Advances in Rule-Based Process Mining: Applications for Enterprise Risk Management and Auditing

Business process compliance is one of the prevalent challenges for companies. Despite an abundance of research proposals, companies still struggle with manual compliance checks and the understanding of compliance violations in the light of missing root-cause explanations. Moreover, approaches have merely focused on the control flow perspective in compliance checking, neglecting other aspects such as the data perspective. This paper aims at analyzing the gap between existing academic work and compliance demands from practice with a focus on the data aspects. The latter emerges from a small set of regulatory documents from different domains. Patterns are assumed as the right level of abstraction for compliance specification due to their independence of (technical) implementation in (process-aware) information systems, potential for reuse, and understandability. A systematic literature review collects and assesses existing compliance patterns. A first analysis of ten regulatory documents from different domains specifically reveals data-oriented compliance constraints that are not yet reflected by existing compliance patterns. Accordingly, data-related compliance patterns are specified. Keywords Business process compliance Á Compliance (anti) patterns Á Data perspective of business processes Á Regulatory data constraints

show abstract

“…Also three documents do not state any application domain at all (cf. Caron et al 2013b;Gruhn andLaue 2005, 2006).…”

Section: Literature Analysismentioning

confidence: 99%