Compliant Business Process Design Using Refinement Layers

Schleicher, Daniel; Anstett, Tobias; Leymann, Frank; Schumm, David

doi:10.1007/978-3-642-16934-2_11

Cited by 14 publications

(8 citation statements)

References 6 publications

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“…The work in [6] is interesting as it is complementary to our work. In [6], the authors have proposed a layered refinement process whose input is a compliant process template and its output is a fully refined compliant executable process.…”

Section: Related Workmentioning

confidence: 91%

“…Finally, we can also (6) test each subset of CR together with DK to find a global minimum unsatisfiable core in G related to CR.…”

Section: Inconsistency Analysis Of the Business Specificationmentioning

confidence: 99%

“…Instead, they should be seen as a blueprint that is used as a basis for negotiation between business and compliance experts. Hence, we refer to these process models as process templates in order to emphasize that further refinements are needed to actually implement the business process [6]. While this approach has been advocated by other authors, e.g., [2,[7][8][9], existing approaches are limited when it comes to data-dependent compliance requirements.…”

Section: Introductionmentioning

confidence: 99%

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An iterative approach to synthesize business process templates from compliance rules

Awad

Goré

Hóu

et al. 2012

Information Systems

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a b s t r a c tCompanies have to adhere to compliance requirements. The compliance analysis of business operations is typically a joint effort of business experts and compliance experts. Those experts need to create a common understanding of business processes to effectively conduct compliance management. In this paper, we present a technique that aims at supporting this process. We argue that process templates generated out of compliance requirements provide a basis for negotiation among business and compliance experts. We introduce a semi-automated and iterative approach to the synthesis of such process templates from compliance requirements expressed in Linear Temporal Logic (LTL). We show how generic constraints related to business process execution are incorporated and present criteria that point at underspecification. Further, we outline how such underspecification may be resolved to iteratively build up a complete specification. For the synthesis, we leverage existing work on process mining and process restructuring. However, our approach is not limited to the control-flow perspective, but also considers direct and indirect data-flow dependencies. Finally, we elaborate on the application of the derived process templates and present an implementation of our approach.

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Section: Related Workmentioning

confidence: 91%

“…Finally, we can also (6) test each subset of CR together with DK to find a global minimum unsatisfiable core in G related to CR.…”

Section: Inconsistency Analysis Of the Business Specificationmentioning

confidence: 99%

Section: Introductionmentioning

confidence: 99%

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An iterative approach to synthesize business process templates from compliance rules

Awad

Goré

Hóu

et al. 2012

Information Systems

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“…Fig. 3), Ghose and Koliadis (2007) Schleicher, Anstett, Leymann, and Schumm (2010) Arbab, Kokash, and Meng (2009) (Foerster et al 2005(Foerster et al , 2007Küster et al 2007) use activity diagrams of the Unified Modeling Language (UML) (Object Management Group 2005). In addition, three approaches use the Business Process Execution Language (BPEL) (OASIS 2007) as their major application area for compliance checking Liu et al 2007;Schleicher et al 2010).…”

Section: Modeling Language Supportmentioning

confidence: 99%

“…3), Ghose and Koliadis (2007) Schleicher, Anstett, Leymann, and Schumm (2010) Arbab, Kokash, and Meng (2009) (Foerster et al 2005(Foerster et al , 2007Küster et al 2007) use activity diagrams of the Unified Modeling Language (UML) (Object Management Group 2005). In addition, three approaches use the Business Process Execution Language (BPEL) (OASIS 2007) as their major application area for compliance checking Liu et al 2007;Schleicher et al 2010). The approach of Arbab et al (2009) (Ly et al 2006) (№ 10) formulate a modeling language-spanning approach and explicitly classify it "[independent] from the underlying process meta model" (Ly et al 2006, p. 195 These rules require or prohibit a predefined order of process activities, either as direct successors or as successors over a path of activities (e.g., such a compliance rule could require checking credit-worthiness, before a credit is granted).…”

Section: Modeling Language Supportmentioning

confidence: 99%

Business process compliance checking – applying and evaluating a generic pattern matching approach for conceptual models in the financial sector

et al. 2014

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Given the strong increase in regulatory requirements for business processes the management of business process compliance becomes a more and more regarded field in IS research. Several methods have been developed to support compliance checking of conceptual models. However, their focus on distinct modeling languages and mostly linear (i.e., predecessor-successor related) compliance rules may hinder widespread adoption and application in practice. Furthermore, hardly any of them has been evaluated in a real-world setting. We address this issue by applying a generic pattern matching approach for conceptual models to business process compliance checking in the financial sector. It consists of a model query language, a search algorithm and a corresponding modelling tool prototype. It is (1) applicable for all graph-based conceptual modeling languages and (2) for different kinds of compliance rules. Furthermore, based on an applicability check, we (3) evaluate the approach in a financial industry project setting against its relevance for decision support of audit and compliance management tasks.

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Business Process Compliance Using Reference Models of Law

López¹,

Debois²,

Slaats³

et al. 2020

Fundamental Approaches to Software Engineering

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Legal compliance is an important part of certifying the correct behaviour of a business process. To be compliant, organizations might hard-wire regulations into processes, limiting the discretion that workers have when choosing what activities should be executed in a case. Worse, hard-wired compliant processes are difficult to change when laws change, and this occurs very often. This paper proposes a model-driven approach to process compliance and combines a) reference models from laws, and b) business process models. Both reference and process models are expressed in a declarative process language, The Dynamic Condition Response (DCR) graphs. They are subject to testing and verification, allowing law practitioners to check consistency against the intent of the law. Compliance checking is a combination of alignments between events in laws and events in a process model. In this way, a reference model can be used to check different process variants. Moreover, changes in the reference model due to law changes do not necessarily invalidate existing processes, allowing their reuse and adaptation. We exemplify the framework via the alignment of laws and business rules and a real contract change management process, Finally, we show how compliance checking for declarative processes is decidable, and provide a polynomial time approximation that contrasts NP complexity algorithms used in compliance checking for imperative business processes. All-together, this paper presents technical and methodological steps that are being used by legal practitioners in municipal governments in their efforts towards digitalization of work practices in the public sector.

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Compliant Business Process Design Using Refinement Layers

Cited by 14 publications

References 6 publications

An iterative approach to synthesize business process templates from compliance rules

An iterative approach to synthesize business process templates from compliance rules

Business process compliance checking – applying and evaluating a generic pattern matching approach for conceptual models in the financial sector

Business Process Compliance Using Reference Models of Law

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