Mathias Eggert

Generalizability and Applicability of Model-Based Business Process Compliance-Checking Approaches – A State-of-The-Art Analysis and Research Roadmap

With a steady increase of regulatory requirements for business processes, automation support of compliance management is a field garnering increasing attention in Information Systems research. Several approaches have been developed to support compliance checking of process models. One major challenge for such approaches is their ability to handle different modeling techniques and compliance rules in order to enable widespread adoption and application. Applying a structured literature search strategy, we reflect and discuss compliance-checking approaches in order to provide an insight into their generalizability and evaluation. The results imply that current approaches mainly focus on special modeling techniques and/or a restricted set of types of compliance rules. Most approaches abstain from real-world evaluation which raises the question of their practical applicability. Referring to the search results, we propose a roadmap for further research in model-based business process compliance checking.

Business process compliance checking --- applying and evaluating a generic pattern matching approach for conceptual models in the financial sector

Given the strong increase in regulatory requirements for business processes the management of business process compliance becomes a more and more regarded field in IS research. Several methods have been developed to support compliance checking of conceptual models. However, their focus on distinct modeling languages and mostly linear (i.e., predecessor-successor related) compliance rules may hinder widespread adoption and application in practice. Furthermore, hardly any of them has been evaluated in a real-world setting. We address this issue by applying a generic pattern matching approach for conceptual models to business process compliance checking in the financial sector. It consists of a model query language, a search algorithm and a corresponding modelling tool prototype. It is (1) applicable for all graph-based conceptual modeling languages and (2) for different kinds of compliance rules. Furthermore, based on an applicability check, we (3) evaluate the approach in a financial industry project setting against its relevance for decision support of audit and compliance management tasks.

The Legal Perspective on Business to Government Reporting -- A Conceptual Modeling Approach and Its Application in the Financial Sector

Business to Government (BtG) Reporting is a much-regarded research field, even more so since the collapse of the world economy. The topic attracts heightened attention from many financial service companies because they are forced to comply with an increasing number of reporting regulations. In particular, methods to design compliant BtG reporting systems are currently considered inadequate in IS research. This paper presents a way of supporting the management of legal reporting requirements by developing an approach for modeling and analyzing reporting regulations focused on the financial sector. The method is characterized in particular by the ability to represent and analyze legal reporting requirements. Using the examples of Risk Reports and the European Markets in Financial Instruments Directive (MiFID), the modeling and analysis capabilities of the method will be evaluated.

An Efficient Business Process Compliance Checking Approach

Assuring compliant business processes is an important task of business process management, which is commonly supported by the use of business process models. As every compliance rule corresponds with a typical structure, the detection of those corresponds to a pattern matching problem. More specifically, we encounter the problem of subgraph isomorphism. In this paper we propose an automatic business process compliance checking approach that relies on a subgraph isomorphism algorithm and that is suitable for process models in general. As common subgraph isomorphism is a problem that can only be solved in exponential time, we use an algorithm that simplifies the problem through pre-processing. This makes the isomorphism solvable in polynomial time. With the approach, we aim at supporting decision makers in business process compliance management.

Augmenting Analytical CRM Strategies with Social BI

Large communities built around social media on the Internet offer an opportunity to augment analytical customer relationship management (CRM) strategies. The purpose of this paper is to provide direction to advance the conceptual design of business intelligence (BI) systems for implementing CRM strategies. After introducing social CRM and social BI as emerging fields of research, the authors match CRM strategies with a re-engineered conceptual data model of Facebook in order to illustrate the strategic value of these data. Subsequently, the authors design a multi-dimensional data model for social BI and demonstrate its applicability by designing management reports in a retail scenario. Building on the service blueprinting framework, the authors propose a structured research agenda for the emerging field of social BI.

Merging Conceptual Modeling and Law for Legally Compliant Information Systems Design--A Framework-Based Research Agenda

Legal regulations play an important role in the design of information systems and their related organizational systems. A legal assessment subsequent to the systems development can demand expensive modifications or even the need for replacing existing systems. Legal infringements and resulting disputes can permanently damage an organizations image. To avoid these problems, we argue for the consideration of relevant legal regulations as early as the design phase of systems development. Conceptual modeling has proven to be an optimal instrument for system designers. In this paper, we propose a framework-based research agenda for the improvement of conceptual modeling for the explication and communication of legal requirements. We then show exemplary how the framework can be used by researchers to classify existing research results or to derive new research questions in the field of designing legally compliant information systems.