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Admin: Created page with "{{DISPLAYTITLE: Case Management Modelling and Notation - A how to guide on the new OMG standard}} == Example == In this section, we illustrate how CMMN supports case handling..."

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Created page with "{{DISPLAYTITLE: Case Management Modelling and Notation - A how to guide on the new OMG standard}} == Example == In this section, we illustrate how CMMN supports case handling..."

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{{DISPLAYTITLE: Case Management Modelling and Notation - A how to guide on the new OMG standard}}
== Example ==
In this section, we illustrate how CMMN supports case handling around the civil procedure of a court case. By choosing an industry with a high degree of complexity, we wish to illustrate the capabilities of CMMN. We have chosen a court environment because the users are specialized knowledge workers, their workflows are complex, and the document management capabilities are highly sophisticated.

=== The court system ===
Case in a court environment is about managing information and documents around multiple roles in a complex workflow from Judges, Program Coordinators, Case Managers, Treatment Providers, Prosecutors, Compliance Officers, Public Defenders and many others. In the criminal system, they have to interact with multiple external defendants.

For example, prisoners, illegal immigrants, people under hospital order, etc. What makes court case management interesting is that each worker needs real-time access to the full case information, and that information can easily change as new evidence is filed, evidence is deemed inadmissible, milestones are reached, notifications are generated, etc. Figure 1 provides an overview of a criminal system roles and their specific case handling needs. The same complexity and similar requirements are present in the civil system.

[[File:Case Management - The New OMG Standard - Figure 2.png|thumb|800px|left|alt=Figure 1: Typical roles, their requirements, and needs around a court case management system.|Figure 1: Typical roles, their requirements, and needs around a court case management system.]]

In a court case management system each worker plays a unique role, requires a unique and flexible workflow, and has unique information requirement. Each worker needs real-time access to the relevant information in the context of a case. The system must handle content management requirements like email notifications, document storage, retention policies, and versioning. It must also handle the collaboration requirements of court workers. It must integrate information and workflow of external parties like drug labs, assessment tools, other agencies and justice partners. The process must react to changes in the case data.

The content management requirements include handling the storage and retention policies of the legislation, the court cases and the verdicts. Case management in a court system could be very complex as it needs to coordinate a large set of parties. Figure 2 is an example of a layered architecture view of a civil system.

[[File:Case Management - The New OMG Standard - Figure 3.png|thumb|800px|left|alt=Figure 2: Layered architecture view illustrating court case handling.|Figure 2: Layered architecture view illustrating court case handling.]]

Figure 2 shows that multiple roles are involved; numerous tasks, information aspects and stages must be coordinated. This makes the modeling of case handling difficult to do in BPM. Collaboration technology and content management technology can help in this scenario and there is no need to model them. A case management model in a court environment therefore has to include the ability for:
*Roles including role specification, documents they create the tasks they execute, and the stages they can complete.
*Information definition including the case file items, which could be documents. The role that produces the document, the task in which the document is produced.
*Milestone specification including the description of the milestones as well as the condition that should be meets for the milestone to be achieved.
*Stage specification including describing the stages, and when they are executed.
*Tasks specification describes the tasks and when they are executed.
*Case Model describes the semantics, with all roles involved, information, tasks and the stages collapsed.

=== The court plaint receipt example ===
In this example, we will use the plaint receipt process used by the Central Intellectual Property and International Trade Court in Thailand. According to Rungruangpattana, and Achalakul, the plaint receipt process fits well the case management paradigm. In this section, we extract the main modeling elements, while keeping it at a high level by omitting some details from the original descriptions by Rungruangpattana and Achalakul.

The plaint receipt process uses most CMMN constructs with the exception of plan fragments, stages with plan tables, and exit criteria for tasks. Plan tables are used in tasks only. Those constructs were not required to model the process. As a convention to simplify referencing the different notational elements, each notational element label includes a short indicator at the end of the label enclosed in parenthesis.

In summary:
*Case file items are numbered from I1 to I8
*Stages are numbered from S1 to S5
*Discretionary stages are numbered from dS1 to dS3
*Tasks are numbered from T1 to T13
*There is a single discretionary task numbered as dT1
*There is a single event numbered as E1
*Milestones are numbered from M1 to M3

=== Plaint receipt ===
The plaint receipt process starts by the litigant party filing a plaint. The plaint is reviewed by a competent officer that classifies the case and inspects it. The competent officer may request the party to amend the plaint, in which case, the party is notified by the filing clerk that the plaint needs to be amended. In that situation, the party may submit an amended plaint. This part of the process may happen multiple times, and the party may submit amended plaints at any time, even if it is not requested by the filing clerk.

When the plaint is accepted, a competent officer charges the court fees and the party provides the payment to the finance officer that issues a receipt of court fees. After payment has been received, a competent officer assigns a Judge to the case. The Judge review the case and issue an order, which could be to accept the case, reject the case, or return the case to the party for more information.

If the case is accepted by the Judge, witnesses are summoned and interviewed by the judge, which also collect and review the evidence. There may be multiple witnesses and evidence to be reviewed by the Judge. With that information the judge issues a sentence. If the case is rejected, the judge records that fact in the judgment list. If the case is returned to the party for more information, the litigant party is notified by the filing clerk to amend the plaint.

The party may submit an amended plaint that is reviewed by the competent officer. If the party does not amend the claim in the allocated timeframe, the competent officer writes a report to the Judge indicating the amended plaint was not received in time. In either of those two situations, the judge is again requested to issue another order, which again could be to accept the case, reject the case, or return the case to the party for more information.

=== Roles ===
In CMMN, roles are defined at the case level. Roles can be used as performers for human tasks, to do case planning, and to raise user events. However, roles do not have a graphical notation, and not everything a role does is modeled. In particular, a role may be allowed to do planning that may not be explicitly modeled; a role may also add, create, modify, or remove documents from the case file which may not be explicitly modeled. The plaint receipt process prototype described by Rungruangpattana, and Achalakul uses six roles. For simplification, the Authority role was omitted.

Table 1, describes the remaining roles, the documents they create, the tasks they execute, and the stages they can complete.

{| class="wikitable" style="text-align: left; width: 80%;"
|- style="vertical-align: top;"
| style="width: 10%; background: #0b98d6; color: #ffffff;" | '''Role'''
| style="width: 20%; background: #0b98d6; color: #ffffff;" | '''Creates'''
| style="width: 30%; background: #0b98d6; color: #ffffff;" | '''Execute tasks'''
| style="width: 20%; background: #0b98d6; color: #ffffff;" | '''Complete stages'''
|- style="vertical-align: top;"
| Competent officer
| Accepted Amended Plaint (I4) Report on Plaint (I5)
| Classify the case (T1) Inspect the plaint (T2), including planning Asses plaint docs to charge court fee (T3) inform litigant to amend the plaint (dT1) Assign a judge (T5) Accept the plaint (T12) Do report to the judge (T13)
|
Inspect plaint (S1) (S4)
|- style="vertical-align: top;"
| Filing clerk
|
| Inform litigant to amend the plaint (T11) Inform litigant to amend the plaint (dT1)
| Prototype of Civil Court Case Management in Thailand
|-
| Finance officer
| Receipt (I8)
| Issue a receipt of court fee (T4)
|
|-
| Judge
| Sentence (I7)
| Manually schedule Process plaint (S3) Order (T6), including planning Examine witnesses (T7) Review evidence (T8) Sentence (T9) Sentence (T10)
| Process plaint (S3) (S5)
|-
| Party
| Plaint (I1) Amended plaint (I2) Payment (I3) Amend Plaint (I6)
|
|
|}

Table 1: Roles.

=== Information model ===
Table 2, describes the different case file items. In this example, the case file items are documents. The table describes the role that produces the document, and the task in which the document is produced. Note that some documents originate outside the case management system; and for those documents produced within a task in the system, there is no explicit modeling of that fact.

{| class="wikitable" style="text-align: left; width: 70%;"
|- style="vertical-align: top;"
| style="width: 20%; background: #0b98d6; color: #ffffff;" | '''Case file item'''
| style="width: 20%; background: #0b98d6; color: #ffffff;" | '''Produced by'''
| style="width: 30%; background: #0b98d6; color: #ffffff;" | '''Produced at task'''
|- style="vertical-align: top;"
| Plaint (I1)
| Party
|
|- style="vertical-align: top;"
| Amended plaint (I2)
| Party
|
|-
| Payment (I3)
| Party
|
|-
| Accepted Amended Plaint (I4)
| Competent officer
| Inspect the plaint (T2) Accept the plaint (T12)
|-
| Report on Plaint (I5)
| Competent officer
| Do report to the judge (T13)
|-
| Amend Plaint (I6)
| Party
|
|-
| Sentence (I7)
| Judge
| Sentence (T9) Sentence (T10)
|-
| Receipt (I8)
| Finance officer
| Issue a receipt of court fee (T4)
|}

Table 2: Information model.

=== Milestones ===
Milestones represent accomplishments during the process of the case. Due to the large variations between case instances, milestones are important to understand the progress of a particular case instance. Table 3, describes the milestones and the condition that should be meet for the milestone to be achieved.

{| class="wikitable" style="text-align: left; width: 60%;"
|- style="vertical-align: top;"
| style="width: 15%; background: #0b98d6; color: #ffffff;" | '''Milestone'''
| style="width: 15%; background: #0b98d6; color: #ffffff;" | '''Entry criteria'''
| style="width: 30%; background: #0b98d6; color: #ffffff;" | '''Description'''
|- style="vertical-align: top;"
| Inspected plaint (M1)
| Completion of stage S1
| Triggered when a plaint has been accepted
|- style="vertical-align: top;"
| Judge assigned (M2)
| Completion of task T5
| Triggered when a Judge has been assigned to the case
|-
| Case decided (M3)
| Creation of I7
| Triggered when the case have been decided and a sentence has been produced
|}

Table 3: Milestones.

=== Stages ===
Stages are behavioral containers, and they are used to manage the complexity of the model by using nesting to hide details. Table 4, describes the stages in this example, and when they are executed (entry criteria).

{| class="wikitable" style="text-align: left; width: 60%;"
|- style="vertical-align: top;"
| style="width: 15%; background: #0b98d6; color: #ffffff;" | '''Stage'''
| style="width: 15%; background: #0b98d6; color: #ffffff;" | '''Entry criteria'''
| style="width: 30%; background: #0b98d6; color: #ffffff;" | '''Description'''
|- style="vertical-align: top;"
| Inspect plaint (S1)
| Arrival of a plaint (I1)
| Required stage, but not auto-complete; because T1, T2, and dT1 may complete before an I2 arrives
|- style="vertical-align: top;"
| Collect payment (S2)
| Completion of Inspected plaint (M1)
| Required and auto-complete stage
|-
| Process plaint (S3)
| Completion of Judge Assigned (M2)
| Required and manually activated stage
|-
| (S4)
| None. Starts when dS1 transitions to active
| Required stage, but not auto-complete; because T7 add T8 can be executed multiple times and T7 is optional
|-
| (S5)
| None. Starts when dS3 transitions to active
| This stage has an exit criteria that is triggered when T13 is completed
|-
| Accept (dS1)
| None. Discretionary and may be added to the plan during the execution of T6.
| Auto-complete discretionary stage
|-
| Reject (dS2)
| None. Discretionary and may be added to the plan during the execution of T6.
| Auto-complete discretionary stage
|-
| Return (dS3)
| None. Discretionary and may be added to the plan during the execution of T6.
| Auto-complete and repeatable discretionary stage. It is repeatable because the plaint (I1) could be returned multiple times to the party
|}

Table 4: Stages.

=== Tasks ===
Tasks in CMMN are similar to tasks or activities in BPMN. Table 5, describes the tasks and when they are executed (entry criteria).

{| class="wikitable" style="text-align: left; width: 60%;"
|- style="vertical-align: top;"
| style="width: 15%; background: #0b98d6; color: #ffffff;" | '''Task'''
| style="width: 15%; background: #0b98d6; color: #ffffff;" | '''Entry criteria'''
| style="width: 30%; background: #0b98d6; color: #ffffff;" | '''Description'''
|- style="vertical-align: top;"
| Classify the case (T1)
| None. Created when S1 becomes active.
| Requited, and blocking human task.
|- style="vertical-align: top;"
| Inspect the plaint (T2)
| T1 completes OR a new I2 is created.
| Requited, repeatable, and blocking human task; because multiple I2s may be created. First time is expected to execute based on T1 completion, and if there is a problem with plaint the case worker can plan dT1 in which case a new I2 may be submitted by the party. Note that if the task is being executed and a new I2 is present, then I4 may be created by the competent officer during the execution of this task.
|-
| Asses plaint docs to charge court fee (T3)
| None. Created when S2 becomes active.
| Requited, and blocking human task.
|-
| Issue a receipt of court fee (T4)
| T3 completes AND I3 is created.
| Required tasks implemented by a process.
|-
| Assign a judge (T5)
| T4 completes.
| Requited, blocking human task
|-
| Order (T6)
| S3 becomes active OR a new I4 is created OR a new I5 is created.
| Required, repeatable, and blocking human task. This task is expected to execute the first time when a judge is assigned, and after that each time a new I4 or I5 are created.
|-
| Examine witnesses (T7)
| None. Created when S4 becomes active.
| Repeatable, manually activated, and blocking human task
|-
| Review evidence (T8)
| None. Created when S4 becomes active.
| Requited, repeatable, manually activated, and blocking human task.
|-
| Sentence (T9)
| S4 completes.
| Requited, and blocking human task. Note that I7 will be created by the judge during the execution of this task.
|-
| Sentence (T10)
| None. Created when dS2 becomes active.
| Requited, and blocking human task. Note that I7 will be created by the judge during the execution of this task.
|-
| Inform litigant to amend the plaint (T11)
| None. Created when S5 becomes active.
| Requited, and non-blocking human task.
|-
| Accept the plaint (T12)
| New I6 is created
| Optional and blocking human task. Note that I4 will be created by the competent officer during the execution of this task.
|-
| Do report to the Judge (T13)
| Timer E3 completes.
| Optional and blocking human task. Note that I5 will be created by the competent officer during the execution of this task.
|-
| Inform litigant to amend the plaint (dT1)
| None. Discretionary task.
| Non-blocking human task.
|}

Table 5: Tasks.

[[Category: Categorization & Classification]]
[[Category: Risk]]

@@ Line 9: / Line 9: @@
 | style="width: 35%; background: #0b98d6; color: #ffffff;" | '''Description'''
 |- style="vertical-align: top;"
-| Legal
+| '''Legal'''
+|
+|
@@ Line 19: / Line 19: @@
 | There is a risk that insufficient legal and drafting support will be available to the program.
 |- style="vertical-align: top;"
-| Governance and strategic direction
+| '''Governance and strategic direction'''
+|
+|
@@ Line 39: / Line 39: @@
+|
 |- style="vertical-align: top;"
-| Capital infrastructure
+| '''Capital infrastructure'''
+|
+|
 | Threats and opportunities associated with an organization's capital infrastructure including hard assets (e.g., buildings, vessels, scientific equipment, fleet), but excluding IT.
 |- style="vertical-align: top;"
-| Communications
+| '''Communications'''
+|
+|
 | Threats and opportunities associated with an organization's approach and culture of communication, consultation, transparency and information-sharing, both within and outside the organization.
 |- style="vertical-align: top;"
-| Conflict of interest
+| '''Conflict of interest'''
+|
+|
@@ Line 94: / Line 94: @@
+|
 |- style="vertical-align: top;"
-| Financial management
+| '''Financial management'''
+|
+|
 | Threats and opportunities associated with the structures and processes of an organization to ensure sound management of financial resources and its compliance with financial management policies and standards.
 |- style="vertical-align: top;"
-| Human Resources Management
+| '''Human Resources Management'''
+|
+|
@@ Line 114: / Line 114: @@
 | There is a risk that there will be insufficient HR capacity for Business Function.
 |- style="vertical-align: top;"
-| Knowledge Management
+| '''Knowledge Management'''
+|
+|
 | Threats and opportunities associated with an organization's collection and management of knowledge, including intellectual property, organizational or operational information and records, and scientific data.
 |- style="vertical-align: top;"
-| Business Processes
+| '''Business Processes'''
+|
+|
@@ Line 144: / Line 144: @@
+|
 |- style="vertical-align: top;"
-| Information Management
+| '''Information Management'''
+|
+|
@@ Line 184: / Line 184: @@
+|
 |- style="vertical-align: top;"
-| Information Technology
+| '''Information Technology'''
+|
+|
@@ Line 199: / Line 199: @@
+|
 |- style="vertical-align: top;"
-| Organizational transformation and change management
+| '''Organizational transformation and change management'''
+|
+|
@@ Line 219: / Line 219: @@
+|
 |- style="vertical-align: top;"
-| Policy development and implementation
+| '''Policy development and implementation'''
+|
+|
@@ Line 234: / Line 234: @@
+|
 |- style="vertical-align: top;"
-| Privacy/Information stewardship
+| '''Privacy/Information stewardship'''
+|
+|
 | Threats and opportunities associated with an organization's design, implementation and compliance with the enterprise-wide policy suite as well as its own internal policies and procedures.
 |- style="vertical-align: top;"
-| Program design and delivery
+| '''Program design and delivery'''
+|
+|
@@ Line 254: / Line 254: @@
+|
 |- style="vertical-align: top;"
-| Project management
+| '''Project management'''
+|
+|
@@ Line 264: / Line 264: @@
 | There is a risk that project design will not meet stakeholder and industry requirements.
 |- style="vertical-align: top;"
-| Political
+| '''Political'''
+|
+|
 | Threats and opportunities associated with the political climate and operating context of an organization.
 |- style="vertical-align: top;"
-| Reputational
+| '''Reputational'''
+|
+|
 | Threats and opportunities associated with an organization's reputation and credibility with its partners, stakeholders and the Canadian public.
 |- style="vertical-align: top;"
-| Resource management
+| '''Resource management'''
+|
+|
 | Threats and opportunities associated with the availability and level of resources of an organization to deliver on its mandate, as well as the organization's management of these resources.
 |- style="vertical-align: top;"
-| Stakeholders and partnerships
+| '''Stakeholders and partnerships'''
+|
+|
@@ Line 299: / Line 299: @@
+|
 |- style="vertical-align: top;"
-| Values and ethics
+| '''Values and ethics'''
+|
+|

@@ Line 199: / Line 199: @@
+|
 |- style="vertical-align: top;"
+|
+|
+| Threats and opportunities associated with significant structural or behavioural change within an organization related to mandate, operating context, leadership and strategic direction.
-−
 |- style="vertical-align: top;"
+|
+| Behavioral Change
+|
+|
@@ Line 211: / Line 211: @@
+|
+|
+| Public safety and security trends
+|
 |- style="vertical-align: top;"
+|
+|
+| Politics and government
+|
 |- style="vertical-align: top;"
+|
+|
+| Threats and opportunities associated with an organization's design, implementation and compliance with the enterprise-wide policy suite as well as its own internal policies and procedures.
-−
 |- style="vertical-align: top;"
+|
+| Threat Risk
+|
+|
 |- style="vertical-align: top;"
+|
+| Opportunity Risk
+|
+|
 |- style="vertical-align: top;"
+|
+|
+| Threats and opportunities associated with an organization's design, implementation and compliance with the enterprise-wide policy suite as well as its own internal policies and procedures.
-−
 |- style="vertical-align: top;"
+|
+|
+| Threats and opportunities associated with an organization's design and delivery of specific programs, which may impact the organization's overall objectives.
-−
 |- style="vertical-align: top;"
+|
+|
+| Program Delivery Risk
+| There is a risk that research quality will diminish.
 |- style="vertical-align: top;"
+|
+|
+| Outcome Risk
+|
 |- style="vertical-align: top;"
+|
+|
+| Threats and opportunities associated with an organization's process and practice of developing and managing major projects in support of its overall mandate, as well as risks associated with specific projects that may require ongoing management.
-−
 |- style="vertical-align: top;"
+|
+|
+| Project Design Risk
+| There is a risk that project design will not meet stakeholder and industry requirements.
 |- style="vertical-align: top;"
+|
+|
+| Threats and opportunities associated with the political climate and operating context of an organization.
-−
 |- style="vertical-align: top;"
+|
+|
+| Threats and opportunities associated with an organization's reputation and credibility with its partners, stakeholders and the Canadian public.
-−
 |- style="vertical-align: top;"
+|
+|
+| Threats and opportunities associated with the availability and level of resources of an organization to deliver on its mandate, as well as the organization's management of these resources.
-−
 |- style="vertical-align: top;"
+|
+|
+| Threats and opportunities associated with an organization's partners and stakeholder demographics, characteristics and activities.
-−
 |- style="vertical-align: top;"
+|
+|
+| International relations Change Risk
+|
 |- style="vertical-align: top;"
+|
+|
+| Border-Related Priorities Change Risk
+|
 |- style="vertical-align: top;"
+|
+|
+| Decision Making Risk
+|
 |- style="vertical-align: top;"
+|
+|
+| Threats and opportunities associated with an organization's culture and capacity to adhere to the spirit and intent of the Values and Ethics Code for the Public Service.
-−
-|- style="vertical-align: top;"
-−
-−
-−
-−
-|- style="vertical-align: top;"
-−
-−
-−
-−
 |}

@@ Line 16: / Line 16: @@
+|
+|
+| Legal Risk
+| There is a risk that insufficient legal and drafting support will be available to the program.
 |- style="vertical-align: top;"
+|

@@ Line 2: / Line 2: @@
 == Enterprise Risk Category ==
-{| class="wikitable" style="text-align: left; width: 80%;"
+{| class="wikitable" style="text-align: left; font-size: 10px; width: 80%;"
 |- style="vertical-align: top;"
 | style="width: 15%; background: #0b98d6; color: #ffffff;" | '''Risk Category'''