An Anti-Pattern-based Runtime Business Process Compliance Monitoring Framework

Abstract

Abstract-Today s dynamically changing business and compliance environment demand enterprises to continuously ensure their compliance with various laws, regulations and standards. Several business studies have concluded that compliance management is one of the main challenges companies face nowadays. Runtime compliance monitoring is of utmost importance for compliance assurance as during the prior design-time compliance checking phase, only a subset of the imposed compliance requirements can be statically checked due to the absence of required variable instantiation and contextual information. Furthermore, the fact that a BP model has been statically checked for compliance during design-time does not guarantee that the corresponding running BP instances are usually compliant due to human and machine errors. In this paper, we present a generic proactive runtime BP compliance monitoring framework, BPMaaS. The framework incorporates a wide range of expressive high-level graphical compliance patterns for the abstract specification of runtime constraints. Compliance monitoring is achieved using anti-patterns, a novel mechanism which is agnostic towards any underlying monitoring execution technology. As a proof-ofconcept, complex event processing (CEP) technology is adopted as one of the possible realizations of the monitoring engine of the framework. An integrated tool-suite has been developed as an instantiation artifact of BP-MaaS, and the validation of the approach is undertaken in several directions, which includes internal validity and case study conducts considering two real-life case studies from the banking domain.

Collection and Elicitation of Business Process Compliance Patterns with Focus on Data Aspects

“…Becker et al (2012) compare different approaches by positioning compliance approaches into the support of CPs of simple, medium, and high complexity where only 2 approaches support highly complex CPs referring to data or time. For instance, precedence and consequence patterns for activities in a business process are used several times as examples (e.g., Awad et al 2015; Barnawi et al 2016;Chesani et al 2008;El Gammal 2012;Yu et al 2006). The focus of BPC publications on the order and occurrence perspective is also highlighted by Fellmann and Zasada (2014).…”

“…The majority of existing approaches includes CPs. Only seven papers explicitly deal with CAPs (Awad 2010; Awad and Weske 2010; Awad et al 2011Awad et al , 2015Barnawi et al 2016;Trčka et al 2009). Lu et al (2009) use CPs and Bernardi et al (2014) use CAPs but they do not name them as such.…”

“…Around one third of the papers proposes their own compliance monitoring or compliance management framework (Awad et al 2015;Barnawi et al 2016;El Gammal 2012;Elgammal et al 2016;Giblin et al 2006;Gong et al 2016;Ly 2016;Ly et al 2011Ly et al , 2015Maggi et al 2011;Papazoglou 2011;Schumm et al 2010;Thullner et al 2011;Turetken et al 2012). Those frameworks mainly try to comprehensively address the topic of compliance verification by checking compliance at design-time (Awad 2010; Awad and Weske Awad et al 2009Awad et al , 2011Becker et al 2010;Bernardi et al 2014;Cheikhrouhou et al 2014;El Gammal 2012;Elgammal et al 2010Elgammal et al , 2016Gomez-Lopez et al 2013;Ly 2016;Ly et al 2011;Schumm et al 2010;Stuht et al 2012;Turetken et al 2012) or checking compliance based on execution traces at the runtime of a business process (Awad et al 2015;Barnawi et al 2016;Chesani et al 2008Chesani et al , 2009De Masellis et al 2014;El Gammal 2012;Lam 2017;Ly 2016;Ly et al 2015;Maggi et al 2011;Ramezani 2017;Santos et al 2012).…”

“…For instance, Principle 1 of BCBS 239 requires the active participation of the board and senior management of a bank which can be covered by CP performed by (cf. Barnawi et al 2016;El Gammal 2012;Ly et al 2015). Another example are paragraphs 4 and 6 of Article 13 stated in AnaCredit where national central banks have to transfer monthly credit data until a defined deadline being covered by CPs P LeadsTo Q ExactlyAfter k (El Gammal 2012) or An activity of type a 1 must be started/completed before/after/on t time units (relative to t 0 ) (Caron et al 2013a).…”

Modeling and Analysis of 3d Printing Ws-Bpel Business Processes Based on Servicenet

“…for each element, an element can be found in the other model with the matching) , we take the cutting strategy to get a set of core BPMN elements. Here, we have discussed this topic that the BPMN-based task model is the task model based on BPMN core elements [17].…”