joern.franke

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We introduce in this blog series the concept of Case Management Process Modeling (CMPM) - An emerging concept complementary to existing Business Process Management (BPM) concepts. My previous blog entries dealt with the Case Management Process Modeling (CMPM) – An Introduction and Case Management Process Modeling (CMPM) – What Constitutes a Case? of case management. In this third blog entry, we explain concepts for case management systems. Furthermore, we explore the inter-organizational dimension of the case management paradigm. We do not refer to any specific system, but describe potential system components. They can be relevant in the future, but it is not guaranteed that they will be available in any product. This blog entry is relevant for enterprise architects, product managers, researchers and developers.

Motivation

BPM or workflow systems exist since over three decades in research and industry.  Although still evolving, we have a good understanding on how to design and implement them. We briefly present here the requirements and solutions for case management systems, where we can leverage existing BPM capabilities, but also need to build up on new technology.

User Interfaces

An often overlooked, but very important aspect of case management is the User Interface (UI). I wrote in my previous blog entries that case management is about dynamically evolving processes centered around business assets. This implies a high collaboration between case workers that need to creatively work with processes involving data from various sources. Thus, they need to link dynamically applications and data to work on cases. Traditional UI technologies do not support this very well. New open web-based technologies and standards address this issue. I identified the following relevant standards for case management:

  • HTML5/Javascript: These standards are the foundations for a user interface for case management. They are useful for describing dynamically evolving documents, such as cases. An appropriate framework, such as jQuery, Google Web Toolkit (GWT) or Dojo, needs to be chosen to provide access to the capabilities of modern web browsers on mobile and desktop devices. The eXtensible Markup Language (XML) is the foundation for any document processed by a case management system. JSON can be used for lightweight communication between user interface and different servers. Nevertheless, there is still a need for sophisticated software engineering tools for HTML5/Javascript, so that we can develop sustainable and mantainable software.
  • Open Social Gadgets / Mashups: A case management system supports the case workers to generate, compose, analyze and distribute any information to other case workers and stakeholders. This can be done as follows:
    • Description of data:  As mentioned before, documents can be described using XML. More structured data and relations between data objects should leverage the capabilities of the linked data paradigm. Streaming data, such as stock market quotes, can be described using RSS feeds.
    • Visualization of data: Any data processed by the case worker requires a proper visualization, so that it can be useful for others. This visualization needs to be interactive, so that everyone can quickly analyze it. Interactive Scalable Vector Graphics based on Javascript seem to be very suitable for this task.
    • Sharing data: Once the case worker has produced, analyzed, composed  and visualized data, it need to be shared with other case workers and stakeholders. This should take into account his social network consisting of colleagues, friends and customers. The open social standard facilitates this.
  • Web Intents / Web Activities: New application functionality in the case management system can be composed by more advanced case workers using the aforementioned standards. They do not need to care about where other case workers work on a case (e.g. mobile, tablet or notebook). It is just necessary to articulate what needs to be done and depending on the device different available applications are connected to perform a complex task.
  • Web sockets: As mentioned, case management is highly collaborative and also requires collaboration in real-time. This requires a lightweight, but permanent connection with a web server from the browser. This is supported by the Web socket standard.

Some of these standards are currently under development. However, case management requires open standards that support the case workers to do the case work in a flexible and creative way. If it is not based on open standards then case workers cannot share their work with others. Furthermore, tool support for these standards seems to improve rapidly.

UI technology is the interface to case management systems that provide the functionality as well as processing capabilities for managing cases.

Case Management Systems

A case management system needs to support dynamic evolving processes (e.g. [3]), rule engines and integration of various application systems and data sources. Case management systems can contain the following components:

  • The case management engine supports the stakeholder of a case to manage it. This includes definition, execution and monitoring of cases. Obviously, it should support a common standard for enabling case management. For example, the Case Management Process Modeling (CMPM) – An Introduction by the Object Management Group (OMG). The engine mainly has the following tasks:  
    • Support execution of a case and the Case Management Process Modeling (CMPM) – What Constitutes a Case?:
      • Ensuring correctness of the model containing business assets, activities, rules and their relations
      • Activities executed by humans and systems processing case artifacts
      • Detect violation of rules and highlight them to the users, so they can be aware of issues to solve them
      • Discovering, sharing, analyzing, composing and generating knowledge
    • Monitoring and audit functionality
    • The people management component does not assign tasks to the people, but may recommend activities, business assets or data to them based on role, content, skills, social network or previous case executions
    • Provide persistency functionality for any case artifact, such as business assets, rule, activities, people, or data objects
  • The Case Library (CL) can be compared with a Business Process Library (BPL). The CL is used and updated by every stakeholder in case management, such as case worker, case designer or case owner. It provides the users standardized case knowledge (e.g. data and assets) and logic (e.g. rules and activities). It contains content from
    • external sources: this can be reference models of various domains (e.g. supply chain management or retail) from other organizations, such as COBIT, ITIL, Retail-H, SCOR or the Making the Case for Humanitarian Supply Chain Management reference model
    • internal sources: these sources support learning from previous executions of cases to improve them. This requires appropriate means to leverage tacit expert knowledge
  • Collaboration aspects are very important for case management. It is thus mandatory to share and discover knowledge (data and logic) inside cases with other users.  Furthermore, state of the art technology should support real-time collaboration (cf. Apache Wave or SAP Streamwork) on any Case Management Process Modeling (CMPM) – What Constitutes a Case? (e.g. data, documents, rules or activities) of the case
  • Standard application integration technologies should be supported, such as REST, SOAP, WSDL, UDDI, UDSL, J2EE or BPEL to integrate any relevant backend, cloud or legacy application in the case

Inter-organizational Case Management Systems

In times of globalization, different organizations need to work together. In order to work together, they need to be able to share parts of a case with other organizations. Clearly, they won’t share everything due to privacy, regulatory or strategic reasons. This means also that selected case content (e.g. data, documents, rules or activities) is replicated in different systems of different organizations. The replication process can be governed by policies, but needs to take into the account the particularities of distributed systems. Furthermore, a replicated object may exist in different case contexts. For example, a business asset “Invoice” exists in the case context of a “supplier” and a “manufactures”, but is subject to different rules or activities. This requires new case management engines to deal with replicated evolving processes (cf. [3]) and data. We illustrate this in the following figure.

 Inter-organizational case management

This is not only a technical challenge, but also a business challenge [4]. People from different organizations need to collaborate on a case.  This requires training, but also appropriate means to bring them on the same page (e.g. common workshops). Clear governance processes as well as accountability and responsibility for various aspects need to be defined, such as risks, data, systems and processes. Furthermore, a case library can help people to understand each other’s processes. The lessons learnt in the field of Enterprise Architecture will be very useful to establish successful case management systems.

Conclusion

We presented in this blog entry inter-organizational system concepts for case management. On the UI level, we can leverage existing open web technologies. On the system level, we can leverage existing integration technologies. A case management system should support further real-time collaboration capabilities. The case management library is an important component for improving and securing comparative advantages by leveraging internal and external sources for organizational learning. However, new execution engines need to be developed to support case management. Finally, we explained that there are technical challenges (e.g. replication of case data in the systems of different organizations) as well as business challenges (e.g. governance) on the inter-organizational level, where different organizations work on some aspects of a case together.  

What is next?
In the next blog entry, I will describe research challenges for case management.  This is relevant for researchers, solution architects and developers.

Acknowledgements

This work results from the collaboration between SAP Research and the SCORE group at LORIA-INRIA-CNRS of the Université de Lorraine,  Nancy, France.

Disclaimer

Please note that we only describe potential system functionality that may be relevant in the future - these functionalities may never be implemented or available. 

References/Further Reading

 [1] Olding, E. & Rozwell, C., Expand Your BPM Horizons by Exploring Unstructured Processes, G00172387, Gartner, 2009                

[2] K. Bhattacharya, N. S. Caswell, S. Kumaran, A. Nigam, and F.Y. Wu. "Artifact-centered operational modeling: Lessons from customer engagements." IBM Systems Journal, 46(4):703- 721, 2007

[3] Franke, Jörn: Coordination of Distributed Activities in Dynamic Situations. The Case of Inter-organizational Crisis Management, PhD Thesis (Computer Science), to be published, LORIA-INRIA-CNRS, Université de Nancy/Université Henri Poincaré, France, 2011.

[4] Forrester/IBM: The Next Generation of Knowledge Workers Processes Will Dominate Enterprises, October 2010.

We introduce in this blog series the concept of Case Management Process Modeling (CMPM) - An emerging concept complementary to existing Business Process Management (BPM) concepts. In this second blog entry, we explain modeling aspects of a case that could be interesting for the currently developed standard for CMPM by the Object Management Group (OMG). This blog entry is relevant for enterprise architects, product managers and business analysts.

Goals of Case Management – Recap

I wrote in a Case Management Process Modeling (CMPM) – An Introduction that case management is focusing on dynamic evolving processes for managing critical business assets. It is thus fundamentally different from operational business processes modeled in the business process modeling notation (BPMN) and managed by workflow systems. Case management is complementary to business processes and requires new models as well as systems to support it. Examples for cases are insurance cases, healthcare cases or cases related to public services (e.g. crime investigations). Clearly, all those cases are of highly collaborative nature.

Stakeholders of Case Management

We illustrate in the following figure some typical stakeholders involved in case management.

Stakeholders of Case Management

These stakeholders seem to be similar to the ones involved in BPM. However, in case management, they need to collaborate much more to align their goals according to the evolving dynamic process.  We distinguish the following roles:

  • Case Designer: The case designer is the creative business analyst describing and modifying cases according to business needs. This role allows the case workers to work freely on a case as they think it is the best way - given only few constraints (e.g. regulations). He has to align the case with enterprise-business rules defined by the global business rule designer.
  • Case Worker: The case worker works on the case and manages the evolution of processes related to the case based on his/her experience. He reports to the case owner. Several case workers can work on the same case and thus they need to collaborate with each other mediated via the case. This type of collaboration offers much more freedom than enforced collaboration by a business process management system.
  • Case Owner: The case owner manages the relationships between different types of cases and the people related to these cases. He ensures that cases generate the maximum business value taking into account risks and opportunities.
  • Global Business Rule Designer:  The global business rules designer describes rules according to enterprise wide goals and regulations. This role has a more global and strategic perspective independent of specific cases. He works together with the case designers and case owner to continuous align global and local perspectives as well as perspectives of external stakeholders (e.g. shareholders or governmental organizations).

After having understood the stakeholder of case management, we describe in the following paragraph some guidelines for modeling cases, so that the different stakeholders can align their efforts more effectively and efficiently.

Modeling Guidelines

Every effort to map enterprise operations requires a consistent way to model them.  This ensures good information quality as well as process quality. The Guidelines of Business Process Modeling (GOM) support this from a business perspective [4]. There are six fundamental guidelines:

  • Economic Efficiency: This guideline affects all the other guidelines. Case management should only be used where appropriate and where it provides adequate cost-benefit ratio. Many processes in companies are dynamic and evolve in an unstructured manner, but not every one of them should be management by a case management system.
  • Correctness:  This guideline refers to syntactical and semantic correctness. A model should be syntactical correct according to the case management modeling language (see also the Case Management Process Modeling (CMPM) – An Introduction). Semantical correctness means that the static and dynamic aspects of the real world are correctly articulated in the case by the case designer and case worker.  Case management can help here to some extent, because it allows evolving processes to anticipate and react to changes in the environment.
  • Relevance: Cases should not cover every aspect of a case, but only relevant aspects. An element in a case is irrelevant if it is not utilized by the case worker. Keep in mind that cases contain evolving processes for managing business assets, so new elements may become relevant and old elements may become irrelevant over time.
  • Clarity: A case needs to be understood not only by the case designer, but also by case workers. It should be clear to every relevant stakeholder what has been done in a case, what is currently going on and what can be the next steps. We will see later that this is not always given, when considering current technology.
  • Comparability: This means a company should use the same guidelines for all cases across the enterprise. Otherwise we cannot compare, for instance, the execution of different cases from a cost-benefit perspective.
  • Systematic Design: The different perspectives on a case (e.g. business assets, data, rules, activities or people) should be aligned with each other not only in the case management system, but also in any other system integrated with case management (e.g. records management or enterprise resource planning)

It is crucial for case management to establish these guidelines throughout the organization, because the process can be influenced by different stakeholders and this should not lead to inconsistencies or ambiguities. Some of these guidelines can be supported by adequate case management information system support.

Of course, these guidelines need to be operationalized differently depending on your organization and what you want to achieve with case management. Keeping this in mind, we can now focus on the modeling elements in a case.

What could be Modeled in a Case?

We identified several modeling elements from our experience as well as research literature (e.g. [3,5-6]). A case has a lifecycle and is a container for the following elements:

  • Business assets and their lifecycle
  • Activities and their lifecycle
  • Case Rules
  • Data
  • People

We explain these elements now in more detail.

Case

A case is a container for any other element relevant to it. It has a lifecycle describing the different states of a case. Of course, a case can only be in one of the states of the lifecycle. The states may also refer to important milestones of a case. This is similar to project management approaches.

We provide in the following figure an example for a case and its lifecycle. It is about an insurance case. It can be in the state “Initial” when it has been created. Further information about the person that needs to be insured as well as basic insurance contracts need to be added to the case, so it can change into the state “Active”. The state “Active” means that there are no problems with the insurance case and that for example further insurance contracts can be added. It may change to a state “Incomplete” if important events in the life of the insured person happen, such as marriage or illness, and important additional insurances are missing. It may also be in the state “Suspended” when the person moves for some time to another country and payments for the insurances in the case are on-hold for this time.  Finally, the case may change to state “Retirement”, e.g. when the person to be insured has died or left the insurance company.

Lifecycle of a Case

Of course, other cases may have different lifecycles depending on the needs of the organization.

We have found out based on our experience that case workers need to describe also more information about the current state of the case. For example, it seems to be very important for different case workers to provide more information why a case is in a certain state, such as suspended, and what is needed to move it to another state. An insurance case might be suspended, because a case worker waits for information. Other case workers checking the case should know that this information is still missing so that they do not resume the case without it.

A case management system can provide more sophisticated means to do this by utilizing the available elements, such as rules or data.

Business assets

Business assets are of key importance for any company and generate value. It is thus important that business assets of the same category are treated the same to ensure consistent value generation. An example for a business asset in our case is a life insurance contract. We illustrate the business asset “life insurance contract” and its lifecycle in the figure below.

Lifecycle of a Business Asset: Life Insurance Contract

Similar to a case, a business asset can be in different states. For example, an insurance contract it is in state “Initial” when the business asset has been created. It is in state “Active” if all payments for it have been received, the customer did not die and is not retired. It is paid out when the customer is retired, but it is not paid out if payments are missing or the customer died. You can imagine that a lot of business processes are involved in managing a life insurance contract and thus having a business asset as a first class citizen exposing the same consistent view to all processes as well as stakeholders is beneficial to avoid inconsistencies (e.g. the life insurance contract is paid out when the customer died, but still payments are missing).

Several synonyms exist for business assets, such as business artifacts or business objects.

At the moment, we are able to describe business assets. However, how can we control how their state is changed and how do we define the relations to other business assets? For example, a life insurance contract may be related to a disability insurance contract.

There are two solutions: State changes are governed by activities and relations to other business assets can be described using rules.

Activities

Activities describe typical actions that can be performed in a case. There are different types of activities. For example, activities may refer to actions for opening a document and working on it. Other activities may require human action. Further activities may refer to completely automated business processes expressed in the business process modeling notation (BPMN).

Nevertheless, we expect that case management requires mostly human-based activities. Case data can be processed by activities. Activities may also have as an outcome a state change of a case or business asset. They may also have as a prerequisite a specific state of a case or a business asset. For example, new contracts can be added to an insurance case only if it is in state “Initial” or “Active”. Finally, activities may be constrained by rules (see below). For instance, if the age of a customer is above 80 then certain insurance contracts cannot be added to a case.

Similarly to cases and business assets, different types of activities may have different lifecycles. For example, let us assume an activity for paying out a life insurance. It may be required that several people (see below) confirm that the life insurance can be paid out to the customer. An activity with such a lifecycle is illustrated in the following figure:

Lifecycle of an Activity: Payment

Other activities may have a simpler lifecycle. For instance, an activity for opening a document may only have the states “Initial”, “Execute” and “Finish”.

Other synonyms for activities are actions or transactions. The activity concepts presented here have been part of our research [3].

Furthermore, we can also leverage novel standards, such as Web Intents or Web Activities to rapidly deploy new enterprise or business network wide capabilities.

Case Rules

Case rules constrain the transition from one state of a business asset, activity or case to another state.  This means they define preconditions and post-conditions when changing the state of one of these elements. For example, a payment activity may only be initiated when the customer has paid 5 years into the life insurance.

They are specific to a case, whereby enterprise-wide business rules may apply to all cases.  Rules allow the user to specify freely in which order activities are performed given only some restrictions (e.g. regulatory ones). Furthermore, rules can be used to specify the relations between different business assets (e.g.  a life insurance contract is bundled with a disability insurance contract).

We distinguish between two types of rules:

  • Event-Based Rules that are described using an Event (E) a Condition (C) and an Action (A) – ECA format.
    • Example:
      • Event: Customer dies
      • Condition: Payment of insurance rates over at least 5 years
      • Action: Payment
  • Duration-Based Rules (see also [3]) :
    • Example:
      • As long as the life insurance is in state “Active” or “Payments missing”, insurance rates can be paid by the customer
      • As long as the customer is “married”, subsidiaries can be requested from the government

Both types are equally important. Event-based rules are used to react on a given event (e.g. customer dies). However, dynamic processes cannot only be about reacting to events. There is also a need to plan the evolution of a dynamic process to some extent in advance. This can be done using duration-based rules.

It is possible to use one out of the many different rule formalisms and mechanisms to verify correctness of a given set of rules, but intelligent case management systems combine different rule formalisms to do this. This enhances the performance and thus speeds up complex change operations for rules. This is important, because we have argued before that the process evolves with the case and thus is subject to continuous change.

One main challenge here is how rules should visualized to the case workers, so that they always know what has been done, what is currently going on and what can be done next.

Data

We have explained before that case management is particularly suitable for dynamically evolving processes. This implies that not everything can be modeled in a structured manner as a business asset. There is also data that is unstructured and exist in many different systems. For example, the case worker may need to generate a report on the average monthly payment for a life insurance for a certain group (e.g. based on age and ***). Other data can be meta data related to a customer, such as name or birth date.

This means the case management system needs to also support data analytics in form of Mashups composed of data from different sources. Here, it makes sense to rely on the new linked data standard.

People

Although this is the last item, it is one of the most important ones. People are involved in case management processes as we have described in the first figure. Additionally, we have also other stakeholders, such as customers that can be explicitly represented in the case.

Similarly to a case, business assets or activities, people in a case have also a lifecycle. For instance, they may be at the moment working on the case, be on sick leave or have left the company. If we consider more sophisticated case worker management (e.g. delegation of activities) then there are more states in their lifecycle (cf. [7]). Case management systems can help to efficiently and effectively schedule people to cases, activities or business assets.

Customers may also have a special lifecycle. This lifecycle can be very similar to the events in the life of the customer. For example, a customer may be married, divorced or has children. Depending on these events, certain actions might be required (e.g. health insurance for children).

Conclusion

Case Management enables flexible dynamic evolving processes centered around business assets.  It allows a more flexible, but structured way to deal with this type of processes and with business assets.  The stakeholders of a case, most notably the case worker, have a better overview what has been done, what is going on and what can be done next. This is mostly due to the structured and transparent way to model business assets, activities and rules governing them. They do not need check every time every system for business assets or data. Case workers or knowledge workers can work in more innovative and creative ways to solve a case. A case management system can help them to deal with them in a consistent way. This leads to reduced cost, improved delivery of service and has the potential to generate new ways of revenue previously locked in enterprise silos. Finally, case management systems can be used to capture dynamic evolving processes and improve the way they handle business assets.

We described how cases can be modeled to describe these kinds of processes and business assets. Some of these elements may become part of the Case Management Process Modeling (CMPM) – An Introduction.

What is next?
In the next blog entry, I will describe different system architectures for case management.  This is relevant for Enterprise Architects, Solution Architects and Developers. I plan further blog entries on research challenges for case management.

Acknowledgements

This work results from the collaboration between SAP Research and the SCORE group at LORIA-INRIA-CNRS of the Université de Lorraine,  Nancy, France.

References/Further Reading

 [1] Olding, E. & Rozwell, C., Expand Your BPM Horizons by Exploring Unstructured Processes, G00172387, Gartner, 2009                

[2] K. Bhattacharya, N. S. Caswell, S. Kumaran, A. Nigam, and F.Y. Wu. "Artifact-centered operational modeling: Lessons from customer engagements." IBM Systems Journal, 46(4):703- 721, 2007

[3] Franke, Jörn: Coordination of Distributed Activities in Dynamic Situations. The Case of Inter-organizational Crisis Management, PhD Thesis (Computer Science), to be published, LORIA-INRIA-CNRS, Université de Nancy/Université Henri Poincaré, France, 2011.

[4] Becker, Jörg; Michael Rosemann; von Uthmann, Christoph: Guidelines of Business Process Modeling, Business Process Management, 2000.

[5] de Man, Henk: Case Management: A Review of Modeling Approaches, BPTrends, January, 2009.

[6] Reijers, H.A.; Rigter, J.H.M.; van der Aalst, W.M.P.: The Case Handling Case, International Journal of Cooperative Information Systems, Vol. 12, No. 3, p. 365-391, 2003.

[7] Gaaloul, Khaled: A Secure Framework for Dynamic Task Delegation in Workflow Management Systems, PhD Thesis (Computer Science), LORIA-INRIA-CNRS, Université de Nancy/Université Henri Poincaré, France, 2010. 

 

We introduce in this blog series the concept of Case Management Process Modeling (CMPM) - An emerging concept complementary to existing Business Process Management (BPM) concepts. In this first blog entry, we explain why this concept is important, how it differs from BPM, its success in practice and present standardization efforts driven by all major software vendors. This new standard aims at complementing the Object Management Group (OMG) standard Business Process Modeling Notation (BPMN). This blog entry is relevant for CIOs, CTOs, enterprise architects and business analysts. CMPM is expected to be the next big thing in BPM for the next 1-5 years.

Why is this important?

BPM has brought and still is bringing a lot of benefits to business users. It allows to map, monitor, control and optimize standardized predictable business processes. The discipline and technology has matured a lot over the past years. However, it focused mainly on processes that can be highly standardized and that should be executed frequently with only minor deviations.  Furthermore, business assets only have been a second-class citizen in these processes. This means they play in BPM only a minor role with respect to modeling or execution of processes.

 This does not cover the whole spectrums of processes as it has been explained by Gartner and McKinsey [1]. There is a need for supporting dynamic processes that evolve over time and where business assets are treated as first class citizens.  Finally, this type of processes makes up more than 50 % of the processes in an enterprise depending on the industry and is of high value. Clearly, we need tools to manage them properly. This is the domain of CMPM tools.

A typical example of these processes can be found in the insurance industry. There, an insurance case governs all insurance contracts, incidents, processes, rules, regulations, data, customer, people related to it. Thus, the insurance case contains important business assets of any insurance company. Other examples can be found in the area of public services, where the police manage crime cases or a public health service manages cases of patients.

What is different from BPM?

The differences can be summarized as follows:

  • Management of cases
  • Focus on business assets and their corresponding data composing a case
  • Emphasis on the lifecycle of business assets and the respective case
  • Evolving (agile/flexible) processes that cannot be fully specified in advance
  • Strong integration with Business Rules Management (BRM)
  • Highly collaborative

I will address these elements in my subsequent blog posts – except the management of cases which is illustrated in the following figure:

Management of Cases

I purposely describe the management of cases not as a cycle: There are no separate phases that happen one after the other. Remember that I told you that the process evolves and it is dynamic - thus, these phases take place simultaneously. We define the management phases as follows:

  • Design: Elements of a case need to be modeled. For example, business assets, customers, activities, rules, lifecycles or data
  • Execute: Activities can be performed on business assets/case data according to business rules
  • Monitor: Generating and managing key performance indicators (KPI) related to the execution of a case (e.g. time required to complete a case, cost generated by case etc.)
  • Mine/Analytics: Long-term activity to continuously improve cases (e.g. change of regulations, new technologies, change of customer behavior, rules etc.) based on KPIs generated by cases over a certain time
  • Governance: Roles and corresponding accountability/responsibility with respect to the management phases

The management of cases is different from the management of repeatable and predictable business processes:

  • There are no sequential management phases, but the management phases can take place simultaneously
  • The roles of the people involved in the management of cases (e.g. case designer/analyst, case worker or rule designer)  are significantly different and require much more collaboration

Experience in Practice

Until now the concept of CMPM sounds interesting, but has it already been applied in practice? Yes! IBM has modeled together with customers successfully their business assets over the last decade [2]. They found out that this approach leads to a measurable reduced time and cost to do business transformations or enable completely new capabilities. The modeling of cases can be easily understood by business users and system support for case management enhances significantly the benefits for them.

SAP has also several years of experience with its Status & Action Management (SAM) approach, where business assets (business objects) can be modeled and transactions changing the state of business assets.

We conclude that the approach has been already applied extremely successful in practice for several years, but a standard for information system support is still missing.

Standardization Efforts

Since the topic is very important, major companies, such as SAP, IBM, Oracle or HP, are currently part of a standardization effort for case management. At the moment, the Object Management Group (OMG) and the industry are working on a common standard: Case Management Process Modeling (CMPM). The standard is probably published in the first half of the next year. Thus, we can expect first products supporting this standard also next year, because similar products exist already. However, no guarantee for that – as always :-) The OMG also has been involved in the development of the Business Process Modeling Notation (BPMN) standard for systems supporting the management of business processes, such as SAP Netweaver BPM.

Conclusion

Clearly, case management has to be on the agenda of any company in the next years to become more flexible and agile in a dynamic economic environment.

What is next?
In the next blog, I will describe what can be the modeling elements of a case in BPCM and the relevant stakeholders/roles involved in CMPM.  This is relevant for enterprise architects and business analysts. I plan further blogs on architectures of case management systems and research challenges.

Acknowledgements

This work results from the collaboration between SAP Research FRANCE and the SCORE group at LORIA-INRIA-CNRS of the Université de Lorraine,  Nancy, France.

References

[1] Olding, E. & Rozwell, C., Expand Your BPM Horizons by Exploring Unstructured Processes, G00172387, Gartner, 2009                

[2] K. Bhattacharya, N. S. Caswell, S. Kumaran, A. Nigam, and F.Y. Wu. "Artifact-centered operational modeling: Lessons from customer engagements." IBM Systems Journal, 46(4):703- 721, 2007

Have you ever tried to manage a cold chain for medicine in a region with temperatures about 40° degrees? A region with no roads, an unclear situation after several earthquakes, an unstable political situation and you will have to work for the first time with many very different organizations to deliver the goods. By the way the medicine comes from all over the world… And have you thought about where you get the gas from when there is no map of gas stations and potentially many different suppliers? Of course, not everything can be planned ahead, further earthquakes may strike or people requiring medicine can be brought to new locations.

You think this is impossible to manage? This is one of the typical tasks of humanitarian aid organizations that help people all over the world….

Clearly, this domain is a somewhat extreme example for supply chain management, but we believe it is worth to research the problems related to information system support in this challenging scenario. Research in this domain can also bring benefits to typical enterprise supply chains from a management and technology perspective, given the fact that supply chains in business networks need to become more and more agile as well as flexible.

We present in this blog a challenging case for supply chain management and its information system support: humanitarian aid in sudden on-set disasters. We discuss solutions from a management [5-7] and information system support perspective [2-4]. We present first ideas for integrating them [1]. More particularly, we discuss from a management perspective the use of reference process models and tool support for dynamic ad-hoc processes from an information system perspective. We propose a process-based approach. In such an approach, the activities and their relations are made explicit to the stakeholders. It is clear for every stakeholder what has been done, what is currently going on and what can be done next. The activities are coordinated by humans based on their judgment of the complex situation.

Reference Process Models for Humanitarian Supply Chain Management / Business Process Library

Reference process models represent in our case generalized practices of humanitarian supply chain operations. They are based on extensive interviews and empirical studies with leading humanitarian aid organizations (e.g. Worldvision or MSF) [5]. You can compare a reference process model with a Business Process Library (BPL), where you can look for typical process, select the one you need, adapt and execute it. Of course, accountability and responsibilities can be defined according to a RACI Matrix [9].

We provide in the following figure an example process taken from the reference model described by [1].

 Humanitarian Supply Chain Process: Needs Assessment

Ad-Hoc Coordination of Activities Driven By Humans in Dynamic Situations

However, current information systems used by humanitarian aid organizations or disaster response organizations have some limitations with respect to coordination [2]. All information about activities and their relations can be found in a large pile of unrelated e-mails, phone exchanges or faxes. Information about currently executed activities can be found partially also on whiteboards. The next steps can be found in incident action plans. Every time something new is happening, this information needs to be related again from scratch. Contemporary process management tools focus on operational business processes with few predictable exception - obviously this is not the case in our scenario. Tool support is thus desired that allow modeling correctly the activities and their relations (what has been done, what is currently going on and what can be done next). Contrary to existing process management systems, the process cannot be fully specified in advance and is subject to continuous change. In fact, the processes evolves with the situation. Monitoring deviations from the process need to be visualized to the users to highlight shifting goals that lead to reassessment of activities and their relations. Some activities need to be related cross-organizations. For example, one organization can be responsible for deploying emergency teams and another organization performs a need assessment (cf. previous figure).  This is supported by our system by sharing selected activities among organizations and each organization can define relations between shared and internal activities. Consequently, the system needs to ensure correctness of the model of activities and relations cross organizations. Furthermore, it is crucial that deviations from the model and how shared activities have been executed are highlighted to every relevant stakeholder. It is more likely that deviations occur on the inter-organizational level, because each organization has its own goals and operating procedures. We designed and implemented such a system (see [1,2]).

Integration

Integration of these approaches means that (1) the reference process model is used to support a common understanding between different organizations and (2) our tool is used to create a consistent common view as well as coordination support for activities with relations cross organizations [1].

We illustrate a simple example in the following figure (cf. also the previous figure) [1]. Organization A is responsible for deploying an emergency team and for communicating the needs to other organizations. Organization B has its focus on exploratory teams and requesting goods for the people. Both organizations rely on initiating a needs assessment and prioritizing needs. They can be performed by the organization with the best skills in these areas.

 Humanitarian Supply Chain Collaboration: Needs Assessment

Of course, this is just a simple example and we did not show here the dynamics of the situation. For example, organization B might already request some goods without waiting for the needs assessment. This needs to be highlighted to organization A so it can communicate the correct needs to the other organizations. The reference process model can thus be used in our proposed tool [2,5] to deploy and coordinate the process in a dynamic situation, so that every organization knows what has been done, what is currently going on and what can be done next.

We are looking for your comments!

It can be observed that the concepts described here are related to the WS-Human Task Standard [10] and the emerging OMG standard for Case Management [11]. More precisely, we describe also how they can work on the inter-organizational level, where selected shared activities are replicated in the systems managing different related cases.

People

The following people work on this project at SAP Research FRANCE:

 

Acknowledgements

This work results from the collaboration between Public Security, SAP Research FRANCE and the SCORE group at LORIA-INRIA-CNRS of the Université de Lorraine,  Nancy, France. The research was partially funded by means of the German Federal Ministry of Education and Research and the French government.

References

[1] Franke, Jörn; Widera, Adam; Charoy, François; Hellingrath, Bernd; Ulmer, Cédric: Reference Process Models and Systems for Inter-Organizational Ad-Hoc Coordination - Supply Chain Management in Humanitarian Operations, short paper, 8th International Conference on Information Systems for Crisis Response and Management (ISCRAM'2011), Lisbon, Portugal, 8-11 May, 2011.

[2] Franke, Jörn: Coordination of Distributed Activities in Dynamic Situations. The Case of Inter-organizational Crisis Management, PhD Thesis (Computer Science), to be published, LORIA-INRIA-CNRS, Université de Nancy/Université Henri Poincaré, France, 2011.

[3] Franke, Jörn; Charoy, François; El Khoury, Paul: Collaborative Coordination of Activities with Temporal Dependencies, 18th International Conference on Cooperative Information Systems (CoopIS 2010), Heraklion, Créte, Greece, 2010.

[4] Franke, Jörn; Charoy, François; Ulmer, Cédric: Handling Conflicts in Autonomous Coordination of Distributed Collaborative Activities, 20th IEEE International Conference on Collaboration Technologies and Infrastructures (WETICE'2011), Paris, France, 27-29 June, 2011.

[5] Blecken, A. : Humanitarian Logistics: Modelling Supply Chain Processes of Humanitarian Organisations, Haupt Verlag, Stuttgart, 2010.

[6] Tomasini, R., van Wassenhove, L.: Humanitarian Logistics, Palgrave, MacMillan, Basingstoke, 2009.

[7] Tufinkgi, P. : Logistik im Kontext internationaler Katastrophenhilfe : Entwicklung eines logistischen Referenzmodells für Katastrophenfälle, Haupt Verlag, Stuttgart, 2006.

 [8] Schaad, A.; Ulmer, C. & Gomez, L. Rescueit - Sécurisation d'une chaine logistique internationale, Workshop Interdisciplinaire sur la Sécurité Globale, 2010, http://www.sichere-warenketten.de/

[9] Wikipedia, RACI matrix, http://en.wikipedia.org/wiki/Responsibility_assignment_matrix, retrieved 18.07.2011

[10] Wikipedia, BPEL4People, http://en.wikipedia.org/wiki/BPEL4People, retrieved 18.07.2011

[11] OMG, Case Management, http://www.omg.org/news/meetings/workshops/SOA-HC/presentations-10/13_F1_Cummins.pdf, retrieved 18.07.2011

In this blog entry we brainstorm ideas on integrating risk management into Business Process Management Systems (BPMS), such as SAP Netweaver BPM or SAP Business Workflow.  Proactively managing the risk using a business process management system has not drawn much attention yet, although the financial crisis has shown that it is crucial to manage the risk of your assets. Nevertheless, there is lack of tool support for managing the risks during runtime of business processes. Even more important, none of these tools focus on the business users, with a particular attention on usability. We propose here a system that addresses control-flow oriented risk evaluation. The system takes into account potential future process execution paths defined in the business process models to calculate the risk. Appropriate actions can be defined in the system to handle risk incidents.

Scenario: The Loan Originating Process

Risk is an integral part of management, not only since the financial crisis, where proper risk management can save billions. Surprisingly, risk management has not been yet considered in business process management systems.  We take as an example for our approach a simplified loan origination process (see following figure). However, the concepts are genric and can be extended to any business process that can be modeled using BPMN or any other modeling notation.

 

A loan origination is a business process that formalizes, evaluates and possibly accepts a Customer (C) request for a Loan Amount (LA). The Bank (B) carries out a careful evaluation of the customer's credit worthiness through internal mechanisms and by asking assurance to external agencies called Credit Bureaus (CB). A credit bureau is a third party business partner of a financial institution that processes, stores and safeguards credit information of physical individuals or industrial companies. Credit bureaus gather data from various sources and cross-check and match the data for accuracy. Some of these sources include publicly available records (courts and deeds offices) and credit account details (from credit granters or subscribers). Credit granters in turn are companies such as banks, retailers and any other organizations whose business is credit. They are also called “subscribers” because they subscribe to the credit bureau in order to collect, submit, use and share the information held in the database management systems. They use the information from the credit bureau to make decisions on whether or not to grant credit, in terms of their own credit granting policies. External insurance companies can provide additional insurances for the credit.

Risk Rules

Let us assume that there is the possible event (initiating event) that creditworthiness of customers has been re-evaluated (e.g. due to the economic crisis). It would be risky to grant credits without taking into account this re-evaluation (risk event). However, we cannot just simply treat all loan process instances the same. In case of loans with a low amount (e.g. 1000 Euro), we would proceed as normal, because the risk of loss is low (below the threshold risk) and the cost of stopping these process are not justified. However,   in case of loans with a high amount (e.g. 1 Million Euro) with a high impact, we would stop or restart the process to take into account the changed conditions. One example rule which can be applied to the loan origination process:

  • Initiating event: Creditworthiness of customers has been re-evaluated
  • Risk event: Granting large Credit
  • Threshold: Risk  > 1000 Euro
  • Impact:100.000 Euro
  • Action: Stop Processes

 

This rule does not look much different than a normal business rule. For a proper risk evaluation, we have also to take into account how probable it is that a risk event occurs (e.g. “Granting Credit”). This can be calculated from the process model describing all possible executions of a process and from supplementary data (e.g. process event logs). Thus, the rule can fire even before the risk event happen (i.e. we can prevent that credit is granted) to mitigate the risk.

Evaluating Risk Rules against Executed Business Processes

Once the risk is defined we want to evaluate it during execution of business processes. There can be several instances of a business process and these instances are subject to different risk exposure depending on the state of the instance. The evaluation of the risk is based on the process model, where different execution paths have a different probability and depending on the chosen execution path there is a different risk. There are different ways to determine this probability: process mining (i.e. based on previous executions), simulations, manually entered probabilities etc. The risk is calculated via the probability of the execution path and the impact defined in the risk rule. If the risk of an instance is over a certain threshold we can initiate counter-measures, such as stopping the instance or initiating mitigating processes (e.g. renegotiation of the contract).

Let us illustrate this with a small example (cf. process model in previous section):

We assume that the rating of insurance has been re-evaluated (e.g. it turns out that insurances will get much more expensive in the future). Particularly, the special insurances for loans with a large amount are affected.

We have the following Risk Rule:

  • Initiating event: Rating of insurance has been reevaluated. 
  • Risk event: Special Additional Insurance, 100.000
  • Threshold: 7.000 Euro
  • Action: Stop Processes

 

The credit bureau is currently executing the activity “Customer Assessment”. The probability that the regional manager will evaluate regional criteria for the loan is 40 % (i.e. there is a probability of 40% that this execution path will be taken). The probability that afterwards a special insurance need to be taken into account is 20% (i.e. there is a probability of 20% that this execution path will be taken).

We calculate the risk as follows

W = 0,4 (probability of the special insurance execution path) * 0,2 (probability of the regional criteria execution path) = 0,08 = 8 %

Risk = 0,08 * 100.000 = 8000 Euro

It is over the threshold of 7000 Euro and thus the process instance is stopped. 

The idea in a nutshell - Control-flow oriented Risk Evaluation

We designed a system that addresses control-flow oriented risk evaluation. We motivated it with a loan originating process. The system consists of two components:

  • Risk Rule Engine: Define risk rules that needs to be monitored over currently executed business processes. It takes probabilities from various sources (e.g. process event logs or simulation engines).
  • BPM Engine: Define, Execute and Monitor your processes. For example, SAP Netweaver BPM or SAP Business Workflow. A Business Process Engine is a component that is in charge of the execution of the different applications. An executable Business Process is stored as an application so that the Business Process engine can handle it appropriately in order to execute instances of that process.

We illustrate in the following figure how the system works. The business analyst describes at design time the process, risk management rules and annotates the business process with probabilities in order to measure the risk exposure at runtime. The process can also be automatically annotated using results from previous process executions, simulations etc. The modeled process is executed at run-time and the risk rule engine monitors initiating events. It evaluates in case of an event the process instances with respect to their risk exposure. If the risk is over a certain threshold we can take various actions (e.g. calling a service to stop certain process instances).

Conclusion and Future Work

We presented here concepts for integrating risk management into the process engine. Special risk rules are defined and current running process instances are evaluated for risk when a risk event occurs.  Measures can be taken when the risk for an instance is over a certain threshold.  At the moment, we find only proposal for risk modeling in business process, but without risk evaluation during run-time [1].

We see following perspectives for future work

  • Integrating into the paradigms for case-based or artifact-based process management [2,3] and extension to the inter-organizational level
  • Risk-aware resource scheduling in business processes to manage assignment of resources according to the risk of separation of duty, binding of duty and privacy rules
  • Benefiting from SAP HANA technology to do risk evaluations in real time
  • Risk Dashboard for simple management of risk related to processes. We are working on a method to visualize risk in a simple way to the business user.

We are looking for your comments!

What do you think about managing the risks using our proposed system? Please comment if you like the idea and would like to see a proof-of-concept in the future.

The following people work on this project:

References

[1] Michael zur Mühlen and Michael Rosemann. Integrating risks in business process models. In 16th Australasian Conference on Information Systems, 2005

[2] OMG, Case Management, http://www.omg.org/news/meetings/workshops/SOA-HC/presentations-10/13_F1_Cummins.pdf

[3] K. Bhattacharya, N. S. Caswell, S. Kumaran, A. Nigam, and F.Y. Wu. "Artifact-centered operational modeling: Lessons from customer engagements." IBM Systems Journal, 46(4):703- 721, 2007

In this blog entry we describe our research on different paradigms of distributed process management that have emerged over the last years. It is part of our research within Public Services team at the SAP Research Center (Sophia Antipolis) / SAP Research FRANCE.

We present the four basic paradigms underlying distributed process management including two novel promising paradigms that emerged at SAP Research.

Four Different Paradigms of Distributed Process Management

Overview

We have developed a matrix categorizing paradigms for distributed process management into two categories (see following figure): Modeling of the process and execution of the process. Modeling can be done individually or collaboratively. This can be seen on different levels of granularity (e.g. people or organizations). The execution of the process can take place either centralized (on one system) or distributed (on several/multiple systems connected via a network).

 

 Matrix describing the four different paradigms of distributed process management

 

We see that four different paradigms emerge from this matrix. We describe these paradigms now and provide examples for them.

Individual Modeling/Centralized Execution

These are standard workflow systems (e.g. Netweaver BPM or SAP Business Workflow). The following figure provides an example for this paradigm. The process designer models the process and deploys it on a centralized server for execution by a workflow engine.

Distributed Process Management Paradigm: Central Definition/Central Execution 

Individual Modeling/Distributed Execution 

Many approaches have been proposed in this area (e.g. [3-5]). The basic idea is that one entity defines a public process and this process is split into different pieces. The different entities then execute their part of their process in a distributed manner. Although the body of knowledge is very mature in this area and different research prototypes exist, it has not yet found its way into commercial products. The problem faced here is that there needs to be one central deciding entity who defines what the public process is (i.e. the organizations part of the process cannot act autonomous) - this is more a business/governance problem than a technical problem. In the following figure we illustrate how this paradigm works: A workflow designer defines a process and the parts of the process are distributed to different servers for execution.

Distributed Process Management Paradigm: Central Definition/Decentral Execution 

Collaborative Modeling/Centralized Execution 

This is a new paradigm. It has recently emerged in form of the SAP Research Prototype "Gravity – Collaborative Business Process Modelling within Google Wave" which allows different distributed modelers to model the process via Google Wave or SAP Streamwork collaboratively and to import the model into the SAP Netweaver BPM engine to execute it centralized on a SAP Netweaver BPM server. Many interesting use cases have been described (e.g. M&A). The following figure provides an example for this paradigm. Process designers collaboratively model the process and the process is deployed for centralized execution on a workflow server (e.g. SAP Netweaver BPM).

Distributed Process Management Paradigm: Decentral Definition/Central Execution 

Collaborative Modeling/Distributed Execution

This is a new paradigm. It is part of our research and has also been implemented in Google Wave. The idea is that different entities create activities and share activities with other entities. They also define dependencies/constraints (e.g. temporal ones) between their own activities and the shared activities. For example, in a crisis response scenario, the police commander can model that if “Protection of Residential Area from the Flood” by the fire fighters fails then “Evacuation of Residential Area” by the police starts its execution. This is very interesting for heterogonous and autonomous working organizations (e.g. in crisis management), because it is not required that different entities agree on a common public process. (Shared) Activities can change their state (i.e. they are executed in a distributed manner) and this may violate dependencies to these activities defined by different organizations in different models. This approach overcomes the problems of the individual modeling/distributred process execution approach.

Distributed Process Management Paradigm: Decentral Definition/Decentral Execution 

The figure illustrates this paradigm using a crisis response management scenario. People can share activities and their current state with the Shared Activity Workspaces (SAW, comparable to distributed servers) of other organizations. Shared activities are illustrated with dotted borders.  The other organizations can define dependencies/constraints (e.g. temporal ones) to the shared and their own activities. For example, the military commander has shared the activity “C” with the fire fighter commander. The fire fighter commander creates a dependency to his/her own activity “A”. When activity “C” changes its state (e.g. initiated by the military) then this may violate dependencies in the SAW of the fire fighters. Sharing takes place on a social basis (i.e. from person to person) and it is not required to share activities. For example, the military commander and medical staff do not share activities.

Conclusions

We think that all paradigms are important and it depends on the process and the environment which paradigm should be used. One organization will probably use all four paradigms. We see a big need for providing software for all paradigms, in particular the last two, because not all paradigms are equally well supported by software.

We are looking for your comments!!!

What do you think of these paradigms for distributed process management?

The following people work on this project

Acknowledgements

This work results from the collaboration between Public Security, SAP Research FRANCE and the SCORE group at LORIA-INRIA-CNRS of the Université de Lorraine,  Nancy, France. The research was partially funded by means of the German Federal Ministry of Education and Research under the promotional reference 01ISO7009 (see [6]) and the French government within the RescueIT project [7]. Another part was funded by the CIFRE PhD funding scheme of the French government.

References

[1] Franke, Jörn; Charoy, François: Design of a Collaborative Disaster Response Process Management System, 9th International Conference on the Design of Cooperative Systems (COOP'2010), Aix-En-Provence, France, 19-21 May, 2010.

 

[2] Franke, Jörn; Charoy, François; Ulmer, Cédric : Coordination and Situational Awareness for Inter-Organizational Disaster Response, 10th IEEE International Conference on Technologies for Homeland Security, Boston, WA, USA accepted

[3] Frederic Montagut, Refik Molva: Enabling pervasive execution of workflows. CollaborateCom 2005

[4] Walid Fdhila, Ustun Yildiz, Claude Godart: A Flexible Approach for Automatic Process Decentralization Using Dependency Tables. IEEE 7th International Conference on Web Services (ICWS 2009), July 6-10, 2009, Los Angeles, CA, USA : 847-855.

[5] Wil M. P. van der Aalst, Process-oriented architectures for electronic commerce and interorganizational workflow, Information Systems, Volume 24, Issue 8, December 1999, Pages 639-671

[6] http://www.soknos.de 

[7] Schaad, A.; Ulmer, C. & Gomez, L. Rescueit - Sécurisation d'une chaine logistique internationale, Workshop Interdisciplinaire sur la Sécurité Globale, 2010, http://www.sichere-warenketten.de/

In this blog entry we introduce the problematic of flexible inter-organizational disaster process management and the approach that the Public Security team at SAP Research France is investigating in.

Over the last years we have seen a rise in disasters, let it be natural disasters or man-made disasters, such as hurricane Katrina or terrorism. The situation after a disaster is by definition chaotic and requires a rigorous approach to manage the chaos. Public security organizations have developed various methods for implementing such an approach. Although disaster process management is an important part of this, it has only recently received attention by various national and European Research projects (e.g. [1-3]). Research has identified the following challenges for disaster process management:

1.       How should the dynamic and flexible processes be modeled and described

2.       How should the processes be executed in an information system

3.       How does disaster process management work on the inter-organizational level

Challenge 1 and 2 have been widely addressed for some business domains in the literature. Currently, these ideas do not have much commercial success, although they are known for quite a while (sometimes over a decade). This has many reasons, such as complexity for management of change, support of wrong change management approaches, unrealistic/wrong requirements and use cases and poor validation of these approaches in real scenarios. Unsurprisingly, research in the research projects mentioned before has focused on other new approaches fitting better to the dynamic context of disaster processes.

Challenge 3 has not yet been very well investigated in the disaster process domain. Several approaches on inter-organizational process management exist for certain business domains. Similar to the approaches mentioned before, they do not have much commercial success and they do also not fit to the requirements of disaster management processes. We are currently investigating inter-organizational disaster process management, which includes all three aspects mentioned before.  Major challenges we are addressing are:

  • Organizations are truly independent: they decide what they share with whom
  • There is no common process, but processes of different organizations interacting with each other
  • Processes change very often and organizations need to be informed about changes, although organizations may not know each other directly or communication infrastructure is not reliable

The outcome of our research will be a flexible concept to define and execute processes on an inter-organizational level meeting these challenges. In a later stage we will also include a security and trust solution into this. We are working together with end users in the domain in various projects (e.g. [4]) and are always looking forward to find new collaboration partners (e.g. other researcher or end users).

Our work will also have impact on other dynamic domains, such as creative industries, project management or business networks.

This work results from the collaboration between Public Security, SAP Research FRANCE and the Environments for COOperation (ECOO) group at LORIA-INRIA in Nancy, France. The research was partially funded by means of the German Federal Ministry of Education and Research under the promotional reference 01ISO7009 (see [4]). The author takes the responsibility for the content.

[1] Metrik (Modellbasierte Entwicklung von Technologien für selbstorganisierende dezentrale Informationssysteme im Katastrophenmanagement)

[2] Workpad (An Adaptive Peer-to-Peer Software Infrastructure for Supporting Collaborative Work of Human Operators in Emergency/Disaster Scenarios)

[3] Genoplan (Generischer notfallplan und adaptives Prozessmodell zum Schutz der kommunalverwaltung im Pandemiefall)

[4] SoKNOS (Service-orientierte ArchiteKturen zur Unterstützung von Netzwerken im Rahmen Oeffentlicher Sicherheit)

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