Business process compliance is a key area of business process management and aims at ensuring that processes obey to compliance constraints such as regulatory constraints or business rules imposed on them. Process compliance can be checked during process design time based on verification of process models and at runtime based on monitoring the compliance states of running process instances. For existing compliance monitoring approaches it remains unclear whether and how compliance violations can be predicted, although predictions are crucial in order to prepare and take countermeasures in time. This work, hence, analyzes existing literature from compliance and SLA monitoring as well as predictive process monitoring and provides an updated framework of compliance monitoring functionalities. For each compliance monitoring functionality we elicit prediction requirements and analyze their coverage by existing approaches. Based on this analysis, open challenges and research directions for predictive compliance and process monitoring are elaborated.
翻译:业务流程合规是业务流程管理的一个关键领域,目的是确保各流程遵守合规制约,例如监管制约或对其施加的业务规则; 可以在流程设计期间,根据对流程模式的核查,在运行过程中监测合规状态,对流程合规情况进行检查; 对于现有的合规监测方法,尚不清楚是否以及如何预测合规情况,尽管预测对于及时准备和采取应对措施至关重要; 因此,这项工作分析了合规和苏丹解放军监测以及预测流程监测的现有文献,并提供了合规监测功能的最新框架; 对于每个合规监测功能,我们提出预测要求,并分析现有方法的涵盖范围; 根据这一分析,为预测合规和流程监测制定了公开的挑战和研究方向。