Preface xv
PART I
Background, Principles, Overview 1
CHAPTER 1
Business Processes—More Important Than Ever 3
Fosdick’s Thesis 3
And Now? 4
The Need for Practical Guidance 5
Building Methods to Meet the Need 8
What to Expect 9
Who Are “You”? 9
References 10
CHAPTER 2
A Brief History—How the Enterprise Came to Be Process Oriented 13
Learning from the Past 13
The Multiskilled Craftsworker 14
The Advent of the Specialist 15
The Rise of Functional Specialties 16
Function and Organization—What’s the Difference? 17
Losing the Process in the Functions 17
Enter Reengineering: 1990–1993 19
Exit Reengineering: 1994–1995 20
The Wonder Years: 1996–2000 21
Business Process Rides Again!: 2000–Present 22
From Fad to Business as Usual 23
Process-Oriented Products 24
Process Frameworks 24
Less Polarization 25
A Predictable Complaint 26
Process Orientation—The Best of All Worlds? 28
References 28
v
CHAPTER 3
Business Processes—What Are They, Anyway? 31
The Trouble with “Process”—Why We Need a Clear Definition 31
No Definitions, but Lots of Opinions 31
Is “Business Process” an Arbitrary Concept? 32
Does It Matter? 32
Trouble Controlling Scope and Producing Useful Deliverables 33 Problems Caused by Improperly Defined Processes 34 Your Scope Will Often Be Smaller Than a Business Process 35
Hasn’t This Problem Been Solved Already? 36
What Do Books in the “Business Process” Field Say? 36
What Does the Dictionary Say? 37
What Do Information Systems Dictionaries Say? 37
So What, Finally, Is a Business Process? 38
The Approach We’ll Take 39
Defining “Process” in General 39
Defining Business Process in Particular 46
A Test for Business Processes Boundaries 49
Applying the Guideline 53
So What? 55
Is Everything a Process? 55
Can All Processes Be Modeled? 56
Summary 56
Criteria for Business Processes 56
Other Business Process Characteristics 59
Measurable 59
Automation 59
Levels of Detail 60
Customers: Internal and External 60
Closing Advice 61
Processes Are Hidden 62
They’re Bigger Than You Think 62
Hidden Issues 63
What’s Next? 64
References 64
CHAPTER 4
The Approach in a Nutshell 65
This Chapter and Beyond… 65
Why It Works 66
Whom It’s For 67
Processes—Results, Not Work 67
Frameworks in General 68
A Framework for Process Enablers 69
A Framework for Putting Processes and Systems in Context 72 One Person’s Mission Is Another Person’s Objective 72
Expanding the Framework 73
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A Closer Look at the Three-Tier Architecture 74
Presentation Services 74
Business Services 75
Data Management 76
Models in General 76
The Modeling Techniques We Employ 77
Business Process: Process Workflow Models 77
Presentation Services: Use Cases and Use Case Scenarios 81 Business Services: Service Specification and Supporting Techniques 82
Data Management: Data Models 82
Five-Tier Thinking 82
A Workflow-Driven Methodology—The Process of Studying Processes 83 Establish Process Context, Scope, and Goals 84
Understand the As-Is Process 85
Design the To-Be Process 85
After the Three-Phase Method 87
Applications of the Approach 88
PART II
Phase 1: Establish Process Context, Scope, and Goals 91
CHAPTER 5
Discover Business Processes 93
Process Discovery—What, Why, and How 93
The Goal: An Overall Process Map 95
The Approach 97
Questions You’ll Probably Have 99
Step 1: Get Started 101
Gathering Background Information 101
Meeting with the Sponsor 105
Step 2: Conduct Pre-Session Interviews 110
Step 3: Prepare for First Session 114
Step 4: Initiate First Session 118
Step 5: Analyze Terms and Find the Nouns 123
Step 6: Identify Activities 127
Step 7: Link the Activities and Determine Business Processes 129
Naming the Business Processes 132
Choose the First Process Project 133
Divine Intervention 134
Analytic Approach 135
References 136
CHAPTER 6
Establish Process Scope and Contents 137
Goals 137
Overview 137
How Specifically Do Scope and Contents Help? 139
Step 1: Identify Triggering Event(s) 139 Step 2: Identify Result for Each Stakeholder 142
Step 3: Identify Subprocesses 146
Step 4: Identify Cases 147
Step 5: Identify Participating Organizations 149 Step 6: Identify Individual Actors and Main Responsibilities 149
Step 7: Identify Supporting Mechanisms 149
Step 8: Identify Process Measures (Optional) 150
CHAPTER 7
Conduct Initial As-Is Process Assessment 151
Establishing Rationale and Direction 151
The Process Case for Action and Process Vision 153 Why Bother? Doesn’t Everyone Know This Already? 153
The Case for Action 154
Step 1: Stakeholder Assessment 154
Step 2: Context 155
Step 3: Consequences of Inaction 156
A Note on the Simplified Framework 156
The Vision 157
An Example 158
A Closer Look at Assessment by Stakeholder 159
Everyone’s a Critic… 159
Don’t Guess—Ask! 160
The Customer 161
The Performers 163
Owners and Managers 164
Suppliers 165
Other Groups 165
Process Differentiator 166
What Is a Differentiator, Improvement Dimension, or
Strategic Discipline? 166
A Common Misconception 168
Differentiators in Action 169
The Relevance of the Concept 170
Faster, Cheaper, Better, or What? 172
Common Questions 173
Look at the Process in Terms of Enablers 174
Workflow Design 175
Information Systems 176
Motivation and Measurement 178
Human Resources 179
Policies and Rules 181
Facilities 182
All Enablers Matter 182
The Environment in Which the Process Operates 182
An Example 183
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Topics in “the Environment” 184
Beliefs, Culture, and Management Style 185
Everything Stems from Beliefs 186
Other Cultural Traits 186
Core Competencies 188
What Are We Really Good At? 188
Measures 189
How Many? 190
Got the Time? 190
Who’s Involved? 192
Efficiency 192
Cost 193
Summary of Measures 193
Potential Improvements 194
One Poster Is Worth a Thousand Words 195
Summarizing Findings 195
It Matters! 195
References 197
PART III
Phase 2: Understand the As-Is Process 199
CHAPTER 8
Process Workflow Models: The Essentials 201
Overview 201
The Real Purpose of This Section 201
The Practical Side 201
Swimlane Diagrams—What and Why 202
What’s the Attraction? 202
What Are They? 202
Example 1: The Essence of Workflow Modeling 205
Example 2: Getting to the Essence Without Diving into Detail 205
Question 1: “Who Gets the Work Next?” 207
Question 2: “How Does It Get There?” 209
Question 3: “Who Really Gets the Work Next?” 210
What Did We Learn from This Example? 211
Example 3: “How Do I Depict…?” 213
Customer Service… 213
Repair Service… 214
Service Analysis… 214
Telemarketing… 214
Market Database Research… 215
RB Tel—Questions Raised 215
Essential Elements of a Swimlane Diagram 216
The Details 216
Actors and Roles 216
Steps and Decisions 219
Flow 223
What’s Next? 231
CHAPTER 9
Process Workflow Models—Managing Progressive Detail 233
The Curse of Detail 233
What’s the Problem? 233
Achieving a Controlled Descent 234
Three Levels of Workflow Diagrams 234
Level 1: The Handoff Diagram 235
Issues and Observations with the Handoff Diagram 237
Recap 239
Level 2: The Service Diagram 240
Level 3: The Task Diagram 243
Closing Thoughts 244
CHAPTER 10
Process Workflow Models—The Finer Points 245
Introduction 245
Actors and Other Characters 245
Every Actor? Really? 246
Jobs, Roles, and Committees 247
Systems as Actors 248
Passive Actors 252
Processes as Actors 254
Steps and Types of Steps 255
What Makes It Go? Flow! 255
Dealing with Complexity 258
Flowing On 261
CHAPTER 11
Develop As-Is Process Workflow Model 263
Introduction 263
Dealing with Resistance to As-Is Modeling 265
Assembling the Team 267
Management and Front-Line Participants? 267
Front-Line Workers or Representatives? 268
IT and Other Supporting Players? 268
External Participants 269
Preparing for the Modeling Session 269
Scheduling 269
The Kickoff 273
Approach 273
Question 1: What Are We Doing? 274
Question 2: Which Process Are We Modeling? 275
Building the Handoff-Level Diagram 275
The Mechanics and the Methods 275
x Contents
Option 1—Trace the Flow (The Three Questions Approach) 276 Option 2—Bottom Up (Gather Activities, Then Assemble) 280 Refining the Initial Model—The Five Key Questions 281
“Can We Stop Now?” 284
Producing the Service Diagram 288
Issues During As-Is Modeling 290
Misapplying Workflow Modeling 290
Modeling Different Versions of the Same Process 292
Inability to Model a Particular Situation 293
Facilitation Issues 294
Dealing with Disagreement 296
Conclusion 297
PART IV
Phase 3: Design the To-Be Process 299
CHAPTER 12
Conduct Final As-Is Process Assessment 301
Introduction 301
Getting Ready 303
Confirm Initial Assessment and Goals 303
Capture First Impressions 304
Identify Leverage Points 304
Assessment by Enablers 306
Workflow Design 307
Information Systems 309
Motivation and Measurement 310
Human Resources 314
Policies and Rules 317
Facilities 317
Other Factors 318
Assess Individual Steps 319
Consolidate Improvement Ideas 320
Decide on Approach 320
References 321
CHAPTER 13
Determine To-Be Process Characteristics and Workflow 323
Look Before You Leap! 323
Goals 324
Philosophy/Approach 324
Post and Review Key Materials from Previous Phases 326
Collect Ideas—Getting Started 327
Build on Ideas Generated During Assessment 327
Generate Ideas That Specifically Address the “Leverage Points” 328
Steal Ideas by Reviewing “Best Practices” 328
“Best Practices” in General 328
Workflow Design 329
Information Systems 330
Motivation and Measurement (“Reward and Punishment” Schemes) 331
Human Resources 332
Policies and Rules 333
Facilities Design (or Other Factors) 334
Brainstorming Additional Suggestions 334
Apply the Challenge Process 335
Assess Ideas in Context and Select 337
Develop Ideal To-Be Workflow 340
Develop To-Be Workflow 343
Road Trip 344
References 347
PART V
Related Requirements Definition Techniques 349
CHAPTER 14
Business-Oriented Data Modeling 351
Data Modeling—What It Is, What It Isn’t 351
Basic Terms and Concepts 352
A Simple Example 353
The Narrative Component—the Entity Definitions 353 The Graphic Component—the Entity-Relationship Diagram 355
Levels of Detail 359
Contextual Data Model 362
Conceptual Data Model 362
Logical Data Model 363
The Components—Further Guidelines and Pitfalls 363
Entities 364
Attributes 366
Relationships 367
Starting Your Data Model 369
Starting Covertly 369
Starting Overtly 370
Starting by Reverse Engineering 372
From Conceptual to Logical 373
References 373
CHAPTER 15
Requirements Modeling with Use Cases and Services 375 From Workflow to Information System Requirements 375
A Time of Transition 375
Transition into Use Cases 376
Separation into Business Services and Use Cases 376
A Quick Example 380
Business Services—Why? 384
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Disclaimer and Direction 387
The Approach and How It’s Different 387
Business Services in General 390
Services and Events—A Point of Confusion 390
Business Services and Business Events 391
What Is an Event? 391
Types of Events 392
Services—Granularity 393
A Few More Guidelines 394
Want More? 395
Use Case Concepts 395
Use Cases in General 395
Extensions and Scenarios 396
The Methodology 397
Seven Steps to Success 397
Using Facilitated Sessions 398
Step 1: Identify Services (Scope) and Complete Initial Service
Specifications (Concept) 399
Choose Your Primary Approach 399
Brainstorm for Events or Services 400
Refine the List of Events or Services 401
Finalize the Scope-Level List of Services 402
Describe Business Services 403
Confirm Business Services 404
Step 2: Identify Use Cases (Scope) and Complete Initial Use Case
Descriptions (Concept) 404
Discover Use Cases 404
Describe the Use Cases 406
Step 3: Complete Final Service Specifications (Detail) 409 Step 4: Begin Final Use Case Descriptions (First Pass at Detail) 412
Create Use Case Dialogues 412
Step 5: Refine Final Use Case Descriptions (Final Pass at Detail) 415 Step 6: Identify and Describe Use Case Scenarios (Conditions and Outcomes) 418
Establish Use Case Scenarios 419
Step 7: Complete Use Case Scenario Descriptions (Dialogues); Refine
Use Cases As Necessary 420
Closing Thoughts 420
More Uses of Use Cases 420
But Why Do They Work So Well? 422
Reference 422
Appendix 423
About the Authors 435
Index 437
