An Exploratory View on Risk Management Constructs for Business
Process Models
Gabriel Bolson Dalla Favera
1
, Denilson dos Santos Ebling
1
, Vinicius Maran
1
, Jonas Bulegon Gassen
2
and Alencar Machado
1
1
Universidade Federal de Santa Maria, Santa Maria, Brazil
2
Antonio Meneghetti Faculdade, Restinga S
ˆ
eca, Brazil
Keywords:
BPM, BPMN, Risk Management, Process Modeling.
Abstract:
Business Process Modeling and Notation (BPMN) is a widely used process modeling notation both in
academia and industry, with a structure that is easy to understand and use. It contains more than a hundred
elements referring to various concepts. However, it does not cover risk management constructs. In this paper,
we seek to identify the need and which aspects are important if we were to associate process models with risk
management. We performed an exploratory research method with experts in the area of risk management that
also work with process models. The work resulted various concepts that could be related in process models,
such as risk presentation, control activities and risk mitigation. We conclude that experts would like to have
such disciplines better integrated and that we have a starting point to design, for instance, a BPMN extension
to cover such aspects.
1 INTRODUCTION
With the increasing size and complexity of processes
in organizations, there has been a necessity to per-
form Business Process Management (BPM), improv-
ing management of aspects such as people, prod-
ucts and services (vom Brocke and Rosemann, 2015).
Along with process modeling, managing risks has be-
come increasingly important. Risks can be defined as
future situations that have some impact in organiza-
tions, being mostly negative (Tsiga et al., 2017).
Business Process Modeling and notation (BPMN)
is one of the most widely used modeling notations. It
covers various stages of the BPM life cycle, allowing
to build process models (Panagacos, 2012). It is im-
portant to use modeling rules to build efficient process
models (Dumas et al., 2018). According to the Object
Management Group (OMG), responsible for the ar-
chitecture of BPMN, the notation does not have con-
structs concerning risk management (OMG, 2011).
Previous works discuss the possibility of associ-
ating risks to process models, e.g. zur Muehlen and
Rosemann (2005). However, research that seeks to
understand what is important to associate concerning
risk management with process models are lacking.
Event-driven Process Chain (EPC) has an approach
that allows to inform risks and controls policy situa-
tions. Despite the literature discussion regarding pro-
cess models containing risk management constructs,
empirical analysis on the needs of such constructs is
lacking. This paper intends do give a step towards
this direction. We approach this point by means of
an exploratory research method. Experts in the areas
of processes and risk management answered a survey.
Our analysis in this point is mainly qualitative, seek-
ing to understand the needs as seen by experts.
This work is organized as follows. Section
2 presents the background, which involves BPM,
BPMN, EPC and risk management. In Section 3
the related work is presented, followed by Section 4
presents the research design, which shows assump-
tions, aim, participants, material and data cleansing.
Sections 5 presents the results from the survey. Fi-
nally, discussion and conclusions are presented, re-
spectively in Sections 6 and 7.
2 BACKGROUND
In order to better understand the development of the
paper, in the following sessions we present the related
main concepts and references. BPM, BPMN, EPC
and Risk Management are presented, respectively.
770
Favera, G., Ebling, D., Maran, V., Gassen, J. and Machado, A.
An Exploratory View on Risk Management Constructs for Business Process Models.
DOI: 10.5220/0009419707700777
In Proceedings of the 22nd International Conference on Enterprise Information Systems (ICEIS 2020) - Volume 2, pages 770-777
ISBN: 978-989-758-423-7
Copyright
c
2020 by SCITEPRESS Science and Technology Publications, Lda. All rights reserved
2.1 BPM
BPM seeks to ensure constant positive results and
deliver maximum value to companies by improving
their business processes (Panagacos, 2012).
The BPM life cycle has six stages (Dumas et al.,
2018; vom Brocke and Rosemann, 2015; Panagacos,
2012; Weske, 2012): (i) process identification, (ii)
process discovery, (iii) process analysis, (iv) process
redesign, (v) process implementation and (vi) process
monitoring and control.
BPM’s life cycle helps to understand all technolo-
gies, processes, and steps involved in order to be
adopted in any business environment (Dumas et al.,
2018). It should be noted that the phases can occur in
a continuous form, circularly, depending on the need,
or even only once (Weske, 2012). BPM has notations
and languages that allow to express and share their
processes with stakeholders (Panagacos, 2012).
2.2 BPMN
BPMN is a notation containing a series of standard
process design icons (Weske, 2012), which enables
a better understanding of the designed business pro-
cesses. The models produced may differ depending
on the reason for which they are built.
Frequently, process participants perform very spe-
cific tasks and are rarely confronted with the pro-
cess as a whole (vom Brocke and Rosemann, 2015).
BPMN’s main goals are to understand the process it-
self and share its understanding with the stakeholders
(Panagacos, 2012).
BPMN has more than hundred symbols (Dumas
et al., 2018). However, just some of them are re-
ally used, less common symbols can be aggregated
according to the organization needs, e.g. in more
complex projects. In BPMN modeling there are four
groups of elements: flow objects, connecting objects,
swimlanes and artifacts (Dumas et al., 2018; Panaga-
cos, 2012; Weske, 2012).
Flow objects are the main graphic elements used
to define the behavior of a business process, being di-
vided into threes types: activities, events and gate-
ways. Connecting objects present the way objects are
connected and are divided into three types. Sequence
flow, that presents the flow execution order. Message
flow, presenting the flow of messages between sender
and receiver. And association, used to associate arti-
facts (e.g. data or texts) to the flow objects.
Swimlanes present a way to organize activities
into visual categories, allowing better task manage-
ment. They are divided into two categories: pool and
lane. Finally, artifacts seek to aggregate information
to the process, as well as being used to represent a
data input or output. Even though BPMN does not
contain many key elements, building a process model
involves following a few rules. Good modeling prac-
tices should be used which make the process easy for
those involved to understand (Mendling et al., 2010).
Concerning risk management, the BPMN regula-
tory body (OMG) does not define any type of ele-
ment that allows managing risks in process modeling.
Which may be seen as a disadvantage if compared to
EPC.
2.3 EPC
EPC is a process and workflow modeling language.
It is used to configure the execution of business re-
source planning and business process improvement
(Mendling, 2008). Unlike BPMN, EPC addresses
some organizational aspects, such as risks and control
policies (AG, 2019).
There are some similarities with BPMN. Among
them, the exclusive, parallel and inclusive connectors,
functions and events (Mendling, 2008). In BPMN
pools and lanes are used to describe organizations,
positions, tasks and functions. In EPC elements of
the group of organizations are used, divided into or-
ganizational unit, position, position and group, which
are directly associated with functions (Scheer et al.,
2005). EPC contains data and risk elements group,
which are not included in BPMN.
2.4 Risk Management
Together with process modeling, managing the risks
involved in a business has become increasingly im-
portant in organizations. Risks are future situations
that have some kind of impact on organizations,
mostly negative (Tsiga et al., 2017). Thus, risk man-
agement is a strategic planning adopted by organi-
zations to identify, analyze and prevent the risks to
which they are subject (Chapelle, 2019). The risks an
organization may be vulnerable to depend on its ac-
tivities (Cope et al., 2010).
Risk management occurs in five steps (Chapelle,
2019; Cope et al., 2010; Lambert et al., 2006;
Moeller, 2011; Tummala and Schoenherr, 2011; zur
Muehlen and Rosemann, 2005). (i) risk identifica-
tion, (ii) risk measurement, (iii) risk evaluation, (iv)
risk treatment and (v) risk monitoring.
During the identification step, a qualitative analy-
sis of the risks that may affect the process or its results
is performed. In a qualitative analysis are identified,
the causes, effects and forms of identification.
An Exploratory View on Risk Management Constructs for Business Process Models
771
The measurement step seeks to define the proba-
bility and impact of each identified risk. At this step,
the nature of the risks and the impacts that may occur
to the project and organization objectives should be
identified. Usually using a quantitative analysis.
Having the risks measured, their assessment is
performed, defining their magnitude. Decisions are
made at this step, if the risks are acceptable or need
some treatment. Decisions are made according to the
risk appetite of each organization.
Approaching the last steps of risk management, its
forms are defined, divided into (i) acceptance, where
the organization assumes the risk involved by adapt-
ing when problems occur. (ii) transfer, where the
responsibility for risk is shifted from one party to
another, typically occurs when third party service is
adopted. (iii) mitigation, where plans or strategies
are made to reduce the impact of the risks involved,
e.g. using business process management for mitiga-
tion. Finally, (iv) avoid the risk, in which the risk is
completely eliminated.
Lastly, in the final phase, risk monitoring is per-
formed. For this, it is common to use tools that allow
monitoring, tracing and reviewing risks during the ex-
ecution of processes. Monitoring is an important step
in reducing the impact and frequency of risks, and it
is essential to identify new risks.
During the BPM life cycle, a risk check is per-
formed during the process identification step (Dumas
et al., 2018). The risks identified at this step already
occur in the organization, and are the main source for
process modeling alignment (zur Muehlen and Rose-
mann, 2005).
Although risks are not modeled together with pro-
cesses, some studies look on how to address them.
The following chapter presents papers that discuss
ways to perform risk management in conjunction with
process modeling.
3 RELATED WORK
Ahmed and Matulevi
ˇ
cius (2014) presented a method
for integrating security measures with process man-
agement. For this, the method consists of seven steps
that describe how process analysis and security anal-
ysis can collaborate to result in a secure business pro-
cess. The defined steps are: (i) Identify safety prin-
ciples and objectives; (ii) Analyze risk safety; (iii)
Elicit security requirements; (iv) Annotate business
process models with security requirements; (v) Feed
back business models annotated with security require-
ments; (vi) Present security solutions; (vii) Ratio-
nalise security solutions.
The method allows eliciting security requirements
in business models, however a holistic method of se-
cure risk management is required. It benefits business
analytics by allowing to choose cost-effective solu-
tions that fit the business. The method allows for ear-
lier recognition of risks knowing that if it occurs later
it can increase costs.
Radloff et al. (2015) presented an approach for ex-
tending EPC and other modeling languages with in-
ternal control elements. The extension includes pro-
cedural control defined classes, audit results, risks and
control objectives. Each of the classes created repre-
sents functions in EPC, allowing better management
of the internal controls. In order to be represented
in the notation, new elements that better describe the
means of control are proposed. The new elements
seek to be easily understandable to those involved. Fi-
nally, the author conducted a case study to assess their
approach understanding.
Ahmed and Matulevi
ˇ
cius (2014) presented an ap-
proach concerning processes situations where data
may be leaked. In these situations, the impact of the
information present in this data may affect other parts
of the process. However, no solutions for risks are
presented and neither where the risks occurs in the
process.
The paper of Radloff et al. (2015) shows a way to
link internal controls to the modeled processes, since
EPC by itself does not include this functionality. By
using their approach, tasks can be performed more
satisfactorily, since they will conform to the organi-
zation internal controls.
Regarding the works presented in this section, the
work presented by Radloff et al. (2015) contributes
an extension to the EPC related to internal controls.
The author describes the possibility adapting it for
BPMN. Ahmed and Matulevi
ˇ
cius (2014) focuses on
risk prevention, not showing where the risks are actu-
ally occurring. This works contribute to this paper by
presenting some solutions to associate risks with pro-
cess models. This paper, on the other hand, focus on
collecting opinions from specialists about what is im-
portant to be presented in process models concerning
risk management.
4 RESEARCH DESIGN
In this section we present our research design. This
paper intends to analyze the lack of constructs to rep-
resent risk management in BPMN models. We start
this journey by studying the experts view, whether
they consider a good idea or not to link both. For
this, we chose an exploratory research method, aim-
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ing at a qualitative analysis (Recker, 2013; Wohlin
et al., 2012).
First, we present our assumptions, followed by the
aim of this paper. Then we present the demographics
of the participants. After that, we present the material
used to achieve our goal and finally the data cleansing
applied.
4.1 Assumptions
We assume that risk management is a very important
task and that it should be considered by companies, at
least by the ones applying some sort of control in this
regard. Consequently, we assume that it is a very im-
portant aspect to be considered when applying BPM.
Finally, we assume that would be important to present
such controls in BPMN models, from our understand-
ing at least the risks related to activities and forms to
mitigate them.
Some modeling languages like EPC provide sup-
port for risk management on its core set. This pro-
vides essential information about risks. Which re-
inforce the importance to present such concepts on
BPMN models.
4.2 Aim
For this work, we try to explore the view of special-
ists working with business processes and risk man-
agement. The idea is to better understand which infor-
mation could be interesting to have in BPMN models.
4.3 Participants
We collected data from eight specialists, they are col-
laborators of public and private organizations, and
of educational institutions. All participants are from
Brazil. In order to better understand our respondents,
we asked four questions about their knowledge, mea-
sured with Likert scale. For question (i) work with
processes in organizations, seven participants chose
”three years or more” (which was the maximum) and
one chose ”between one and three years”.
For questions (ii) work with process models and
(iii) work with BPMN, the answers were repeated as
for (i). For question (iv) work with risk management
in organizations, the answers had bigger variations.
Three respondents answered ”three years or more”.
Three answered ”between one and three years”. And
two answered ”between six months and a year”.
Based on these answers we can understand that
the participants had good knowledge in the required
concepts.
4.4 Material
In order to gather data from experts, we performed a
survey, which allowed us to reach more participants.
The questionnaire inquired about the importance of
presenting risk related information in business pro-
cess models. The questions were constructed and or-
dered to avoid bias and were divided into three sec-
tions (Wohlin et al., 2012).
In the first section, demographic questions were
asked, seeking information from the respondents.
Questions related basically to the time that each par-
ticipant has interacted with: processes, process mod-
els, BPMN and risk management. With this, we can
have an idea about the knowledge of the participants.
In the second section, we presented three ques-
tions about risks and process models that should be
answered with free text. Those referred to (i) which
information should be presented in process models to
improve the work of the expert. (ii) Which informa-
tion should be presented in the model to improve the
process executor work. (iii) What could improve risk
management in the context of process models. Here
we tried to avoid bias towards our assumptions, in or-
der to explore the ideas from the experts.
Finally, in the third section, we presented ques-
tions related to our assumptions, these were presented
in the last section to not create bias. We asked four
questions with Likert scale (1 to 6) and three ques-
tions with free text.
4.5 Data Cleansing
Two out of ten participants claimed they never worked
with risk management. As we seek to explore the
ideas of risk management experts, we did not con-
sider their answers. Additionally, they replied ”I do
not know” for almost all questions. This reinforces
that our questions relate to our goal.
5 RESULTS
As presented previously, the first section of the sur-
vey related to demographics. Following, we present
the second section, where data related to risk manage-
ment and process models were gathered. As presented
in Section 4, the first questions had free text answers
and their descriptions tried to avoid bias. In order to
analyse the resulting data, all the authors followed the
process bellow:
1. In an independent environment, extract the most
important concepts from each answer, based on
An Exploratory View on Risk Management Constructs for Business Process Models
773
each persons point of view. There might be N ex-
tracted concepts per answer;
2. In a shared environment, select the most depicted
concepts (e.g. by three out of four authors). Try
to standardize concepts that have very similar
names;
3. In a shared environment, merge the answers:
(a) Aggregate concepts by similarity in a table;
(b) Add the frequency of similar concepts;
(c) Democratically resolve concepts that are simi-
lar, but written with different words or special-
ization levels. Try to chose a standard concept
based on the literature;
(d) Join related concepts in groups;
Based on this process, Table 1 presents the results
from the first question.
Table 1: Question: Which risk management information
should be presented in the process models to improve your
work?
Extracted concepts Freq.
1
Risk Presentation 4
Signal critical points 1
2
Control activities 3
Risk handling 1
3
Residual risk 1
Relating models with the risk matrix 1
Risk impact level 1
It is worth mentioning that the work to be improved
pointed out in this question relates to risk manage-
ment. From the results, we can understand that pre-
senting the risks was the most cited concept to be in
process models, followed by control activities. Which
conforms with our assumptions. Additionally, five
other concepts were mentioned by specialists. Con-
cepts that are related but distinct were grouped, the
leftmost query presents a number for each group. For
instance, risk handling could be merged to control ac-
tivities, however since it is a more specific concept, it
is presented separately. Table 2 presents results from
the second question.
The second question focus on what is important
to whom performs the processes. The most cited an-
swer is the risk presentation. Again, the related con-
cepts were grouped together. Risk handling follows
next based on frequency. Three other individual con-
cepts were mentioned by the specialists. One inter-
esting answer pointed that no information about risk
management should be put in the process model for
the executors. The specialist claimed that the model
Table 2: Question: Which information regarding risk man-
agement should be presented in process models to improve
the work from who performs the processes?
Extracted concepts Freq.
1
Risk presentation 3
Signaling critical points 2
2
Risk handling 2
Control activities 1
Risk mitigation 1
3 None 1
4 Relating info sources (e.g. normative) 1
5 Severity and risk repercussion 1
should be as simple as possible. Table 3 presents the
results from the final question of second section.
Table 3: Question: What could improve risk management in
the context of process models?
Extracted concepts Freq.
1
Presenting risks 4
Presenting high impact risks 1
2 Agile tool for process monitoring 1
3 Querying standard processes via tools 1
4
Reviewing unnecessary controls 1
Reviewing uncontrolled risks 1
5 Risk mitigation 1
6 Risk-based process improvement 1
This question opens to any information concerning
any task that could be presented on models. The most
cited concepts relate to risk presentation. A total of
six groups of concepts were mentioned by the spe-
cialists.
In the third section of the form, Likert scale and
free text questions were presented. Likert scale ques-
tions collected information about the importance of
performing risk management in the organization. The
Likert scale (from 1 to 6) defines the scale of not im-
portant to very important. For this, four questions
were made: (i) importance of risk management to
your organization, (ii) importance that stakeholders
that perform activities know its risks, (iii) importance
that stakeholders that perform activities know how
to mitigate its risks and (iv) presenting information
about risks management in process models will im-
prove your organization. Note that here we impose
our assumptions in the questions descriptions, Focus-
ing in presenting and mitigating risks. Table 4 depicts
the answers for each question.
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Table 4: Importance of connecting risk management with process models.
Imp. for organizations Imp. to perform risk activities Imp. to mitigate Imp. to present risks
6 5 5 6
6 6 6 4
6 6 6 6
5 5 5 6
4 5 6 1
6 6 6 6
1 6 6 6
5 5 6 6
Average 4.87 5.5 5.75 5.12
Based on this table, we can understand that the ex-
perts consider all aspects to be very important. For
the three first questions, it was somehow predictable,
as the experts live this in their work day. For ques-
tion four, it is interesting to acknowledge that most of
them consider very important to present risk manage-
ment information in process models.
Afterwards, the last three questions had free text
answers seeking to explore the respondents view to-
wards our assumptions.
Table 5 shows the answers for the first question
of the third part of the questionnaire. These questions
may have created some bias considering the questions
previously asked.
Table 5: Question: Which information should be presented
to those involved in risky process model activities?
Extracted concepts Freq.
1 Risk presentation 5
2 Impact vs. probability of risks 3
3
Control activities 2
Risk handling 2
Risk mitigation 1
4 Process progress control 1
5 Stakeholders identifying risks 1
This question directed the experts towards risky ac-
tivities of the process model. With that, the most
cited concept was risk presentation. The group relat-
ing to controls followed, and impact vs. probability
came next. Two more concepts were pointed out af-
terwards.
The table 6 presents the second question from the
third part of the questionnaire.
Based on the data, it is possible to acknowledge
that actions to mitigate risks present in the process
model was the most cited aspect. Followed by pre-
Table 6: Question: Which information should be presented
to those involved with risky activities from process models,
in order to mitigate them?
Extracted concepts Freq.
1
Risk mitigation actions 4
Control activities 1
Risk handling 1
2
Risk presentation 2
Residual risk 1
3
Impact x probability of risks 1
Risk impact on other processes 1
4 Stakeholder to report problems 1
5 Risk-based process improvement 1
Table 7: Question: What could be done in order to BPMN
models better approach risk management?
Extracted concepts Freq.
1
Risk presentation 3
Presentation of inherent risks 1
2 Risk management and BPM together 1
4 Relate process model and risk matrix 1
5 Control activities 1
6 Link to normative 1
7 Querying tool 1
8 Using models for stakeholders training 1
senting risks and the impact of risks.
Two more concepts were given by the specialists.
Finally, Table 7 refers to the last question of the
questionnaire.
This was a general open question, allowing the
participants to express what would be more interest-
ing from their point of view. The most frequent aspect
An Exploratory View on Risk Management Constructs for Business Process Models
775
was risk presentation. Six more options were given by
the specialists. One expert mentioned that adding el-
ements to the model is not the most important thing,
but applying BPM and risk management together.
The next section presents towards an extension to
associate risks with the BPMN. The extension was
based on the concepts given by the specialists.
6 DISCUSSION
In this section, we discuss the results, pinpoint impli-
cations for research and present threats to validity.
6.1 Results
Our survey results suggests that experts would like to
have risk management information presented in pro-
cess models. Suggesting that having such informa-
tion in BPMN models would have good acceptabil-
ity amongst them. The results also suggest that our
assumption towards relating risk to process models
activities and presenting how to mitigate risk within
process models seems to be the view of experts.
Section 5 presents the concepts extracted from the
free text answers gave by specialists. Some aspects
are clear, e.g. they believe that information about risks
should be presented in process models. Having that,
we understand that people would have a clear view on
steps of the process that should have higher attention.
In addition to the concept itself, some other sug-
gestions were made:
Identify the risks altogether with the stakeholders
that work in each process;
Present the impact level of the risks;
Relate risks to activities in the process models;
Where to find information about handling the risk;
The main risks are the ones to be presented;
When the experts considered the stakeholders that ex-
ecute the processes, we perceive a focus on mitiga-
tion actions additionally to risk presentation. Aside
the concepts, some other suggestions refer to:
Presenting the risk will make it easier for the ex-
ecutor, providing confidence;
Where to find normative and manuals, also infor-
mation about handling the risk;
Severity and repercussion also appear;
Minimizing risks is important;
This answers bring the idea that experts see process
models as an additional vehicle to communicate how
stakeholders should perform their activities consider-
ing risk management.
When asking questions related to our assump-
tions: presenting risks and mitigation actions, we see
some concepts increasing frequency. In both cases,
impact and probability are mentioned. Those con-
cepts refer to risk severity (Moeller, 2011).
Some specialists suggest presenting different in-
formation regarding risk. For instance, to present
residual risk or inherent risk. All suggestions are to
be taken into account, however not all information can
be fit into a process model.
Very few answers were negative on connecting
process models with risks, one of which concerns
model complexity. This is a very good point that
should be considered and it has been studied through-
out the literature (Mendling et al., 2010). Therefore,
the amount of information and presentation manner
have to be cautiously studied.
6.2 Implications for Research
This work suggests the interest of experts towards
relating risk management concepts in process mod-
els. With the exploratory profile of this paper, it con-
tributes with a starting point to researchers intending
to study new constructs to process models. The con-
cepts also help who develop the activities to perform
with more attention, avoiding risky situations.
6.3 Threats to Validity
Although in this paper we focus on a exploratory
qualitative analysis and no statistical tests were per-
formed, external validity could be improved by in-
creasing the number of specialists. Also, having spe-
cialists from different countries would be interesting.
With the application of a survey, we had a trade-
off, on the good side we were able to reach more spe-
cialists. On the bad side, we lost some power of un-
derstanding. By means of interviews, for instance, we
would have the chance to ask additional explanation
in the occurrence of unclear statements.
On the next section, the conclusions of this paper
are presented. Contributions and future works are ad-
dressed.
7 CONCLUSIONS
This paper seeks to explore the idea of construct-
ing process models with risk information, aiming to
identify its importance. To this end, specialists from
Brazil answered a questionnaire about the importance
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776
of risk management associated to modeling processes.
We had assumptions prior to this paper that presenting
risks and risk mitigation actions would be interesting.
Based on the results and discussions, it was possi-
ble to obtain a direction on concepts to associate risk
management with process models. Three concepts
were the most cited by the specialists: risk presen-
tation, control activities and risk mitigation. Aside of
many other information to be considered when plan-
ning to bring those areas together.
Therefore, this work contributes by providing a
starting point to create an adequate association ap-
proach. The mentioned concepts provide a base to
construct a useful extension for notations such as
BPMN.
We intend to further analyse the creation of a
BPMN extension. Aspects related to, among others,
semiotics and cognitive psychology will be consid-
ered. Experiments to test the extension will be carried
out. With this, we hope to allow experts from organi-
zations to apply the extension and improve risk man-
agement in their work places, better integrated with
BPM.
ACKNOWLEDGEMENTS
Special thanks to Col
´
egio Polit
´
ecnico from Universi-
dade Federal de Santa Maria, Brazil.
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