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Case Management: Managing chaos: unstructured processes and dynamic BPM


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Business Process Management (BPM)
solutions have helped organizations
manage structured business processes
that are clearly documented and
well understood. But organizations
now face the challenge of managing
unstructured or semi-structured
processes that are collaborative,
content-intensive, and subject to
constant change. Case Management around a BPM
solution – preferably in conjunction
with an Enterprise Content
Management system – solves many
of the problems.

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Case Management: Managing chaos: unstructured processes and dynamic BPM

  1. 1. BPM the way we see it Case Management Managing chaos: unstructured processes and dynamic BPM Synopsis The challenge: processes that Organizations increasingly need to are a moving target deal with unstructured processes Business Process Management (BPM) that ordinary Business Process solutions have helped organizations Management (BPM) solutions were manage structured business processes not designed to cope with. Case that are clearly documented and Management is a way to govern and well understood. But organizations control these unstructured processes, now face the challenge of managing but Case Management solutions can unstructured or semi-structured be challenging to develop. Developing processes that are collaborative, Case Management around a BPM content-intensive, and subject toBPM Trends Series solution – preferably in conjunction constant change. These looselyThis paper is one of a series, Capgemini with an Enterprise Content structured processes – sometimes, butBPM Trends, which shares insights into Management system – solves many not always, called “cases” – can varyhow to resolve today’s most pressing of the problems. Companies that according to individual challenges using the latestBusiness Process Management tools and have used this approach are alreadymethodologies. reporting significant benefits.
  2. 2. Cases pose some challenges when it What is a case? comes to automation. For instance, A “case” can be defined as a collection let’s take the example of resolution of of tasks, actions, processes, and credit card disputes. While a credit content in support of a specific card issuer provides a standard form business objective. Cases can involve for initiating the dispute, the activities multiple flows, tasks, and content, required depend on many factors. and sometimes have sub-cases within What is the reason for the dispute? them. Were the goods or services delivered? Were they defective? Was the defect In business terms, cases can be nearly the fault of the manufacturer, the anything: complaint/grievance from shipper, the customer, or some other a customer, an insurance claim, party? Does the dispute concern the feedback from stakeholders, etc. amount of the charge? ...and so forth. A case must be evaluated against organizational policy or procedure to Resolution of the dispute could determine the appropriate outcome. depend on any or all of these factors, each of which typically involves Some common characteristics of a production and review of documents. case are that it is: The credit card company may require • Collaborative – requires the information from the customer; the involvement of multiple users and manufacturer, retailer, or service multiple departments/groups in provider; the shipper; possibly legal an organization counsel, attorneys, or even law • Content-intensive – usually enforcement. The rules involved could contains multiple supporting depend on the customer’s location. documentation attached to it at As the facts unfold, new tasks and various points in the lifecycle documents may be added to the case. • Semi-structured or Thus, most “knowledge work” unstructured – contains ad hoc requires unique processing, and tasks which are added at various processes that can adapt to situations. points Case Management systems have • Hierarchical – multiple levels of emerged to handle these untamed, tasks and actions to be managed unstructured processes which may • Dynamic – requirements change need to dynamically adapt at based on individual circumstance; run time. each case is different Figure 1. Relationship between Case Management, BPM and legacy systems Business Process Management • Unstructured or semi- • Multiple transactional • Structured business structured processes systems processes • Collaborative, • No structured • Clearly documented content-intensive and process management and well-understood subject to constant • Manual processes processes change Legacy systems Case Management Source: Capgemini2
  3. 3. BPM the way we see itA case typically contains one or all of Case Management and its particularly in high-volumethe following: challenges scenarios• Data Case Management is fundamentally • Limited functionality for • Documents a process problem that is more providing consistent and • Data fields challenging to deal with owing to its continuous feedback about a • Content dynamic characteristics. Typically, case to customers and external the process is partially defined in stakeholders• Process advance by the case template, but with • Lack of a consistent way to track • Tasks the flexibility to change at run time and manage cases • Actions for each case. The actual steps and • Lack of tracking and reporting information required to complete each cases poses risks when a litigation• Policies case are determined by a combination is filed against the firm• Status of human judgment, rules, and events. • Regulations pose a compliance• History Most companies face the following risk with some types of cases• Audit trails typical challenges when it comes to • Lack of a consistent way to• Reporting Case Management: manage customer complaints/ • No standard system to manage grievances gives rise to cases across the enterprise dissatisfied customers and • Existing legacy systems are stakeholders, and leads to disparate and limited to specific potential loss of business business groups who need to share the information Many of these problems can be solved • No/limited collaboration between by building a Case Management various groups handling a case solution, and we will discuss some • No/limited enterprise-wide approaches to doing so in the reporting on cases remainder of this paper. • No automatic resolution of cases based on pre-defined business rules – and handling each case manually is expensive • No/limited straight-through processing for cases – again, manual intervention is expensive,Figure 2. Illustration of a case Case attachments Case Internal user Task Sub-case Sub-case External user Task Task Task Supervisor Source: Capgemini 3
  4. 4. Approaches to implementing ERP vendors still need to fill gaps in Case Management handling unstructured processes. To see how best to implement a Case Today, BPM and Enterprise Content Management solution, it is helpful Management (ECM) vendors provide to subdivide the business problems the basis for most Case Management involved. Forrester1 classifies them solutions, and are well positioned to into three broad categories – Service tackle the problem space. Requests, Incident Management, and Investigative. Examples of Service ECM vendors have strong content Requests include on-boarding, loan management capabilities and origination, benefits administration, workflows to handle documents, patient medical records, etc. Examples which can be leveraged in Case of Incident Management include Management. Many cases tend to be product recalls, adverse event reports, content-intensive and this is a major complaint management, etc. Examples plus for ECM vendors building Case of Investigative Case Management Management solutions around their include audit requests and regulatory content management capabilities. queries. BPM vendors have extremely strong workflow features, and can address Among the different types of tools the people-oriented and agile available in the market to handle requirements of a dynamic Case Case Management, CRM vendors Management solution. BPM products support the Service Request area of also have strong collaboration features Case Management. ERP vendors have which enable case workers to tackle the potential to support all areas of complex cases together. BPM tools Case Management including order support the case hierarchy (case/ exception management, purchase sub-case/task), skill-based and ad order anomalies, etc. However, the hoc routing, business rules to enable Figure 3. Case Management categories Government Financial services • Freedom of information • Onboarding • Permitting and client • Loan origination • Customer inquiry response Government proposals • Patent examination • Pitch book and proposals • Permitting • Forensics management • Trade settlement • Benefits administration • RAC • Social welfare benefits applications • Disability claims • Aging and disability services • Immigration applications Financial services • Audit requests • Regulatory queries Investigative Service Healthcare • Credit-card fraud requests • Payer care management • Insurance underwriting • Health payer claims • Mergers and acquisitions • Patient medical records • Provider care management Incident management Government Manufacturing • Homeland security • Product change requests • Disaster relief • Quality management • Police and fire • Adverse-event reports • Vocational rehabilitation • Order-exception management • Complaint management • Product recalls • Asset management documentation Source: Forrester Research, Inc. 1Forrester Research, Inc., Dynamic Case Management: Definitely Not Your Dad’s Old-School Workflow/Imaging System, September 28, 2011.4
  5. 5. BPM the way we see itautomatic case resolution, etc. Hence training effort, and also enables This is necessary because Casethese tools are well positioned to computer telephony integration to Management typically involves admeet most of the needs of a Case save time and effort for the CSRs by hoc processing, and deals with theManagement solution. avoiding re-entry of information. The unpredictable. To support these approach minimizes average call time requirements, the solution shouldA BPM-enabled Case and ensures uniform customer service. allow tasks to be added during caseManagement solution execution, flows to be executed, The content uploaded as part of the extra content to be added, and sub-Putting BPM at the center of Case case can be managed within the BPM cases created. There could be variousManagement system or (often preferably) through channels through which cases areA BPM-enabled Case Management a connector to an ECM system initiated, and the source of a casesolution of the type illustrated in that the organization uses. Which could be either external or internal.figure 4 can provide organizations option is adopted will depend on the The case hierarchy should preservewith a way to manage various types organization’s preference, and also the case/sub-case/task relationships,of cases, and establish a collaborative on the size and volume of the case and provide a central view forenvironment for their users to work content and attachments. The decision management handling a specific case,on and resolve cases. is also driven by compliance needs. bringing together multiple related transactions or multiple related cases.A BPM system incorporating all Systematic yet flexible case For example, when US Airways flightthe business rules and the process handling is achievable 1549 ditched into the Hudson, thatengine should be at the center of With this type of solution, it is one case, the flight’s crash landing,the Case Management solution. The possible to define case templates spawned many sub-cases where thesystem’s customer-facing modules can that guide the overall case resolution passengers were also filing claims.manage interactions with customers workflow, but can be dynamicallyand other external stakeholders. changed or extended by case workersThis allows intelligent scripting and at run time.coaching tips for the customer servicerepresentatives (CSRs) to reduce Figure 4. A BPM-enabled Case Management solution Imaging Customer service Mail Sales Phone/fax/email Internal user Outbound call Case Management system (BPM) Customer Reports Manager Correspondence Email/letter/fax Perfomance Integration services metrics Case Content Management management Source: Capgemini CRM Legacy system system of record system 5
  6. 6. How a BPM-enabled Case various case stakeholders, etc. The Summary of featuresManagement solution is used ability to add actions/tasks to each Features that a BPM-enabled CaseA CSR can create a case using the case allows for the ad hoc nature of Management solution can provideBPM system, and capture all relevant case processing. include:information like case details, customer • Making case information availabledetails, subjects involved, case Each case can be broken down into to knowledge workers in the formdescription, attachments, etc. Once a sub-cases if required, and these sub- of a shared case folder (subject tocase is created, it can be intelligently cases can be assigned to different security and access control rules)routed, based on business rules, to the business groups for processing. The • Managing a library of processescase workers who are best positioned main case acts as the container to that can be added to the existingto resolve them. hold all the sub-cases and provides a cases as required, e.g. referral to a comprehensive view to the interested loss adjuster or fraud departmentThe routing approach allows extensive users. The case is then resolved • Allowing new processes to becollaboration among the various after all necessary actions/tasks are designed and added at runtimecase workers involved; cases can completed and all the sub-cases are where they don’t already existbe accessed through common work resolved. Business rules determine • Managing case information inbaskets. The case workers can update who can resolve a case, according to the form of business documentsthe case information, add actions on case type. rather than structured datathe case, capture all action-related • Allowing ad hoc tasks, such asinformation, upload case attachments, requesting an estimate during agenerate correspondence to the claims process Figure 5. Typical case lifecycle Case lifecycle Customer/external & Customer/external & internal stakeholders internal stakeholders Generate Create case Route case Update case correspondence Route case/SLA/ Upload case Add actions/ Resolve case escalation attachments comments Search case View case Workflow routing SLA/escalation rules Audit trails Monitoring/reporting Source: Capgemini Supervisor/executive management6
  7. 7. BPM the way we see it• Allowing cases to advance BPM solution is that it: is configured largely from existing through external as well as • Enables collaboration between components, results can be obtained internal events – for example, a and among all process much faster and more affordably. customer contact might increase participants, both internal and urgency external to the organization, and This approach does, of course,• Providing a case portal/dashboard records and audits their activity require the organization to marshal that relates similar cases to one in resolving cases adequate skills in both BPM and another • Incorporates a library of processes Case Management. Fortunately,• Allowing for case escalation based that a user can select from and there is now a growing body of on Service Level Agreements add to the existing case when professionals who understand both of (SLAs) required, or alternatively these disciplines. They need to apply • Enables the user to create a their skills to both the technologyConclusion totally new process at run time if implementation and the relatedBPM on its own cannot cope required business change – for example, theywith unstructured processes; must ensure that the users involvedCase Management can, but with Until recently, organizations tended clearly understand what will beconventional approaches it can to shy away from Case Management systematized and what will hard to implement. In order to on the grounds that it was toobuild a Case Management solution, expensive, and so slow that a solution Successful early adopters of BPM-an organization must understand could be obsolete by the time it enabled Case Management arethe differences between traditional was implemented. Building a Case reporting substantial benefits thatworkflow/BPM and the new breed Management solution around a strengthen the business case. Oneof unstructured dynamic process BPM platform overcomes these of our public-sector clients hassolutions. objections, along with a number of seen a 20% increase in employee other earlier difficulties associated productivity, along with greatlyIn our view, what truly differentiates with conventional Case Management. improved visibility and control ofa Case Management solution from a Because a BPM-enabled solution processes via real-time reporting. Case study: Enterprise Case Management solution for handling stakeholders’ concerns Capgemini has supported • Limited collaboration between on Case Management implementation of an enterprise groups handling cases • Managing customer interactions Case Management solution for a • Limited enterprise-wide reporting with the CSRs large pharmacy benefits manager. on prescriber cases The organization has multiple • Lack of visibility of issues until Business benefits from the Case stakeholders: prescribers, patients, external or serious escalation Management solution included: clients, etc. There are specialized Case occurred • Reduced case handling time Management requirements for each • Improved relationship/ individual stakeholder, but many Capgemini’s Case Management communication with customers functions are common and reusable. solution focused on: • Ability to capture and manage Capgemini suggested a best-practice • Establishing one single system to cases created across the approach of building an enterprise handle cases enterprise layer for Case Management, which • Building an enterprise Case • Better tracking of cases holds the reusable functions and Management layer to store • Increased case resolution rate components across the individual the reusable components and • Enterprise-wide reporting on Case Management systems. The common services to access back- cases organization faced the following Case end systems • Improved collaboration between Management challenges: • Building case workflows various groups handling a case • No single system to handle involving automatic routing rules • Removing or reducing redundant cases. Different groups handled • Business rules to drive automatic activities complaints, feedback, and case resolution and improve • Improved automatic resolution grievances from stakeholders in straight-through processing of the cases and more straight- different ways • Reporting to senior management through processing 7
  8. 8. About Capgemini With around 120,000 people own way of working, the Collaborative in 40 countries, Capgemini is Business ExperienceTM, and draws on one of the world’s foremost providers of Rightshore®, its worldwide delivery consulting, technology and outsourcing model. services. The Group reported 2011 global revenues of EUR 9.7 billion. Together Learn more about us at with its clients, Capgemini creates and delivers business and technology solutions that fit their needs and drive the Rightshore® is a trademark belonging results they want. A deeply multicultural to Capgemini Group organization, Capgemini has developed itsThis article has been written jointly by Nicholas Kitson, Ragavendran Ravisanskarand Rajesh Nair Soudamini.Nicholas is Head of BPM of Capgemini’s Financial Services Global Business Unit.He has considerable experience in business transformation through the use oftechnology and has implemented transformational programs for clients in theareas of Customer Relationship Management, Enterprise Content Management(ECM) and Business Process Management solutions. Discuss BPM with Nicholasvia Capgemini’s Expert Connect program.Ragavendran has extensive experience in program management and businessanalysis on global large-scale BPM and Enterprise Content Management projectsinvolving distributed teams. His expertise includes consulting in BPM Strategy,Six Sigma Process Consulting, Enterprise Case Management, IT Strategy &Roadmap, and Agile/Scrum methodologies adoption.Rajesh leads the BPM Practice at Capgemini Financial Services North America.He has more than 15 years’ experience of process re-engineering, BPM, EnterpriseContent Management and Case Management system implementations. Rajeshhas set up and managed BPM and ECM practices for multiple global systemintegrators. Find out more about our approach to Business Process Management and about the BPM Trends Series visit: or email: Copyright© 2012. All rights reserved by Capgemini. 8