Compliance Management Elham Ramezani 1

Enterprises are governed by regulations Compliance Report ✓ ✗ ✗ ✓ ✗ ✗ Laws & Regulations Diagnostic Information Automated Compliance Checking 2

Compliance Analysis Compliance Requirement Diagnostic Information Using Alignment Problem setting Event log 3

Compliance Requirement Control-flow Data Resource Time CF-rule D-rule R-rule T-rule Compliance Analysis Diagnostic Information Control-flow Solution overview Event log

Control-flow Rule …... … … … … Petri-net specification Log preparation Pre-processed log Conformance checking Control-flow alignment Enrich log with diagnostics Diagnostics Control-flow compliance analysis 5

Compliance Requirement CF-rule T-rule D-rule R-rule Compliance Analysis Diagnostic Information Data Time Control-flow Resource Data & Resource Solution overview Event log 6

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’ Xd B 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 conformance checking

Data/Resource Rule Data-aware Petri-net specification... … Enriched log with diagnostics Prepared log Data-aware conformance checking Data-aware alignment Enriched log Control-flow Rule conformance checking …... … … … … Petri-net specification Control-flow alignment Enriched log with diagnostics Combined diagnostics Log preparation Event log Data and Resource compliance analysis 8

Example If nutrition with multifiber cannot be increased in tube feeding by (2 kcal/ml) then Demperidone must be administered to the patient. nametube feed. Vent.tube feed. Demp. admin. tube feed. x-raytube feed. Med. admin. diagnosisC12 time multifiber nutrition 10 kcal/ml 11 Kcal/ml 13 kca/ml 14 Kcal/ml medicine dosage 5mg6mg treatment type ICU vent.chest nurse in charge Sue BobJohn Event log 9 nameAVent.ABAx-rayAMed. admin. diagnosisC12 time X10 kcal/ml 11 Kcal/ml 13 kca/ml 14 Kcal/ml medicine dosage 5mg6mg treatment type ICU vent.chest nurse in charge Sue JohnBobJohn Xd B If the value of attribute X is increased by d activity B must be executed. delete attributes which are not of interest nameAVent.ABAx-rayAMed. admin. X10 kcal/ml 11 Kcal/ml 13 kca/ml 14 Kcal/ml

Example (log preparation) nameAVent.ABAx-rayAMed. admin. X10 kcal/ml 11 Kcal/ml 13 kca/ml 14 Kcal/ml Abstract log and introduce new attribute nameAΩABAΩAΩ X10>>11>>13>>14>> data condition data write Ωdata write Ωdata write Ωdata write Ω 10

11 Example (data-aware Petri-net) F end Ω data write name [X’ = X + 2] || [X = Undef.] X Ω data write nameAΩABAΩAΩ X10>>11>>13>>14>> data condition data write Ωdata write Ωdata write Ωdata write Ω Data-aware conformance checker

Example (data-aware alignment) nameAΩABAΩAΩ X10>>11>>13>>14>> data condition data write ΩΩdata write ΩΩ Data-aware conformance checker Processed event log nameAΩABAΩAΩ X10>>12>>13>>15>> data condition data write Ωdata write Ωdata write Ωdata write Ω L data write M A Ω A B A Ω A Ω data condition holds true>>false>>true>> true false true false 12 comb. name& condition A_ true Ω_ >> A_ false B_ >> A_ true Ω_ >> A_ false Ω_ >>

Example (control-flow alignment) A_false B_>>. 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 attribute Data & resource rules AB Activity A and B must be executed with different resources Check the data attribute Xd B 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 conformance checking Control-flow conformance checking 14

Compliance Requirement CF-rule T-rule D-rule R-rule Compliance Analysis Diagnostic Information Time Control-flow Data Resource Temporal Solution overview Event log 15

Temporal compliance analysis At Activity A must occur at time t. A Capture occurrence of activity A. 16 Data-aware conformance checking Control-flow conformance checking

Compliance Requirement Diagnostic Information Time Control- flow Data Resource Control-flow Temporal Compliance Analysis Compliance Elicitation Solution overview Event log 17 1 ✓ Data & Resource

Configurable pattern repository Compliance requirements... … … … … … … … Repository of configurable compliance rules Formalization Petri-net patterns Configurable Petri-nets Develop configurable Petri-nets 18

Compliance elicitation Repository of configurable compliance rules Which configurable rule? How to configure the rule? Compliance Analysis 19 Compliance Elicitor

Compliance Requirement CF & T rules Control-flow Temporal Compliance Analysis Solution overview Event log Compliance Elicitor Data & resource rules Diagnostic Information Compliance Dashboard 20 2 ✓ Diagnostic Information Data & Resource Diagnosis Analysis

e.g., B Activity B n 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 nB e.g., In total n number of times, activity B was skipped. 21

Compliance Requirement Diagnostic Information CF & T rules Control-flow Data & Resource Compliance Analysis Solution overview Event log Compliance Elicitor Temporal Data & resource rules Compliance Dashboard Problem Insight 22

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 B e.g., Activity B is often skipped. 23 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

✓ Compliance Requirement Diagnostic Information CF & T rules Control-flow Temporal Compliance Analysis Solution overview Event log Compliance Elicitor Data & Resource Data & resource rules Compliance Dashboard Problem Insight 24 3 ✓ ✓ ✓ ✓ ✓ ✓ ✗

Compliance Requirement Diagnostic Information CF & T rules Control-flow Data & Resource Compliance Analysis Solution overview Event log Compliance Elicitor Temporal Data & resource rules Compliance Dashboard Problem Insight Check Compliance of a Log E.Ramezani, D.Fahland, W.M.P. van der Aalst. Where Did I Misbehave? BPM

Compliance Requirement Diagnostic Information CF & T rules Control-flow Data & Resource Compliance Analysis Solution overview Event log Compliance Elicitor Temporal Data & resource rules Compliance Dashboard 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. CAiSE

Compliance Requirement Diagnostic Information CF & T rules Control-flow Data & Resource Compliance Analysis Solution overview Event log Compliance Elicitor Temporal Data & resource rules Compliance Dashboard 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 27

Compliance Requirement Diagnostic Information CF & T rules Control-flow Data & Resource Compliance Analysis Solution overview Event log Compliance Elicitor Temporal Data & resource rules Compliance Dashboard Problem Insight Get Compliance Dashboard Get Problem Insight Vladimir Gromov 28

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