This paper is dedicated to compliance monitoring as this is crucial for the timely detection and prediction of compliance violations as well as for the provision of reactive and pro-active countermeasures on compliance violations.
Business process monitor tools Offline#
Finally, processes can be diagnosed for compliance violations in a post mortem or offline manner, i.e., after process instance execution has been finished. For this, typically, terms such as compliance monitoring or online auditing are used. At runtime, the progress of a potentially large number of process instances is monitored to detect or even predict compliance violations. During design time, the compliance of a process model with a set of constraints is checked.
The need to check for compliance of business processes based on a set of constraints may emerge in different phases of the process life cycle. In practice, compliance checks are often conducted manually and hence perceived as a burden, although their importance is undoubted. An example constraint from the medical domain would be “The patient has to be informed about the risks of a surgery before the surgery takes place”. In essence, several approaches have been developed to formally and (semi-) automatically prove that business processes comply with relevant constraints such as regulations, laws, or guidelines. Overall, the CMF framework provides powerful means to position existing and future compliance monitoring approaches.īusiness process compliance emerged as hot topic in research during the last few years. Moreover, the application of the CMFs is showcased using three existing tools that are applied to two realistic data sets. The appropriateness of the selection of CMFs is demonstrated in two ways: (a) a systematic comparison with pattern-based compliance approaches and (b) a classification of existing compliance monitoring approaches using the CMFs. The CMFs are harvested based on a systematic literature review and five selected case studies. To define the scope of the framework, at first, related areas are identified and discussed. The goal of this paper is to define a framework for Compliance Monitoring Functionalities (CMF) that enables the systematic comparison of existing and new approaches for monitoring compliance rules over business processes during runtime. Hence, it is unclear which approaches are suitable for particular scenarios. Moreover, proper means for the systematic comparison of these approaches are missing. The body of literature on business process compliance is large and approaches specifically addressing process monitoring are hard to identify. Monitoring not only refers to continuously observing possible compliance violations, but also includes the ability to provide fine-grained feedback and to predict possible compliance violations in the future. In recent years, monitoring the compliance of business processes with relevant regulations, constraints, and rules during runtime has evolved as major concern in literature and practice.
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