Process modelling and definition

Simon A. PerryBrass Bullet Ltd.

‘If you're looking for trouble, you came to the right place’

Elvis Presley

Overview

1. The magic of processes2. Modelling3. The seven views4. Conclusions(5. Case study)

‘Process and procedure are the last hiding place for people who don’t have

the wit or wisdom to do their jobs properly’

David Brent

1. The magic of processes

• Processes are an integral part of life– every time we do anything– the way we do it

• Process describes the approach• Effective processes

– replication rather than copying– perception

• Requires views

Example process

• Different view points– observer/executor

• Traceability– steps involved– evolution of information

• Roles• Why?

– initial requirements

Background

• Who follows processes?– people– organisations

• Process modelling, aka– business process modelling, business

process management, business process re-engineering, operations management, process mapping, process re-alignment

• Modelling techniques may be applied to all of the above

Problems with processes• Too long• Too short• Written by committee• Too many• Unrealistic• Language• Awareness• Fear of failure• Perception

(‘Camelot,Camelot’)‘It’s only a model’

Patsy

2. Modelling

• Modelling helps to combat the ‘three evils’ of life– Complexity– Lack of understanding– Communication problems

• Impossible to eliminate, but essential to minimise

Modelling techniques

• Many techniques exist– flow charts– RACI matrix tables (and variations)– BPML– I-DEF

• Technique we will be looking at is the UML

The UML

• The Unified Modelling Language– visual modelling language – origins in software engineering– open standard modelling– now an ISO standard

• Created in 1997– evolution and consolidation of 120+

techniques and notations

Rationale for UML

• Widespread use• Accepted internationally• ISO 19805• UK government mandate, under eGIF• Intuitive• Extensive use in other aspects of

organisation

Process modelling

• Processes are complex• Different types of process

– very high level (ISO, IEC, BSI)– high level (industry standards, PAS)– medium level (in-house processes)– low level (procedures)– very low level (guidelines, work

instructions)

The process meta-model

• In order to fully specify any process, a number of concepts must be realised

• The process meta-model defines this– the concepts involved– how they may be realised

• Generic meta-model presented here– may be tailored for specific/organisational

use

Concept view

Requirements set

Process validation

Process knowledge

Process

Process model Process document

Stakeholder

Document template

Customer

UserDomain expert Author

Supplier

1..*

Process descriptionsatisfies Section

1..*

is formatted according to

owns

1..* describes

1..*describes purpose of

1..*1..*

organises

1..*

presents stakeholder's view of

Concept view - with groups

Requirements set

Process validation

Process knowledge

Process

Process model Process document

Stakeholder

Document template

Customer

UserDomain expert Author

Supplier

1..*

Process descriptionsatisfies Section

1..*

is formatted according to

owns

1..* describes

1..*describes purpose of

1..*1..*

organises

1..*

presents stakeholder's view of

Source Understanding Presentation

Realisation view

«class diagram»Process content

view

«class diagram»Process structure

view

«sequence diagram»Process instance

view

«use case diagram»Requirements

view

«class diagram»Stakeholder

view

«class diagram»Information

view

«activity diagram»Process

behaviour view

Process description Process validation

1..*

«use case»Requirement

«actor»Stakeholder

1..*1..*

«class»Process

«operation»Activity

«attribute»Artefact

1..*

1..*1..*

1..*

satisfies

1..* produces/consumes

1..*

definesstructure of

definesbehaviour of

«object»Artefact

«swim lane»Stakeholder

«activity invocation»Activity

1..*

1..* 1..*

«life line»Process

1..*

1..*

«class»Stakeholder

«class»Artefact

1..*

1..*1..*

1..* 1..*

1..*

Requirements set satisfies

* validates

*

validates

‘Da dah, da da da dah, da da da da da-da-da-da, da da da-da-da-da- DAH-DAH’

The Magnificent Seven

3. The seven views• The process meta-model comprises

seven inter-related views– Any language/notation may be used that is

able to realise the seven views– each may be realised using a small subset

of UML diagrams• Provides basis for analysis and

discussion• Consistency may be defined :

– UML + consistency = model– UML - consistency = pictures– Consistency = confidence

Presenting the seven views

• The views are presented here with examples from a process model

• Aim of example is to – identify complexity– promote understanding of meta-model– promote understanding of modelling– promote discussion within group– promote discussion with customer

The requirements view

• Specifies overall aims of process– possible to have more than one view– specified by stakeholder or groups

• Essential for validation– changes in related process models– changes in business

• Requirements need to be checked periodically

Example requirements viewInvoicing context

Raise invoice

Ensure payment

Monitor invoiceEnsure timliness

Maintainaccountancy

records

Deliver invoice

Check

«includes»

«includes»

«includes»

«includes»«constrains»

«constrains»

Administrator

Initiator

Director

Process structure view

• Specifies– structure of concepts– terminology used

• Forms basis for process mapping• May relate to other issues

– life cycle management• Identifies high-level conceptual

problems

Example process structure view

Process model

Process group

Process

Artefact

Activity

Role

4

1..*

1..*

1..*1..*

1..*is responsible for

1..*produces/consumes

Process content view

• Identifies actual processes in each group– shows activities– shows artefacts

• May show general associations• May show dependencies

A single process

define outcomes()identify attendees()invite()set environment()greet()execute meeting()close meeting()record minutes()reset environment()

MinutesOutcome infoInvitationAgendaOutcome

Meeting logistics

The ‘Enterprise’ processEnterprise

Process

1..*

define outcomes()identify attendees()invite()set environment()greet()execute meeting()close meeting()record minutes()reset environment()

MinutesOutcome infoInvitationAgendaOutcome

Meeting logistics

save source()perform high-level review()assess feasibility()update statistics()create directory()create entry()apply for ITT()receive ITT()write tender()review()distribute documents()collate documents()

Tender informationTender application Personnel

calculate figures()print ()authorise()deliver()check()secondary check()confirm payment()close invoice()

InvoiceDateInvoice numberAmountVAT rateVAT amountTotalToAddressPO numberRaised byApproved by

Customer invoice

Stakeholder view

• Identifies stakeholder roles within – organisation– project– system

• Presents stakeholders in a classification hierarchy– additional relationships may be added

Example stakeholder view

Stakeholder

Customer

External

Supplier

Technical Administration

Management

Standard Legal

User

Operator

Sponsor

The process behaviour view

• Shows how an individual process behaves– order of activities– information flow– responsibilities

• Applies to any process with activity• Often defined at procedure level

Process behaviour view -‘Meeting logistics’

Administrator Chair Secretary

define outcomes

identify attendees invite respond

Attendee

cancel

confirmset environment

greet

execute meeting record minutes

close meetingreset environment

:Outcome info

:Agenda:Invitation[1..*]

:Outcome :Minutes

The information view

• Identifies– all artefacts– relationships between them

• May be at high or low level– detailed structure and content of individual

artefacts– traceability trails

Information view - high level

Course set-upspecification

Invoice

Work order

1..*

provides detail for

1..*defines detail for

Accounts record

1..*

feeds into

Process instance view

• Shows instances of processes and stakeholders

• Forms basis for validation• Relates process execution back to

requirements

Example process instance view

:Customer invoice :Course delivery:Project initiation :Course set-up:Initiator

Practical uses• Process capture (tacit, documented,

etc)• Process analysis (optimisation,

improvement, verification, validation, etc)

• Process definition (documentation, automation, etc)

• Process mapping (compliance, assessments, audits, etc)Most other process-related buzz words

Mapping between standards• Structural high-level mapping can be

performed with models• Detailed modelling captured with tables• Metrics may be applied• Mapping between multiple standards

possible• Creation of ‘interface process’ is very

powerful

‘And now, the end is near’

Frank Sinatra

4. Conclusions

• Processes are prevalent• Processes exhibit the three evils• Processes may be modelled• Confidence in process is essential

More information

• ‘A pragmatic guide to business process modelling’, Jon Holt, BCS Publishing

• ‘UML for systems engineering –watching the wheels’, Jon Holt, IET publishing

www.brass-bullet.co.uksimon.perry@brass-bullet.co.uk

5. Case study

• Case study is based on several sources– Standards– Real process model– All diagrams are real

• Used as an example and basis for exercises

• Comparisons/mappings made

Example process model

• Case study is based on real-life organisations– Names have been removed– All diagrams are ‘real’

• Model used as a basis for discussion

PSV - Process structure view

PSV – extended to show groups

Process model

Process group

Process

Artefact

Activity

Role

4

1..*

1..*

1..*1..*

Project

Enterprise Agreement

Technical

1..*

is responsible for1..*

produces/consumes

PSV – extended to show life cycle phases

Process model

Process group

Process

Artefact

Activity

Role

Life cycle

Phase

Conception

Development

Operations

Transition

Construction

Iteration

4

1..*

1..*

1..*1..*

Retirement

61..*

1..*is responsible for

1..*produces/consumes

1..*

is executed during

PSV – cause for concern?

Process model

Process group

4

Process

1..*

Sub processLeaf process

Activity

Artefact Role

1..*

1..*1..*

1..*1..*produces/consumes

1..*

is responsible for

PSV – definite cause for concern

PSV - Further breakdown of process groups

Process group

Enterprise Agreement

Project Technical

Management Support

PCV – focus on ‘Enterprise’Enterprise

Process

1..*

define outcomes()identify attendees()invite()set environment()greet()execute meeting()close meeting()record minutes()reset environment()

MinutesOutcome infoInvitationAgendaOutcome

Meeting logistics

save source()perform high-level review()assess feasibility()update statistics()create directory()create entry()apply for ITT()receive ITT()write tender()review()distribute documents()collate documents()

Tender informationTender application Personnel

calculate figures()print ()authorize()deliver()check()secondary check()confirm payment()close invoice()

InvoiceDateInvoice numberAmountVAT rateVAT amountTotalToAddressPO numberRaised byApproved by

Customer invoice

PCV – focus on ‘Personnel’

PCV – focus on ‘Technical’‘Training’

PCV – focus on ‘Technical’‘Product development’

SV - Generic stakeholder view

SV – Focus on ‘Customer’

SV – Focus on ‘Supplier’Stakeholder

Customer External Supplier

Administrator

Tutor

Initiator

Organizer

Technical

Analyst

Designer

Tester

ImplementerRequirements

engineer

Installer

DirectorDevelopment

Training

Demonstrator

Management

Project manager

SV – responsibility chains

SV – competencies

RV – ‘Invoicing’ process

IV – Information view

IV – multiple copies

IV - traceability

PIV – process instance view

PIV – invoicing for training

PIV – inclusion of stakeholders

PBV – process behaviour view

calculate figures

print authorize

deliver

[not OK]

[OK]

check

secondary check confirm payment

close invoice[paid]

[not paid]

Administrator Director

Raise invoice

:Amount:VAT rate

:Total:VAT amount

:Invoice

:Invoice

:Date

:Date

Modelling standards• Process must be able to be demonstrated to

comply with:– Standards– Best practice– In-house sources

• Example using several standards– Technical mapping – ISO 15288 & ISO 15504– Management mapping – PRINCE II

IV – partial process quagmire

PSV – high-level structural mapping

PSV – mapping between groups

PCV – process mapping

Agreement

Process

establish plan()prepare request for service()select supplier()evaluate proposal()negitiate agreement()monitor agreement()confirm compliance()

Identified supplierJustificationAgreementSystemPayment

Acquisition

evaluate request()prepare response()negotiate agreement()execute()monitor execution()

Identified acquirerResponse to acquirerAgreementSystemResponsibilityPayment

Supply

2

(ISO 15288)

negotiate contract()develop system()deliver & install()prepare response()identify delivery req's()

ResponseContractSystemDelivery statement

Supply

Acquisition

Requirementselicitation

Operation

Operationaluse

Customersupport

identify need()define requirements()prepare strategy()define acceptance()

Customer needCustomer req'sAcquisition strategyAcceptance criteria

Acquisition preparation

define acquisition req's()select supplier()prepare & negotiate contract()

Acquisition req'sSupplierContract

Supplier selection

evaluate delivered product()accept delivered product()

Acceptance criteriaEvaluation strategyEvaluation result

Customer acceptance

provide supplier feedback()review development()

Activity listProgressPerformance

Supplier monitoring

(ISO 15504)

Process

Customer/supplier

8

PSV – life cycle mapping

PSV – focus on ‘component’