Business process compliance checking – applying and evaluating a generic pattern matching approach for conceptual models in the financial sector
Business process compliance checking – applying and evaluating a generic pattern matching approach for conceptual models in the financial sector
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DOI：
10.1007/s10796-014-9529-y
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发表时间：
2014-12
影响因子：
5.9
通讯作者：
J. Becker;Patrick Delfmann;Hanns-Alexander Dietrich;Matthias Steinhorst;M. Eggert
中科院分区：
文献类型：
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作者：
J. Becker;Patrick Delfmann;Hanns-Alexander Dietrich;Matthias Steinhorst;M. Eggert
随着业务流程法规要求的不断提高，业务流程合规性管理成为信息系统研究中越来越受重视的领域。已经开发了几种方法来支持概念模型的符合性检查。然而，他们专注于不同的建模语言，而且大多是线性的（即，遵守规则可能会阻碍在实践中的广泛采用和应用。此外，几乎没有任何一个在现实世界中进行了评估。我们解决这个问题，通过应用一个通用的模式匹配方法的概念模型，在金融部门的业务流程合规检查。它包括一个模型查询语言，搜索算法和相应的建模工具原型。它（1）适用于所有基于图的概念建模语言，（2）适用于不同类型的遵从规则。此外，在适用性检查的基础上，我们（3）评估该方法在金融行业项目设置对审计和合规管理任务的决策支持的相关性。
Given the strong increase in regulatory requirements for business processes the management of business process compliance becomes a more and more regarded field in IS research. Several methods have been developed to support compliance checking of conceptual models. However, their focus on distinct modeling languages and mostly linear (i.e., predecessor-successor related) compliance rules may hinder widespread adoption and application in practice. Furthermore, hardly any of them has been evaluated in a real-world setting. We address this issue by applying a generic pattern matching approach for conceptual models to business process compliance checking in the financial sector. It consists of a model query language, a search algorithm and a corresponding modelling tool prototype. It is (1) applicable for all graph-based conceptual modeling languages and (2) for different kinds of compliance rules. Furthermore, based on an applicability check, we (3) evaluate the approach in a financial industry project setting against its relevance for decision support of audit and compliance management tasks.