ramezani taghiabadi temporal compliance checking 2

Temporal Compliance Checking

CAiSE’2013

Elham Ramezani

Dirk Fahland

Boudewijn van Dongen

Wil M.P. van der Aalst

Compliance Report

✓✗

✓✗

2

Enterprises are governed by regulations

Laws & Regulations

Diagnostic Information

3

design&

model

implem

ent

exec

ute

evaluate

Compliance management and BPM

Compliance checking on log

Compliance checking and process perspectives

4

Data Perspective

Resource Perspective

Time Perspective

Activity ‘A’ must occur at time t.

Capture occurrence of activity ‘A’.

Control-Flow Compliance Checking

Temporal Compliance Checking

ComplianceCheckerRule 3

Rule 2

Problem setting

5

Rule 1DiagnosticInformation

CF-Rule

Event Log

Compliance Requirement

T-Rule

Example

5

A certain antibiotic should be administered to the patient on cycles of 2-time

treatment. The administration of antibiotic can be extended for another cycle , but

there should be at least a week delay between two subsequent cycles.

A : antibiotic administration… : other activities in the trace

7d

Sample trace:

• C-F Rule: Activity ‘A’ must occur in cycles of 2-time occurrences.

A … A … A … A … AA,1 …,1 A,2 …,3 A,9 …,10 A,14 …,15 A,15

• T-Rule: There must be 7 days delay between two subsequent cycles.

Multiple possible diagnostics

7

A,1 …,1 A,2 …,3 A,9 …,10 A,14 …,15 A,15

A … A … A A … A … A

Log

3rd. possibility:

Log

2nd. possibility:

Log

1st. possibility:

4th.

Sample trace:

A,1 …,1 A,2 …,3 A,9 …,10 A,14 …,15 A,15

A … A … A … A A … A

A,1 …,1 A,2 …,3 A,9 …,10 A,14 …,15 A,15

A A … A … A … A … A

A,1 …,1 A,2 …,3 A,9 …,10 A,14 …,15 A,15

A is missing

Enriched log + Diagnostics

Rule 3Rule 2

… solve by Conformance Checking

8

Rule 1

DiagnosticInformation

Event Log


Petri net Specification

ConformanceChecker

Data-Aware Petri net

Specification

CF-Rule

T-Rule

Data-Aware Conformance

CheckerComplianceChecker


Rule 3Rule 2

9

Rule 1


Event Log



ConformanceChecker


Specification

CF-Rule

T-Rule



Control-flow alignment

10

Alignment Diagnostic information

trace: alignment: actual trace vs. correct trace

“move on model” = event is missing invisiblecorrect

Event Log

Adriansyah et al.[3]

Conformance Checker

A,1 A,2 A,9 A,14 A,15

2nd.alignment

3rd.

S Ist A A Icmp Ist A A Icmp Ist A A Icmp E

>> >> A,1

A,2

>> >> A,9

>> >> >> A,14

A,15

>> >>


Rule 3Rule 2

11

Rule 1


Event Log



ConformanceChecker


Specification

CF-Rule

T-Rule



Log Enrichment

12

Enriching log with additional information

S IstA,

1

A,

2

Icmp IstA,

9

A Icmp IstA,

14

A,

15

IcmpE

>> >> A,

1

A,

2

>> >> A,

9

>> >> >> A,

14

A,

15

>> >>

S,

1

Ist,

1

A,

1

A,

2

Icmp,

2

Ist,

9

A,

9

A

9

Icmp,

9

Ist,

14

A,

14

A,

15

Icmp,

15

E,

15

Enriched log from 2nd.alignment

3rd. 9


Rule 3Rule 2

13

Rule 1


Event Log



ConformanceChecker


Specification

CF-Rule

T-Rule



Temporal rule formalization

14

Between two cycles of occurrences of ‘A’ there must be one week delay

…

EFinal

Initial

…

Ist

Icmp

A

S

[tst` = tcmp+ 7d] t∨ cmp = undef.

Formalizing temporal rule in terms of data-aware Petri net

S,

1

Ist,

1

A,

1

A,

2

Icmp,

2

Ist,

9

A,

9

A

9

Icmp,

9

Ist,

14

A,

14

A,

15

Icmp,

15

E,

15

Enriched log:

W: { t st }

W: { t cmp }

t st =1 t A =1 t A =2 t cmp =2t st =9 t A =9

✓

t A =9t cmp =9 t st =14

✗

t A =14t A =15t cmp =15t S=1 t E =15


Rule 3Rule 2

15

Rule 1


Event Log



ConformanceChecker


Specification

CF-Rule

T-Rule



Temporal compliance checking

Data-aware alignment

Data-Aware Conformance Checker

M.de Leoni et al. [13]

S,

1

Ist,

1

A,

1

A,

2

Icmp,

2

Ist,

9

A,

9

A,

9

Icmp,

9

Ist,

16

A,

14

A,

15

Icmp,

15

E,

15

S,

1

Ist,

1

A,

1

A,

2

Icmp,

2

Ist,

9

A,

9

A,

9

Icmp,

9

Ist,

14

A,

14

A,

15

Icmp,

15

E,

15

✗L: 14, M: 16

✓✓

Diagnostics

Data-Aware Conformance Checker

Conformance Checker

S,

1

Ist,

1

A,

1

A,

2

Icmp,

2

Ist,

9

A,

9

A,

9

Icmp,

9

Ist,

16

A,

14

A,

15

Icmp,

15

E,

15

S,

1

Ist,

1

A,

1

A,

2

Icmp,

2

Ist,

9

A,

9

A,

9

Icmp,

9

Ist,

14

A,

14

A,

15

Icmp,

15

E,

15

CombinedDiagnostic Information

Implementation

ProM6 (www.promtools.org/prom6)

Check Temporal Compliance Using Data-Aware Conformance Checking

19

Case study in Dutch municipalities

Compliance Constraint:

Applications must be processed within 8 weeks, excluding the time they

are waiting for additional required information provided by applicant.

# Cases

Violations

# Avg. Delay (months)

Max. Delay (months)

1364 233 3.5 15

20

Cases vs. handover of work

25 30 35 40 45 50 55 60 65 700

10

20

30

40

50

60

70

# cases

# handovers

21

Violations vs. handover of work

# handovers25 30 35 40 45 50 55 60 65 70

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

% violated

% violated


Rule 3Rule 2

22

Rule 1


Event Log



ConformanceChecker


Specification

CF-Rule

T-Rule



Take home points

23

Questions?


Rule 3Rule 2

24

Rule 1


Event Log



ConformanceChecker


Specification

CF-Rule

T-Rule



Rule repositories

Repository

Generic CF-Rules & Formalization

Repository

Generic T-Rules & Formalization

CF-Rule

T-Rule

Overview

25

Thank you for your

attention!

ramezani taghiabadi temporal compliance checking 2

Technology

icmp ist

diagnostics rule

icmp e

enriched log

cf rule

additional information

compliance management

bpm compliance