Auditing Business Process Compliance

Compliance issues impose significant management and reporting requirements upon organizations.We present an approach to enhance business process modeling notations with the capability to detect and resolve many broad compliance related issues. We provide a semantic characterization of a minimal revision strategy that helps us obtain compliant process models from models that might be initially non-compliant, in a manner that accommodates the structural and semantic dimensions of parsimoniously annotated process models. We also provide a heuristic approach to compliance resolution using a notion of compliance patterns. This allows us to partially automate compliance resolution, leading to reduced levels of analyst involvement and improved decision support. Disciplines Physical Sciences and Mathematics Publication Details This conference paper was originally published as Ghose, AK and Koliadis, G, Auditing business process compliance, in Proceedings of the International Conference on Service-Oriented Computing (ICSOC-2007), Lecture Notes in Computing Sicence, 4749, 2007, 169-180. This conference paper is available at Research Online: http://ro.uow.edu.au/infopapers/576 Auditing Business Process Compliance (Preprint) Aditya Ghose and George Koliadis Decision Systems Laboratory School of Computer Science and Software Engineering University of Wollongong, NSW 2522 Australia {aditya, gk56}@uow.edu.au Abstract. Compliance issues impose significant management and reporting reCompliance issues impose significant management and reporting requirements upon organizations. We present an approach to enhance business process modeling notations with the capability to detect and resolve many broad compliance related issues. We provide a semantic characterization of a minimal revision strategy that helps us obtain compliant process models from models that might be initially non-compliant, in a manner that accommodates the structural and semantic dimensions of parsimoniously annotated process models. We also provide a heuristic approach to compliance resolution using a notion of compliance patterns. This allows us to partially automate compliance resolution, leading to reduced levels of analyst involvement and improved decision support.