compliance management elham ramezani 1. enterprises are governed by regulations compliance report...
TRANSCRIPT
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Compliance Management
Elham Ramezani
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Enterprises are governed by regulations
Compliance Report
Laws & Regulations
Diagnostic Information
Automated Compliance
Checking
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Compliance Analysis
Compliance Requirement
Diagnostic Information
Using Alignment
Problem setting
Event log
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Compliance Requirement
Control-flow
Data
Resource
Time
CF-rule
D-rule
R-rule
T-rule
Compliance Analysis
Diagnostic Information
Control-flow
Solution overview
Event log1
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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
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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
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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
conformance checking
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Data/ResourceRule
Data-aware Petri-net
specification...
…
Enriched log with
diagnostics
Prepared log
Data-aware conformance
checking
Data-aware alignment
Enriched log
Control-flowRule
conformance checking
…...
……...
…...
…
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
name A Vent. A B A x-ray A Med.admin.
X 10kcal/ml
11Kcal/ml
13kca/ml
14Kcal/ml
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Example (log preparation)
name A Vent. A B A x-ray A Med.admin.
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
name A Ω A B A Ω A Ω
X 10 >> 11 >> 13 >> 14 >>
datacondition
datawrite
Ω datawrite
Ω datawrite
Ω datawrite
Ω
Data-awareconformance checker
Example (data-aware alignment)
name A Ω A B A Ω A Ω
X 10 >> 11 >> 13 >> 14 >>
datacondition
datawrite
Ω Ω datawrite
Ω Ω
Data-awareconformance checkerProcessed
event log
name A Ω A B A Ω A Ω
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
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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
conformance checking
Control-flow
conformance checking
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Compliance Requirement
CF-rule
T-rule
D-rule
R-rule
Compliance Analysis
Diagnostic Information
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
conformance checking
Control-flow
conformance checking
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Compliance Requirement
Diagnostic Information
Time
Control-flow
Data
Resource
Control-flow
TemporalCompliance
Analysis
Compliance Elicitation
Solution overview
Event log
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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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Compliance Requirement
CF & T rules
Control-flow
TemporalCompliance
Analysis
Solution overview
Event log
Compliance Elicitor
Data & resource rules
Diagnostic Information
Compliance Dashboard
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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.
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Compliance Requirement
Diagnostic Information
CF & T rules
Control-flow
Data & ResourceCompliance
Analysis
Solution overview
Event log
Compliance Elicitor
Temporal
Data & resource rules
Compliance Dashboard
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
Data & resource rules
Compliance Dashboard
Problem Insight
3
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Compliance Requirement
Diagnostic Information
CF & T rules
Control-flow
Data & ResourceCompliance
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? BPM2012
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Compliance Requirement
Diagnostic Information
CF & T rules
Control-flow
Data & ResourceCompliance
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. CAiSE2013
27
Compliance Requirement
Diagnostic Information
CF & T rules
Control-flow
Data & ResourceCompliance
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
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Compliance Requirement
Diagnostic Information
CF & T rules
Control-flow
Data & ResourceCompliance
Analysis
Solution overview
Event log
Compliance Elicitor
Temporal
Data & resource rules
Compliance Dashboard
Problem Insight
Get Compliance Dashboard
Get Problem Insight
Vladimir Gromov
PAGE 29
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