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Business Process Compliance Using Reference Models of Law [chapter]

Hugo A. López, Søren Debois, Tijs Slaats, Thomas T. Hildebrandt
2020 Lecture Notes in Computer Science  
This paper proposes a model-driven approach to process compliance and combines a) reference models from laws, and b) business process models.  ...  Compliance checking is a combination of alignments between events in laws and events in a process model. In this way, a reference model can be used to check different process variants.  ...  We collected feedback from users generating reference models of law about their use, benefits and challenges.  ... 
doi:10.1007/978-3-030-45234-6_19 fatcat:yphnyhiqwvesrimxtblphqxozq

Unified Compliance Modeling and Management using Compliance Descriptors

Falko Koetter, Maximilien Kintz, Monika Kochanowski, Christoph Fehling, Philipp Gildein, Frank Leymann, Anette Weisbecker
2016 Proceedings of the 6th International Conference on Cloud Computing and Services Science  
To solve both challenges, we use an integrating compliance descriptor for conceptual compliance modeling.  ...  Compliance stems from laws and is implemented in all parts of enterprise IT. Thus, both a connection between business and IT as well as a broad coverage of compliance scenarios is necessary.  ...  ACKNOWLEDGEMENTS The work published in this article was funded by the Co.M.B. project of the Deutsche Forschungsgemeinschaft (DFG) under the promotional reference SP 448/27-1.  ... 
doi:10.5220/0005754501590170 dblp:conf/closer/KoetterKKFGLW16 fatcat:vwlfi4l3kffjbfcsouukvmv6cm

Towards a Method for Integrated Semi-Automated Business Proess and Regulations Compliance Management for Continuous Requirements Engineering

Ilze Buksa, Maris Dargis, Ludmila Penicina
2015 Requirements Engineering: Foundation for Software Quality  
The purpose of this paper is twofold, first, we briefly discuss existing limitations in existing business process modelling solution in the context of compliance management, and, second, we propose a high-level  ...  Especially, ever changing regulatory requirements that affect business processes and, if not fulfilled, can cause an organization even legal problems.  ...  L-KC-11-0003, signed between ICT Competence Centre and Investment and Development Agency of Latvia, Research No. 1.13 "Research for automated analysis of normative documents and business process compliance  ... 
dblp:conf/refsq/BuksaDP15 fatcat:h6rmnnsgtraanoehjjehn2w274

Conformance Checking with Regulations - A Research Agenda

Luise Pufahl, Jana-Rebecca Rehse
2021 Entwicklungsmethoden für Informationssysteme und deren Anwendung: Fachtagung  
At the same time efforts exists to formalize laws, guidelines, and manuals in the computer-interpretable form of so-called reference process models.  ...  Business processes need to follow prescribed regulations.  ...  A process model capturing the intended behavior of a business process as a result of process modeling or process discovery is compared to an event log recorded during the execution of a business process  ... 
dblp:conf/emisa/PufahlR21 fatcat:3plf336tbbhrhmai5kbfecr3jq

A Reference Model for Anti-Money Laundering in the Financial Sector

Felix Timm, Andrea Zasada, Felix Thiede
2016 Lernen, Wissen, Daten, Analysen  
Therefore, this paper describes the customer identification process (CIP) as a part of an AML program using reference modeling techniques.  ...  To support financial institutions in building a simple but efficient compliance program we develop a reference model that describes the process and data view for one key process of AML based on literature  ...  This work has been supported by the BITKOM funded project "IT gestützte Compliance im Finanzsektor".  ... 
dblp:conf/lwa/TimmZT16 fatcat:aw2npfkf3necdkrcxhyxnwpjqa

Legal Compliance by Design (LCbD) and through Design (LCtD): Preliminary Survey

Pompeu Casanovas, Jorge González-Conejero, Louis de Koker
2017 International Conference on Legal Knowledge and Information Systems  
The purpose of this paper is twofold: (i) carrying out a preliminary survey of the literature and research projects on Compliance by Design (CbD); and (ii) clarifying the double process of (a) extending  ...  The recent deployment of ethical views, and the implementation of general principles of privacy and data protection lead to the conclusion that, in order to appropriately define legal compliance, Compliance  ...  References  ... 
dblp:conf/jurix/CasanovasGK17 fatcat:5jccq3z3enghtgmyrwu2sbrfay

Eros: an approach for ensuring regulatory compliance of process outcomes

Quanjun Yin, Nazim H. Madhavji, Mahesh Pattani
2013 2013 6th International Workshop on Requirements Engineering and Law (RELAW)  
The key contribution of this paper is a preliminary approach for proactively checking the compliance of process outcomes.  ...  In this research preview paper, we propose a method for assessing the compliance of process outcomes.  ...  In [8] , Ghanavanti et al. use Goal-oriented Requirements Language (GRL) to model laws and develop a framework to model processes of a hospital to check the compliance of these processes.  ... 
doi:10.1109/relaw.2013.6671342 dblp:conf/re/YinMP13 fatcat:an46yf5fxrbh3cheb27uvyrajq

An Indexing Technique for Compliance Checking and Maintenance in Large Process and Rule Repositories

Stefanie Rinderle-Ma, Sonja Kabicher-Fuchs
2016 Enterprise Modelling and Information Systems Architectures - An International Journal  
The effects of applying indexing on the effort for compliance checks are discussed along with further aspects such as maintenance of process model and compliance rule repositories.  ...  can reach from a small set to hundreds of business processes being subject to several hundreds of compliance rules.  ...  DOI:10.18417/emisa.11.2 An Indexing Technique for Compliance Checking and Maintenance in Large Process and Rule Repositories 21  ... 
doi:10.18417/emisa.11.2 dblp:journals/emisaij/Rinderle-MaK16 fatcat:kgf6zh753bh2bphwcuz65le3em

Verifying Business Process Compliance by Reasoning about Actions [chapter]

Davide D'Aprile, Laura Giordano, Valentina Gliozzi, Alberto Martelli, Gian Luca Pozzato, Daniele Theseider Dupré
2010 Lecture Notes in Computer Science  
The verification of compliance can be performed by using bounded model checking techniques, which generalize LTL bounded model checking [5] .  ...  In this paper we address the problem of verifying business process compliance with norms.  ... 
doi:10.1007/978-3-642-14977-1_10 fatcat:torldzxhdzdobkhjgl74i2syqe

Managing legal interpretation in regulatory compliance

Guido Boella, Marijn Janssen, Joris Hulstijn, Llio Humphreys, Leendert van der Torre
2013 Proceedings of the Fourteenth International Conference on Artificial Intelligence and Law - ICAIL '13  
Maintaining regulatory compliance is an increasing area of concern for business.  ...  In this paper we extend the Legal Knowledge Management system Eunomos to deal with alternative interpretations of norms connecting it with Business Process Management systems.  ...  This step should be carried out by legal experts and compliance officers. 3. Model the new process, using the company's business modelling system.  ... 
doi:10.1145/2514601.2514605 dblp:conf/icail/BoellaJHHT13 fatcat:p7ugtk42gfbw7aaj63c4q37qv4

An End-to-End Framework for Business Compliance in Process-Driven SOAs

H Tran, T Holmes, E Oberortner, E Mulo, Agnieszka Betkowska Cavalcante, J Serafinski, M Tluczek, A Birukou, F Daniel, P Silveira, U Zdun, S Dustdar
2010 2010 12th International Symposium on Symbolic and Numeric Algorithms for Scientific Computing  
It is significant for companies to ensure their businesses conforming to relevant policies, laws, and regulations as the consequences of infringement can be serious.  ...  For these reasons, in many cases, business compliance today is reached on a per-case basis by using ad hoc, hand-crafted solutions for specific rules to which they must comply.  ...  For the compliance monitoring of the business processes, different services in the SOA reflect on models.  ... 
doi:10.1109/synasc.2010.52 dblp:conf/synasc/TranHOMCSTBDSZD10 fatcat:r2djjuq4obbzjguqzg2ujz26ty

Compliance patterns

Robert Muthuri, Guido Boella, Joris Hulstijn, Sara Capecchi, Llio Humphreys
2017 Proceedings of the 16th edition of the International Conference on Articial Intelligence and Law - ICAIL '17  
We apply informal logic to bridge the gap between the principles of interpretation in legal theory with the legal rules that determine compliance of business processes.  ...  The specific outcome of the argumentation process (if any) is then summarized into a compliance pattern, in a context-problemsolution format.  ...  Patterns have been used before to address compliance: [24, 25] uses patterns to prescibe controls in business models while [15] use patterns to specify compliance constraints on business processes.  ... 
doi:10.1145/3086512.3086526 dblp:conf/icail/MuthuriBHCH17 fatcat:7pyqni5em5eznadmpycuk7usye

Compliance Analysis Based on a Goal-oriented Requirement Language Evaluation Methodology

Sepideh Ghanavati, Daniel Amyot, Liam Peyton
2009 2009 17th IEEE International Requirements Engineering Conference  
The intent was to help organizations document and manage the compliance of their processes in the face of evolutionary changes.  ...  In the past, we introduced a requirements framework that mapped regulations documents and goals to goal and scenario models of organizational processes.  ...  * = Initial Case 3 -Effect of the GRL Model on the Business Process of the Law and Organization In our framework, we mentioned that it is necessary to have business processes (Use Case Maps) in the  ... 
doi:10.1109/re.2009.42 dblp:conf/re/GhanavatiAP09 fatcat:nfktpja5wvdepdzxx2plm7qgam

A Visual Language for Modeling Multiple Perspectives of Business Process Compliance Rules (Extended Abstract)

David Knuplesch, Manfred Reichert
2016 Entwicklungsmethoden für Informationssysteme und deren Anwendung: Fachtagung  
In general, a compliance rule may refer to multiple process perspectives including control flow, time, data, resources, and interactions with business partners.  ...  A fundamental challenge for enterprises is to ensure compliance of their business processes with imposed compliance rules stemming from various sources, e.g., corporate guidelines, best practices, standards  ...  Besides the control flow perspective, other fundamental perspectives relevant in the context of business process compliance refer to time, data, and resources as well as the interactions a business process  ... 
dblp:conf/emisa/KnupleschR16 fatcat:nxdek6rofzgslkbwtjgpyp6rpy

Cloud Computing Governance Reference Model [chapter]

Soňa Karkošková, George Feuerlicht
2016 Lecture Notes in Business Information Processing  
Proposal of Cloud computing governance reference model is an output of research process according to the Design Science Research Methodology.  ...  Cloud computing governance reference model serves as a basis for the definition and establishment of Cloud computing governance and defines a set of new or redefined guiding principles, governing processes  ...  their compliance with business needs, governance policies, contracts, laws and regulations.  ... 
doi:10.1007/978-3-319-45321-7_14 fatcat:v2fd7rqggjgtjgjivcr5ycuwry
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