In a general study of the literature eleven main areas of research were considered relevant to workflow management and its application in the domain of Sales Order Processing (SOP). It was concluded that exception handling may provide a unifying focus on the dynamic behaviour of workflow systems. Indeed this initial study revealed that current workflow approaches: (1) will overly constrain sales order processors as they seek to handle exceptions by imposing unrealistic and thus rigid ways of working onto their end-users; (2) do not support the needs of workflow system developers very well, since their workflow specifications are time-consuming to develop and maintain and are difficult to verify. Having made these observations this study conducted a detailed literature study and identified three main classes of workflow approaches, namely: traditional workflow approaches (i.e. SADT/IDEF0, Grai Nets, IDEF3, IEM and ClMOSA), ECA workflow approaches (i.e. WIDE and Rapide) and transactional workflow approaches (i.e. Sagas, ConTracts, and Partial Rollbacks). Subsequently it was decided to study specific properties of sales order processing exceptions and their effects.

Abstract In the turbulent time, an enterprise facing global competition must rapidly respond to change and sustain competitive advantage for survival. Workflow systems is a technology, which has the function of coordination, communication, and collaboration, to improve productivity and response time. However, the implementation of workflow systems needs much investment, but usually results in much gap between expectations and actual benefits. Therefore, it is an important issue to study the implementation of workflow system to assure the results of such investment. This research explores the influencing factors of implementing workflow systems from the organizational perspective (technology, task, people, and structure) and the process (initiation, adoption, and usage). In general, this study tries to answer the following questions: (1) What factors enable a company to initiate a workflow system? (2) What factors influence a company to adopt a workflow system? (3) What factors affect a company to use a workflow system? Based on the literature concerning implementing information system, groupware, and workflow system, this research induces the model of implementing workflow systems. After confirming this model by using case study method, this research proposes the reference model of implementing workflow systems. At the initiation phase, this research finds eight influencing factors: IT infrastructure suitable for workflow systems, human power of developing workflow systems, clear workflows, achievable objectives, top manager¡¦s knowledge and interest, user involvement in selection, size, and incentives system. At the adoption phase, six influencing factors are identified: adequate workflow systems, redesigning workflows, top manager¡¦s support, user involvement in system development, education of all users, and formalization. At the usage phase, we find six influencing factors: realized objectives, technology support, incremental implementation, top manager¡¦s usage, all users¡¦ usage, and corporate policy.

Problem: While global IT competition is becoming increasingly severe, various business organizations and companies, in order to maximize the profit and gain market competitiveness, are in urgent need of high-performance workflow systems to improve efficiency. However, the workflow systems that are currently used are embedded with fixed business rules that cannot be easily adjusted by users, resulting in the inability of users to make adjustments to the business rules, so as to satisfy changed requirements and deal with high cost of business management and low efficiency. Therefore, it is highly desirable for users of workflow systems, especially retail supply chain companies, to employ a new type of systems that can be easily adjusted by end users themselves when required.Solution: The rule-based workflow system architecture for the management of retail supply chain business process is recommended. In such architecture, the business rules can be separated from the system logic and managed by users via a friendly interface. The rule-based workflow systems can greatly enhance the system efficiency and lower maintenance cost, as compared with the traditional workflow system or other similar information systems. And the efficiency of retail supply chain business process management can be greatly enhanced by employing rule-based workflow systems.Methods: Two main research problems and four sub-research problems, which serve as the guidance to conduct related research work, have been identified. The research work has been divided into the theoretical part and the empirical part. In the theoretical part, the theory of rule base establishment and rule-based workflow system architecture are discussed. In the empirical part, data analysis as well as prototype design are conducted by employing both quantitative and qualitative methods of data collection. Attempts are also made to verify the theories suggested in the theoretical part by means of empirical research. Based on both theoretical and empirical research, attempts are made to find solutions to the research questions. In general, this thesis arms at providing references for the future research related to rule-based workflow system management in retail supply chain management. The thesis also aims to provide references for the practical use of rule-based systems in the retail supply chain field with such issues as system development and maintenance, especially for the system of complex and changeable business processes. Most importantly, some solutions are offered to the challenges of retail supply chain management. / Program: Magisterutbildning i informatik

隨著資訊科技的日新月異與網際網路的普及應用，各企業在面臨全球化的競爭環境下，皆積極尋求應用先進的資訊技術，力求創新與躍進，以期用最有限的資源創造企業最大的效益。對以客戶服務為主的壽險業而言，隨著新契約快速成長、產品多樣化、行銷管道多元化，壽險業所面臨的挑戰與競爭亦隨之加劇，因此，保險公司除了業務推廣外，更須加快求新求變的腳步，提供更創新、更超乎預期的客戶服務，還要兼顧營運成本管控，才能在瞬息萬變的金融保險市楊，持續保有競爭優勢。 本研究主要探討個案公司的新契約作業，在面臨業務量急速成長又要兼顧成本/利潤而無法同步大幅增加人力下，如何突破作業瓶頸，以及面臨每一階段的困難與挑戰時，如何事先評估風險與因應措施，並運用科技技術及專業團隊來大幅提升服務品質與作業效率。並且探討個案公司在完成每個階段的變革後，如何分析專案的執行成效，又如何持續提出還可再提昇改善的事項、問題以及未來可能的發展方向。個案公司的新契約作業演進過程摘要如下： 1.由於早期的人工作業已難以負荷大幅成長的業務量，故個案公司於1992年建置了「自動化核保系統」(Underwriting Automation)。然在專案推動過程中，面臨了〝如何建置完善的自動化系統〞、〝如何在兼顧成本與流程順暢下，決定最佳的系統建置方式〞及〝如何讓人員接受作業改造〞的問題， 透過專案小組以使用者的角度規劃系統流程，並且不斷地與相關人員進行充份溝通與宣導後，終於獲得所有人員的認同與支持。透過自動核保系統，不僅解決因業務量急速成長所面臨的作業瓶頸，也大幅提昇核保效率、降低人為核保錯誤率並且節省人力成本。 2.Underwriting Automation系統雖已提昇核保/發單效率，但仍面臨因產品的多元化以致業務員反應記不了這麼多的投保規則、以及無法在與客戶洽談保險當時即提供保戶確定的核保結果，因此，個案公司於2001年建置了「線上快速投保系統」(e-Application)。然在專案推動過程中，須克服的問題是〝如何提昇業務員使用系統的意願〞，透過專案小組不斷地與業務員進行溝通、並不斷地修正系統與持續地教育訓練及推廣，終於將e-Application系統使用率提昇到98%。透過e-Application系統，業務員不再有投保規則複雜的困擾，且不論上班/下班時間或例假日，都可隨時經由網際網路(internet)在客戶所在之處完成e受理、e核保，提供保戶即時的保障承諾，大幅提昇業務員的保險專業形象及行銷便利性。 3.e-Application系統雖可立即獲得核保結果，惟業務員仍須將要保文件寄達分公司才能處理後續作業。再加上投資型商品熱賣且作業較傳統型商品複雜，致核保人員的作業負荷增加。為了大幅提昇作業效率且運用有限的人力資源發揮最大的效益，個案公司於2006年建置了「影像線上作業系統」（Image ＆ Workflow）。然在專案推動過程中，面臨了〝如何改變核保人員的作業習慣 〞、〝如何將分公司人力順利移轉至簡易作業中心〞等問題，專案小組透過不斷地溝通及訓練，協助核保人員適應全程線上作業的變革；並提早一年與分公司溝通及規劃人力移轉事宜，讓人力及作業能夠順利移轉。透過Image ＆ Workflow系統，其快速便捷的e化流程，5秒鐘即可傳遞要保文件影像，不僅有效改善新契約受理高峰量之人力及作業負荷問題，且簡易案件的分流已大幅提昇核保效率且降低行政作業成本，並使核保員可更專注於複雜案件的處理與溝通，提供保戶及業務員更優質的核保服務。 保險是永續經營的服務事業，因此，流程變革是保險公司必須與時俱進且持續研討的重要課題。本研究藉由個案公司流程變革的過程、經驗及成效的分享，建議小型壽險公司推動核保自動化/影像化、中大型壽險公司全面e化/影像化/無紙化，並建議個案公司在邁入e化、影像化、無紙化的流程後，針對仍須仰賴人工處理的輸入作業，以及體檢核保人員養成不易的問題，可再進一步研議如何運用更精進的文字辨識技術與醫務專家系統，同時結合相關產業資源，採分階段方式逐步建置更科技化的系统平台，讓新契約作業邁向更快速、更專業的服務新里程。 / Along with the time evolution, the application of high technology and the spread of Internet are popular. The companies, currently are facing the competition environment in the era of globalization, all are looking for the modern technology aggressively to improve their service / operation in creative innovation way and to achieve the maximum benefit with limited resources. For the insurance companies, whose main focus is to provide customer service, they are facing more and more dramatic challenges and strict competition as the rapid growth of new business, variety of products, and diversity of promotion methods. Therefore, to maintain competitive advantage in the fast-changing financial-insurance market, the insurance companies need to strive for accelerated changes newly (as called re-engineering) not only to provide the innovative service which is beyond customer’s expectation, but also to manage the operation cost, besides promoting new business. This thesis is a case study of the new business process of the insurance company. It showed us how to break the process bottleneck, while the company faced the difficult situation that the business volume grown rapidly but no enough manpower can be added considered the cost/benefit justification. In addition, while the insurance company faced the difficulties and challenges of processing new business in each phase, how to evaluate the risks in advance and the corresponding countermeasures, adopting technology and professional team work to enhance the service quality and the operation efficiency. In these topics, we also discussed about how to evaluate the outcomes of re-engineering in each phase, included the way of reviewing the achievements / benefits of projects, continuously identifying the issues that can be improved, and the future development direction. The summary of the new business process evolution of the insurance company as below, 1.Considered the previous manual process barely handled the loading along with the huge growth of business volume, the insurance company implemented the Underwriting Automation system in 1992 to release the work load. However, the company faced several problems as “how to implement a comprehensive automation system”, “how to decide the best implementation way to achieve the objectives of that the cost is justified and the flow is smooth”, and “how to let the user to accept the process re-engineering”. Through planed the system workflow from user’s point of view and keep fully communicating with the stakeholders by the project team, this project gained all the stakeholders’ recognition and support eventually. By using the Underwriting Automation system, not only the process bottleneck caused by the huge growth of business volume can be solved, but also can large improved the underwriting efficiency, decreased the manual underwriting error rate, and saved the manpower cost. 2.Even though the Underwriting Automation system had improved the efficiency of underwriting and policy issuing, the agent still complained that they cannot remember so many underwriting rules and unable to provide the confirmed underwriting result timely when they sell the insurance product in front of the customer. Therefore, the company implemented e-Application system in 2001. However, the project team had to overcome the problem as “how to promote agent’s usage on this system” during the project implementation period. Through keep fully communicating with the agent, continuously enhanced the system features, training and promotion by the project team, the e-Application system usage rate finally raised up to 98%. By using the e-Application system, not only the agent’s persecution caused by the complex underwriting rule can be solved, but also can promise the protection to the customer in time as soon as the agent completed the e-submit, e-underwriting on customer site through the internet anytime. The professionalism and convenience of sales were big improved. 3.Even though e-Application can reply with the underwriting result immediately, the agent still need to mail out the signed copy of the application documents back to branch office for further process. Furthermore, the hot sale of Investment Link Product (ILP) and more complicated process of ILP product than the traditional product that caused the underwriter work load increased. In order to improve the operation efficiency and elaborate the best effectiveness under the limited human resource, the insurance company implemented the Image & Workflow system in 2006. However, the company faced several problems as “how to change the usual practice of underwriter”, “how to smoothly transfer the manpower from branch to the simple processing center” during the project implementation period. The project team was not only keep training and fully communicating with the underwriter, helped them accommodate to the change to entire on-line process, but also well planed the transformation and communicated with the branches one year ahead to smooth out the transfer of process and manpower. By using the Image & Workflow system, the fast convenient auto-flow that enable the document image be delivered in five second, not only can effectively solve the work load problem caused by the new business peak volume., but also can separate the simple case process to improve the underwriting efficiency and lower the operation cost. So the underwriter can more focus on the complicated case handling and communication to provide the best underwriting service quality to the agent and customer. Since insurance is the business of providing sustainable service, the process re-engineering is important task to the insurance company and has to be examined and modified concurrently with the times. In this thesis, with sharing with the experience and the achievement of the insurance company’s re-engineering process, it is suggested to implement the underwriting automation and imagelization within the small scale of insurance company, and fully implemented the electronic, imagelizing and paperless process within the medium or large scale of insurance company. After the insurance company had done the process re-engineering in electronic, imagelizing and paperless ways, it is also suggested that for those key-in works still rely on the manual process and the difficulties of developing and training medical underwriting personnel, the company can further study how to apply more advanced handwriting identification (OCR) technology and medical specialist system to solve the problems. Through utilizing the resource from the related industries to implement the highly technological system platform by phases, so as to the new business process toward more rapid and professional service milestone.

本研究是要探討IT硬體服務專案的管理過程，因硬體系統專案建置計劃 在時間上總是被壓縮的，因此有效的專案管理是解決專案過程的變更及不確定性，運用先期的溝通取得共識，並提供專案即時資訊給客戶，可以讓客戶事先了解專案遇到障礙，縮短彼此溝通的時間，進而使案件順利進行，更能得到客戶的滿意。 在本文有提到專案管理的各種流程方法，關於專案主要議題，最重要的是關於管理人的問題，專案的成功就是人在專案的掌控，只要責任工程師(Owner)在專案進行中能有能力做一位控盤手在加上有一套完善的專案流程控管系統，則專案要產生大狀況、變更、延誤的機率就可降低很多，如本文個案為例就是施行嚴格的專案控管，專案進行期間雖有小狀況發生但都很快速的解決，建置期及實際演練期只耗用2個月就完成驗收，也不影響客戶的業務營運有中斷現象。 本研究強調協同運作，在專案進行中，必須讓專案團隊是認同在Virtual Team的結構下，將專案執行資訊隨時發佈讓Virtual Team所有組織成員都能瞭解專案進行狀況，適時加入修正偏差，且適時提出解決方案措施。本研究重心也在一個專案管理施作過程中驗證，將專案管理要素中的架構、程序、時間結果等等，透過一套專案管理流程系統和客戶的高層、決策者，在取得一定的共識後，立刻將專案過程進度即時資訊顯示讓客戶瞭解，而專案管理團隊也充份發揮專案技術能力完成專案，讓專案驗收，且獲得客戶對專案品質的最高滿意度。 / This study is for investigating the management process of IT hardware services projects。 Since the time is always in shortage for those hardware system project implementation plans，project management is an effective way to solve the problems related to project process changes and uncertainties。 Utilizing prior communication to reach a common view and providing real time project information can allow customers to know the project status and problems in advance and shorten the communication time。In addition，the projects can then be processed on schedule and customers can be better satisfied。 In this paper，various workflow methods of project management are mentioned。In regards to the issues related to projects，the most important thing is the problems associated with the project manager。 The success of a project relied on the managerial skills。As long as the responsible owner of a project has the ability to administrate the project and uses a complete project management and control system, the chances of large problems、alternations and delays will be lower significantly。The case on this paper can be used as an example of rigid implementation of project management。Although there were small issues during the project，problems got solved quickly。 Setup and configurations period and live testing period only took two months to credit the customer acceptance。No operation interruption had occurred on the customer side。 This study emphasizes on collaboration。 In the progress of the project， we must make sure that members of the project cooperate in the infrastructure of Vitual Team，We fully disclose the information of the project implementation so that members of Virtual Team have a fully understanding of the project progress and status。Timely adjustments can be applied。In addition，proper solutions can be offered。The essential points of this study is verified during a project implementation。Via a project management system，information of a project such as infrastructure、process、and time is provided for customer's top management and decision makers。After reaching a consensus，we immediately provide information to the customer。Moreover，the project management team work professionally with proficient skills to finish the project and credit the project acceptance。The customer is earned with highest satisfactions in terms of project quality。