Compliance checking is gaining importance as today’s organizations need to show that operational processes are executed in a controlled manner while satisfying prede¿ned (legal) requirements. Deviations may be costly and expose the organization to severe risks. Compliance checking is of growing importance for the business process management and auditing communities. This paper presents an approach for checking compliance of observed process executions recorded in an event log to control-¿ow and temporal compliance requirements. We show a collection of 54 control ¿ow and 15 temporal compliance rules, distributed respectively over 10 and 7 categories. In addition we present how temporal compliance requirements discussed in literature can be uni¿ed and formalized using a generic temporal compliance rule.
To check compliance with respect to a compliance rule, the event log describing the observed behavior is aligned with the corresponding rule. The alignment then shows which events occurred out of speci¿ed order and which events deviated by which amount of time from the prescribed behavior. The approach is ¿exible (easy to express new rules), and allowing for multi-perspective diagnostic information in case of compliance violations. The technique and corresponding tool support have been experimentally validated using a case study.
Keywords: compliance checking, process mining, conformance checking, data-aware conformance checking, Petri-nets
|Number of pages||65|
|Publication status||Published - 2012|