BPM Case Study - Managing Regulatory Controls in the Banking and Financial Sector with Activiti. Greg Harley Director - Special Projects BP3 Global

Transcription

1 BPM Case Study - Managing Regulatory Controls in the Banking and Financial Sector with Activiti Greg Harley Director - Special Projects BP3 Global

2 What is BPM?

3 BPM Definition: A management discipline that concentrates on process visibility, measurement, optimization and continuous improvement to drive business efficiency. What BPM is NOT!: BPM is NOT a software package BPM is NOT a notation BPM is NOT workflow BPM is NOT process automation BPM is NOT a silver bullet What BPM is: BPM is a methodology

4 Who are BP3?

5 BP3 - Simplifying BPM WHO WE ARE: person firm in Austin TX Founded by former Lombardi leaders 15-fold growth in 7 yrs WHAT WE DO: We innovate around BPM solutions We deliver BPM solutions for Fortune 500 companies Considered the best BPM Partner in IBM s Ecosystem Customer Success and Mobile BPM We build and distribute Brazos UI Toolkit and Brazos Portal First Alfresco/Activiti BPM partner We provide services, support, and managed services around BPM products FOCUS: BP3: 100% Focused on BPM WHY WE RE THE BEST We invest in technology as well as people and process We re invested in the community

6 Setting the scene?

7 Governance and audit ability are a big deal in the financial sector Sarbanes Oxley (2002) Public company accountability act with emphasis on audit ability and governance Global Financial Crisis (2008) The U.S. Senate's Levin Coburn Report concluded that the crisis was the result of "high risk, complex financial products; undisclosed conflicts of interest; the failure of regulators, the credit rating agencies, and the market itself to rein in the excesses of Wall Street."[1] Dodd-Frank Act (2010) Largest regulatory reform to financial industry since great depression. [1] Senate Financial Crisis Report, 2011" (PDF). Retrieved April 22, 2011.

8 Meat and Potatoes?

9 FICO Model Central FICO Model Central Solution is a tiered, scalable platform designed to help firms more effectively and efficiently maximize the performance of their analytic models across the entire model lifecycle. 1 From

10 Model Central was missing embedded governance. Business need: Know the status of every model Activiti Selected: light weight Track the action items associated with every model Get a clear picture of the development & lifecycle status of a model Organize the collaborative efforts of many players Be well prepared to defend model designs and upkeep to internal and external governors Java based Compatible with existing architecture Main competitor jbpm BP3: Provides solution support and implementation services

11 A fully embedded solution

12 Model Central stack Platform Java OSGi Container Eclipse Virgo/Equinox Database Postgres ECM Content Repository Nuxeo (don t shoot the messenger) Client Side framework Knockout.js, bootstrap, jquery, requirejs

13 Major integration points Embedded runtime engine and Rest api modified to run under Virgo OSGi container Extended to add "special" Rest calls Implemented SSO with existing Model Central User repo. Embedded designer (KisBPM) Extensions to KisBPM using html injection at runtime. Custom form properties Custom stencils Created new modeling repository (document store) Created new deployment environment includes externally assignable categories (to support non start-able processes) Includes additional bundled resources form definitions (JSON) RACI map Created Dynamically assignable roles (during process execution) Created User/Task assignment based on RACI map Added a dozen custom variable types (including types that map into existing model metadata) Integrated into existing MC user and group repo Integrated process initiation to MC dashboards Integrated task list includes claiming and reassignment Integrated process instances Includes admin functions for terminate, suspend Integrated diagram viewer Integrated process history reports Custom parse handlers for Automatic notification to task participants on create Automatic generation of user candidates from roles Automatic generation of custom variables that map to financial model metadata on process start Custom form rendering using Alpaca Custom Alpaca controls, templates and style

14 Process Modeling & Deployment List of available process models integrated into Model Central. Process Category is a first class citizen Processes saved to document store Promote makes process models available for deployment. Role based access to process authoring List of process models available for deployment. Integrated process diagram Deployment automatically bundles referenced RACI and Form definitions Parse errors surfaced to Model Central panel. Role based access to deployment option

15 ..The technical stuff Process Modeler Integration (KisBPM) Extracted KisBPM assets from Activiti Explorer Override Model repository with Nuxeo document store Updated CRUD services (REST) to use document store Created new export/import REST API (Jersey) Created a new REST API to release the model for deployment Deployment Created new Jersey REST API to deploy a process definition and package forms and RACI map as resources. Created a new Jersey REST API to rollback the active deployment Added deployment validators for missing forms Deployment automagically suspends older versions of the process model (allows the use of process key)

16 RACI and Dynamic Roles Responsible, Accountable, Consulted, Informed. RACI is a common means of defining participants of a process in the financial sector. RACI membership is defined outside the process definition. RACI custom variable can be accessed directly from within the process for assignee, candidateusers etc. Very long running processes (> 12 months). Not all participants are known at the time a process is initiated. Need to be able to update role assignment dynamically (while process is in play). Different from groups. Roles inherited by called sub processes automatically.

17 ..The technical stuff Dynamic Roles RACI Roles defined in JSON Packaged as a resource file when process is deployed Inserted into process startup (process start listener) Above listener inserted on deployment using a custom parse handler. Backed by custom variable type and exposed as a process variable. Update to the role array automatically sends a locally scoped signal to the process to allow processes to proceed once a necessary role is assigned. Packaged and injected into the process in the same way as the dynamic roles. Custom RACI variable type that exposes Assigned Responsible (unique) Consulted Informed Is not dynamic (i.e. assignment of user, group or role made prior to deploy)

18 Integrated Task List & Process History Task list fully integrated into Model Central dashboard. Task reassignment option available to admins. List of processes available to all users. Admin users can terminate processes from dashboard. Process instance diagram available as well as list of all tasks for a given process. Process History view includes all tasks, assignees and variable updates. Process history view ordered chronologically. Uses historical view and custom queries provided by the Activiti management service. Includes a custom milestone variable.

19 ..The technical stuff Integrated Task List Role Enabled (provides for reassignment if task owner) Supports delegation Uses Knockout Datatables (observable bindings) Backed by custom service to include subject and description variables Supports sort, filter and paging. Integrated Process History Integrated Process Diagram Displays all tasks, form variables and documents in chronological order. Provides view of currently running as well as completed processes Makes use of standard audit tables (log level:- full)

20 Custom Form Implementation Form implementation makes use of Alpaca Easy Forms. Form Key stored in task definition. Forms deployed as resources with each process. Custom controls user (select2) file (upload direct to document store) Forms are defined in JSON and parsed by Alpaca engine. Alpaca is a 100% client side parser. Variable values are merged by form service when called by browser. Support multiple template layouts and styles. Support reusability by separating field definition from layout.

21 ..The technical stuff Custom Forms (Alpaca.js) Forms defined in JSON and maintained in document store Deployed as resource files on process deployment Means we can support versioning of not only processes but also process forms Backed by custom service which merges process/task variables into JSON at runtime Supports custom layout templates Custom style injections and custom controls (e.g. select2) Custom File upload control saves files to document store directly.

22 Timeline First approach in late January 2014 Project commenced mid Feb 2014 Early Access release delivered 1st May 2014 GA delivered 1st July 2014 GA+1 due for delivery 1st Oct 2014! Team of between 2 and 4 resources.

23 Question Time

24 Lessons Learned - It's just BPM I was surprised how well consultants familiar with other BPM suites come up to speed. Activiti is incredibly flexible and ideal for embedding into existing java based products - Designer (both Eclipse and Web) have their own personality (save often, don t reuse id's)