ARIS- Business Process Frameworks. Third Edition

Transcription

1 ARIS- Business Process Frameworks Third Edition

2 Springer-Verlag Berlin Heidelberg GmbH

3 August -Wilhelm Scheer ARIS- Business Process Frameworks Third Edition With 94 Figures i Springer

4 Prof. Dr. Dr. h.c. August-Wilhelm Scheer Universität des Saarlandes Institut für Wirtschaftsinformatik Postfach D Saarbrücken Germany URL: The first edition of this book has been published under the tide "Architecture of Integrated Information Systems". The second edition has been published in two volumes: ''ARIS - Business Process Frameworks" and "ARIS - Business Process Modeling". ISBN Cataloging-in-Publication Data applied for Die Deutsche Bibliothek - CIP-Einheitsaufnahme Scheer, August-Wilhelm: ARIS - business process frameworks / August-Wilhelm Scheer ed. - Berlin; Heidelberg; New York; Barcelona; Hongkong; London; Mailand; Paris; Singapur; Tokio: Springer, 1999 Dt. Ausg. u. d. T.: Scheer, August-Wilhelm: ARIS - vom Geschäftsprozeß zum Anwendungssystem ISBN ISBN (ebook) DOI / This work is subject to copyright. All rights are reserved, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilm or in any other way, and storage in data banks. Duplication of this publication or parts thereof is permitted only under the provisions of the German Copyright Law of September 9, 1965, in its current version, and permission for use must always be obtained from Springer-Verlag_ Violations are liable for prosecution under the German Copyright Law. Springer-Verlag BerlinHeidelberg 1998, 1999 Originally published by Springer-Verlag Berlin Heidelberg New York in 1999 Softcover reprint of the hardcover 1 st edition 1999 The use of general descriptive names, registered names, trademarks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. ARIS is registered trademark of IDS Scheer AG, SAP R/3 is registered trademark of SAP AG, all other named products are registered or non-registered trademarks of their respective enterprises. SPIN / I 0 - Printed on acid-free paper

5 Preface to the Third Edition In light of the extraordinary success of the second, completely revised edition of "ARIS - Business Process Frameworks", a new edition is necessary -- just one year later. Due to the short period of time since the last edition, only a few formal corrections were necessary. For this reason, the goals and contents stated in the second edition apply without exception. I wish to thank Dipl.-Kff. Ursula Markus for assisting with the revision. Saarbrucken, Germany, June 1999 August-Wilhelm Scheer Preface to the Second Edition Since its first publication in 1992, the "Architecture of Integrated Information Systems" has been enjoying tremendous popularity. Documenting standard software with business models has proven to be a huge success. ARIS Toolset, developed by IDS Prof. Scheer GmbH and based on the ARIS concept, is now the worldwide leader in the market for business process engineering tools. Deployed in universities in the U.S., Europe, South Africa, Brazil and Asia-Pacific, ARIS Toolset is providing R&D and academic institutions engaged in enterprise organization and business information technology with a state-of-art business process engineering solution. The furious development in information technology (IT) since the first edition of this book was published has led to so many new aspects and so much more information that we felt it necessary to completely revise it and actually split up the subject matter into two books, namely ARIS - Business Process Frameworks and ARIS - Business Process Modeling. We see a different target audience for each book. Whereas the first book is aimed more at those interested in the business and design aspects of standard applications,

6 VI Preface the second book offers comprehensive insight into modeling and information technology. About this Book In "ARIS - Business Process Frameworks", we use the ARIS concept to describe business processes. The ARIS House of Business Engineering (HOBE) is a model for business process management. The description of output flows is another new element in this edition. The HOBE concept now includes new software concepts such as workflow systems, componentware and frameworks. Instead of the entity relationship approach, we now employ the unified modeling language (UML) for describing meta models. AD/CYCLE, which had originally seemed to be a promising approach, is no longer being sold by IBM, which is why we are no longer covering it. The potential audience of this book includes IT managers, consultants, instructors and students of business-related computer science, computer science and related disciplines. The author would be especially pleased if business administrations students were to regard this book as an enhancement to their discipline, in the sense of IT oriented business theory. The illustrations in this book are available as slides on the WWW at and may he used, provided the copyright is observed and the source is mentioned. I would like to express my gratitude to Mr. Christian C. Tiews of 'The Localizer' for the meticulous translation ofthe text into English. I would also like to thank Dipl.-Kff. Ursula Markus for coordinating and revising the translation of the German text into English, Dipl.-Kfm. Frank Habermann for his careful editing of the German manuscript, cando rer. oec. Nathalie Anterist and cando rer. inform. Jochen Kunze for the preparation of the English illustrations, and Prof. Thomas Gulledge from George Mason University, VA, for his careful revision of the English manuscript. Valuable technical input was provided by Dipl.-Wirtsch.-Ing. Markus Bold, Dr. Wolfgang Kraemer, Dipl.-Kfm. Markus Luzius, Dr. Markus Niittgens and Dipl.-Ing. Arnold Traut. Saarbriicken, Germany, July 1998 August-Wilhelm Scheer

7 Preface VII Classification of the Contents The books on business process engineering by this author adhere to a consistent principle, as depicted in Fig. I. Requirements Definition Design Specification Implementation Description Technical Profile of Books: _ Principles of Efficient Information Management - elm - Towards the Factory of the Future - Business Process Engineering Reference Models for Industrial Enterprises - ARIS - Business Process Frameworks - ARIS - Business Process Modeling Fig. I: Technical profile of books by this author Business-related computer science spans the gap between business theory -- and information and communication technology, with a bi-directional relationship between the two. Information and communication technology should be analyzed as to how new technical procedures can enable new IT oriented business application concepts. The "direction of influence" is illustrated by the arrow on the left hand side of Fig. I. In business-related computer science, it is not essential to know the full range of information technology, but only to apply the segment responsible for alterations in business application concepts. Business-related computer science is especially important in this area. The arrow on the right hand side of Fig. I makes clear how the enhancement of information and communication technology is influenced by business requirements.

8 VIII Preface Both relationship directions are discussed in the book "Principles of Efficient Infonnation Management", the second edition of which was published in The key effects of infonnation technology on business processes are discussed in "CIM (Computer Integrated Manufacturing) - Towards the Factory of the Future" which also appeared in its third edition in Both books cover IT oriented frameworks and are excellent foundations for specific corporate system solutions. These frameworks are implemented into IT tools by infonnation systems. Thus, infonnation systems really do act as bridges between business applications and infonnation technology. The "Architecture of Integrated Infonnation Systems - ARIS" was developed for the comprehensive description of infonnation systems. The first edition of the book was published in This is the second edition of this concept, now published in two different books, ARIS - Business Process Frameworks -- and ARIS - Business Process Modeling. "Business Process Engineering - Reference Models for Industrial Enterprises", with its second edition published in 1994 offers industrial enterprises an integrated infonnation system by the use of function, data, organization and process models, in accordance with the ARIS concept. The business value of describing infonnation systems decreases as technical implementation progresses. At the same time, stability of the concepts also diminishes because the enonnous speed with which IT is being enhanced usually influences the technical implementation of infonnation systems. In all of these books, the author takes this fact into account by the extent with which the respective issues are weighted. This is analogous to the weighting illustrated by the triangle in Fig. I. All of the author's books are also available in Gennan. "Business Process Engineering" is available in Chinese, "CIM" has been translated into Portuguese as well. Other translations are in progress.

9 Table of Contents A User Benefits of ARIS 1 A.I Benefits for Business Administration and Organizational Processes 2 A.II User Benefits for Developing Infonnation Systems 5 B Basic Business Process Model in ARIS 10 B.I The Initial Business Process Model 10 B.1.1 Responsible Entities and their Relationships 10 B.1.2 Function Flow 11 B.I.3 Output Flow 13 B.I.4 Infonnation Flow 15 B.1.5 Consolidated Business Process Model 16 B.II The ARIS Business Process Model 18 B.ll.l The Expanded Example Process 18 B.l1.2 The Generalized Business Process Model 26 C Developing the Architecture of Integrated Information Systems (ARIS House) 32 C.I ARIS Views 33 C.II ARIS Phase Model 38 c.m Preliminary ARIS Infonnation Model 43 C.IV Preliminary ARIS Procedural Model 48 D Business Process Management Using ARIS (ARIS House of Business Engineering) 54 D.I Engineering Business Processes 58 D.I.l Modeling Product and Business Processes 59 D.L2 Reference Models 61 D.L3 Knowledge Management 63 D.1.4 Process Evaluation 66 D.1.5 Process Benchmarking 70 D.1.6 Simulation 71 D.1.7 Quality Assurance 73 D.1.8 Process Warehouse 74 D.II Planning and Controlling Business Processes 76 D.II.1 Process Monitoring 77

10 X Table of Contents D.lI.2 Scheduling and Capacity Control 77 D.II,3 Executive Infonnation Systems (EIS) 80 D.II.4 Continuous Process Improvement - Adaptive Business Process Engineering 83 D.I11 Workflow Control 87 D.IV Application Systems 92 D.lV.l Traditional Standard Software Solutions 93 D.lV.2 Componentware 99 D.lV.2.l Objects 99 D.lV.2.2 Business Objects 101 D.IV.2,3 Java Applets 102 D.IV.2.4 Standardization Efforts 105 D.V Frameworks 109 D.V.l The Framework Concept 109 D.V.2 Realization Concepts 111 D.V.2.1 ARIS-Framework 111 D.V.2.2 SAP-Framework 113 D.V.2,3 SNI-ComUnity 114 D.V.2.4 IBM's San Francisco Project 115 D.V,3 Effects on the Software Industry 116 E Modeling Standards in ARIS 119 E.I Generally Accepted Modeling Principles 119 E.II Modeling Levels 120 E.I11 Degrees of Granularity and Detailing 126 E.lV Model Variants 129 F Comparing ARIS with Other Concepts 132 F.I Object Oriented Modeling 133 F.II CIMOSA 137 F.I11 IFIP - Infonnation System Methodology (ISM) 140 F.lV Zachman Framework 142 F.V Research Results of the University of St. Gallen, Switzerland 144 F.VI Other Architectures 145 G Deploying ARIS - Practical Procedures 147 G.I ARIS Model Based Business Process Reengineering 147 G.1.1 Process Oriented Enterprise Engineering 147 G.I.2 Procedural Model for Business Process Optimization 149 G.1.3 Phases of Business Process Optimization 150

11 Table of Contents XI G.I.3.! Preparatory Measures 150 G.I.3.2 Strategic Planning 150 G.I.3.3 As-is Study 150 G.I.3.4 Target Concept 151 G.I.3.5 Design Specification 152 G.I.3.6 Implementation 152 G.I.3.7 Regular Monitoring and Continuous Process Improvement 152 G.I.4 Summary 153 G.II ARIS Model Based ISO 9000 Certification 154 G.II.! ARIS Based Process Oriented Quality Management 154 G.II.2 Procedural Model for ISO Certification 155 G.lI.2.1 Procedural Model: An Overview 155 G.II.2.2 Procedural Model: Benefits 155 G.II.3 Phases of the Procedural Model 157 G.II.3.! Strategic Planning 157 G.II.3.2 Prep Phase for Quality Management 157 G.II.3.3 As-is Study of the Quality Management System 158 G.II.3.4 "ARIS Based ISO 9000": Target Concept 158 G.lI.3.5 Structuring the QM System 159 G.lI.3.6 Applying and Reviewing QM Systems 160 G.II.3.7 Certification 161 G.lI.3.8 Outlook and Framework: Total Quality Management 161 G.III Using ARIS Models for Knowledge Management 162 G.III.! Using Knowledge to Your Competitive Advantage 162 G.III.2 Knowledge Process Reengineering Procedures 163 G.III.3 The Phases of Knowledge Process Reengineering 164 G.III.3.1 Strategic Knowledge Planning 164 G.III.3.2 As-is Study of Knowledge Processing 164 G.III.3.3 Analyzing the As-is Status 166 G.III.3.4 Target Concept of Knowledge Processing 166 G.III.3.5 Enterprise and StaffImplementation Concept 167 G.III.3.6 IT Implementation Concept 167 G.III.3.7 Realizing Implementation Concepts 168 References 169 Index 183

12 Abbreviations ALE API ARIS BAPI BD BE BM BPO BPR CAD CBO CIM CIMOSA CNC COM CORBA CPI DC OM DIN ED! EIS EPC EQA ERM ESHQ EU GUI HOBE HTML ICT IDA IDL IEM IFIP IMG IS ISA Application Link Enabling Application Programming Interface Architecture of Integrated Infonnation Systems Business Application Programming Interface Business Data Business Engineer Business Management Business Process Optimization Business Process Reengineering Computer Aided Design Common Business Object Computer Integrated Manufacturing Open System Architecture for Computer Integrated Manufacturing Computerized Numerical Control Component Object Model Common Object Request Broker Architecture Continuous Process Improvement Distributed COM Gennan Institute for Standards Electronic Data Interchange Executive Infonnation System Event Driven Process Chain European Quality Award Entity Relationship Model Environment, Safety, Health and Quality European Union Graphical User Interface ARIS - House of Business Engineering Hypertext Markup Language Infonnation and Communication Technology Interactive High Level Petri Nets Interface Definition Language Infonnation Engineering Methodology International Federation for Infonnation Processing Implementation Management Guide Infonnation Systems Infonnation System Architecture

13 XIV Abbreviations ISDM ISM ISO IT IWi JSD JVM KBSt MMS MR NIAM OAG OLAP OMA OMG ORB PSA PSL QC QM RFC SADT SME SOM TQM UML VDA WAPI WfMC WMS Infonnation System Design Methodologies Infonnation System Methodology International Organization for Standardization Infonnation Technology Institute for Infonnation Systems, Saarbrucken, Gennany Jackson System Development Java Virtual Machine Coordinating and Counseling Office of the Gennan Government for Infonnation Technology in Federal Administration Merchandise Management System Microsoft Repository Nijssen Infonnation Analysis Method Open Application Group Online Analytical Processing Object Management Architecture Object Management Group Object Request Broker Problem Statement Analyzer Problem Statement Language Quality Control Quality Management Remote Function Call Structured Analysis and Design Technique Small and Medium Sized Enterprises Semantic Object Model Total Quality Management Unified Modeling Language Association of Gennan Automobile Manufacturers Workflow Application Programming Interface Workflow Management Coalition Workflow Management System

14 Table of Figures Fig.la Comparing organizational effort and software effort 7 within the life cycle Fig.lb Various approaches for reducing the organizational effort 8 Fig.2a Interaction diagram of the business process "order 11 processing" Fig.2b General business interaction diagram in enterprises 11 Fig. 3 Function flow of the business process "order processing" 12 Fig. 4 Output flow of the business process "order processing" 14 Fig. 5 Information flow of the business process "order 15 processing" Fig. 6 Consolidated business process model "order processing" 17 Fig. 7 Detailed excerpt of business process and of event 19 "manufacture item" Fig. 8 System illustrating industrial production factors 21 Fig. 9 Classifying types of output/input 22 Fig. 10 ARIS business process model Fig. 11 Business process model of an order instance (level 1) 28 Fig. 12 Abstraction levels in modeling 29 Fig. 13 The general ARIS business process model 31 Fig.14a Function view 34 Fig.14b (Hierarchical) organization view 34 Fig.14c Data view 35 Fig.14d Output view 35 Fig. 15 Views of the ARIS house 37 Fig. 16 ARIS phase model 39 Fig. 17 ARIS house with phase concept 41 Fig. 18 ARIS house with links to corporate strategy and 42 information management Fig. 19 Preliminary ARIS information model 45 Fig. 20 ARIS components of the aris meta level Fig. 21 EPC of an ARIS procedural model draft 50 Fig. 22 ARIS views of "create requirements definition function 51 view" Fig. 23 Relationship between the ARIS concept and the ARIS 53 procedural model Fig. 24 Process management with the ARIS - house of business engineering concept Fig.25a Product and process model 59 Fig.25b Equivalent product and process descriptions for different 60 services

15 XVI Table of Figures Fig.25c Fig.26a Fig.26b Fig. 27 Fig.28a Fig.28b Fig. 29 Fig. 30 Fig. 31 Fig. 32 Fig. 33 Fig. 34 Fig.35a Fig.35b Fig. 36 Fig. 37 Fig. 38 Fig. 39 Fig. 40 Fig. 41 Fig. 42 Fig. 43 Fig. 44 Fig. 45 Fig. 46 Fig. 47 Fig. 48 Fig. 49 Fig. 50 Fig. 51 Fig. 52 Fig. 53 Fig. 54 Fig. 55 Fig. 56 Relationship among product and product innovation Excerpt of an EPC from an ARIS insurance reference model designed by KPMG Excerpt of an EPC from an Rl3 reference model Knowledge topography Knowledge management in an EPC Knowledge profiles in a company Calculating a manufacturing process Information base of activity based costing in office processes Calculating business processes Selected quantitative and qualitative benchmarking criteria Example of a simulation Levels of QM documentation Centralized and decentralized modeling in a client/server environment Illustration of a process with multimedia elements Process monitoring Scheduling a business process Capacity planning of a business process Exception reporting in business process management Reengineering and continuous improvement Various types of models Meta model for controlling model versions From the business process model to the real-world procedure User view of workflow control using clipboards A process structure before and after the implementation of the team concept Various degrees of structuring workflow processes Reference model of the workflow management coalition Types and instances of a business process Association between a type object and an instance object at the meta level Individualizing reference models Interactive business process engineering and customizing of standard software Object oriented illustration of the example "order processing" Business objects in the example "order processing" Linking applets with aris house of business engineering Object management architecture SAP business object

16 Table of Figures XVII Fig. 57 Business components 107 Fig. 58 Embedding common business objects 108 Fig. 59 Framework with exchangeable components 109 Fig. 60 Industrial production system 110 Fig. 61 Workflow driven information system 111 Fig. 62 Architecture of the ARIS business framework 112 Fig. 63 SAP Business Engineer components 114 Fig. 64 SNI-framework ComUnity architecture 115 Fig. 65 IBM -- San Francisco project 116 Fig. 66 ARIS modeling levels 121 Fig. 67 The model administration standard in ARIS toolset 123 Fig. 68 Object type table 124 Fig. 69 Application object table 124 Fig. 70 Object type table enhanced by instance types 124 Fig. 71 Application object table enhanced by instance types 125 Fig. 72 Granularity of a model 126 Fig. 73 Example from ARIS, depicting different levels of a 127 reference model Fig. 74 SAP model hierarchy 128 Fig. 75 Symbols of a sub-model and a comprehensive model 128 Fig. 76 Examples for engineering decisions and their effects 130 Fig. 77 Effects of engineering decisions 130 Fig. 78 Modeling tools 133 Fig. 79 Actions and object flow diagram 135 Fig. 80 Initial example from fig. 3, illustrated in an actions and 136 object flow diagram Fig. 81 The CIMOSA modeling architecture (CIMOSA cube) 138 Fig. 82 Perspectives of the IFIP architecture 141 Fig. 83 Zachman architecture 143 Fig. 84 Procedural model (P model) for object modeling in 145 accordance with the SOM approach Fig. 85 Spinning top-shaped ISA concept 146 Fig. 86 Transition from function to process orientation 148 Fig. 87 Procedural model of business process optimization 149 Fig. 88 EPC for business process "customer order processing" 151 Fig. 89 Elements ofiso Fig. 90 Preliminary ARIS procedural model for ISO certification 156 Fig. 91 Procedural model phases illustrated in a value chain 157 Fig. 92 ARIS models for quality management 159 Fig. 93 Preliminary ARIS procedural model for knowledge 163 process reengineering Fig. 94 Modeling the processing of knowledge 165