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Enterprise Adaptability Using a Capability-oriented Methodology and Tool

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Conference Paper · October 2018

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 Enterprise Adaptability Using a Capability-oriented
Methodology and Tool Support

Renata Petrevska Nechkoska1, Geert Poels1, Jelena Zdravkovic2

1Management Information Science and Operations, Ghent University

[email protected],[email protected]
2Department of Computer and Systems Sciences, Stockholm University

[email protected]

Abstract. Complex, dynamically changing business environments impose great

need for adaptability, where the enterprise modelling discipline ought to
provide relevant support. To investigate how capability-oriented methodologies,
aimed to integrate contextual enterprise modelling with system design and run-
time adjustments facilitate enterprise adaptability in dynamic contexts, we are
using a case of an international financial institution facing, through a timeline
of several years, different adverse events. Our scenario follows planned
transitions towards improvements, by considering how unplanned disturbing
events influence the main enterprise elements - strategy, goals, rules, actors and
resources, business processes, as well as technical components; and how
context modelling and design of capabilities could be utilized to respond to
undesired business situations, by providing an adaptation roadmap for
managing planned and unplanned changes. By utilizing our previously defined
multi-dimensional framework for enterprise adaptability, we have analyzed how
Capability Driven Development methodology complementing an enterprise
modelling approach such as 4EM, could be applied to support successful
business transformations, as well as we outline the requirements for supporting
tools, in our case - ADOxx.

Keywords: enterprise modelling, adaptability, context, capability

1. Introduction

Socio-technical systems are ‘assumed to evolve over time through a combination of

planned and emergent (unplanned) change’ [1]. Abundance of triggers initiating
changes exists because systems have complex internal states, and are situated and
interconnected with their broader environment exposing dynamic and often
unpredictable situations. Man-made structures (buildings, information systems,
enterprises, countries, unions) need to be designed with certain mechanisms and
principles, provided with ‘enabling infrastructure that can offer strategic flexibility
and the capability to accommodate future’ [2]. Enterprises as ‘organized complexities’
[3], continuously experience order, design and re-design as ‘inter-action between
understanding and creation’. Flexibility and the ability to change are continuous
62

challenges before the enterprise architecture and modelling [4] and represent stable
foundation for challenging expanded managerial-IS view-point where the system is
observed from multidisciplinary perspective that triangulates information systems,
management and complexity.
Some approaches acknowledge non-planned, emerging character of a variety of
enterprise developments that rest largely to the capacity of self-organization to
respond to [5]. In order to facilitate that, mechanisms should enable enterprises to
sense and respond to change [6]. The response means reconfiguration in order to
survive (enacting business continuity) and return on right track of developments. In
this study, we are investigating planned and unplanned changes and their implications
to adaptability - resulting with the guidelines how to use a capability-oriented
methodology that will help companies to adapt appropriately. To demonstrate, we are
using business case of international financial institution with planned developments
and facing unplanned events (significant fraud) as kind of ‘thought experiment’, i.e.
what if the bank had a capability-based reaction mechanism in place? We are
providing guidelines on adaptation roadmap both from managerial and IS perspective
and outlining how the approach could be supported by AdoXX tool.
We are extending the work of [7] where CDD Methodology [8] was investigated
for adaptability for complexity, through 3-dimensional framework (Table. 1). The
focus of this study is dimension 3 and its components: adaptability transformations,
variability support, modularity, positive and negative feedback and patterns.

Table 1. Dimensions for analysing and evaluating enterprise adaptability [7]

Dimension 1: Dimension 2: Dimension 3:

Complexity of the environment Managerial (Strategic, Tactical, Artifact-integrated
(external & internal) Operational) Profiling components

Probe-Sense-Respond strategy Clarification and proper Adaptability transformations

CAS characteristics addressing of strategy, tactics, Variability support
Broad business ecology operations Modularity
Multifaceted context capture Purposeful/Purposive system Positive and negative
SIDA & PDCA loops Outcomes/Outputs feedback
Top-down/bottom-up/lateral Qualitative/Quantitative Patterns
learning information

The paper is organized as follows: Section 2 introduces the main concepts relevant
for our study, along with some approaches on how the adaptation is achieved. Section
3 elaborates the business case. Section 4 discusses the use of the CDD Methodology
for adaptability with the reflections on the illustrated case. Section 5 concludes the
work, by summarizing the efforts and future perspectives of this research.

2. Main Concepts and Related Work

Adaptability is degree to which adjustments in practices, processes or structures of an

entity are possible, to projected or actual changes of its environment [9]. Those
changes are incorporated by context, representing current situational environment of
 63

an entity, such as an enterprise. Consequently, capability may be defined as the ability

and capacity that enable an enterprise to achieve business goals in certain context [8].
There are various approaches of how enterprise adaptation may be supported. Some
authors suggest adaptation via alterations in the IS elements directly, others rule-based
adaptation, [10]; or through variability [11] achieved by capturing early and late
requirements and effectuating through architectural design components; or by
capturing and detecting change signals from broader ecosystem of internal and
external environment [12] and by incorporating feedback/feed-forward controls [13].
Changing business conditions, broad business ecosystems and complexity in the
internal and external environment constitute the contexts that need to be captured and
responded to. capability-oriented approaches, such as CDD [8] reach out to context
and assist dynamic reconfiguration – which make it a direction to look into when
addressing planned and unplanned changes. The baseline of the CDD methodology is
consisted of: a capability design process that describes how to design capabilities by
using process models, goal models and other types of enterprise models, which origin
from the 4EM framework [15]; context modelling describes the variations in the
enterprise environment; and run-time adjustment for enabling adaptation by
actualization of adequate capabilities.
Complementary to this, different software platforms and tools used to articulate
both the modeler’s and managerial understanding of the enterprise developments need
to be able to respond to real-life scenarios. Few software tools and platforms facilitate
holistic enterprise modelling, such as ADOxx [14]. We are therefore in this study
outlining how the tool would be beneficial for supporting enterprise adaptability
initiated by managerial decisions and viewpoint.

3. Management of Planned and Unplanned Events

Changes being introduced in time in the enterprises, can be distinguished whether

they are being triggered by unplanned events or are planned - hence the time periods
of planned change and periods of change for survival complementing them.
Planning initially takes static snapshot of the entity, its mechanisms and resources,
is situated within certain context and aims in certain direction dynamism introduced
by portraying the TO-BE state through a transitioning period and effectuated changes
[15]. However, unplanned events occur at certain point on the path from AS-IS to TO-
BE, and deliberate actions need to be undertaken so that the enterprise adapts
properly, maintaining the trajectory towards goals accomplishment (a new AS-IS
state). Due to the disruptive extent of the unplanned event that hinders enterprise’s
existence, the management and the enterprise (assisted by EM) need to resume the
course and facilitate the transition towards a desired TO-BE state.
64

1. Business Case Elaboration

In the following, we briefly describe an International financial institution with the

headquarters in a EU country – goals, business processes and other relevant elements
[15] to mimic a 4EM implementation.
The company has been opening micro-finance banks in developing countries
globally (23 in total). The strategic position is Microfinance bank, combining
traditional banking principles to highly risky subprime clients through own human-
intensive lending technology.
─ Goals of the branches (AS-IS state). Each branch needs to achieve a set of
measurable, goals and qualitative goals (referred in 3.2).
─ Business processes (AS-IS state). Bank level and branch level processes exist
for the core business and for the bank-specific technologies.
─ Organizational structure (AS-IS state). General Managers, Management Board,
Shareholders, Global Audit Committee, Head Office staff (Heads of
Departments, Specialists), Branch staff (Managers, Supervisors, Officers)
─ The ‘to-be’ state embodies a broad range of goals and improvements that should
be achieved in the transitioning state.
─ Future state (TO-BE state). To have opened 32 branches within the next 3 years,
including trained staff, to acquire as much of the market as possible - preferably
ranking in the first 5 banks in the country according high-quality loan portfolio.
─ Need for planned change (TRANSITIONING state). These plans incorporate:
managing logistical efficiency in further branch opening (from 20 to 32),
providing mixture of existing and new staff in new branches in the first 3 years,
raising flexibility of existing staff to temporary relocate, growing middle
managers from internal staff, training staff for no mistakes in core software
migration project.
─ In the timeline of developments, an unplanned disturbing event happens.
─ The unplanned disturbing event (in the AS-IS state). One of the branches has
been established in the region shaken by pyramidal-savings scheme swindles
and the population has lost significantly their savings. The branch represents an
EU bank that can be trusted, appointing branch manager from and EU country.
However, one year after the bank appointed local person as a manager, there are
rumours for his fraudulent behaviour (corruption, refinancing of loans with new
disbursements (prohibited), imaginary customers, imaginary businesses)
spreading through the population and some of the branch employees. The
communication channels in the bank are horizontal, vertical, but very few lateral
(only to report harassments and money laundering). The Heads of departments
communicate with the Branch Managers, senior with middle management;
official meetings with clients are established on occasional level, upon
recommendation of branch managers. There is little ‘safe’ space for a
whistleblower or anonymous customer to push the information to Head Office
and respective management. Any such attempt usually stops with the doubtful
 65

branch manager. Branch goals are delivered according KPIs and eventually
there come first external complaints from known customers (directed to HO)
and another manager acting as whistleblower, to uncover the fraud. Customers
withdraw deposits, do not repay or prematurely close loans, do not use
payments services. New local highly reputable branch manager is appointed.
Goals for the specific branch are reformulated in quantitative and qualitative
terms. The extremely high reputation risk may cascade through all bank and
endanger its existence as a whole.
─ After this event, the new developments combine efforts to manage both
activities for planned and handling of unplanned events, towards sustaining the
enterprise in its existence, and developing it further more. The roadmap for
coping with planned and especially unplanned disturbances if using capability-
oriented methodology - in our case CDD [8] is presented in the next section.

2. Modelling Change Using Capability Driven Development Methodology

We are using the CDD meta-model [8] to model the subject (the bank) and its change
management through the timeline of handling unplanned disturbing and planned
change. For the purpose of clarifying a roadmap, we will be considering the main
components of the CDD methodology only, and the main sub-models of 4EM [15], to
be able to visualize the changes introduced in each of them (Figure 1)
Planned change management flow Change management flow after
(AS-IS transitioning towards TO-BE) unplanned disturbing event (AS-IS’
transitioning through TO-BE’ > TO-BE”)

" "

Fig. 1. Visualizing planned and unplanned change management flow

It is relevant to visualize that the triggers (Fig. 1, Step 0 – the Trigger) for
enterprise adaptability can come both from management, as a managerial decision as
set of goals and direct towards improvements, but also from diverse contextual
developments that the entity needs to adapt to in order not to succumb and divert
(extensively) from the upward direction of achieving the goals.
Figure 1 depicts the continuous communication between management and its
EM&CDD at hand to facilitate the enterprise in dynamic conditions, tracing the
relations for business-IT alignment. It visualizes the location of the triggers (Step 0):
66

for planned change in the hands of management, whereas the unplanned events are
triggered and usually need to be captured in the Context (image on the right). As the
first situation enacts the Plan-Do-Check-Act loop, the second enacts Sense-Interpret-
Decide-Act loop. Step 1 is to reason what the events mean in relation to the main
purpose of existence, reflect how the enterprise will react to the events, having in
mind the goals, governing principles, structure (reaching of managerial decision) and
then react appropriately by introducing changes, capabilities (Steps 2, 3, 4, 5).
In the reasoning stage, the management needs to investigate ‘why’ a disturbing
event occurred and what could be done differently (and from the moment on,
improved) in order to prevent in the future. The questions management asks are very
diverse in nature, ranging from missing components, resources, infrastructure,
support, principles, technology, structure, channels. While the first two stages can be
categorized as managerial decisions that use inputs from all aspects of the enterprise
and its context through its information system, the third stage can be treated as
implementation of those decisions. Here, our case study has the following narrative -
model where the changes need to be implemented. Namely, the 4EM sub-models
serve as appropriate constellation because they match and map to point out where and
how the managerial decisions resulted in changes in all sub-models.
The business case records the following developments related to this:
Alterations in the Goal Model of the respective branch and the bank as a whole have
been as follows. This branch now needed to achieve the following measurable,
quantitative goals: Monthly growth of outstanding deposit portfolio of 10.000 EUR
per month (previously 100.000 EUR); Monthly growth of outstanding loan portfolio
of 20.000 EUR per month (previously 200.000 EUR); Absolute amount of loan
disbursements per month of 250.000 EUR (previously 1.500.000 EUR); Percentage of
arrears in loan portfolio over 30 days of less than 5% (previously 2%); Newly
attracted customers (private individuals and legal entities) of at least 2 per month
(previously 20 per month); and additional one: Retaining of number of clients as-is
(not drop towards loss of customers in numbers). This branch needed to achieve the
following unmeasurable, qualitative goals: Corporate presence - to be minimized in
the first 6 months after the fraud; Positive reputation - damaged to the extent that
influence the bank as a whole - all efforts are in this direction to improve; Word of
mouth referral (marketing activities for brand awareness are on HO level) - to pay
personalised attention to each complaining customer; Corporate-social responsibility
in the region - increase as much as possible; Motivated staff - from being highly
demotivated because of bad reputation, firings, resignations.
Alterations in the Business Rule Model of the bank occurred. The governing
principle stating: ‘The bank accepts feedback from known persons (external or
internal) (does not act upon anonymous complaints and reporting)’ has been altered
with: ‘Anonymous complaints (internal and external) are to be considered’.
Alterations in the Concept Model on bank level were through introduction of the
concepts of ‘whistleblower’, ‘external information source regarding fraud’,
‘whistleblower protection’.
Alterations of the Actor and Resource Models on the bank and branch levels were
in: the roles of Head office and Branch staff have been reconfigured in the relations
 67

with the specific branch; and/or re-populated to address the new situation; some of
these changes have later on expanded and been introduced to bank level, as result of
the institutional learning towards fraud
Alterations of the Business Process Model have occurred both in bank and branch
processes. New modelling and instantiations took place - 80% of the branch processes
have been altered for this specific branch only and some have influenced the business
processes for certain aspects in fraud recognition, management and prevention on
bank level, even on international sister-bank level.
Alterations of the Technical Components and Requirements Model resulted in the
very up-to-date own technology dependent information systems and components in
place for the core banking business, as well as broad ecosystem of various
components serving diverse non-core-banking needs. The situation had implications
in redesigning the top-management information flows towards multimodal sensing
and response for fraudulent activities. The requirements have been re-set in being
stated as (1) managerial need and (2) outcome to be achieved first, and (3)
information system design second. This helped clarify situations where due to IS
limitations the management couldn’t properly assess or react to prompt situations.

Fig. 2. Influence of the problem (adverse event) on objectives and goals – and use of
capabilities (existing and new) to address the changed context

The main contextual changes that triggered managerial decisions of alterations of

goals as well as cascaded to the other 4EM sub-models are visualised on Figure 2
with red arrows denoting drop in goal achievement in qualitative and quantitative
terms as well as comment in red (‘adjusted’) whether that specific goal has been
68

modified due to the new circumstances. The changes were completed with a broad set
of capabilities being introduced or re-used after the unplanned trigger.
Capabilities 1, 2, 3 as well as 5-10 (Fig. 2) have been re-used after alteration to the
new context. They are as follows respectively: Capability for loan disbursements –
lowered limits to be disbursed by the branch; Capability for customer acquisition –
modified process to include HO staff; Capability for deposit promotion – modified
process to hear out delicate customer feedback; Capability for guerrilla marketing
(reuse/adapt from HO to Branch Staff) – to include and train branch staff; Capability
for loan decisions of all types (reuse/adapt from Branch to HO Staff) – lowered limits;
Capability for arrears management for loan clients of all types (reuse/adapt from
Branch to HO Staff); Capability for training/coaching of new staff (reuse/adapt from
this Branch to neighbouring Branches); Capability for collaboration with top
management (reuse/adapt from Branch Managers to Supervisors); Capability for
Corporate Social Responsibility (reuse/adapt from HO to Branch Staff). The
adaptation process for alteration and re-use of existing capabilities went through some
(not all) of the sub-models of the 4EM and dimension 3, according the pattern:
Managerial Decision (New context) -> (any of the 4EM sub-models except
Technical&Req.) – (any of the dimension 3 aspects) – Technical&Requirements –>
Information System (in general) (processes with dotted black line on Fig. 3).
Capabilities 4 and 11 have been newly introduced. Their names are: Capability for
fraud-aware branch management as sub-system and Capability for fraud detection,
prevention and management on bank level as a system. The adaptation process for the
newly designed and implemented capabilities went through the pattern:
Managerial Decision (New context) -> (all of the 4EM sub-models except
Technical&Req.) – (all of the dimension 3 aspects) – Technical&Requirements –>
Information System (in general) (process with red line on Fig 3.)

Fig. 3. Adaptation process flow for development of new and re-use of existing capabilities
 69

The design and development of Capability 4 and Capability 11 (Figure 3, process

flow shown with red line) have both touched upon all and each of the 4EM sub-
models, and all dimension 3 elements, figuratively placed in the ‘pattern modelling’
block on the figure, for practicality of the process visualization. They are initiated by
managerial decision (MD) as reaction to contextual trigger that fraudulent behaviour
has been detected by the information system in place, on branch (Capability 4) and
bank level (Capability 11). The other capabilities (1, 2, 3, 5 – 10) have been altered
and re-used necessitating changes in one or few of the 4EM sub-models (process flow
shown with black dotted line). The alteration and re-use of the existing capabilities
helps the enterprise cope with the changed situation because of the lack of important
capability that takes time and actions to develop and introduce.

4. Discussion on Roadmap, Mechanisms and Tool-support for

Adaptability

The banking business case elaborated in the study serves as a realistic illustration for
enterprise adaptability needs and transformations. The developments in the bank after
the unplanned trigger (internal fraud event) describe how substantial efforts of the
enterprise are focused towards building the capability for fraud prevention, detection
and damage control, as well as adapting to new conditions of work, where context and
internal mechanisms have changed. When analyzing the actual developments and
timeline, the bank management had the role to decide on ‘what next and how to
proceed’ after being triggered by unplanned events, that could have even been
foreseen (such as number of events in the ‘business continuity and disaster recovery
planning’). After managerial decisions that introduce changes to many aspects of the
company’s way of doing business are made (governing rules, concepts, goals, actors,
technology, …), CDD+4EM responds to effectuate them in the 4EM sub-models, use
all mechanisms (context modelling, patterns, variability, transformations, …) to re-
align and design, provide capabilities to the new needs and deliver. The adaptation
roadmap these events traced has been visualised on figures 3 and 4, capturing:

─ The main participants (Management, CDD+4EM artefact and team-in-place,

Contextual participants and occurrences, the Information System on generic level)

─ The route on how the enterprise behaves when introducing deliberate, planned
change and when adapting to unplanned change, differentiating:
• The difference between the two routes in triggers – planned change triggered by
managerial decisions and carried out to dynamic completion by CDD+4EM; and
unplanned change triggered in context, necessitating managerial decisions and
being carried out to dynamic completion by CDD+4EM
• The difference between the adaptation process flows when existing capabilities
are re-used/altered for changing needs; with the situations when capabilities are
newly designed, built and put in place, on two different levels (bank and branch)
70

We are deliberately incorporating participation of management in the roadmap, since

there is little to no automatism when facilitating enterprises upwards. With this
perspective, we can advise (i) managers on what happens when an entire IS
mechanism of CDD+4EM is in place at their disposal for various planned/unplanned
circumstances, what they can expect and do with it; and (ii) modelers, on the
managerial entry-points to be considered (not omitted) to support enterprises in
adaptability in dynamic environments using capability-oriented methodology.
With regards to the three-dimensional framework [7], capabilities needed and
made use of all of aspects in dimension 3. Namely, adaptability transformations
(dynamical, at run-time) would have been used in capability re-use (refactoring),
through introduction/removal of roles/capabilities and introduction/removal of
relations and (re)population of existing roles with different actors. Variability has
been invoked in 80% of branch processes being altered for this specific branch only.
Modularity has occurred in 5 capabilities (e.g. re-use of training capabilities with
different content, marketing activities module implemented for branches). Positive
and negative feedback has been incorporated in capabilities to open communication
channels. Patterns(as reusable components) assisted re-use of capabilities but also in
generation of new ones (especially for combining quantitative and qualitative
indicators). Combining qualitative and quantitative indicators before assessing the
state of a branch became pattern for future decision making across all branches.

Table 2. Necessary requirements for software tool support during the capability development,
modification and re-use

Input from participants (socio- Artefacts integration and their in Adaptation roadmap
material) and their terrelatedness (capability development/re-
interrelatedness use depending on triggers)

Management 4EM sub-models Capability development for

Contextual participants Context model planned/unplanned events
Modeling team Pattern model Capabilty modification and
Information Systems team Managerial decisions re-use

With regards to how the metamodeling platform ADOxx supports the hollistic,
multi-participant case developments and adaptation roadmap along with the
managerial needs and enterprise evolution through planned and unplanned triggers we
can have evaluated the followin: the tool provides support for the enterprise
modelling(Goal Model, Business Rules Model, Concepts Model, Actors & Resources
Model, Business Processes Model, Technical Components and Requirements Model),
separately, as well as congruently using a recently developed 4EM AdoXX module.
However, to represent the roles of all the participants in the business case and
facilitate their relations and communication, we would be unsupported with how the
management conveys on continuous basis their decisions and generates new inputs,
how the contextual participants’ information is communicated and effectuated, and in
general, how the overall ecosystem relations and communication are enabled. With
regards to the artefacts used to address the business case, we have enlisted all 4EM
 71

sub-models, but also all the CDD components, with specific mention of the role of
continuous managerial decisions capture and effectuation. ADOxx can be enhanced
with the modules that support capability and context components to help easier
communication through unified modelling format, as well as with the method-
templates for their elicitation [16]. The adaptation roadmap support as our main
contribution in this case, ought to argue for future ADOxx modules towards designing
process flows that capture triggers either in context or from management and
effectuate into new capabilities developments; or trace capability modification and re-
use regarding the triggers from management, context or automated ones (as
prescribed in the CDD methodology). These notions should enable traceability and
validation of a more holistic and encompassing nature.

5. Conclusions and Future Work

In this study, the focus was on how CDD+4EM can be used for supporting managerial
decisions that need to be effectuated in the enterprise, due to adverse business events.
The 3-dimensional framework served as foundation for assessing how a methodology
that complies with adaptability requirements for complexity opens up space for
investigating foreseen (planned/unplanned) and unforeseen events. For foreseen
changes, CDD’s ability to indicate missing capabilities comes in with a role to close
gaps, align mismatches, re-use and introduce capabilities. For unforeseen changes,
companies need to ‘probe’ the context as well as evaluate and receive suggestions for
the internal capabilities; both broader and (not just) immediate context (framework
dimension 1), along with what is needed at which managerial level – strategy, tactics,
operations (framework dimension 2). However, here we were working out dimension
3, and with that restriction, we are able to discuss the common business case, the
CDD+4EM roadmap for managing change and artefact-incorporated components that
support adaptability. We show what of all relevant information from the banking case
is possible to model with CDD+4EM (planned and unplanned change triggered by
different participants and in different environments), how (through the adaptation
roadmap steps of business-IT alignment to the new reality that tracks the capability
design, development and (re-use). This research contributes to the application of CDD
methodology to dynamically changing businesses; and by tracing adaptation roadmap
on capability-oriented methodology using broad business-IT perspective and
participants. CDD methodology with 4EM address the main needs: translating the
managerial decisions into proper reconfiguration of the enterprise model and its sub-
models (Goal, Business Rules, Concepts, Actors and Resources, Business Processes,
Technical Components and Requirements) (in cases of planned and unplanned
change); context modelling complements to capture events and address unplanned
change (that may result in small adjustments or might compromise goal
achievement); and set new and/or re-used capabilities that embody the capacity and
ability to deliver the business value needed by the stakeholders using diverse internal
mechanisms (patterns, modularity, variability, adaptability transformations, positive
and negative feedback). CDD parallels businesses’ big-picture viewpoint and complex
 72

internal mechanisms with the information system bridging and integrating

components to enable and facilitate adaptability in dynamic environments. ADOxx as
metamodeling platform integrates the 4EM and its sub-models, extending with
various modules to operationalize the business needs. However, the capability
development/modification/re-use as described in this study, as well as the modelling
of the context need further development. In addition, we pointed out the diverse
participants whose input is necessary but not dynamically captured with the current
modules, the artefact communication and integration to respond to the big-picture real
case scenarios as well as the adaptation roadmap as process flow conveyed to
introduce and/or re-use capabilities as possibilities for the platform improvement.

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