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Chapter 10 - Business Process Compliance

10.1. Modeling Compliance Rule Graphs

Assume that a manufacturing company is running several order-to-delivery processes that are frequently changed. In particular these processes must obey compliance rules c1, c2, c3, and c4 as depicted in Table 10.4. Assume further that all order-to-delivery process models are built based on the activities from Table 10.3.

Table 10.3 Activities
Receive Order Conclude Shipping Insurance
Ship Goods Decline Order
Process Order Enable Tracking
Send invoice Buy Components
Confirm Order Produce Goods

 

Table 10.4 Compliance rules for order-to-delivery processes
c1 Before goods can be produced, components have to be bought.
c2 If an order is confirmed, it must have been received and processed before. Furthermore, once confirmed an order must not be declined afterwards. Conversely, for a declined order no confirmation is possible any longer.
c3 After the production of goods and before shipping them, a shipping insurance must be concluded.
c4 An invoice must be sent and tracking should be enabled after shipping the goods.

Model compliance rules c1, c2, c3, and c4 based on CRGs and the activities from Table 10.3.

10.2. Understanding Compliance Rules

Consider the following three execution traces σ1, σ2, and σ3:

σ1 = < A, B, C, D, E, F, G >

σ2 = < A, B, C, D, A, E, B, D >

σ3 = < A, G, C, E, D, B, C, A, G, F >

  • LTL-based Compliance Rules. Are the execution traces σ1, σ2, and σ3 compliant with the following LTL-based compliance rules c1, c2, c3, and c4?

c1: G(A ⇒ F B)

c2: G(A ⇒ ((¬D)U C))

c3: ((¬B) U E) ⇒ G(C ⇒ F E)

c4: G (B ⇒ (((G ¬E)∧(F F)) ⇒ ((¬D) U G)))

  • Compliance Rule Graphs. Are execution traces σ1, σ2, and σ3 compliant with the compliance rules c1, c2, c3, and c4 from Figure 10.13?

10-13
Fig. 10.13 Compliance Rule Graphs

  • Comparing LTL-based compliance rules with Compliance Rule Graphs. Compare each of the LTL-based compliance rules c1, c2, c3, and c4 with the corresponding compliance rule from Figure 10.13. Do both express the same?

 

10.3. Ensuring Compliance along the Process lifecycle

Consider the pre-specified process model S1 from Figure 10.14 and the related compliance rules from Figure 10.15.

Fig. 10.14 Pre-Specified Process Model S1

  • Classify the compliance of S1 with the compliance rules c1, c2, c3, and c4 from Figure 10.15 based on Definition 10.4.

10-15
Fig. 10.15 Compliance Rules Affecting S1

  • Classify the compliance of the following process instances with the given compliance rules from Figure 10.15 based on Definition 10.8.

I1 = (S1, σ1) with σ1 = < V, Y, T, X >

I2 = (S1, σ2) with σ2 = < V, U, Y >

I3 = (S1, σ3) with σ3 = < X, U, Z >

I4 = (S1, σ4) with σ4 = < X, U, Y, Z, S, W >

  • Classify the persistence of each curable violation based on Definition 10.6.

 

10.4. Process Change and Process Compliance

Consider the pre-specified process model S2 from Figure 10.16. Further consider related compliance rules from Figure 10.17 as well as the two changes of S2 depicted in Figure 10.18.

10-16
Fig. 10.16 Pre-Specified Process Model S2

  • Classify the compliance of process model S2 with the compliance rules from Figure 10.17 based on Definition 10.4.
  • Classify the compliance of process instances I1, I2, and I3 with the compliance rules from Figure 10.15 based on Definition 10.8.

I1 = (S2, < A, D, A, D, C, B >)

10-17
Fig. 10.17 Compliance Rules affecting S2 

I2 = (S2, < E, D, A, C >)

I3 = (S2, < E, D, C >)

  • Classify the persistence of each curable violation based on Definition 10.6.

10-18
Fig. 10.18 Changes Δ1 and Δ2 of the Pre-Specified Process Model S2

  • Consider the application of changes Δ1 and Δ2 to S2 separately and in conjunction with each other. Do the three changes meet compliance rules c1, c2, c3, and c4 according to Definition 10.7?
  • First, decide for each of the three process instances I1, I2, and I3 whether or not the changes Δ1 and Δ2 (cf. Figure 10.18) may be applied separately or commonly to it. Second, by using Definition 10.7, for each possible application of these changes to the respective instances, decide whether or not it meets the compliance rules c1, c2, c3, and c4.
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