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Auflistung nach Schlagwort "Business Process Compliance"

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  • Zeitschriftenartikel
    Effizienzorientiertes Risikomanagement für Business Process Compliance
    (HMD Praxis der Wirtschaftsinformatik: Vol. 54, No. 1, 2017) Kühnel, Stephan; Sackmann, Stefan; Seyffarth, Tobias
    Business Process Compliance (BPC) bezeichnet die Einhaltung von Anforderungen (aus Gesetzen, Standards, internen Vorgaben usw.) bei der Definition und Ausführung von Geschäftsprozessen. Die Sicherstellung von BPC ist für Unternehmen häufig eine komplexe und kostenintensive Angelegenheit. Um eine Beeinträchtigung der Wettbewerbssituation durch BPC zu vermeiden, ist es erforderlich Compliance-Risiken unter Berücksichtigung der Effizienz quantitativ zu steuern. Die Ergebnisse des Beitrags verdeutlichen die Potentiale von BPC-Ansätzen zur konzeptionellen und technologischen Unterstützung des Managements von Compliance-Risiken im Rahmen der Risikoidentifikation, Risikovermeidung und Risikoüberwachung. Es zeigt sich, dass ein effizienzorientiertes Management von Compliance-Risiken eine Risikoquantifizierung erfordert, die BPC-Ansätze bis dato nicht leisten können. Weitere Ergebnisse zeigen, dass finanzwirtschaftliche Verfahren zur Risikoquantifizierung monetärer Compliance-Risiken geeignet sind und eine Effizienzmessung sowie teilweise -optimierung von BPC erlauben. Die Möglichkeiten und Grenzen der praktischen Anwendbarkeit dieser Verfahren für BPC werden diskutiert und abschließend empirisch verifiziert.AbstractBusiness Process Compliance (BPC) is defined as the adherence of requirements (such as laws, standards, internal guidelines etc.) in the conception and execution of business processes. Ensuring BPC can become a complex and cost-intensive issue for companies. In order to avoid the deterioration of the competitive position by BPC it is necessary to quantitatively control compliance risks taking into account efficiency. The results of this paper show that BPC supports the management of compliance risks within the scope of risk identification, risk aversion and risk monitoring. It becomes apparent that an efficiency-oriented management of compliance risks requires risk quantification, which BPC approaches cannot support to date. Moreover, the analysis shows that financial approaches are suitable for quantifying monetary compliance risks and enable efficiency measurement as well as partly efficiency optimization of BPC. The possibilities and limitations of the practical applicability of these approaches are discussed and empirically verified.
  • Zeitschriftenartikel
    An Indexing Technique for Compliance Checking and Maintenance in Large Process and Rule Repositories
    (Enterprise Modelling and Information Systems Architectures - An International Journal: Vol. 11, Nr. 2, 2016) Rinderle-Ma, Stefanie; Kabicher-Fuchs, Sonja
    Business process compliance has become a crucial challenge for enterprises throughout different domains. However, little thought has been spent on the management and verification of compliance rules in large process repositories so far, even though several case studies show, that the amount of business processes can reach from a small set to hundreds of business processes being subject to several hundreds of compliance rules. In this paper we present activity-oriented indexing techniques for efficient compliance checking which are particularly applicable in process and rule repositories where no a-priori knowledge, \eg based on policies, is available. Different applications beyond compliance checking are discussed such as process similarity notions or maintenance issues. The effects of applying indexing on the effort for compliance checks are discussed along with further aspects such as maintenance of process model and compliance rule repositories. Finally, a case study from the higher education domain in Austria is provided. The presented techniques constitute a first step towards a cost- and effort-aware management of large business process and compliance rule repositories.
  • Zeitschriftenartikel
    A Taxonomy of Business Rule Organizing Approaches in Regard to Business Process Compliance
    (Enterprise Modelling and Information Systems Architectures (EMISAJ) – International Journal of Conceptual Modeling: Vol. 15, Nr. 4, 2020) Corea, Carl; Delfmann, Patrick
    Business Process Compliance (BPC) bridges the disciplines of Business Process Management and Compliance Management, and is aimed to ensure that business processes are aligned with laws and regulations. In this context, business rules are used as a central means to represent regulatory policies and consequently to (automatedly) verify, whether business process models abide by respective rules. While there has been a plethora of works regarding this actual verification of process models relative to business rules, we see a strong lack of works regarding the actual creation and maintenance of business rules. More precisely, many works assume sound sets of business rules as a basis for subsequent techniques. However, recent works suggest this assumption cannot be made in practice, and companies actually need to be supported in the scope of managing and organizing business rules, e.g., to remove redundant or contradictory rules. Organizing business rules is a mandatory prerequisite to BPC, as errors in business rules make these rule bases unusable and impede a subsequent verification of process compliance. However, the literature on business rule organization is sparse - especially its relation to BPC. We therefore investigate how to harmonize company efforts in business rule organization and BPC by the means of a systematic literature review. The main contribution of this work is a guideline which supports companies to select appropriate rule organization approaches based on company BPC needs. Also, we identify research gaps and propose a corresponding research agenda based on our findings.