Literature on business process compliance (BPC) has predominantly focused on the alignment of the regulatory rules with the design, verification and validation of business processes. Previously surveys on BPC have been conducted with specific context in mind; however, the literature on BPC management research is largely sparse and does not accumulate a detailed understanding on existing literature and related issues faced by the domain. This survey provides a holistic view of the literature on existing BPC management approaches, and categories them based on different compliance management strategies in the context of formulated research questions. A systematic literature approach is used where search terms pertaining keywords were used to identify literature related to the research questions from scholarly databases. From initially 183 papers, we selected 79 papers related to the themes of this survey published between 2000-2015. The survey results reveal that mostly compliance management approaches center around three distinct categories namely: design-time (28%), run-time (32%) and auditing (10%). Also, organisational and internal control based compliance management frameworks (21%) and hybrid approaches make (9%) of the surveyed approaches. Furthermore, open research challenges and gaps are identified and discussed with respect to the compliance problem.
By definition, regulatory rules (in legal context called norms) intend to achieve specific behaviour from business processes, and might be relevant to the whole or part of a business process. They can impose conditions on different aspects of process models, e.g., control-flow, data and resources etc. Based on the rules sets, norms can be classified into various classes and sub-classes according to their effects. This paper presents an abstract framework consisting of a list of norms and a generic compliance checking approach on the idea of (possible) execution of processes. The proposed framework is independent of any existing formalism, and provides a conceptually rich and exhaustive ontology and semantics of norms needed for business process compliance checking. Apart from the other uses, the proposed framework can be used to compare different compliance management frameworks (CMFs).
Abstract. Legal documents are the source of norms, guidelines, and rules that often feed into different applications. In this perspective, to foster the need of development and deployment of different applications, it is important to have a sufficiently expressive conceptual framework such that various heterogeneous aspects of norms can be modeled and reasoned with. In this paper, we investigate how to exploit Semantic Web technologies and languages, such as LegalRuleML, to model a legal document. We show how the semantic annotations can be used to empower a business process (regulatory) compliance system and discuss the challenges of adapting a semantic approach to legal domain.
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