Paper Dynamic Case Management by Capgemini ECM, Yvo Booisma

2013
Capgemini, Enterprise Content Management
Yvo Booisma, Utrecht, 19-10-2013

[BPM,
(DYNAMIC/ADAPTIVE)
CASE MANAGEMENT &
ECM]
This document aims at introducing and structuring the main concepts,
showing practices and frameworks that help in planning, designing and
building solutions for customers. The report then shows how BPM can
extend ECM solutions and be further extended with Dynamic/Adaptive
Case Management concepts and practices.

CONTENTS
Introduction ...................................................................................................................................................................2
Definitions and concepts ...............................................................................................................................................4
Business Process Management .................................................................................................................................4
Case Management .....................................................................................................................................................4
Dynamic Case Management ......................................................................................................................................5
Adaptive Case Management ......................................................................................................................................5
Further insight and Relationships between ECM, BPM, ACM .......................................................................................7
Business Process Management Waves ..........................................................................................................................7
The 4th Wave is now ......................................................................................................................................................2
Extending BPM...........................................................................................................................................................3
Towards Adaptive Case Management ...........................................................................................................................4
Principles and Practices .................................................................................................................................................6
ECM Maturity Audit tool............................................................................................................................................6

Copyright Yvo Booisma 2013
ECM Director Capgemini Netherlands

INTRODUCTION
The goal of this document is to position the trends and challenges met in the worlds of content and
process management and to highlight the importance of a (Dynamic/Adaptive) Case Management
approach as a convergent solution of the two domains.
As an universally acknowledged fact, Enterprise Content Management (ECM) is the strategies, methods
and tools used to capture, manage, store, preserve, and deliver content and documents related to
organizational processes. ECM covers the management of information within the entire scope of an
enterprise whether that information is in the form of a paper document, an electronic file, a database
print stream, or even an email.
Likewise, Business Process Management is a systematic, structured approach to analyze, improve,
control, and manage processes with the aim of improving the quality of products and services.
Thus, Enterprise Content Management deals with the content and Business Process Management deals
with the processes within an organization.
With this in mind, and also that the business world is heading towards a “Content and Process are ONE”
mentality, Capgemini wants to be one of the market leaders in providing solutions to our customers that
address both elements as interconnected. Our customer’s changing needs tell us that they cannot be
addressed separately anymore.
Big steps have been taken in the recent years to optimize and automate business processes by
implementing Business Process Management (BPM) solutions. Main focus has been the highlyrepeatable processes and structured content. Parallel to BPM, Enterprise Content Management (ECM)
implementations have increased control over the unstructured content like paper and digital
documents. We call this traditional ECM the OLD approach, with a high focus on Records Management,
Documents Management, Case Management.
The NEW ECM way shows a more and more increased concern for Dynamic and Adaptive Case
Management, and defines them as two domains that focus and handle flexible processes and different
platforms, data types and dynamic information altogether and that are capable to create a one to one
mapping of the real world (what is actually happening in your organization) into your Information
Systems. In other words, we have our customers increasingly demand solutions that handle complex,
less predictable, knowledge intensive processes, because of a similar reasoning like this one:
To be the leader of your market, to outperform yourself and your competition you need to have a
strong hold on your current position. To assess your current position, you need data that you can
analyze. For this, data must exist in your Information System, which means that your Information
System must capture the real world environment in your organization. Thus, the need for a
system/solution able to capture a flexible world, which translates into the need for adaptive systems.


With Dynamic and Adaptive Case Management it is now possible to gain control over the knowledge
intensive processes that are less predictable and therefore more time consuming and less manageable
which have been neglected so far. The two paradigms enable implementing new processes in a fast and
sustainable way. Adaptive Case Management adds collaboration into the formula, it brings the role of
the knowledge worker in the spotlight, while Dynamic Case Management is more suitable for
organizations that have a stronghold of their processes, but they need to incorporate a high degree of
unpredictability/flexibility in them. Dynamic Case Management is all about content and process as one,
while Adaptive Case Management is about bringing content, process and collaboration together in one
solution.
The current state of technology and software vendor insights launches new possibilities for Dynamic
Case Management initiatives. A threshold point is now reached where that can truly deliver new
potential for business operations. Regarding Adaptive Case Management, there are already innovating
software solutions and Forrester makes an prediction that the years 2013-2015 will witness an increased
interest of the vendors to fully support the reality met at customer’s site.
As we see ECM vendors acquiring BPM solutions (e.g. OpenText acquired in 2011 Metastorm Inc.) and
thus validating the point of view stated in this document about connecting process and content, we
predict that IT solution providers/integrators companies (such as consultancy companies) will head their
efforts into offering the customers with answers that offer a better end-to-end visibility, allowing them
to drive their business according to KPIs and SLAs, thus optimizing the business performance. They will
need to build solutions that focus on a 360 ° view of the relationship for thier clients’ customers,
suppliers, partners and employees.
Throughout this document, the three concepts are detailed, together with their relations: Business
Process Management, Enterprise Content Management and (Dynamic/Adaptive) Case Management. A
bird’s eye view on how they interrelate in an organization is given in the image below. The CRM
foundation is left out of this discussion, as it does not make part of our objective.


DEFINITIONS AND CONCEPTS
The purpose of this section is to define and exemplify the concepts so that a common ground can be
obtained on their scope. This is important when discussing solutions later on in the document.

BUSINESS PROCESS MANAGEMENT
Business Process Management (BPM) is focusing on the continuous improvement of business processes
within organizations in order to achieve business effectiveness and efficiency.
In the context of a fast changing world, organizations face increasing pressure to deliver improved
services, which translates into improved performance in terms of cost, quality, time and/or flexibility.
This makes the object of Business Process Management, which can be defined as the critical analysis and
redesign of existing business processes to achieve breakthrough improvements in performance
measures.
Several definitions of BPM from research publications are:


A customer-focused approach to the systematic management, measurement and improvement
of all company processes through cross-functional teamwork and employee empowerment.
Lee and Dale (1998)



Supporting business processes using methods, techniques, and software to design, enact,
control, and analyze operational processes involving humans, organizations, applications,
documents and other sources of information.
Van der Aalst, Ter Hofstede, and Weske (2003)

BPM best supports highly predictable and highly repeatable business situations.
Examples of BPM solutions:



signing up for cell phone service: it happens thousands of times a day, and the process is
essentially fixed.
claims management processes, rental processes, administrative (governmental) processes.

CASE MANAGEMENT
Case Management (CM) is the management of long-lived collaborative processes that coordinate
knowledge, content, correspondence and resources to progress a case to achieve a particular goal;
where the path of execution cannot be predetermined in advance of execution; where human judgment
is required to determine how the end goal can be achieved; and where the state of a case can be altered
by external out-of-band events.


Case Management is a technique that is useful when processes are not repeatable. Case management
can be used for one-off situations for which the process cannot be predicted in advance.
Example of case management solutions:



specialized organizations responding to disaster situations, such as oil disasters at sea.
IT service desk operations.

DYNAMIC CASE MANAGEMENT
Dynamic Case Management (DCM) involves unstructured, ad hoc processes and ensures flexibility to
changing workflows and patterns. DCM handles tacit interactions and static processes to provide 360degree views of cases and significantly optimize business processes. Dynamic Case Management is
either customer- or service-facing and at the same time people, process, and information intensive, with
a need to track cross-functional and decision-intensive processes. The selected response should depend
not only on the immediate triggering event, but also on a complete picture of the relationship with the
customer, supplier, partner or business unit involved.
Examples of dynamic case management solutions:


a patient record, a lawsuit, an insurance claim, or a contract, and the case folder would include
all the documents, data, collaboration artifacts, policies, rules, analytics, and other information
needed to process and manage the case. Human judgment and secure coordination of
knowledge, content, correspondence and resources is required.

ADAPTIVE CASE MANAGEMENT
Adaptive Case Management is necessary for processes that are too dynamic, variable and unstructured
and serves those customers who want to be able to define the processes themselves. ACM assumes
there is no need for complete process maps, but that these will be created on the go, based on the
newly added information. In this way, processes are defined and enhanced in the same way they evolve
in business in response to real world business decisions and requirements. The flows and rules of the
processes can be changed at any time, so that the process can adapt to new business conditions.
ACM is thus a productive system that deploys not only an organization and process structure but
through backend interfaces becomes the system of record for the business data entities and content
involved. All processes are completely transparent as per access authorization and fully auditable.
ACM enables non-technical business users in virtual organizations to seamlessly create/consolidate
unstructured processes from basic predefined business entities, content, social interactions, and
business rules without the need for flowcharting.
ACM moves the process knowledge gathering in the life cycle from the template
analysis/modeling/simulation phase into the process execution. The ACM system collects actionable
knowledge – without intermediate analysis phase – from business users.

ACM best serves processes that are unpredictable in their execution, are driven by unknown events,
need actions with unforeseen consequences or require the ad-hoc inclusion of new actors. They may
use actor knowledge that cannot be encoded in rules and flows or have unknown inbound and
outbound content, they must enable business users to add rules at any time and need secure, auditable
social interactions of actors. Nonetheless, they must assign actor authority based on ‘need-to-know’ and
require complete transparency and auditabilty.
Example of Adaptive Case Management:


investigation of a crime will require following up on various clues, down various paths, which are
not predictable beforehand. There are various tests and procedures to use, but they will be
called only when needed.

The use of a navigation system to get from A to B is a very handy metaphor for ACM, as it defines the
starting point, the end point and the options to achieve the goal. The route can be recalculated at any
time, as opposed to BPM, for example, that would in this case fit the “take the train” metaphor.


FURTHER INSIGHT AND RELATIONSHIPS BETWEEN ECM, BPM,
ACM
BUSINESS PROCESS MANAGEMENT WAVES
Business Process Management (BPM) has received significant recognition for the results delivered in the
past 35 years. When thinking how BPM can help organizations, the most commonly met reasons stated
are to:







Increase efficiency and effectiveness
Improve quality and service
Reduce throughput time
Control costs
Support organizational change
Efficiently leverage existing IT skills and infrastructure

Business process management is now in its third wave of evolution, with a strong focus on assessment,
adaptability and agility, a 24/7 global business and continual transformation. It is applied and needed in
networked organizations and environments that face hyper competition, are market growth driven,
emphasize on process effectiveness on over resource efficiency and organizational effectiveness over
operational efficiency.
The concept of process management was first noted in the industrial age, when specialization of labor,
task productivity and cost reduction were the main objectives. That was mainly happening in the 17501960s in the assembly line businesses, where the engineers were trying to promote mechanization,
standardization and record keeping. The first wave was the one of Process Improvement, in the 1970s –
1980s, when the focus was on quality management, continuous flow and task efficiency. The business
area was the one of multi-industry enterprises, line of business organizations and mergers and
acquisitions. The second wave was the Process Reengineering, in the 1990s, when the focus shifted on
process innovation, “Best Practices”, better, faster and cheaper businesses and the inclusion of Internet
in the business model. Technology-wise, it is now when Enterprise Content Management, Enterprise
Resource Management, Customer Relationship Management and Supply Chain Management Systems
are introduced on the market.


THE 4TH WAVE IS NOW
The responses of a 2009 survey done by Paul Harmon were consistent with lots of other data about why
companies undertake business process management projects. In economically bad times companies
seek to make processes more efficient to save money. In expansive times, companies seek to redesign
processes to make them more competitive, to offer new services, or to get into new lines of business. Or
they acquire companies and have to integrate the processes used at the two different organizations. In
addition, especially during expansive periods, companies look to see if they can gain a competitive
advantage by incorporating a new technology.
Today, firms are stressing the importance of developing organization-wide business process
architectures and performance management systems, while standardizing specific processes throughout
their departments. At the same time, Business Process Management Systems (BPMS), as new software
automation technologies, become more and more acknowledged for their benefits in controlling the
processes and providing performance data for senior management.
In a survey run by Paul Harmon in 2009, 12% of the respondents considered BPM to be a “cost-saving
initiative focused on increasing productivity of specific workflow processes”, while the rest placed BPM
in an organizational context (40% - “A top-down methodology designed to organize, manage and
measure the organization based on the organization’s core processes”) or in a more IT focused light
(16% - “A set of new software technologies that make it easier for IT to manage and measure the
execution of process workflow and process software application”).
Thus, two main directions are involved in a BPM initiative. First, the business context of the process
plays an important role. Secondly, the projects have a strong focus on the information systems to
further support the redesign. As stated by Harmon there are three levels of concerns with the business
process pyramid shown in below.
He makes a distinction between the major process initiatives being undertaken at each of the three
levels, followed by presenting the appropriate methodologies for work at each level. The
implementation level stresses the involvement of IT development, where now business process
management systems (BPMS) have become popular, while the enterprise level focuses on developing
the business process architecture. The connection between the two is made by the intermediate level,
the business process level, where process redesign and improvement projects or Six Sigma and Lean
projects are being run, to give an example.


This is why BPM acts as an excellent awareness creator for companies to understand the possibilities
they have in terms of tools and techniques to use for performance enhancement. Extending a BPM
solution with ECM and Dynamic/Adaptive Case Management depends on the specifics of every
organization. It might be the case that an organization highly depends on its structured processes and is
in no need for adding flexibility. In this case, improving processes with BPM is sufficient and
recommended. It might however be the case that a rather flexible organization is not achieving its full
potential because it does not have a solution capable of delivering the right information to the right
person at the right time.

EXTENDING BPM
Successful businesses can adapt quickly to new events and new information. Their responses can include
new products, changes to marketing materials, or compliance with new industry or government
regulations. They can do this because they've invested in business process management. A tour through
the decision making process of combining a Business Process Management and an Enterprise Content
Management starts with today’s business need of using content across process, rather than restricting it
to the individual applications for which it was created. The organizations need to put content to work for
greater business benefit and a greater return of investment. However, the question arises which are the
ways to integrate their information with business processes. The answer comes from BPM and ECM as a
combined solution to empower and involve business users in the development of process centric
solutions, quickly syndicate information from disparate enterprise and external data sources or tightly
couple process and content capabilities to meet core business requirements for compliance or process
monitoring.


TOWARDS ADAPTIVE CASE MANAGEMENT
Adaptive Case Management adds embedded learning to Case Management and Dynamic Case
Management. Simply put, knowledge of a previous case can be automatically used by people in a later
case or process. ACM adds information completeness to content and to structured BPM processes, so
the fact knowledge/completeness improves for the knowledge worker, making communication to
customers easier, of higher quality, resulting in higher customer satisfaction and loyalty.


ACM is about communication, content and process as ONE.



ACM leaves the automation of the low-value, highly repetitive administration tasks to BPM, but
it provides the platform for the high-value, unique and skill or knowledge intensive customer
service processes. This is where customer loyalty is being created and maintained.



Value added: empowering employees for processes means to make them enjoy what they do by
giving them what they need: autonomy, targets, objectives, expected outcomes, guidance,
social interaction, transparency, and security.

The drivers to include elements of an Adaptive Case Management solution, once an ECM solution is in
place, are:





an increased need to manage the costs and risks of servicing customer requests — like loans,
claims, and benefits; or a greater emphasis on automating and tracking inconsistent "incidents"
that do not follow a well-defined process;
new pressure on government agencies to respond to a higher number of citizen requests;
new demands that regulators, auditors, and litigants place on businesses to respond to external
regulations;
the increased use of collaboration and social media to support unstructured business processes.


Business process management and enterprise content management suites alone are insufficient, but the
convergence of BPM, ECM, business analytics, event processing and communication solutions will
breathe new life into ECM. Lean initiatives to improve business processes will shine a spotlight on both
case management and ECM. These forces will push document-centric ECM suites toward packaged case
management offerings, and this new category of software will emerge as a distinct market.
Combining ACM with ECM and BPM is beneficial because ACM creates a real-world perspective and
transparency on what is actually happening related to our goals, while ECM and BPM focus on
repeatable, structured content –intensive processes.
With just ECM and BPM we lose our connection to what happens outside and a stand-alone ACMsolution will be a nice to have but it will not transform your company. Just ECM and BPM will not
provide a productive, human work environment and stifles innovation. Just ACM will help to organize
ad-hoc and knowledge work, but how would you know what your goals are?


PRINCIPLES AND PRACTICES
Content and process-based change are particularly difficult: executives realize that they needed to
change many things to harness the power of information and processes, but they are unsure about what
exactly needed to be changed, by how much, and when.
Designing new content structures and business processes involves more than rearranging workflows—
who does what tasks, in what locations, in what sequence and with what kind of content. To make new
processes work, companies must redefine jobs more broadly, increase training to support those jobs
and enable decision making by frontline personnel, and redirect reward systems to focus on processes
as well as outcomes.
Enterprises also have to reshape organizational cultures to emphasize teamwork, personal
accountability, and the customer’s importance; redefine roles and responsibilities so that managers
oversee processes instead of activities and develop people rather than supervise them; and realign
information systems so they help cross-functional processes work smoothly rather than simply support
departments.
To address all these issues and challenges, Capgemini offers a solution in terms of an ECM Maturity
Audit Tool that helps the customers better define which are the action points. Moreover the tool helps
our consultants understand the environment of the customer and which solutions will fit best.

ECM MATURITY AUDIT TOOL
The uncertainty is manifest in hesitant decisions and confused planning, in endless debates and
unproductive discussions, in unwarranted complacency and equally unwarranted despair, in errors and
rework, in delays and abandoned efforts.
The ECM Maturity Audit tool is a first step to measure the current performance and to assess if an
organization is ready to support content and process based transformation. It assumes that there are
five solution enablers and four enterprise capabilities. The solution enablers are:






Design: The comprehensiveness of the solution specification.
Executors: The people who execute or benefit from the solution, particularly in terms of their
skills and knowledge.
Management and Ownership: The team that has responsibility for the solution and its results.
Infrastructure: Information and management systems that support the solution.
KPI’s: The measures the company uses to track the solution’s performance.

The Enterprise capabilities are:




Leadership: Senior executives who support the creation of solutions.
Culture: The values of customer focus, teamwork, personal accountability, and a willingness to
change.
Expertise: Skills in, and methodology for, solution improvement.



Governance: Mechanisms for managing complex solutions and change initiatives.

Assessing an organization on these dimensions gives insight into the organizations current situation.
Next, this situation is compared against a fixed framework containing the Solution Enablers and the
Enterprise Capabilities similar to a spider diagram so that a specific set of actions is taken, based on the
categorization. The tool measures the AS-IS situation, as well as the SHOULD BE, or desired situation.
This way, the main improvement areas are identified by the highest distance between the two, on each
scale. For an example, see the image below.

The goal is that once such a spider diagram is obtained from the tool, the main issues are identified and
further addressed in separate sessions. The tool is thus a quick scan into organizational needs and points
of improvement that should then be further addressed to identify possible areas of improvement.


READ MORE ON RELATED CAPGEMINI SOLUTIONS
AGILE
How do you smooth the transition from the dynamic environment in which your organization operates
to effective IT solutions that take into account unexpected changes? How do you reduce time to market
for your products and services? How do you ensure delivery to your customers on time and within
budget?
Read more at http://www.nl.capgemini.com/diensten/technology/agile/overzicht/ .


Paper Dynamic Case Management by Capgemini ECM, Yvo Booisma

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