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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
Compliance Requirement
Petri net Specification
ConformanceChecker
Data-Aware Petri net
Specification
CF-Rule
T-Rule
Data-Aware Conformance
CheckerComplianceChecker
Enriched log + Diagnostics
Rule 3Rule 2
9
Rule 1
DiagnosticInformation
Event Log
Compliance Requirement
Petri net Specification
ConformanceChecker
Data-Aware Petri net
Specification
CF-Rule
T-Rule
Data-Aware Conformance
CheckerComplianceChecker
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
>> >>
Enriched log + Diagnostics
Rule 3Rule 2
11
Rule 1
DiagnosticInformation
Event Log
Compliance Requirement
Petri net Specification
ConformanceChecker
Data-Aware Petri net
Specification
CF-Rule
T-Rule
Data-Aware Conformance
CheckerComplianceChecker
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
Enriched log + Diagnostics
Rule 3Rule 2
13
Rule 1
DiagnosticInformation
Event Log
Compliance Requirement
Petri net Specification
ConformanceChecker
Data-Aware Petri net
Specification
CF-Rule
T-Rule
Data-Aware Conformance
CheckerComplianceChecker
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
Enriched log + Diagnostics
Rule 3Rule 2
15
Rule 1
DiagnosticInformation
Event Log
Compliance Requirement
Petri net Specification
ConformanceChecker
Data-Aware Petri net
Specification
CF-Rule
T-Rule
Data-Aware Conformance
CheckerComplianceChecker
Temporal compliance checking
PAGE 16
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
✓✓
PAGE 17
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
PAGE 18
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
Enriched log + Diagnostics
Rule 3Rule 2
22
Rule 1
DiagnosticInformation
Event Log
Compliance Requirement
Petri net Specification
ConformanceChecker
Data-Aware Petri net
Specification
CF-Rule
T-Rule
Data-Aware Conformance
CheckerComplianceChecker
Take home points
23
Questions?
Enriched log + Diagnostics
Rule 3Rule 2
24
Rule 1
DiagnosticInformation
Event Log
Compliance Requirement
Petri net Specification
ConformanceChecker
Data-Aware Petri net
Specification
CF-Rule
T-Rule
Data-Aware Conformance
CheckerComplianceChecker
Rule repositories
Repository
Generic CF-Rules & Formalization
Repository
Generic T-Rules & Formalization
CF-Rule
T-Rule
Overview
25
Thank you for your
attention!