Business Process Compliance Management in the Financial Sector (ProCom)

Basic data for this project

Type of project: Individual project

Duration at the University of Münster: 01/09/2012 - 31/08/2014

Description

The financial industry is one of the most heavily regulated business sectors. Especially business processes of financial companies have to comply with a number of legal and industry-internal regulations. Otherwise, companies may face severe monetary or legal disadvantages. Consequently, it is reasonable to check the legal compliance of business processes continuously. Such a check is commonly referred to as business process compliance checking. The goal of the research project ProCom is to develop and evaluate a model-based business process compliance checking approach. Business process models are searched for typical pattern occurrences indicating business process compliance violations. Other than existing approaches, we do not restrict our approach to a special modelling technique or application scenario. We introduce a compliance checking approach that is (1) applicable for all business process modeling techniques and (2) for all kinds of compliance rules. Furthermore, based on an applicability check, we (3) evaluate the approach in a financial industry project setting and prove its acceptance and relevance for decision support of audit and compliance management tasks.

Keywords: Financial Sector; Business Process Management; BPM; Method Engineering; Business Process Analysis; Compliance

Funding identifier: BE 1422/19-1 / DE1983/1-1

Funder / funding scheme:

DFG - Individual Grants Programme

Project management at the University of Münster

Delfmann, Carsten Patrick

Chair of Information Systems and Information Management (IS)

Applicants from the University of Münster

Becker, Jörg	Chair of Information Systems and Information Management (IS)
Delfmann, Carsten Patrick	Chair of Information Systems and Information Management (IS)

Research associates from the University of Münster

Dietrich, Hanns-Alexander	Chair of Information Systems and Information Management (IS)
Eggert, Mathias	Chair of Information Systems and Information Management (IS)
Steinhorst, Matthias	Chair of Information Systems and Information Management (IS)

Project partners outside the University of Münster

GAD eGGermany

Publications of the University of Münster resulting from the project

A Framework for Fast Graph-based Pattern Matching in Conceptual Models Pflanzl Nicolas, Breuker Dominic, Dietrich Hanns-Alexander, Steinhorst Matthias, Shitkova Maria, Becker Jörg, Delfmann Patrick (2013) In: (eds.), , 250-257. (kein Verlag angegeben). doi:10.1109/CBI.2013.42 Research article in edited proceedings (conference) \| Peer reviewed \| Published
Outlining a Graphical Model Query Approach Based on Graph Matching Breuker Dominic, Dietrich Hanns-Alexander, Steinhorst Matthias, Delfmann Patrick (2014) In: (eds.), , 37-51. (kein Verlag angegeben). Research article in edited proceedings (conference) \| Peer reviewed \| Published
A Language-independent Model Query Tool Delfmann Patrick, Dietrich Hanns-Alexander, Havel Jean-Marie, Steinhorst Matthias (2014) In: Tremblay Monica Chiarini, Van der Meer Debra, Rothenberger Marcus, Gupta Ashish, Yoon Victoria (eds.), Advancing the Impact of Design Science: Moving from Theory to Practice, 453-457. Berlin, Heidelberg: Springer. doi:10.1007/978-3-319-06701-8_44 Research article in edited proceedings (conference) \| Peer reviewed \| Published
Using a Generic Model Query Approach to Allow for Process Model Compliance Checking – An Algorithmic Perspective Bräuer Sebastian, Delfmann Patrick, Dietrich Hanns-Alexander, Steinhorst Matthias (2013) In: Alt Rainer, Franczyk Bogdan (eds.), Proceedings of the 11th International Conference on Wirtschaftsinformatik (WI2013), 1245-1259. (kein Verlag angegeben). Research article in edited proceedings (conference) \| Peer reviewed \| Published

A Framework for Fast Graph-based Pattern Matching in Conceptual Models Pflanzl Nicolas, Breuker Dominic, Dietrich Hanns-Alexander, Steinhorst Matthias, Shitkova Maria, Becker Jörg, Delfmann Patrick (2013) In: (eds.), , 250-257. (kein Verlag angegeben). doi:10.1109/CBI.2013.42 Research article in edited proceedings (conference) \| Peer reviewed \| Published
Outlining a Graphical Model Query Approach Based on Graph Matching Breuker Dominic, Dietrich Hanns-Alexander, Steinhorst Matthias, Delfmann Patrick (2014) In: (eds.), , 37-51. (kein Verlag angegeben). Research article in edited proceedings (conference) \| Peer reviewed \| Published
A Language-independent Model Query Tool Delfmann Patrick, Dietrich Hanns-Alexander, Havel Jean-Marie, Steinhorst Matthias (2014) In: Tremblay Monica Chiarini, Van der Meer Debra, Rothenberger Marcus, Gupta Ashish, Yoon Victoria (eds.), Advancing the Impact of Design Science: Moving from Theory to Practice, 453-457. Berlin, Heidelberg: Springer. doi:10.1007/978-3-319-06701-8_44 Research article in edited proceedings (conference) \| Peer reviewed \| Published
Using a Generic Model Query Approach to Allow for Process Model Compliance Checking – An Algorithmic Perspective Bräuer Sebastian, Delfmann Patrick, Dietrich Hanns-Alexander, Steinhorst Matthias (2013) In: Alt Rainer, Franczyk Bogdan (eds.), Proceedings of the 11th International Conference on Wirtschaftsinformatik (WI2013), 1245-1259. (kein Verlag angegeben). Research article in edited proceedings (conference) \| Peer reviewed \| Published