Context-Aware Compliance Checking

Abstract

Abstract. Organizations face more and more the burden to show that their business is compliant with respect to many different boundaries. The activity of compliance checking is commonly referred to as auditing. As information systems supporting the organization's business record their usage, process mining techniques such as conformance checking offer the auditor novel tools to automate the auditing activity. However, these techniques tend to look at process instances (i.e., cases) in isolation, whereas many compliance rules can only be evaluated when considering interactions between cases and contextual information. For example, a rule like "a paper should not be reviewed by a reviewer that has been a co-author" cannot be checked without considering the corresponding context (i.e., other papers, other issues, other journals, etc.). To check such compliance rules, we link event logs to the context. Events modify a pre-existing context and constraints can be checked on the resulting context. The approach has been implemented in ProM. The resulting context is represented as an ontology, and the semantic web rule language is used to formalize constraints.

Process Mining in Healthcare: Data Challenges When Answering Frequently Posed Questions

“…Ontologies can be used for defining an appropriate scope and to identify the case from the data sources. Currently, some research is performed in the context of ontologies and (semantic) process mining [3,20]. Further research should explore opportunities for developing an ontology for process mining systems in the healthcare domain.…”

Towards adaptive compliance

“…Several works have shown awareness of different monitoring factors, such as the system execution [2], the Quality of Service in Service Level Agrements (SLAs) [23], or time, resources and data in business processes [19]. However, the operating environment has only been considered for particular aspects of specific cases in the context of business processes [37]. Most of those works present approaches to automate the monitoring in business processes [2,37] and SOA [23].…”

“…However, the operating environment has only been considered for particular aspects of specific cases in the context of business processes [37]. Most of those works present approaches to automate the monitoring in business processes [2,37] and SOA [23].…”

“…Similar approaches have been proposed for general regulatory compliance, by means of inference engines [31] and first order predicate calculus [15], and for business to business interactions [22]. Runtime compliance checking has gained momentum recently, especially in business processes [2,12,37] and SOA [2,23]. Some of these compliance checking approaches also provide diagnosis support (i.e.…”

“…There are also numerous proposals to represent compliance requirements, especially by means of formal or semi-formal languages [4,10,13] and DSLs [2,35]. Nonetheless, the description of compliance controls and the operating environment appear to have been overlooked: while only few works on business processes address the former [17,30] by means of compliance descriptors and process fragments, the latter is even more neglected [37], as we have presented in the previous sections.…”