1. Temporal Compliance Checking
CAiSE‟2013
Elham Ramezani
Dirk Fahland
Boudewijn van Dongen
Wil M.P. van der Aalst

2. Compliance
Report
✓
✗
✓
✗
1
Enterprises are governed by regulations
Laws & Regulations
Diagnostic
Information

3. 2
Compliance management and BPM
Compliance checking
on log

4. Compliance checking and process
perspectives
3
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

5. Compliance
CheckerRule 3
Rule 2
Problem setting
4
Rule 1
Diagnostic
Information
CF-Rule
Event Log
Compliance
Requirement
T-Rule

6. 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.

7. Multiple possible diagnostics
6
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

8. Enriched log +
Diagnostics
Rule 3
Rule 2
… solve by Conformance Checking
7
Rule 1
Diagnostic
Information
Event
Log
Compliance
Requirement
Petri net
Specification
Conformance
Checker
Data-Aware
Petri net
Specification
CF-Rule
T-Rule
Data-Aware
Conformance
Checker
Compliance
Checker

9. Enriched log +
Diagnostics
Rule 3
Rule 2
8
Rule 1
Diagnostic
Information
Event
Log
Compliance
Requirement
Petri net
Specification
Conformance
Checker
Data-Aware
Petri net
Specification
CF-Rule
T-Rule
Data-Aware
Conformance
Checker
Compliance
Checker
Control-flow alignment

10. 9
Alignment  Diagnostic information
trace:
alignment: actual trace vs. correct trace
“move on model” = event is missing invisible
correct
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
>> >>

11. Enriched log +
Diagnostics
Rule 3
Rule 2
10
Rule 1
Diagnostic
Information
Event
Log
Compliance
Requirement
Petri net
Specification
Conformance
Checker
Data-Aware
Petri net
Specification
CF-Rule
T-Rule
Data-Aware
Conformance
Checker
Compliance
Checker
Log Enrichment

12. 11
Enriching log with additional information
S Ist A,
1
A,
2
Icmp Ist A,
9
A Icmp Ist A,
14
A,
15
Icmp E
>> >> 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

13. Enriched log +
Diagnostics
Rule 3
Rule 2
12
Rule 1
Diagnostic
Information
Event
Log
Compliance
Requirement
Petri net
Specification
Conformance
Checker
Data-Aware
Petri net
Specification
CF-Rule
T-Rule
Data-Aware
Conformance
Checker
Compliance
Checker
Temporal rule formalization

14. 13
Between two cycles of occurrences of ‘A’ there must be one week delay
…
EFinal
Initial
…
Ist
Icmp
A
S
[tst` = tcmp+ 7d] ∨ tcmp = 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

15. Enriched log +
Diagnostics
Rule 3
Rule 2
14
Rule 1
Diagnostic
Information
Event
Log
Compliance
Requirement
Petri net
Specification
Conformance
Checker
Data-Aware
Petri net
Specification
CF-Rule
T-Rule
Data-Aware
Conformance
Checker
Compliance
Checker
Temporal compliance checking

16. PAGE 15
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
✓✓

17. PAGE 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
Combined
Diagnostic Information

18. PAGE 17
Implementation
ProM6 (www.promtools.org/prom6)
Check Temporal Compliance Using Data-Aware Conformance Checking

19. 18
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. 19
Cases vs. handover of work
0
10
20
30
40
50
60
70
0 10 20 30 40 50 60 70
# cases
# handovers

21. 20
Violations vs. handover of work
# handovers
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
25 30 35 40 45 50 55 60 65 70
% violated
% violated

22. Enriched log +
Diagnostics
Rule 3
Rule 2
21
Rule 1
Diagnostic
Information
Event
Log
Compliance
Requirement
Petri net
Specification
Conformance
Checker
Data-Aware
Petri net
Specification
CF-Rule
T-Rule
Data-Aware
Conformance
Checker
Compliance
Checker
Take home points

23. 22
Questions?

24. Enriched log +
Diagnostics
Rule 3
Rule 2
23
Rule 1
Diagnostic
Information
Event
Log
Compliance
Requirement
Petri net
Specification
Conformance
Checker
Data-Aware
Petri net
Specification
CF-Rule
T-Rule
Data-Aware
Conformance
Checker
Compliance
Checker
Rule repositories
Repository
Generic CF-Rules
& Formalization
Repository
Generic T-Rules &
Formalization
CF-Rule
T-Rule
Overview

25. 24
Thank you for your
attention!