface allowing communication to a non visual component (as claimed in Claim 9) to 3rd party software allowing said 3rd party software to control and manage the Invention.
11. 11. A framework as claimed in any preceding claim implementing Web Services as the one of the communication interfaces between both it's own components and a 3rd party's.
12. 12. A framework as claimed in any preceding claim implementing the ability to track and supply a full audit trail history of the workflow (as claimed in Claim 5).
13. 13. A framework as claimed in any preceding claim implementing security through users, roles and privileges and the ability to integrate with 3rd party software.
14. 14. A framework as claimed in any preceding claim implementing the ability for full content versioning (including multi media formats) on all authored content that is stored in the native XML store (as claimed in Claim 4).
15. 15.A framework as claimed in any preceding claim implementing the ability to allow the authoring of 'content' in a remotely distributed and offline capacity, while still being subjected to business processes (as claimed in Claim 5) full audit trail (as claimed in Claim 11) and versioning (as claimed in Claim 13), through the use of, but not exclusively due to, template bundling technology.
16. 16.A framework as claimed in any preceding claim implementing a defined interface allowing scheduling of events within the system and offering the ability to integrate with an small engine or other 3rd parties.
17. 17.The business process management tool framework substantially as herein described above and illustrated in the accompanying drawings.