Compliance Management Elham Ramezani 1. Enterprises are governed by regulations Compliance Report ✓ ✗ ✗ ✓ ✗ ✗ Laws & Regulations Diagnostic Information.

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Compliance Management

Elham Ramezani

2

Enterprises are governed by regulations

Compliance Report

Laws & Regulations

Diagnostic Information

Automated Compliance

Checking

3

Compliance Analysis

Compliance Requirement


Using Alignment

Problem setting

Event log

4


Control-flow

Data

Resource

Time

CF-rule

D-rule

R-rule

T-rule

Compliance Analysis


Control-flow

Solution overview

Event log1

23

5

Event log

Control-flowRule

…...

……...

…...

…

Petri-net specification

Log preparation

Pre-processed log

Conformance checking

Control-flow alignment

Enrich log with diagnostics

Diagnostics

Control-flow compliance analysis

6


CF-rule

T-rule

D-rule

R-rule

Compliance Analysis


Data

Time

Control-flow

Resource

Data & Resource

Solution overview

Event log

7

Example

If nutrition with multifiber cannot be increased in tube feeding by (2 kcal/ml)

then Demperidone must be administered to the patient.

activity ‘A’attribute ‘X’

activity ‘B’

change in data attribute by ‘d’

If the value of attribute X is not increased by d then activity B must be executed.

Check activity execution in combination with the data attribute

Control-flow

conformance checking

Data-aware


8

Data/ResourceRule

Data-aware Petri-net

specification...

…

Enriched log with

diagnostics

Prepared log

Data-aware conformance

checking

Data-aware alignment

Enriched log

Control-flowRule


…...

……...

…...

…

Petri-net specification

Control-flow alignment

Enriched log with

diagnostics

Combineddiagnostics

Log preparation

Event log

Data and Resource compliance analysis

Example If nutrition with multifiber cannot be increased in tube feeding by (2 kcal/ml) then

Demperidone must be administered to the patient.

name tube feed.

Vent. tube feed.

Demp.admin.

tube feed.

x-ray tube feed.

Med.admin.

diagnosis C12 C12 C12 C12 C12 C12 C12 C12

time 1 4 6 7 8 10 11 19

multifiber nutrition

10kcal/ml

11Kcal/ml

13kca/ml

14Kcal/ml

medicine dosage

5mg 6mg

treatment type

ICU vent. chest

nurse in charge

Sue Sue Sue Sue Sue Bob John John

Event log

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name A Vent. A B A x-ray A Med.admin.

diagnosis C12 C12 C12 C12 C12 C12 C12 C12

time 1 4 6 7 8 10 11 19

X 10kcal/ml

11Kcal/ml

13kca/ml

14Kcal/ml

medicine dosage

5mg 6mg

treatment type

ICU vent. chest

nurse in charge

Sue Sue Sue Sue John Bob John John

If the value of attribute X is increased by d activity B must be executed.

delete attributes which are not of interest


X 10kcal/ml

11Kcal/ml

13kca/ml

14Kcal/ml

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Example (log preparation)


X 10kcal/ml

11Kcal/ml

13kca/ml

14Kcal/ml

Abstract log and introduce new attribute

name A Ω A B A Ω A Ω

X 10 >> 11 >> 13 >> 14 >>

datacondition

datawrite

Ω datawrite

Ω datawrite

Ω datawrite

Ω

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Example (data-aware Petri-net)

F end

Ω data write

name [X’ = X + 2] ||[X = Undef.]

X

Ω data write


X 10 >> 11 >> 13 >> 14 >>

datacondition

datawrite

Ω datawrite

Ω datawrite

Ω datawrite

Ω

Data-awareconformance checker

Example (data-aware alignment)


X 10 >> 11 >> 13 >> 14 >>

datacondition

datawrite

Ω Ω datawrite

Ω Ω

Data-awareconformance checkerProcessed

event log


X 10 >> 12 >> 13 >> 15 >>

datacondition

datawrite

Ω datawrite

Ω datawrite

Ω datawrite

Ω

Ldata write

data write

M

A Ω A B A Ω A Ω

datacondition

holds

true >> false >> true >> >>true false true false

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comb.name&

condition

A_

true

Ω_

>>

A_

false

B_

>>

A_

true

Ω_

>>

A_

false

Ω_

>>

Example (control-flow alignment)

Every time the event A_false occur, it must be followed by B_>>.

start

end

Ω_>>

A_true

A_false

B_>>

>> A_true

Ω_>>

A_false

B_>>

A_true

Ω_>>

A_false >> Ω_

>> >>L

M

13

comb.name&

condition

A_

true

Ω_

>>

A_

false

B_

>>

A_

true

Ω_

>>

A_

false

Ω_

>>

start A_true

Ω_>>

A_false

B_>>

A_true

Ω_>>

A_false

B_>>

Ω_>> end

>>

Data and Resource compliance requirements

Restrict data attributes

Restrict activities with a certain data attributeData & resource

rules

• Activity A and B must be executed with different resources Check the data attribute

• If the value of attribute X is not increased by d then activity B must be executed.

Check activity execution in combination with the data attribute

Data-aware


Control-flow


14

15


CF-rule

T-rule

D-rule

R-rule

Compliance Analysis


Time

Control-flow

Data

Resource

Temporal

Solution overview

Event log

Temporal compliance analysis

Activity A must occur at time t.

Capture occurrence of activity A.

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Data-aware


Control-flow


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Time

Control-flow

Data

Resource

Control-flow

TemporalCompliance

Analysis

Compliance Elicitation

Solution overview

Event log

1

Data & Resource

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Configurable pattern repository

Compliance requirements

...…...

…...

……...

…...

…

...

…

Repository of configurable compliance rules

Formalization

Petri-net patterns

Configurable Petri-nets

Develop configurable

Petri-nets

Compliance elicitation

Repository of configurable compliance

rules

Which configurable

rule?

How to configure the rule?

Compliance Analysis

19Compliance Elicitor

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CF & T rules

Control-flow

TemporalCompliance

Analysis

Solution overview

Event log

Compliance Elicitor

Data & resource rules


Compliance Dashboard

2

Diagnostic InformationData & Resource

Diagnosis Analysis

e.g., Activity B n violations

Compliance dashboard

Control-flow violations

Data&resource violations

Temporal violations

Table

Bar chart

Deviation report

Compliance statistics • Number of violating

moves/cases

• Problems list

e.g., In total n number of times, activity B was skipped.

21

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CF & T rules

Control-flow

Data & ResourceCompliance

Analysis

Solution overview

Event log

Compliance Elicitor

Temporal



Problem Insight

Get problem insight

Violations(CF, D, R, T)

Violations pre-requisites • Compares violating and non-

violating moves with respect to other attributes in the log.

This problem occurs when nurse in charge is John.

Problem description

e.g., Activity B is often skipped.

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A … B ... A … B

A … B ... A … A … B

A … A ... B … A … B

A … B ... A … A … B

A … A ... B … A … B

B 90% nurse in charge is Sue

B 100% nurse in charge is John

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Compliance

RequirementDiagnostic

Information

CF & T rules

Control-flow

TemporalCompliance

Analysis

Solution overview

Event log

Compliance Elicitor

Data & Resource



Problem Insight

3

25



CF & T rules

Control-flow


Analysis

Solution overview

Event log

Compliance Elicitor

Temporal



Problem Insight

Check Compliance of a Log

E.Ramezani, D.Fahland, W.M.P. van der Aalst. Where Did I Misbehave? BPM2012

26



CF & T rules

Control-flow


Analysis

Solution overview

Event log

Compliance Elicitor

Temporal



Problem Insight

Check Temporal Compliance Using Data-Aware Conformance Checking

E.Ramezani, D.Fahland, B. van Dongen, W.M.P. van der Aalst. Diagnostic Information for Compliance Checking of Temporal Compliance Requirements. CAiSE2013

27



CF & T rules

Control-flow


Analysis

Solution overview

Event log

Compliance Elicitor

Temporal



Problem Insight

Elicit a Compliance Rule

E.Ramezani, D.Fahland, W.M.P. van der Aalst. Supporting Domain Experts to Select and Configure Precise Compliance Rules, BPM2013-SBP WS

28



CF & T rules

Control-flow


Analysis

Solution overview

Event log

Compliance Elicitor

Temporal



Problem Insight

Get Compliance Dashboard

Get Problem Insight

Vladimir Gromov

PAGE 29

Thank you for your

attention!

Compliance Management Elham Ramezani 1. Enterprises are governed by regulations Compliance Report ✓ ✗ ✗ ✓ ✗ ✗ Laws & Regulations Diagnostic Information.

Documents

credit check

check credit

check activity execution

x10kcalml11kcalml13kcaml

correspondent loan

xraytube feed

value of attribute x

date of application