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Companies develop process models to explicitly describe their business operations. In the same time, business operations, business processes, must adhere to various types of compliance requirements. Regulations, e.g., Sarbanes Oxley Act of 2002, internal policies, best practices are just a few sources of compliance requirements. In some cases, non-adherence to compliance requirements makes the organization subject to legal punishment. In other cases, non-adherence to compliance leads to loss of competitive advantage and thus loss of market share. Unlike the classical domain-independent behavioral correctness of business processes, compliance requirements are domain-specific. Moreover, compliance requirements change over time. New requirements might appear due to change in laws and adoption of new policies. Compliance requirements are offered or enforced by different entities that have different objectives behind these requirements. Finally, compliance requirements might affect different aspects of business processes, e.g., control flow and data flow. As a result, it is infeasible to hard-code compliance checks in tools. Rather, a repeatable process of modeling compliance rules and checking them against business processes automatically is needed. This thesis provides a formal approach to support process design-time compliance checking. Using visual patterns, it is possible to model compliance requirements concerning control flow, data flow and conditional flow rules. Each pattern is mapped into a temporal logic formula. The thesis addresses the problem of consistency checking among various compliance requirements, as they might stem from divergent sources. Also, the thesis contributes to automatically check compliance requirements against process models using model checking. We show that extra domain knowledge, other than expressed in compliance rules, is needed to reach correct decisions. In case of violations, we are able to provide a useful feedback to the user. The feedback is in the form of parts of the process model whose execution causes the violation. In some cases, our approach is capable of providing automated remedy of the violation.
Business processes are commonly modeled using a graphical modeling language. The most widespread notation for this purpose is business process diagrams in the Business Process Modeling Notation (BPMN). In this article, we use the visual query language BPMN-Q for expressing patterns that are related to possible problems in such business process diagrams. We discuss two classes of problems that can be found frequently in real-world models: sequence flow errors and model fragments that can make the model difficult to understand.
By using a query processor, a business process modeler is able to identify possible errors in business process diagrams. Moreover, the erroneous parts of the business process diagram can be highlighted when an instance of an error pattern is found. This way, the modeler gets an easy-to-understand feedback in the visual modeling language he or she is familiar with. This is an advantage over current validation methods, which usually lack this kind of intuitive feedback.
A business process is a set of steps designed to be executed in a certain order to achieve a business value. Such processes are often driven by and documented using process models. Nowadays, process models are also applied to drive process execution. Thus, correctness of business process models is a must. Much of the work has been devoted to check general, domain-independent correctness criteria, such as soundness. However, business processes must also adhere to and show compliance with various regulations and constraints, the so-called compliance requirements. These are domain-dependent requirements.
In many situations, verifying compliance on a model level is of great value, since violations can be resolved in an early stage prior to execution. However, this calls for using formal verification techniques, e.g., model checking, that are too complex for business experts to apply. In this paper, we utilize a visual language. BPMN-Q to express compliance requirements visually in a way similar to that used by business experts to build process models. Still, using a pattern based approach, each BPMN-Qgraph has a formal temporal logic expression in computational tree logic (CTL). Moreover, the user is able to express constraints, i.e., compliance rules, regarding control flow and data flow aspects. In order to provide valuable feedback to a user in case of violations, we depend on temporal logic querying approaches as well as BPMN-Q to visually highlight paths in a process model whose execution causes violations.